本文選題：無船承運(yùn)人　切入點(diǎn)：倒簽提單　出處：《西南財(cái)經(jīng)大學(xué)》2011年碩士論文　論文類型：學(xué)位論文

【摘要】：隨著國際貨物多式聯(lián)運(yùn)和集裝箱運(yùn)輸?shù)陌l(fā)展,無船承運(yùn)業(yè)務(wù)從傳統(tǒng)的貨運(yùn)代理業(yè)務(wù)中分離出來,成為活躍在國際航運(yùn)業(yè)中的生力軍。無船承運(yùn)人提單在流轉(zhuǎn)過程中,涉及兩份提單,流轉(zhuǎn)程序繁雜,所涉法律主體犬牙交錯(cuò),形成了復(fù)雜的提單法律關(guān)系。無船承運(yùn)人倒簽提單為了使提單上注明的裝船日期符合信用證的要求,而對(duì)簽發(fā)日期進(jìn)行虛假的記載,以達(dá)到順利結(jié)匯的目的。美國《1961年航運(yùn)法》中首次在法律上認(rèn)可了無船承運(yùn)人制度,中國于2002年1月1日生效的《中華人民共和國國際海運(yùn)條例》(以下簡稱《海運(yùn)條例》)中也首次確立了無船承運(yùn)人法律制度,但在無船承運(yùn)人倒簽提單法律責(zé)任上還存在缺陷。加之,理論上對(duì)無船承運(yùn)人倒簽提單法律責(zé)任問題的研究還不夠,因此有必要進(jìn)一步研究無船承運(yùn)人倒簽提單法律責(zé)任問題。 本文由引言、正文和結(jié)語三部分組成,正文共由五個(gè)部分組成。 第一部分：無船承運(yùn)人倒簽提單法律責(zé)任的界定。從責(zé)任主體,行為性質(zhì)和法律淵源方面展開無船承運(yùn)人倒簽提單法律責(zé)任特殊性的論述,闡述了無船承運(yùn)人倒簽提單法律責(zé)任的內(nèi)涵和特殊性,從而厘清無船承運(yùn)人倒簽提單法律責(zé)任的基本問題。 第二部分：無船承運(yùn)人倒簽提單法律責(zé)任的理論基礎(chǔ)。本部分主要運(yùn)用法學(xué)和經(jīng)濟(jì)學(xué)相關(guān)分析方法和解釋工具從多維的角度闡釋無船承運(yùn)人倒簽提單的相關(guān)理論問題。法學(xué)上的研究主要從兩個(gè)方面展開：一是從倒簽提單效力的主流學(xué)說入手,以國際條約、司法判例、商業(yè)習(xí)慣和商事法基本精神為分析要素,重點(diǎn)剖析無船承運(yùn)人倒簽提單的一般效力、未取得無船承運(yùn)人資格的提單倒簽的法律效力和未登記提單倒簽的法律效力。二是在剖析倒簽提單法律責(zé)任各觀點(diǎn)理論學(xué)說的基礎(chǔ)上,借鑒發(fā)達(dá)國家的內(nèi)國法和國際條約的相關(guān)規(guī)定,主張具體問題具體分析,認(rèn)為無船承運(yùn)人倒簽提單負(fù)有違約,或侵權(quán)違約競合的法律責(zé)任。經(jīng)濟(jì)學(xué)方面的研究則主要運(yùn)用了成本效益理論、公平效率理論和需求供給理論來分析無船承運(yùn)人倒簽提單的可能性。根據(jù)成本效益理論,無船承運(yùn)人倒簽提單是在近乎零成本的情況下獲得的最大效益。根據(jù)公平效率理論,無船承運(yùn)人倒簽提單處于囚徒困境中的兩難選擇,在追求效率的同時(shí)與公平兼顧的矛盾。從需求供給理論的分析得知,無船承運(yùn)人倒簽提單會(huì)受到市場對(duì)資源配置的左右。 第三部分：無船承運(yùn)人倒簽提單法律責(zé)任的比較研究。本部分主要從無船承運(yùn)人倒簽提單法律責(zé)任能力、賠償范圍以及海事賠償責(zé)任限制三方面展開,結(jié)合國際條約、英美國家法律、司法判例和商業(yè)習(xí)慣等進(jìn)行討論。在剖析總結(jié)相關(guān)法律規(guī)定的基礎(chǔ)上,為我國制定相關(guān)規(guī)定提供借鑒和參考。 第四部分：我國無船承運(yùn)人倒簽提單法律責(zé)任制度的現(xiàn)狀、問題及原因分析。本部分主要分析我國有關(guān)無船承運(yùn)人倒簽提單法律責(zé)任的立法現(xiàn)狀和存在的問題,以及這些問題產(chǎn)生的原因。重點(diǎn)分析了無船承運(yùn)人倒簽提單法律性質(zhì)、無船承運(yùn)人倒簽提單與實(shí)際承運(yùn)人之間的連帶責(zé)任和無船承運(yùn)人法律責(zé)任能力等方面的問題,從而為完善我國無船承運(yùn)人倒簽提單所涉法律問題做一鋪墊。 第五部分：完善無船承運(yùn)人倒簽提單法律責(zé)任制度的建議。在比較研究和實(shí)證分析的基礎(chǔ)上,對(duì)我國完善無船承運(yùn)人倒簽提單法律責(zé)任問題提出可能的建議。 本文的主要貢獻(xiàn)在于： 一是明確了無船承運(yùn)人提單的法律性質(zhì)和無船承運(yùn)人倒簽提單的法律責(zé)任性質(zhì)。在無船承運(yùn)人提單性質(zhì)上,主張物權(quán)債權(quán)合并說。在無船承運(yùn)人倒簽提單法律責(zé)任性質(zhì)上,則主張具體情況具體分析,無船承運(yùn)人倒簽提單法律責(zé)任具有違約或者是侵權(quán)違約責(zé)任競合的法律性質(zhì)。 二是采用了經(jīng)濟(jì)學(xué)理論分析方法。從無船承運(yùn)人倒簽提單的成本效益分析中得知,無船承運(yùn)人倒簽提單幾乎是在零成本的情況下獲得利益,并可能通過保函等方式進(jìn)行轉(zhuǎn)嫁可能產(chǎn)生的風(fēng)險(xiǎn),因此無船承運(yùn)人倒簽提單可以在低成本的情況下獲得較大利益,這成為其倒簽提單的強(qiáng)大動(dòng)力。在公平效率交替理論的框架下,公平與效率兩個(gè)決策目標(biāo)同等重要,必須兼顧,而無船承運(yùn)人倒簽提單追求了效率,造成了對(duì)收貨人/第三人不公平的結(jié)果,因而需要在公平與效率、結(jié)果均等與機(jī)會(huì)均等之間達(dá)成妥協(xié)。