【作者】 孟雨；

【导师】 吴焕宁；

【作者基本信息】 中国政法大学 ， 国际法学， 2009， 博士

【摘要】 本文拟通过对无船承运人法律制度的深入探讨,揭示无船承运人的产生、发展的历史过程;无船承运人的法律性质和法律地位;无船承运人的权利、义务和责任。论文结合我国无船承运人发展的现状,对完善我国无船承运人法律制度和无船承运业务的进一步发展提出了一些设想和建议。无船承运人是在现代运输方式下诞生的,它是国际货运代理人发展到一定阶段的产物,不是由拥有船舶的船舶经营人分化而来。确立无船承运人法律制度具有较强的法律价值和社会实践价值,它体现了交易安全,有利于维护法律公平,使得合同风险在承运人和货方之间合理分担,从而有利于保护和促进国际海上交通运输业的健康发展。无船承运人由国际货运代理人发展而来,他们之间有着剪不断、理还乱的法律关系。从世界范围来看,无船承运人或者无船承运业务虽然被多数国家所认可,但是在法律上并没有相关的界定,无船承运业务则被认为是国际货运代理业务的一部分。通过对不同法系之间无船承运人和国际货运代理人法律规制的比较分析研究,论文对我国司法实践中如何辨别这二者的身份提出了一些应当考虑的因素。无船承运人具有双重法律地位,无船承运人是承运人,这已经为国际公约和国内法所认可,但是,与拥有和经营船舶的承运人相比,无船承运人具有一定的特殊性,无船承运人与拥有船舶的承运人之间是“特殊和一般的关系”。根据我国《海商法》的规定,无船承运人是《海商法》意义上的托运人,与船舶经营人之间的关系等同于托运人与承运人的责任关系。无船承运人的双重法律地位,决定了其双重权利、义务和责任,如何正确行使权利、履行义务、承担责任,就成为无船承运人所必须面对的问题。无船承运人可以签发提单,这是其与国际货运代理人的一个重要区别。相比海运提单,无船承运人的提单具有一定的特殊性。在实践中,由于无船承运人自身的特点和管理上存在的一些问题,导致无船承运人提单引起的纠纷不断。本文通过分析无船承运人提单的性质、法律效力等,对无船承运人签发的提单进行探讨,并结合案例,对在实践中由无船承运人提单引发的一些纠纷进行了研究。我国开展无船承运业务之后,曾经有一个时期无船承运业务有较快的发展,但是随着时间的推移,无船承运业务面临了很多困难和问题。针对当前我国无船承运业务发展的实际,笔者认为,无船承运业务的全面发展,离不开法律制度的健全和完善,这其中,建立和完善我国的物流立法就是迫在眉睫的事情。此外,我国在对无船承运人的准入条件的规定中,80万元的保证金自始自终都是一个争议很大的问题。如何通过责任保险制度替代保证金制度,一直以来都是业内人士普遍关注的一个问题。从国际上看,责任保险制度的建立和完善也是历史发展的必然趋势。关键是如何确立责任保险的性质、范围、承保险种等问题,文章对责任保险制度的基本理论问题,以及我国责任保险制度的困境和出路予以分析和探讨。从国际上看,只有我国、美国等少数国家确立了无船承运人法律制度,该制度究竟是否必要,在实践中争议很大。本人通过对中美模式和菲亚塔模式的比较分析,认为无船承运人制度还是适应我国国情的,关键是在未来如何更好的完善它。根据我国无船承运人制度发展的实际情况,对未来无船承运业务的进一步发展所必须解决的几个问题予以阐述。本文拟通过案例分析法、比较分析法、历史分析法等方法对无船承运人法律制度展开研究,试图对无船承运人法律制度有一个正确、综合的评价。联合国国际贸易法委员会制定的《联合国全程或部分海上国际货物运输合同公约》引入了“海运履约方”的概念,并不要求承运人一定是有船的承运人,从而在法律上承认了无船承运人的存在,肯定了无船承运人的法律地位。从这个角度而言,我国《国际海运条例》将无船承运人从国际货运代理人中区分出来,赋予其独立的法律地位,确立其行为规范和法律责任,这符合国际立法趋势,是有进步意义的。虽然当前我国无船承运业务在发展时面临了一些困难和问题,但是笔者认为,只要能立足现实,正视困难和问题,不断完善法律制度,加强对无船承运人的监管,无船承运业务一定可以在我国有更加迅猛的发展。更多还原

【Abstract】 This dissertation studies on the legal problems of NVOCC,including the history of NVOCC,the relationship between NVOCC and International Freight Forwarder,the rights and liabilities of the NVOCC;the problems arising from or in connection with the House B/L and liability insurance.This dissertation points out the problems existing in the supervision of NVOCC in China and proposes the possible ways to improve the supervision system of NVOCC in the future.NVOCC arouse under modern transportation and divided from International Fright Forwarder instead of common cartier.It is significantly both theoretically and practically to explore and study ttie legal system of NVOCC.The legal system of NVOCC may embody the safety of business and help to maintain the equity of parties concerned.It also helps to accelerate the development of maritime transportation.In the present,most of the states haven’t established the legal system of NVOCC yet;NVOCC belongs to the category of International Freight Forwarder.This dissertation studies different legal systems and put forward some proposals on how to distinguish NVOCC and International Freight Forwarder in judicial practice in China.NVOCC retains dual legal status,the status of cattier which has been admitted by international law and domestic law.However,by comparing with common cartier,NVOCC has its own features.According to Maritime Code of the People’s Republic of China,under the relationship between NVOCC and common cartier,the former is a shipper and the latter is a cartier.Therefore,the problem which must be solved is how to exercise the rights and fulfill the obligations of NVOCC.NVOCC may issue B/L,namely House Bill of Lading.This is an important difference from International Freight Forwarder.By comparison with ocean B/L,House B/L has its own feature.In practice,a lot of lawsuits stem from House B/L.This dissertation studies the nature and legal efficiency of House B/L,while analyzing some specific lawsuits involving House B/L.According to Article 8 of the International Maritime Regulations of The People’s Republic of China(hereinafter referred to as IMR),The party applying to operate as NVOCC must pay a security deposit of 800000rmb to the bank named by the Ministry of Transport of the.People’s Republic of China.This stipulation provoked controversies at the beginning.The way out is to utilize the regime of liability insurance.A great attention has been paid in the circles of maritime industries.Furthermore,to improve the system liability insurance is a general trend in the future.The key problems are how to enact the nature and category and types of insurance.This dissertation analyses the theory of liability insurance and the problems and ways of Chinese liability insurance.Only a few states,such as China and the USA have established the legal systems of NVOCC.Whether or not there is a need of the legal system of NVOCC arising many controversies.This dissertation compares the mode of China and the USA and the mode of FLATA,believing the legal system of NVOCC fits the conditions of China;the key problem is how to improve the legal system of NVOCC.The dissertation gives some suggestions on how to improve the legal system of NVOCC,including the transformation of third-party logistics and improving the service arrangements of NVOCC.By using case analyzing,comparison analyzing and history analyzing, this dissertation tries to give a compressive evolution of NVOCC. Convention on the Carriage of Goods Wholly or Partly by Sea enacts maritime performance parities,which gives legal statue of NVOCC. Therefore,the establishment of legal system of NVOCC fits the trends of international legislation and has progressive Significance.Though China meets a lot of problems in the development of NVOCC,by strengthening the supervision of NVOCC and improving the legislation,the business of NVOVV will have a further development in the future.更多还原