本文選題：倒簽提單 + 賠償責(zé)任�。� 參考：《大連海事大學(xué)》2012年碩士論文

【摘要】：提單在國(guó)際貿(mào)易中占據(jù)著十分重要的地位,它不僅是海上貨物運(yùn)輸合同的證明,也是國(guó)際貿(mào)易合同下必備單證。在采用信用證支付貨款的國(guó)際貿(mào)易之中,提單至關(guān)重要,因?yàn)橹挥匈u方提供符合信用證規(guī)定的提單,銀行才能根據(jù)“單證一致”的原則向賣方支付貨款。然而,在國(guó)際貿(mào)易及航運(yùn)實(shí)踐中卻出現(xiàn)了倒簽提單這一違法行為,損害了收貨人的合法權(quán)益,嚴(yán)重影響了國(guó)際貿(mào)易和海上貨物運(yùn)輸業(yè)務(wù)的健康發(fā)展。究其產(chǎn)生原因主要有兩個(gè):一是在貨物裝船日期與信用證規(guī)定的日期不一致時(shí),賣方為了順利結(jié)匯,通常會(huì)要求承運(yùn)人簽發(fā)倒簽提單,以滿足銀行“單證一致”的要求；二是,在裝貨遲延時(shí),承運(yùn)人為了順利獲得運(yùn)輸合同下的運(yùn)費(fèi),也會(huì)自行簽發(fā)倒簽提單。 倒簽提單問(wèn)題由來(lái)已久,我國(guó)海商法學(xué)界和實(shí)務(wù)界對(duì)其十分重視,學(xué)者針對(duì)倒簽提單進(jìn)行了廣泛研究探討。但是這些探討主要集中在倒簽提單行為定性方面,對(duì)于承運(yùn)人賠償責(zé)任部分缺乏系統(tǒng)的研究。本文在總結(jié)前人研究成果的基礎(chǔ)上,對(duì)倒簽提單下承運(yùn)人賠償責(zé)任展開(kāi)系統(tǒng)的研究。論文大致分為如下的幾個(gè)部分： 第一部分,倒簽提單概述。此部分主要闡明倒簽提單的含義及特征,指出提單日期的重要性,點(diǎn)明倒簽提單存在的現(xiàn)實(shí)危害。 第二部分,承運(yùn)人賠償責(zé)任的認(rèn)定依據(jù)。該部分主要探討倒簽提單下,承運(yùn)人承擔(dān)賠償責(zé)任的理論依據(jù)和規(guī)范依據(jù)。理論依據(jù)來(lái)源于對(duì)倒簽提單行為責(zé)任的法律定性,定性之后才能據(jù)此要求承運(yùn)人承擔(dān)相應(yīng)的賠償責(zé)任。規(guī)范依據(jù)指的是現(xiàn)行法律對(duì)于倒簽提單行為的規(guī)制,通過(guò)對(duì)其進(jìn)行分析可以確定收貨人損害賠償?shù)恼?qǐng)求權(quán)基礎(chǔ)。我國(guó)法律對(duì)于倒簽提單下承運(yùn)人賠償責(zé)任缺乏明確的法律規(guī)范,但是我們?nèi)匀豢梢愿鶕?jù)《海商法》《侵權(quán)責(zé)任法》以及《民法通則》等相關(guān)的法律進(jìn)行判斷。此外,筆者認(rèn)為,承運(yùn)人賠償責(zé)任應(yīng)當(dāng)定性為侵權(quán)責(zé)任,這樣才能更好地保護(hù)收貨人的合法權(quán)益。 第三部分,承運(yùn)人賠償責(zé)任的范圍。該部分首先指出倒簽提單下收貨人可能存在的損失,然后確定承運(yùn)人賠償責(zé)任所應(yīng)當(dāng)遵循的基本原則,最后分析承運(yùn)人賠償責(zé)任的具體范圍。筆者認(rèn)為,確定承運(yùn)人賠償責(zé)任范圍應(yīng)當(dāng)遵循因果關(guān)系原則、全部賠償原則、減輕損失原則和遙遠(yuǎn)損失不賠原則。因而按照上述原則,承運(yùn)人的賠償責(zé)任范圍主要包括貨款及利息損失、特殊情況下的額外費(fèi)用。 第四部分,倒簽提單下的抗辯與舉證。該部分對(duì)承運(yùn)人在面臨訴訟之時(shí)可能存在抗辯理由進(jìn)行簡(jiǎn)單地分析,同時(shí)明確收貨人在倒簽提單下可能承擔(dān)的舉證責(zé)任。筆者認(rèn)為,在倒簽提單之下承運(yùn)人也是可以享受免責(zé)條款、賠償責(zé)任限額等各種抗辯權(quán),但是需要承運(yùn)人進(jìn)行舉證。此外,收貨人欲使承運(yùn)人承擔(dān)賠償責(zé)任,需要就承運(yùn)人主觀上的過(guò)錯(cuò)以及承運(yùn)人行為與損失之間存在因果關(guān)系進(jìn)行舉證。 第五部分,倒簽提單下承運(yùn)人賠償責(zé)任的制度完善。該部分首先指出承運(yùn)人賠償責(zé)任存在的一些具體問(wèn)題,然后針對(duì)這些問(wèn)題提出完善的建議。倒簽提單下承運(yùn)人賠償責(zé)任存在很多的問(wèn)題,其中最主要的問(wèn)題體現(xiàn)在法律依據(jù)不夠明確、責(zé)任定性模糊和賠償范圍過(guò)于狹小等三個(gè)方面。欲改變此種狀況,筆者建議采取如下的兩種措施：制定關(guān)于倒簽提單若干問(wèn)題的司法解釋和篩選指導(dǎo)性案例。
[Abstract]:Bill of lading occupies a very important position in international trade. It is not only a proof of the contract of carriage of goods by sea, but also a necessary document under the contract of international trade. In the international trade of payment of goods by letter of credit, the bill of lading is of vital importance, because only the seller provides the bill of lading that meets the requirements of the letter of credit. The principle of "causing" is paid to the seller. However, in the practice of international trade and shipping, the illegal act of bill of lading has appeared, which has damaged the legitimate rights and interests of the consignee and seriously affected the healthy development of international trade and maritime transport business. The main reasons are two: one is the date of shipment and the letter of credit. When the specified date is inconsistent, the seller usually requires the carrier to issue a bill of lading to meet the requirements of the bank 's "unanimous documents" in order to make a smooth settlement. Two, the carrier will also issue the bill of lading on its own in order to obtain the freight under the contract of transportation.
The issue of bill of lading has a long history, and the legal and practical circles in our country attach great importance to it. Scholars have studied the bill of lading extensively. However, these discussions mainly focus on the qualitative aspects of the act of bill of lading and the lack of systematic research on the liability part of the carrier. This paper is based on the summary of the previous research results. A systematic study of the carrier's liability for compensation under the reverse signed bill of lading is made in this paper.
