摘  要

承運(yùn)人責(zé)任體系屬于國(guó)際海上貨物運(yùn)輸公約中的核心部分，體現(xiàn)了海上貨物運(yùn)輸法的基本價(jià)值取向，甚至體現(xiàn)出航運(yùn)時(shí)代的變更。船貨雙方力量對(duì)比的變化達(dá)到一定的量變之后必然發(fā)生質(zhì)變，從而導(dǎo)致含有變更的責(zé)任基礎(chǔ)的新公約的產(chǎn)生。實(shí)現(xiàn)承運(yùn)人責(zé)任體系的統(tǒng)一正是國(guó)際海上貨物運(yùn)輸法律一體化的價(jià)值所在。幾乎每一部已出臺(tái)的新的海上貨物運(yùn)輸國(guó)際公約中，發(fā)生變動(dòng)的部分都必然涉及到責(zé)任體系方面?！堵固氐ひ?guī)則》亦然。

本論文運(yùn)用文獻(xiàn)調(diào)查、實(shí)物分析和比較分析等方法對(duì)《鹿特丹規(guī)則》承運(yùn)人責(zé)任體系進(jìn)行研究。除了引言和結(jié)論外，本論文總共分為四個(gè)部分。

第一章說明本論文的研究方法，并針對(duì)《鹿特丹規(guī)則》承運(yùn)人責(zé)任體系的研究進(jìn)展做出文獻(xiàn)綜述，指出《鹿特丹規(guī)則》的先進(jìn)性表現(xiàn)，總結(jié)國(guó)內(nèi)外專家的主要觀點(diǎn)。

第二章通過將《鹿特丹規(guī)則》與現(xiàn)行三大國(guó)際公約承運(yùn)人責(zé)任體系的相關(guān)內(nèi)容進(jìn)行比較與討論，說明《鹿特丹規(guī)則》中承運(yùn)人責(zé)任體系內(nèi)容條款的主要更改，為后文針對(duì)這些內(nèi)容展開評(píng)析埋下伏筆。

第三章作為本論文的主體內(nèi)容，著重展開對(duì)《鹿特丹規(guī)則》規(guī)定的承運(yùn)人責(zé)任基礎(chǔ)、承運(yùn)人舉證責(zé)任、承運(yùn)人賠償責(zé)任限制、承運(yùn)人免責(zé)四方面內(nèi)容的研究，借助UNCITRAL第三工作組會(huì)議報(bào)告對(duì)以上方面進(jìn)行評(píng)析。

第四章的內(nèi)容緊緊圍繞《鹿特丹規(guī)則》以及該規(guī)則對(duì)承運(yùn)人責(zé)任體系所做的變更對(duì)我國(guó)以及承運(yùn)人造成的影響這一主題展開討論，并針對(duì)《鹿特丹規(guī)則》對(duì)我國(guó)航運(yùn)立法的借鑒提出幾點(diǎn)建議，以此達(dá)到很好地完善我國(guó)海上貨物運(yùn)輸立法的效果。

關(guān)鍵詞：鹿特丹規(guī)則；承運(yùn)人責(zé)任體系

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　錄

引  言 1

第一章 研究方法與文獻(xiàn)綜述 3

  第一節(jié) 研究目的及方法 3

  第二節(jié) 文獻(xiàn)綜述 6

第二章 《鹿特丹規(guī)則》與三大國(guó)際公約承運(yùn)人責(zé)任體系比較 12

  第一節(jié) 承運(yùn)人責(zé)任體系概述 12

  第二節(jié) 承運(yùn)人責(zé)任體系比較 13

第三章 《鹿特丹規(guī)則》承運(yùn)人責(zé)任體系內(nèi)容評(píng)析 21

  第一節(jié) 責(zé)任體系主要內(nèi)容評(píng)析 22

  第二節(jié) 幾點(diǎn)補(bǔ)充意見 32

第四章 《鹿特丹規(guī)則》承運(yùn)人責(zé)任體系的影響與立法借鑒 35

  第一節(jié) 《鹿特丹規(guī)則》承運(yùn)人責(zé)任體系的影響 35

  第二節(jié) 我國(guó)航運(yùn)法規(guī)的立法借鑒 39

結(jié)  論 43

參 考 文 獻(xiàn) 46

致  謝 48