【摘要】：提單，經(jīng)過了幾百年的演變發(fā)展，一直在國際海上貨物運(yùn)輸中起著極其重要的作用。隨著現(xiàn)代航運(yùn)技術(shù)的發(fā)展和國際海上貨物貿(mào)易的日益頻繁，提單的基本功能也不斷演變和細(xì)化，作為提單基本功能之一的物權(quán)憑證功能亦是如此。提單的物權(quán)憑證功能作為提單制度的基石，經(jīng)歷了幾個世紀(jì)的發(fā)展，從最初的萌芽階段，發(fā)展到海上貨物運(yùn)輸統(tǒng)一法時代的固化階段，再演變到《鹿特丹規(guī)則》體系下的減損與完善階段。縱觀這一過程，我們不難發(fā)現(xiàn)，提單的物權(quán)憑證功能的每一步演變既順應(yīng)了國際海上貨物運(yùn)輸實(shí)踐的要求，又推動了國際海上貨物貿(mào)易的繁榮，同時使得提單一直飾演著國際海上貨物運(yùn)輸貿(mào)易中的重要角色。 關(guān)于提單的物權(quán)憑證功能，盡管學(xué)術(shù)界還存在其有或無的爭論，但是根據(jù)主流觀點(diǎn)和國際貿(mào)易運(yùn)輸?shù)膶?shí)踐慣例與立法規(guī)范，提單具有物權(quán)憑證功能是毋庸置疑的。提單的物權(quán)憑證功能的演變與完善促進(jìn)了提單制度的完善。在海上貨物運(yùn)輸習(xí)慣法時期，，提單開始作為貨物運(yùn)輸?shù)淖C明；到三大統(tǒng)一國際海上貨物公約《海牙規(guī)則》、《維斯比規(guī)則》和《漢堡規(guī)則》時期的提單的物權(quán)憑證功能的逐漸固化，船貨雙方的利益博弈對海上貨物運(yùn)輸產(chǎn)生了深遠(yuǎn)的影響，提單的物權(quán)憑證功能隨著船貨雙方的博弈而逐步固化，同時固化過程每前進(jìn)一步船貨雙方的地位就更加趨于平等，海上貨物運(yùn)輸發(fā)展也更向著健康的方向邁進(jìn)。 為達(dá)到介紹清晰連貫之目的，本文的寫作圍繞著三個主要脈絡(luò)。第一，本文圍繞著契約自由原則的萌芽、演進(jìn)發(fā)展過程對國際海上貨物運(yùn)輸?shù)陌l(fā)展過程的影響進(jìn)行概述。契約自由原則在民商事領(lǐng)域的萌芽階段，也正是國際海上貨物運(yùn)輸?shù)钠鸩诫A段，提單只在當(dāng)時是船貨雙方交易的習(xí)慣和慣例中存在。契約自由原則從興起到受到限制，正迎接了國際海上貨物運(yùn)輸統(tǒng)一法時代的到來，《海牙規(guī)則》與《維斯比規(guī)則》中對船方利益的偏袒是契約自由原則興起并被廣泛運(yùn)用的時期。到了《漢堡規(guī)則》中對船貨雙方地位的均衡規(guī)定正是契約自由原則受到限制甚至被排除適用的時期。到了《鹿特丹規(guī)則》時代，契約自由原則被再次引入，適當(dāng)承認(rèn)無單放貨的合法性正是契約自由原則被引入的體現(xiàn)。這一原則的引入是對提單的物權(quán)憑證功能之減損，也預(yù)示著提單的物權(quán)憑證功能要被重新定位。第二，本文圍繞著海上貨物運(yùn)輸統(tǒng)一法的進(jìn)程闡述，從習(xí)慣法到三大海運(yùn)公約的確立再到《鹿特丹規(guī)則》的出現(xiàn)，提單的物權(quán)憑證功能正是在這一過程中被逐步確立和完善的，這一過程也是國際海上貨物運(yùn)輸逐步發(fā)展壯大進(jìn)步的過程。第三，本文圍繞著整個國際海上貨物運(yùn)輸?shù)拇涬p方展開敘述，經(jīng)過幾個世紀(jì)的博弈，船貨雙方的地位和利益發(fā)生了根本性變化，昔日處于絕對強(qiáng)勢地位的船方已合理回歸，昔日處于弱勢地位的貨方也逐漸將爭取自己合理利益的呼聲變?yōu)楝F(xiàn)實(shí)。船貨雙方利益的博弈也加速了提單的物權(quán)憑證功能的確立及完善。 本文通過對提單的物權(quán)憑證功能的演變過程進(jìn)行分析介紹，從橫向?qū)Ρ扰c縱向?qū)Ρ鹊慕嵌瓤偨Y(jié)出提單的物權(quán)憑證功能在海上貨物運(yùn)輸發(fā)展的各個階段的不同地位與作用。同時著重結(jié)合《鹿特丹規(guī)則》體系下提單的物權(quán)憑證功能定位，得出自己的見解：即提單的物權(quán)憑證功能在新的海運(yùn)規(guī)則體系下得到了隱性傳承，并且更符合當(dāng)今國際海上貨物運(yùn)輸?shù)陌l(fā)展潮流，同時提出了我國在應(yīng)對《鹿特丹規(guī)則》體系時的應(yīng)對策略。
[Abstract]:Bill of lading, after hundreds of years of evolution and development, has been playing an extremely important role in the international carriage of goods by sea. With the development of modern shipping technology and the increasing frequency of international trade in goods by sea, the basic functions of bills of lading are constantly evolving and refined, as one of the basic functions of bills of lading, the functions of documents of title are also the same. As the cornerstone of the bill of lading system, the function of the document of title has gone through several centuries of development, from the initial embryonic stage to the solidification stage of the era of the Uniform Law of Carriage of Goods by Sea, and then to the stage of derogation and perfection under the Rotterdam Rules. One-step evolution not only conforms to the requirements of international carriage of goods by sea, but also promotes the prosperity of international trade in goods by sea. At the same time, the bill of lading plays an important role in international carriage of goods by sea.