The first part is an overview of the bill of lading. This section mainly clarifies the meaning and characteristics of the bill of lading, points out the importance of the date of the bill of lading, and points out the actual hazards of the existence of the bill of lading.
The second part is the basis for the identification of the liability of the carrier. This part mainly discusses the theoretical basis and standard basis for the carrier to undertake the liability for compensation under the bill of lading. The theoretical basis is based on the legal nature of the act responsibility of the bill of lading, and then the carrier will be required to bear the corresponding liability accordingly. The current laws regulate the act of the bill of lading, and through the analysis of the bill of lading can determine the basis of the claim for the damages of the consignee. China's law lacks a clear legal norm on the liability of the carrier under the bill of lading, but we can still be based on the relevant laws, such as the maritime law > < the right of authority > and the general rules of the civil law. In addition, the author thinks that the liability of the carrier should be classified as tort liability, so as to better protect the legitimate rights and interests of the consignee.
The third part, the scope of the liability of the carrier. This part first points out the possible losses of the consignee under the bill of lading, and then determines the basic principles that the carrier should follow, and finally analyzes the specific scope of the liability of the carrier. As a result, the principle of compensation should be made to reduce the principle of loss and the principle of remote loss. Therefore, in accordance with the above principles, the liability of the carrier mainly includes the loss of money and interest, and the extra expenses in special circumstances.
The fourth part, the counterplea and proof under the bill of lading, the part of the carrier may have a simple analysis of the reasons for the defense in the face of the lawsuit, and at the same time clearly define the burden of proof that the consignee may bear under the bill of lading. The author thinks that the carrier can also enjoy the exemption clause and the liability limit under the bill of lading. The right of defense is required, but the carrier is required to give evidence. In addition, the consignee wants to make the carrier liable for the liability. It is necessary to give a proof of the causal relationship between the carrier's subjective fault and the carrier's behavior and loss.
The fifth part is to perfect the system of liability for the carrier under the bill of lading. This part first points out some specific problems in the liability of the carrier, and then puts forward a perfect suggestion on these problems. There are many problems in the liability of the carrier under the bill of lading. The most important problem is that the legal basis is not clear enough. The three aspects of the ambiguity of responsibility and the scope of compensation are too small. To change this situation, the author proposes to take the following two measures: to formulate judicial interpretations and screening guidance cases on a number of questions of the bill of lading.
【學(xué)位授予單位】：大連海事大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2012
【分類號(hào)】：D996.19;D922.294

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