通過需求供給角度分析,可以得知在無船承運(yùn)人提供的運(yùn)輸服務(wù)供大于求的情況下,無船承運(yùn)人之間的業(yè)務(wù)競爭加劇,此時(shí)盡力滿足客戶需求無疑成為最大的驅(qū)動(dòng)力,因而倒簽提單的可能性增加；在供小于求的情況下,無船承運(yùn)人提供的運(yùn)輸服務(wù)就更加稀缺,這種稀缺本身就能獲得更多的客戶,而不需要其他的特定服務(wù)來助其完成,因而倒簽提單的可能性減小。 三是建議提高無船承運(yùn)人的法律責(zé)任能力。在考察和借鑒國際條約和發(fā)達(dá)國家國內(nèi)立法的基礎(chǔ)上,建議我國應(yīng)建立保證金與責(zé)任保險(xiǎn)并行制度,提高無船承運(yùn)人的責(zé)任能力,并在附錄部分提出了具體的立法建議。 四是明確無船承運(yùn)人倒簽提單的賠償范圍。有關(guān)無船承運(yùn)人倒簽提單的賠償范圍,其爭論點(diǎn)在于間接損失是否賠償。本文從保護(hù)交易安全,預(yù)防海事欺詐的角度,認(rèn)為無船承運(yùn)人應(yīng)當(dāng)承擔(dān)實(shí)際承運(yùn)人的責(zé)任,無船承運(yùn)人倒簽提單的賠償范圍應(yīng)該包括間接損失。 五是明確無船承運(yùn)人倒簽提單法律責(zé)任的海事賠償責(zé)任限制。在該問題上,主要有享有、不享有和相對(duì)享有三種觀點(diǎn)。本文通過比較研究、法律解釋,闡述了無船承運(yùn)人倒簽提單是海事欺詐行為,認(rèn)為無船承運(yùn)人在倒簽提單法律責(zé)任限制問題上既不享有單位賠償責(zé)任限制,也不享有海事賠償責(zé)任限制,并在附錄部分提出了具體的立法建議。
[Abstract]:With the development of international multimodal transport of goods and the development of container transportation, no separated NVOCC from traditional freight forwarding business, to become an active force in the international shipping industry. NVOCC bill of lading in the transfer process, involving two bills of lading, transfer procedures complicated legal subjects zigzag form legal relation of the bill of lading. Complex. NVOCC antedated bill of lading bill of lading to make the shipment date in accordance with the requirements of the letter of credit, and false records on the date of issue, in order to achieve smoothly. The United States <1961 Shipping Law > for the first time in the legal recognition of the NVOCC, China regulations went into effect on January 1, 2002. People's Republic of China international shipping (hereinafter referred to as the "Regulations > >) is first established the legal system of NVOCC, but in NVOCC antedated bill of lading legal liability There are still some defects. In addition, the research on the legal liability of the NVOCC bill of lading is not enough. Therefore, it is necessary to further study the legal liability of the NLC back signed bill of lading.
This article is composed of three parts, the introduction, the text and the conclusion, and the body consists of five parts.
The first part: the definition of NVOCC antedated bill of lading legal liability. From the main responsibility, the nature and behavior of legal aspects of NVOCC antedated the particularity of the legal liability of the bill of lading is discussed, expounds the connotation of NVOCC antedated bill of lading legal liability and the particularity, so as to clarify the basic issues of NVOCC antedated bill of lading legal liability.
