《鹿特丹规则》承运人责任体系之研究.doc

摘  要

承运人责任体系属于国际海上货物运输公约中的核心部分，体现了海上货物运输法的基本价值取向，甚至体现出航运时代的变更。船货双方力量对比的变化达到一定的量变之后必然发生质变，从而导致含有变更的责任基础的新公约的产生。实现承运人责任体系的统一正是国际海上货物运输法律一体化的价值所在。几乎每一部已出台的新的海上货物运输国际公约中，发生变动的部分都必然涉及到责任体系方面。《鹿特丹规则》亦然。

本论文运用文献调查、实物分析和比较分析等方法对《鹿特丹规则》承运人责任体系进行研究。除了引言和结论外，本论文总共分为四个部分。

第一章说明本论文的研究方法，并针对《鹿特丹规则》承运人责任体系的研究进展做出文献综述，指出《鹿特丹规则》的先进性表现，总结国内外专家的主要观点。

第二章通过将《鹿特丹规则》与现行三大国际公约承运人责任体系的相关内容进行比较与讨论，说明《鹿特丹规则》中承运人责任体系内容条款的主要更改，为后文针对这些内容展开评析埋下伏笔。

第三章作为本论文的主体内容，着重展开对《鹿特丹规则》规定的承运人责任基础、承运人举证责任、承运人赔偿责任限制、承运人免责四方面内容的研究，借助UNCITRAL第三工作组会议报告对以上方面进行评析。

第四章的内容紧紧围绕《鹿特丹规则》以及该规则对承运人责任体系所做的变更对我国以及承运人造成的影响这一主题展开讨论，并针对《鹿特丹规则》对我国航运立法的借鉴提出几点建议，以此达到很好地完善我国海上货物运输立法的效果。

关键词：鹿特丹规则；承运人责任体系

ABSTRACT

The carrier’s liability system is the central part of the international convention on the carriage of goods by sea. It reflects the fundamental value of carriage of goods by sea act as the miniature of the transition of maritime shipping. Achieving the unity of the carrier’s liability is just the value of legal integration. Changes relating to the liability system have occurred to almost every new international convention on carriage of goods by sea. And so “Rotterdam Rules” does.

In this thesis, the author uses the literature review, document analysis, comparative analysis, and some a series of qualitative methods to study the carrier’s liability system under the Rotterdam Rules. Besides the introduction and conclusion, the author undertakes four parts in this thesis.

The research methods used in this study were briefly introduced in the chapter I. Additionally, Chapter I also provides literature review related to the carrier’s liability system in “The Rotterdam Rules”, demonstrates the progress of “The Rotterdam Rules”, demonstrates the progress of “The Rotterdam Rules”, and summarizes the main comments from scholars and professionals.

Chapter II discusses the major changes by comparing the carrier’s liability system of the Rotterdam Rules with three major international conventions, so that the author can make assessment aiming at the carrier’s liability system of the Rotterdam rules.

Chapter III, the main aspects of this paper, emphasizes the research on the basis of liability, the carrier’s burden of proof, the carrier’s limitation of liability and the exemption clauses, based on the UNCITRAL Working Group III reports.  

Chapter IV discusses the impact which the changes of the carrier’s liability system under the Rotterdam Rules made to China and Chinese carrier market, and put forwards some suggestions in order to improve the development of the carriage of goods by sea.

                                        Zhang Tianyu (International Law)

                                      Directed by _Prof. Jiang Zhengxiong_

KEYWORDS:  Rotterdam Rules; carrier’s liability system

目　录

引  言 1

第一章 研究方法与文献综述 3

  第一节 研究目的及方法 3

  第二节 文献综述 6

第二章 《鹿特丹规则》与三大国际公约承运人责任体系比较 12

  第一节 承运人责任体系概述 12

  第二节 承运人责任体系比较 13

第三章 《鹿特丹规则》承运人责任体系内容评析 21

  第一节 责任体系主要内容评析 22

  第二节 几点补充意见 32

第四章 《鹿特丹规则》承运人责任体系的影响与立法借鉴 35

  第一节 《鹿特丹规则》承运人责任体系的影响 35

  第二节 我国航运法规的立法借鉴 39

结  论 43

参 考 文 献 46

致  谢 48