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任雁冰

摘要     

關(guān)于提單項(xiàng)下大宗散貨短量責(zé)任，根據(jù)我國(guó)法律、國(guó)際條約及國(guó)際規(guī)則、行政法規(guī)和規(guī)章、司法規(guī)則、案例規(guī)則及英國(guó)法等，可歸納出十三個(gè)問(wèn)題，以盡量全面、客觀地描述和總結(jié)當(dāng)前的實(shí)際情況，系統(tǒng)地呈現(xiàn)出這類爭(zhēng)議的“實(shí)然法”，而不是“應(yīng)然法”，但希望能對(duì)將來(lái)的規(guī)則酌定和案件處理有所啟發(fā)。

然而，在此問(wèn)題上，當(dāng)前“實(shí)然法”卻充滿著矛盾。這應(yīng)屬裁判規(guī)則最為混亂的常規(guī)海事法律問(wèn)題之一。需指出，當(dāng)前“實(shí)然法”，并非憑空產(chǎn)生，而是從之前的法律實(shí)踐歷程中演變而來(lái)。同理，當(dāng)前“實(shí)然法”也必然會(huì)繼續(xù)演進(jìn)，從而產(chǎn)生未來(lái)的“實(shí)然法”。這種演進(jìn)過(guò)程，本質(zhì)上則是不同法律意志之間相互激蕩而形成的動(dòng)態(tài)戰(zhàn)局。

問(wèn)題一：貨物短量在千分之五（散裝固體貨物）或者千分之二等（散裝液體貨物）以內(nèi)的，承運(yùn)人是否應(yīng)承擔(dān)賠償責(zé)任？

我國(guó)現(xiàn)有判例存在兩種不同認(rèn)定。

問(wèn)題二：貨物短量超過(guò)千分之五（散裝固體貨物）或者千分之二等（散裝液體貨物）的，計(jì)算損失時(shí)是否應(yīng)相應(yīng)扣減千分之五或千分之二等？

我國(guó)現(xiàn)有判例存在兩種不同認(rèn)定。

問(wèn)題三：是否存在承運(yùn)人對(duì)短量千分之五或者千分之二等免責(zé)的國(guó)際慣例或國(guó)際貿(mào)易慣例或行業(yè)慣例？如何證明？

我國(guó)現(xiàn)有判例存在兩種不同認(rèn)定。

問(wèn)題四：散裝液體貨物卸貨港實(shí)測(cè)密度與船方適用的裝貨港貨物密度表密度不一致時(shí)，是否應(yīng)采用卸貨港實(shí)測(cè)密度來(lái)確定貨物短量？

我國(guó)現(xiàn)有判例存在不同認(rèn)定。

問(wèn)題五：散裝固體貨物短量應(yīng)以提單數(shù)量減去卸貨港水尺數(shù)量，還是以裝貨港水尺數(shù)量減去卸貨港水尺數(shù)量？

我國(guó)現(xiàn)有判例存在不同認(rèn)定。

問(wèn)題六：散裝固體貨物的裝貨港水尺數(shù)或者散裝液體貨物的船艙空距數(shù)低于簽發(fā)的提單數(shù)時(shí)，是否認(rèn)定船方簽發(fā)提單的行為存在過(guò)錯(cuò)，或者說(shuō)，是否認(rèn)定船方對(duì)此部分短量負(fù)責(zé)？

我國(guó)現(xiàn)有判例存在不同認(rèn)定。

問(wèn)題七：貨物短量發(fā)生的責(zé)任期間，我國(guó)現(xiàn)有判例認(rèn)定較為一致。

問(wèn)題八：對(duì)于散裝液體貨物，流量計(jì)計(jì)重、船艙空距計(jì)重及岸罐計(jì)重以何者為準(zhǔn)的問(wèn)題，我國(guó)現(xiàn)有判例認(rèn)定較為一致。與此類似，對(duì)于散裝固體貨物，水尺計(jì)重和地磅計(jì)重以何者為準(zhǔn)的問(wèn)題，我國(guó)現(xiàn)有判例認(rèn)定較為一致。

但也存在一定問(wèn)題，比如，裝、卸兩港是否應(yīng)采用同一種計(jì)量方式，我國(guó)現(xiàn)有判例存在不同認(rèn)定。同時(shí)，參照英國(guó)法，此問(wèn)題也有一些疑問(wèn)。

問(wèn)題九：散裝固體貨物發(fā)生短量的，是否應(yīng)扣減水分揮發(fā)造成的短少？

我國(guó)現(xiàn)有判例中未發(fā)現(xiàn)允許扣減者。

問(wèn)題十：濕性貨物運(yùn)輸中，是以“干噸”還是“濕噸”作為貨物短量的依據(jù)？

我國(guó)現(xiàn)有判例認(rèn)為，對(duì)此應(yīng)結(jié)合具體案件各方當(dāng)事人舉證情況綜合認(rèn)定。

問(wèn)題十一：散裝固體貨物發(fā)生短量在千分之五以內(nèi)的，是否可以參考承運(yùn)船舶的載重線等多種因素，以綜合查明此種短量是誤差，還是真正短少？

