【作者】 向力；

【导师】 张湘兰；

【作者基本信息】 武汉大学 ， 国际法， 2010， 博士

【副题名】以《鹿特丹规则》为主要考察对象

【摘要】 随着《鹿特丹规则》的终获通过,国际海上货物运输领域已存在四部公约,即《海牙规则》、《海牙-维斯比规则》、《汉堡规则》和《鹿特丹规则》。较之前三部公约,《鹿特丹规则》在诸多方面对既有海运公约进行了修正和发展。然而其是否能统一调整国际海上货物运输关系的规范,促进贸易和经济的发展,在很大程度上将取决于其是否能够很好地处理其与诸多法律部门或部门分支的关系,这些关系主要包括它与非海运类货运公约的关系,与国际货物买卖法的关系,与国内法的关系。鉴于此,本文将从海运公约外部关系协调角度研究四部海运公约与其他法律部门和部门分支的关系,对《鹿特丹规则》予以重点考察。本文共分五章。第一章是“海运公约外部关系概论”。该章首先对海运公约外部关系进行界定,分析海运公约外部关系的定义、类型和存在基础。进而对海运公约外部关系调整规范予以梳理,并对海运公约外部关系的调整现状予以初步评估。最后指出海运公约外部关系处理的基本理念在于应致力于外部关系的协调,并对外部关系协调的可行性、必要性及其与国际海上货物运输法的统一的关系作了分析。第二章是“海运公约与其他货运公约的冲突和协调”。在这一章,主要探讨了国际货物运输公约之间条约冲突的成因、类型,并对《鹿特丹规则》条约冲突规范在应对条约冲突方面的作用进行了分析,最后提出了完善海运公约条约冲突规范的建议。本文第三、四两章集中探讨海运公约与国际货物买卖法的协调。其中,第三章探讨海运公约与国际货物买卖法在实体法领域的协调,研究重点集中于国际货物买卖正常运行中海运公约与国际货物买卖法协调的三大领域：货物控制权、货物交付、权利转让。在货物控制权部分探讨了《鹿特丹规则》对货物控制权的构造、货物控制权的本质以及制度价值；在货物交付规则部分结合实践从协调角度对四部海运公约的货物交付规则分别作了分析；在权利转让规则部分对国际货物运输中权利转让涉及的基本理论问题作了探讨,并对《鹿特丹规则》的权利转让规定从外部协调角度作了评析。第四章探讨海运公约与国际货物买卖法在程序法领域的协调,主要从外部协调角度思考货方,尤其是买方如何顺利实现对承运人的索赔。在这一章,分别探讨了货方对承运人的诉权,海上货物运输索赔中证明责任的分配,以及海上货物运输索赔对象的识别。第五章是“海运公约与国内法的互动和协调”。在该章首先对国际法与国内法关系作了梳理,然后探讨了海运公约与国内法之间在规则创制、规则生成、条约适用方面的互动关系,最后围绕海运公约下的国内法的适用问题探讨了海运公约与国内法在调整空间上的协调。更多还原

【Abstract】 The United Nations Convention on Contract for the International Carriage of Goods Wholly or Partly by Sea, commonly referred to as the Rotterdam Rules, was eventually adopted by the United Nations General Assembly on 11 December 2008. There are four multilateral conventions regulating international carriage of goods by sea after the Rotterdam Rules’ passing, which are the Hague Rules, the Hague-Visby Rules, the Hamburg Rules and the Rotterdam Rules respectively. Compared with existing maritime conventions, the Rotterdam Rules makes a lot of amendments and changes on many subjects. However, whether the Rotterdam Rules can successfully uniform rules to govern international contracts of carriage wholly or partly by sea and play a fundamental role in promoting trade and economic development, both domestically and internationally, is mostly dependent on whether this convention can successfully deal with its relations with other rules of international trade law. The aforesaid relations includes but not limited to the relation between maritime transportation conventions and other unimodal transportation conventions, the relation between maritime transportation conventions and the law regulating international sale of goods, and the relation between maritime transportation conventions and municipal law. In light of this necessity and complexity, this dissertation concentrates on the aforesaid relations from the perspective of harmonization, and the main concerns will be focused on the analysis of the Rotterdam Rules.The dissertation consists of five chapters. ChapterⅠis a general introduction to the external relations of the international conventions on carriage of goods by sea with other rules of international trade law. It begins with the definition, categories and foundation of the external relationship of the maritime transportation conventions; then makes an examination of existing provisions regulating the external relationship; at last, points out that the way for solving the dilemma existing in external relations is the establishment of external harmonizing mechanism. Correspondingly, the possibility and necessity of external harmonization and its relationship with uniformity of the law regulating international carriage of goods by sea are also discussed in this section.ChapterⅡconcerns with the conflicts between maritime transportation conventions and other unimodal transportation conventions. The causes and categories of the conflicts are represented in the first section, and the conflicting provisions of the Rotterdam Rules are analyzed in the second section within the same chapter.From ChapterⅢto ChapterⅣ, this dissertation raises an inspection about maritime transportation conventions how to harmonize with the law regulating international sale of goods. In fact, an introduction of the law regulating international sale of goods has been given in ChapterⅠ, including a brief explanation of its relationship with maritime transportation conventions and the harmonized norms. The emphasis of the chapterⅢlies in exploring the norms harmonizing maritime conventions with the law regulating international sale of goods during normal courses. Rights of control, delivery of goods, and transfer of rights are three important themes in this chapter. In the "right of control" part, the institutional structure, the intrinsic quality and the institutional value of the right of control are discussed detailedly; in the "delivery of goods" part, the rules regulating delivery of goods in the aforesaid four maritime transportation conventions are explored at length from the perspective of harmonization; in the "transfer of rights" part, basic issues surrounding transfer of rights are examined, and the transfer of rights chapter of the Rotterdam Rules is also analyzed.ChapterⅣmainly examines norms under maritime transportation conventions which aim to coordinate the law regulating international sale of goods during abnormal course, namely disputes arising. Right of suit, the distribution of burden of proof under marine cargo claims, and the identity of the subject against whom the claim is put forward are discussed in the ChapterⅣ.The last but not the least chapter is "the harmonization and interaction between maritime transportation conventions and municipal law". Under this chapter, first consideration was given to the general relationship between international law and municipal law, then next priority was given to interaction between maritime transportation conventions and municipal law regarding to formulation and creation of norms between maritime transportation conventions and municipal law, and the application of maritime transportation conventions in contracting states; at last, an analysis was given to the harmonization between maritime transportation conventions and municipal law on the space of application, focusing on the application of national law under maritime transportation conventions.更多还原