The function of bill of lading is undoubtedly a document of title according to the mainstream viewpoint and the practice and legislative norms of international trade and transportation. The evolution and perfection of the function of bill of lading promotes the perfection of bill of lading system. During the period of customary law of carriage of goods, the bill of lading began to be used as proof of carriage of goods. By the time of the Hague Rules, Visby Rules and Hamburg Rules, the functions of documents of title of bills of lading were gradually solidified, and the game of interests between shippers and cargo had a far-reaching impact on carriage of goods by sea. It can be gradually solidified with the game between ship and cargo. At the same time, the status of both ship and cargo becomes more equal and the development of marine cargo transportation is more healthy.
In order to achieve the goal of clarity and coherence, this paper focuses on three main contexts. Firstly, this paper outlines the germination of the principle of freedom of contract, the impact of its evolution on the development of international carriage of goods by sea. In the initial stage, the bill of lading existed only in the customs and practices of the trade between the ship and the cargo party at that time. The principle of freedom of contract, from its rise to its limitation, is welcoming the arrival of the era of unified international law for the carriage of goods by sea. The preference for the interests of the ship in the Hague Rules and Visby Rules is the time when the principle of freedom of contract arises and is widely used. By the time of the Rotterdam Rules, the principle of freedom of contract was reintroduced and the legitimacy of delivery without bill of lading was appropriately recognized, which was the embodiment of the principle of freedom of contract. The impairment of the function of the bill of lading's document of real right also indicates that the function of the bill of lading's document of real right will be re-positioned. Secondly, this paper expounds the process of the unified law of carriage of goods by sea, from the customary law to the establishment of the three major maritime conventions to the emergence of the Rotterdam Rules. It is in this process that the function of the bill of lading's document of real right is gradually re-positioned. Establishment and perfection of this process is also a gradual development and progress of international carriage of goods by sea. Thirdly, this paper focuses on the entire international carriage of goods by sea both sides of the ship and cargo described, after several centuries of game, the status and interests of both sides of the ship and cargo have undergone fundamental changes, formerly in an absolutely strong position of the ship. After a reasonable return, the cargo side which was in a weak position in the past gradually turned the call for their own reasonable interests into reality.
Through the analysis and introduction of the evolvement process of the bill of lading's real right certificate function, this paper summarizes the different status and function of the bill of lading's real right certificate function in various stages of the development of maritime cargo transportation from the angle of horizontal and vertical comparison. The author puts forward his own opinions: that the function of the bill of lading's document of title has been implicitly inherited under the new maritime transport rules system, and is more in line with the development trend of international maritime cargo transportation nowadays. At the same time, the author puts forward our country's Countermeasures in dealing with the Rotterdam Rules system.
【學(xué)位授予單位】：吉林大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2012
【分類號】：D996.19

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