我國(guó)現(xiàn)有一宗案例認(rèn)為不能。此問(wèn)題有待進(jìn)一步探討。

問(wèn)題十二：在確定船舶在卸貨港交貨數(shù)量時(shí)，怎樣考量船舶經(jīng)驗(yàn)系數(shù)（Vessel’s Experience Factor, VEF）？

我國(guó)現(xiàn)有案例存在不同認(rèn)定，但相關(guān)辨析均較為粗略。

問(wèn)題十三：承運(yùn)人對(duì)于貨差能否免責(zé)的舉證問(wèn)題，我國(guó)現(xiàn)有判例對(duì)于舉證責(zé)任應(yīng)由承運(yùn)人承擔(dān)，認(rèn)定較為一致；但對(duì)于承運(yùn)人應(yīng)舉證至何種程度，我國(guó)現(xiàn)有判例的認(rèn)定仍有差異。

這十三個(gè)問(wèn)題對(duì)應(yīng)的“實(shí)然法”體現(xiàn)在下列法律規(guī)范系統(tǒng)中。

（一）我國(guó)法律【全國(guó)人大及其常委會(huì)（立法機(jī)關(guān)）的法律意志】

1、海商法律：《海商法》

2、行政法律：《進(jìn)出口商品檢驗(yàn)法》

（二）國(guó)際法【成員國(guó)共同的法律意志】

1、對(duì)我國(guó)生效的國(guó)際條約：《1974年國(guó)際海上人命安全公約》（SOLAS）

2、對(duì)我國(guó)生效的國(guó)際規(guī)則之一：SOLAS附件之一：國(guó)際谷物規(guī)則（International Grain Code）

3、對(duì)我國(guó)生效的國(guó)際規(guī)則之二：SOLAS附件之二：國(guó)際海運(yùn)固體散貨規(guī)則（IMSBC）

4、對(duì)我國(guó)生效的國(guó)際規(guī)則之三：SOLAS附件之三：國(guó)際海運(yùn)危險(xiǎn)貨物規(guī)則（IMDG）

5、未對(duì)我國(guó)生效的國(guó)際條約之一：United Nations Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea（2008年鹿特丹規(guī)則）

6、未對(duì)我國(guó)生效的國(guó)際條約之二：United Nations Convention on the Carriage of Goods by Sea（1978年漢堡規(guī)則）

7、未對(duì)我國(guó)生效的國(guó)際條約之三：Protocol to Amend the International Convention for the Unification of Certain Rules of Law Relating to Bills of Lading（1968年海牙-維斯比規(guī)則）

8、國(guó)際慣例：此類案件中是否存在相關(guān)國(guó)際慣例，我國(guó)現(xiàn)有判例存在不同認(rèn)定。

（三）行政規(guī)則【國(guó)務(wù)院等行政機(jī)關(guān)的法律意志】

1、行政法規(guī)之一：《中華人民共和國(guó)進(jìn)出口商品檢驗(yàn)法實(shí)施條例》（2016年修訂版）

2、部門(mén)規(guī)章之一：《出入境檢驗(yàn)檢疫機(jī)構(gòu)實(shí)施檢驗(yàn)檢疫的進(jìn)出境商品目錄》

3、部門(mén)規(guī)章之二：《進(jìn)口商品殘損檢驗(yàn)鑒定管理辦法》（2007年10月1日起施行）

4、技術(shù)操作規(guī)程之一：《進(jìn)出口商品重量鑒定規(guī)程 – 水尺計(jì)重》

5、技術(shù)操作規(guī)程之二：《進(jìn)出口商品重量鑒定規(guī)程 – 液體產(chǎn)品靜態(tài)計(jì)重》

6、技術(shù)操作規(guī)程之三：《進(jìn)出口商品重量鑒定規(guī)程 – 流量計(jì)計(jì)重》

7、技術(shù)操作規(guī)程之四：《進(jìn)出口商品重量鑒定規(guī)程 – 衡器鑒重》

8、技術(shù)操作規(guī)程之五：《原油和石油產(chǎn)品轉(zhuǎn)運(yùn)責(zé)任 – 船上貨量和余留在船上原油量的估算方法》

9、技術(shù)操作規(guī)程之六：《進(jìn)出口商品容器計(jì)重規(guī)程 – 第2部分：動(dòng)植物油岸上立式金屬罐靜態(tài)計(jì)重》

