【作者】 王磊；

【导师】 温树英；

【作者基本信息】 山西大学 ， 国际法学， 2012， 硕士

【摘要】 论文是以《联合国全程或部分海上国际货物运输合同公约》(以下简称《鹿特丹规则》)中的一类参与方,即海运履约方为研究对象的。《鹿特丹规则》凭借其立法的先进性,将会吸引越来越多的国家加入,特别是如果它获得主要航运国家的认可并使之生效,国际货物运输的国际立法将迎来一个新的时代。如何借鉴和吸收《鹿特丹规则》的合理成分以完善我国的海商立法,是我国面临的现实问题。因此,对海运履约方进行详细的研究,具有重要的理论和现实意义。论文主要运用历史分析、比较分析和案例分析的方法,通过对《鹿特丹规则》下新设立的海运履约方这一类主体及相关法律问题的研究,结合我国海商立法中存在的不足,在理论层面提出我国构建海运履约方制度的具体建议。论文除引言及结论外,共分为五部分。第一部分是对海运履约方的界定。海运履约方概念的发展经历了两个阶段,即履约方概念的出现和海运履约方概念的形成。海运履约方是指在国际海上货物运输中,在货物到达船舶装货港时起至货物离开船舶卸货港时止履行了承运人在运输合同下任何义务的人。海运履约方不同于实际承运人、港口经营人和多式联运海运承运人,它具有四个特征：海运履约方由承运人委托；从事的活动与承运人义务有关；责任期间起于货物到达装货港止于货物离开卸货港；承运人通过合同关系控制海运履约方。第二部分分析海运履约方的权利和义务。依据海运履约方的权利义务是来源于《鹿特丹规则》的规定,还是来源于承运人与托运人订立的合同,论文将海运履约方的权利义务分为法定权利义务和合同权利义务,由于合同权利义务取决于合同的约定,具有不确定性,论文着重论述了海运履约方的法定权利义务。海运履约方的权利主要有抗辩权和赔偿责任限制权；海运履约方的义务主要有接收、装载、操作、积载、运输、照料、卸载货物和特别适用于海上航程的义务。第三部分论述海运履约方的责任期间、归责原则、举证责任以及与承运人的连带责任。海运履约方的责任期间始于货物到达装货港,止于货物离开卸货港；海运履约方适用推定的过错责任原则；在举证责任分配上,海运履约方对货物管理期间的责任适用过错推定原则,对列明的免责事项适用无过错推定原则,对船舶不适航导致的责任适用过错推定原则；承运人和海运履约方对货物的毁损、灭失或迟延交付所负的赔偿责任为连带责任,同时遵守赔偿责任限额的规定。第四部分指出确立“海运履约方”概念的理论和实践影响。确立“海运履约方”概念的理论影响表现在：打破了传统合同相对性原则的束缚；丰富了国际运输立法的内容。确立“海运履约方”概念的实践影响表现在：扩大了喜马拉雅条款适用主体的范围；确定了港口经营人的法律地位和权责的同时也增加了港口经营人被诉的几率；加重了承运人的责任。第五部分探讨我国构建海运履约方制度的必要性和具体建议。为了更好地适应现代运输业发展,以及弥补我国现行法律制度存在的缺陷,我国有必要构建海运履约方法律制度。在我国构建海运履约方法律制度,必须从法律层面上确定喜马拉雅条款的效力,而且还要不断突破传统法学理论的束缚。考虑法律制度稳定性与连续性的要求,以及我国的实际情况,笔者建议,可以采取选择性吸收海运履约方制度合理成分的方案构建我国海运履约方法律制度,对《海商法》进行某些小的修订,待时机成熟再作大的改动。更多还原

【Abstract】 The thesis is based on a class of participants in United Nations Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea (hereinafter referred to as the "Rotterdam Rules") for study. The class of participants referred above is Maritime Performing Party."Rotterdam Rules" with its characteristics of advanced nature of the legislation, will attract more and more countries to join in. Especially if it won national recognition of the main shipping and put it into effect, international legislation of international transport of goods will usher in a new era. How to reference and absorb the reasonable components of "Rotterdam rules" to improve China’s maritime legislation, is the reality of our country we faced with. Therefore, research the maritime performing party detailedly has important theoretical and practical significance.The author study the thesis with historical analysis, comparative analysis and case analysis. By studying maritime performing party and other Related legal issues of the Rotterdam Rules, combining with shortcomings in China’s maritime legislation, the author put forward the specific suggestion on building Maritime Performing Party system for China.In addition to the introduction and conclusion, this paper is divided into five parts.The first part is the definition of the maritime performing party. Maritime performing party concept development has experienced two stages, respectively is the emergence of the performing party concept and the formation of maritime performing party concept. Maritime performing party means a performing party to the extent that it performs or undertakes to perform any of the carrier’s obligations during the period between the arrival of the goods at the port of loading of a ship and their departure from the port of discharge of a ship. Maritime performing party is different from that of the actual carrier, the port operators and multimodal shipping carrier. It has four characteristics:the maritime performing party commissioned by the carrier; engaged in the activities and obligations of the carrier; responsible during the period from the arrival of the goods at the port of loading beyond the goods leave the port of discharge; the carrier controlling the maritime performing party through a contractual relationship.The second part analyzes the rights and obligations of the maritime performing party. According to the rights and obligations of the maritime performing party from the provisions of the "Rotterdam Rules", or from a contract entered into by the carrier and shipper, the rights and obligations of the maritime performing party is divided into statutory rights and obligations and contractual rights and obligations.Due to contractual rights and obligation depending on the contract which has the uncertainty, the paper focuses on the maritime performing party’s statutory rights and obligations. The rights of the maritime performing party are primarily rights of defense and limit of liability rights. Maritime performing party’s obligations are primarily receive, load, handle, stow, carry, keep, care for, unload and deliver the goods, and the obligations which are specific obligations applicable to the voyage by seaThe third part deals with the responsibility period, the responsibility principle, and the burden of proof of the maritime performing party, and the maritime performing party’s joint and several liability with the carrier. The responsibility period of maritime performing party begins with the arrival of the goods at the port of loading, and ends at the goods leaving the port of discharge. Maritime performing party applies to the principle of presumption of fault liability. In the distribution of the burden of proof between the maritime performing party and the claimant, there are three presumption. The three presumptions are respectively, presumption of fault in the management of goods, presumption of no fault in the legal disclaimer, and presumption of fault in the ship’s unseaworthy. The carrier and maritime performing party should bear joint and several liability under some situation, while complying with the provisions of the limits of liability. The fourth part points out the theoretical and practical impact to establish the concept of "maritime performing party". The establishment of" maritime performing party" concept’s theory influence performance in breaking the traditional relativity principle of the contract bound and enrich the international transportation legislation. The establishment of" maritime performing party" concept’s practice effects are mainly expanded Himalaya terms of the applicable range of subject, determine the port operator’s legal status and responsibilities also increases the probability of port operators sued, increase the liability of the carrier.The fifth part discusses the necessity for our country to build a maritime performing party system and specific strategies. In order to better adapt to the development of the modern transport industry, and to compensate for the defects existing in China’s legal system, China have to build our own legal system of maritime performing party. To build our own legal system of maritime performing party, we must to determine the validity of the Himalaya clause in a legal perspective, but also continue to break through the traditional bound in law theory. Consider the requirements of stability and continuity of the legal system, as well as the actual situation in our country, the author suggests, we can take a selective absorption of the rational composition of the maritime performing party system to build the legal system of China’s maritime performing party. We can make some minor revision on the" maritime law", when the time is ripe to make big changes.更多还原