The second part: the theoretical basis of NVOCC antedated bill of lading legal liability. Related theoretical problems of NVOCC Daoqiantidan some of the major use of the law and economic analysis and interpretation tools from the perspective of multi-dimensional interpretation. Research on law mainly from two aspects: one is starting from the mainstream theory Daoqiantidan the effectiveness of the international treaty, judicial precedents, business practices and basic spirit of commercial law elements, focusing on general effectiveness of NVOCC antedated bill of lading, without obtaining NVOCC bill of lading backdating law and unregistered backdating the bill of lading legal effect. Two is the basis of legal responsibility to sign it the bill of lading theory in the analysis on the related provisions from other nations and international treaties, advocate the concrete analysis of concrete problems, think of NVOCC antedated bill of lading negative A breach of contract, tort or breach of legal responsibility. The study of economics mainly use the cost-benefit theory, efficiency theory and demand theory to analyze the possibility of NVOCC Daoqiantidan. According to the theory of cost efficiency, NVOCC antedated B / L is the biggest benefit in the case of near zero cost according to the theory of fairness and efficiency, NVOCC antedated B / L in a dilemma in the prisoner's dilemma, contradictions in the pursuit of efficiency and fairness. At the same time, learned from the analysis of demand supply theory, NVOCC antedated bill of lading will be affected by the market allocation of resources.
The third part: a comparative study of NVOCC antedated bill of lading legal liability. The main part of NVOCC antedated bill of lading legal responsibility, compensation scope and limitation of liability for maritime claims in three aspects, combined with the international treaty, Anglo American law, judicial precedents and business practices. In the basis of analyzing and summarizing the relevant laws and regulations and provide references for China to formulate relevant regulations.
The fourth part: the status of NVOCC antedated bill of lading legal liability system, analysis of the problems and the reasons. This part mainly analyzes China's NVOCC Daoqiantidan the legal responsibility of the legislative status and problems, and the causes of these problems. The key point is the analysis of NVOCC antedated bill of lading legal nature. NVOCC antedated bill of lading and joint liability between the actual carrier and the NVOCC legal responsibility and other issues, so as to improve our NVOCC Daoqiantidan legal issues involved in doing a foreshadowing.
The fifth part: suggestions for improving NVOCC's legal liability system of reverse signed bill of lading. Based on the comparative analysis and empirical analysis, we put forward some suggestions for improving the legal liability of NVOCC in our country.
The main contributions of this article are as follows:
One is to clear the legal liability nature of the legal nature of NVOCC bill of lading and NVOCC Daoqiantidan. In NVOCC bill of lading nature, advocates said. But with the real right of bill of lading in nature sign legal liability of NVOCC, advocates of specific conditions, legal liability of NVOCC antedated bill of lading is a breach of contract or tort liability for breach of the legal nature of coopetition.
Two is the use of the theory of economics analysis method. That cost benefit analysis of NVOCC from Daoqiantidan, NVOCC antedated bill of lading is almost zero cost benefit in the case, and may be possible through the risk guarantee, so the NVOCC Daoqiantidan can obtain greater interest in low cost, which has become the powerful motive force of Daoqiantidan. In alternation theory under the framework of fairness and efficiency, fairness and efficiency of the two objectives are equally important and must be taken into account, and NVOCC Daoqiantidan the pursuit of efficiency, resulting in the consignee / third people unfair result, so in need fairness and efficiency, equality and opportunity equality between the demand and supply of compromise. Through the analysis, can be learned in the NVOCC provide transportation service supply, no ship The carrier between the business competition, this time to meet customer demand will undoubtedly become the biggest driving force, and increase the possibility of Daoqiantidan; in less demand for the case of NVOCC services is more scarce, this scarcity itself will be able to get more customers, without the need for specific services to help others complete, thus reducing the possibility of Daoqiantidan.
Three is a suggestion to improve the ability of legal liability of NVOCC. The investigation and reference of domestic legislation in developed countries and international treaties, China should establish the deposit liability insurance and parallel system, improve the capability of NVOCC, and put forward specific legislative proposals in the appendix.
Four is a clear scope of compensation of NVOCC antedated bill of lading. The scope of compensation on NVOCC antedated B / L, the argument is the indirect loss compensation. The protection of the transaction security, prevention of maritime fraud, that NVOCC shall bear the responsibility of the actual carrier, the scope of compensation of NVOCC antedated bill of lading should include indirect losses.
The five is the limitation of maritime liability clear NVOCC antedated bill of lading legal liability. In this problem, there are not enjoy, enjoy and enjoy the relative three views. Through the comparative study, the interpretation of the law, expounds the NVOCC Daoqiantidan maritime fraud, think of NVOCC in Daoqiantidan limitation of liability for legal issues which do not enjoy the liability unit limit is not entitled to limitation of liability for maritime claims, and puts forward specific legislative proposals in the appendix.

【學(xué)位授予單位】：西南財(cái)經(jīng)大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2011
【分類號(hào)】：D922.294;D996.19

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