【作者】 修杰；

【导师】 李雁；

【作者基本信息】 中国海洋大学 ， 国际法学， 2007， 硕士

【摘要】 在航运实践中,由于船舶周转的快速性与提单流转滞后的时间差,承运人常常被迫凭保函无单放货。无单放货现象越来越普遍,因此而引发的纠纷也随之增多,但学术界与实务界对有关无单放货的法律问题尚存在诸多争议,对于无单放货的法律责任定性比较模糊,责任归属尚不确定,长此以往,必然不利于外贸和航运事业的发展。基于此,对无单放货问题进行深入地研究实属必要。作为一个长期困扰航运与海事司法界的难题,大家都知道无单放货问题的严重性与高风险性,但在实务操作中又确有其必要性。笔者希望通过此篇文章,对无单放货的法律责任从实务与法律角度进行深层次与比较全面的研究,以促进与建立更加完善的海上货物运输法律制度。本文基于以上考虑,主要从以下五个方面对此予以探讨:一是从无单放货的概念入手,分析了无单放货范围的界定和常见形态,深入阐述了无单放货的产生原因。并从正反两方面分析了无单放货行为的合理性和危害性。二是主要是对于无单放货的法律责任进行了定性。对于无单放货的法律责任问题,理论界与实务界皆有很大争议。目前,理论界对无单放货的法律责任问题主要存在侵权说、违约说、侵权与违约竞合说三种学说;实践中,法院也曾依据不同理论作出违约与侵权等截然不同的判决。本文在全面介绍上述三种学说的基础上,从区分提单在不同环节所具有的不同功能出发,指出了以上三种学说所存在的不足,并认为由于无单放货主体的多样性及相对人的复杂性,决定了对于无单放货不能统一定性,而只能视情况将其定性为违约或侵权或两者相竞合。三是在识别无单放货不同责任主体的基础上,对无单放货法律责任从逻辑结构上进行深入剖析。阐明了无单放货的四个构成条件:承运人主观上有过错(违约责任下不需此条件)、承运人实施无单放货、持单人受有损失、无单放货与损失之间有因果关系。并进一步分析了无单放货的责任归属,提出对无单放货的承运人总的适用原则是严格责任原则,而在责任限制条款的适用上,则应当具体问题具体分析。四是主要论述了无单放货中承运人可能援用的抗辩事由:禁止反言、提单或租约中的免责条款、依目的港法律或惯例而实施无单放货、提单遗失、被盗、灭失或因金融上的原因、无单放货中的外汇核销问题、提单持有人明示或默示认可无单放货的行为、延迟提货和时效。并分析了承运人能否以这些抗辩事由摆脱无单放货的法律责任。对于提单持有人的救济措施和承运人或责任人的追索权也做出了相应的分析探讨。五是从立法者的角度出发,具体分析国内外立法的成败得失,提出了防范无单放货的立法新举措,主要包括电子提单、海运单以及从实处着手处理无单放货问题。更多还原

【Abstract】 In shipping practice, due to the time difference between the quickness of sail of vessel and the lagging of negotiation of bill of lading, carriers often have to deliver the goods without bill of lading against letter of guarantee. The phenomenon of delivery of goods without original bills of lading is becoming more and more,therefore, initiates the dispute also increases along with it,but there are still so many disputes about delivery of goods without original bills of lading in academic and practice circles .The legal liability of delivery of goods without original bills of lading is fuzzy, the responsibility of ownership was still indefinited, continuously for a long time hence, it will inevitably does not make for the development of international trade and seafaring. These are reasons underlay the study in this article of delivery of goods without original bills of lading. The problem of delivery of goods without original bills of lading has been with us for a long time, We all know the risk and severe consequence of delivery of goods without original bills of lading,but it is still necessary in shipping practice now. In this paper, the writer study the above problems and wish the result of such study will promote to constitute the better legal system of carriage of goods by sea in China. This thesis contains five chapters:The first part is beginning with the definition of delivery of goods without original bills of lading,analyzes the scope and types of delivery of goods without original bills of lading,expounds reasons which cause delivery of goods without original bills of lading. And analyzes the reasonable part and the hazardous nature of delivery of goods without original bills of lading from the pro and con two aspects.In the second part, the author defines the nature of its legal liability. As to the issue on the legal liability of discharging goods without bill of lading, there exist great disputes among scholars and in practice. At present, there are three doctrines on the legal liability of discharging goods without bill of lading in theory: the doctrine on tort, the doctrine on breach of contract, the doctrine on the concurrence of breach and tort. In practice,the court had made controversial decisions according to different doctrines. Beginning with the different functions of bill of lading in different places,the author points out the deficiency of the above three doctrines and proposes that because of the diversity of the subjects on discharging goods without bill of lading and the complexity of its counterpart the nature of discharging goods without bill of lading cannot be defined in uniform and we can only consider it as breach,tort,or concurrence of the two according to the existing conditions.In the third part,on the basis of recognizing the different responsibility persons,the paper analyzes the legal liability for delivery of goods without original bills of lading in logical organization. Expounds the liability of discharging goods without bill of lading should meet four conditions: The carrier has subjective fault, which does not apply to the liability for breach of contract, the carrier delivers goods without taking back or canceling the original bill of lading, the holder of bill of lading suffers losses,and there is causality between delivery of goods without bill of lading and losses. And analyzes the ownership of liability of delivery of goods without bill of lading,proposes the general principal of liability in respect of delivery of goods without bill of lading should be strict responsibility principle. In the fourth part, the author discusses the possible pleading reasons quoting by the carriers during the process of discharging goods without bill of lading These pleading reasons includes estoppel, exoneration clauses corporated in bill of lading and charter contract,the law or customs in discharing port, delayed taking , time bar and so on. And analyses whether these reasons could help the carrier getting rid of the legal liability .In the fifth part,the paper analyzes the experience of legislations in the domestic and foreign,proposes some new legal measures in dealing with delivery of goods without original bills of Lading including electronic bill of lading,sea waybill,and dealing with delivery of goods without original bills of Lading practicecally.更多还原