（四）司法規(guī)則【最高人民法院等司法機(jī)關(guān)的普遍性法律意志】

1、司法解釋（暫無(wú)）

2、最高人民法院指導(dǎo)意見(jiàn)之一：《全國(guó)海事法院院長(zhǎng)座談會(huì)紀(jì)要》（2001年7月19日至20日）

3、最高人民法院復(fù)函之一：《最高人民法院關(guān)于南京石油運(yùn)輸有限公司與華泰財(cái)產(chǎn)保險(xiǎn)股份有限公司石家莊分公司海上貨運(yùn)運(yùn)輸保險(xiǎn)代位求償一案有關(guān)適用法律問(wèn)題的請(qǐng)示的復(fù)函》（[2005]民四他字第1-1號(hào)，2006年5月11日發(fā)布）

4、地方法院指導(dǎo)意見(jiàn)之一：《上海市高級(jí)人民法院審理海事案件若干問(wèn)題的討論紀(jì)要（一）（試行）》（滬高法[2001]286號(hào)）

（五）案例規(guī)則【最高人民法院等司法機(jī)關(guān)的個(gè)案法律意志】

1、海事指導(dǎo)案例（暫無(wú)）

2、典型海事案例（暫無(wú)）

3、公報(bào)海事案例

3.1財(cái)保北京支公司訴銅河公司、寰宇公司海上貨物運(yùn)輸合同代位求償糾紛案（《最高人民法院公報(bào)》2007年第8期）

4、最高人民法院精選海事案例

4.1中國(guó)人民財(cái)產(chǎn)保險(xiǎn)股份有限公司北京市直屬支公司與銅河海運(yùn)有限公司等海上貨物運(yùn)輸合同糾紛案（賀榮主編《中國(guó)海事審判精品案例》之案例10）

4.2中國(guó)平安財(cái)產(chǎn)保險(xiǎn)股份有限公司貴州分公司與中遠(yuǎn)散貨運(yùn)輸有限公司海上貨物運(yùn)輸合同糾紛案（賀榮主編《中國(guó)海事審判精品案例》之案例19）

5、地方法院精選海事案例

5.1海上貨物運(yùn)輸合同項(xiàng)下貨損貨差的舉證和認(rèn)定 – 德清縣新市油廠訴巴拿馬蒂哪枚克凱奧有限公司海上貨物運(yùn)輸合同貨損貨差案（趙紅主編《上海海事法院三十年案例精選》案例23）

6、最高人民法院海事案例

6.1最高人民法院（2016）最高法民申45號(hào)民事裁定書(shū)

6.2最高人民法院（2016）最高法民申1109號(hào)民事裁定書(shū)

7、基礎(chǔ)海事案例

7.1廣東省高級(jí)人民法院（2009）粵高法民四終字第427號(hào)民事判決書(shū)

7.2天津市高級(jí)人民法院（2016）津民終240號(hào)民事判決書(shū)

7.3廣州海事法院（2000）廣海法初字第79號(hào)民事判決書(shū)

7.4大連海事法院（2003）大海商外初字第11號(hào)民事判決書(shū)

7.5廣州海事法院（2005）廣海法初字第274號(hào)民事判決書(shū)

7.6武漢海事法院（2005）武海法商字第183號(hào)民事判決書(shū)

7.7廣州海事法院（2007）廣海法初字第126號(hào)民事判決書(shū)

7.8上海海事法院（2013）滬海法商初字第1608號(hào)民事判決書(shū)

（六）外國(guó)法之英國(guó)法

1、英國(guó)判例法之一：The “Irini M” (1988) 1 Lloyd’s Rep. 253

2、英國(guó)判例法之二：The “George S” (1989) 1 Lloyd’s Rep. 369

3、英國(guó)判例法之三：The “Destro” (1927) 29 Lloyd’s Rep. 133

關(guān)鍵詞     

提單  貨差  法律規(guī)范系統(tǒng)

摘要中所述提單項(xiàng)下大宗散貨短量責(zé)任十三個(gè)問(wèn)題，體現(xiàn)于下列法律規(guī)范系統(tǒng)中。

一、我國(guó)法律【全國(guó)人大及其常委會(huì)（立法機(jī)關(guān)）的法律意志】：  

1.1海事民商法律之一：《中華人民共和國(guó)海商法》

【1.1.1】第七十一條 提單，是指用以證明海上貨物運(yùn)輸合同和貨物已經(jīng)由承運(yùn)人接收或者裝船，以及承運(yùn)人保證據(jù)以交付貨物的單證。提單中載明的向記名人交付貨物，或者按照指示人的指示交付貨物，或者向提單持有人交付貨物的條款，構(gòu)成承運(yùn)人據(jù)以交付貨物的保證。

【1.1.2】第七十五條 承運(yùn)人或者代其簽發(fā)提單的人，知道或者有合理的根據(jù)懷疑提單記載的貨物的品名、標(biāo)志、包數(shù)或者件數(shù)、重量或者體積與實(shí)際接收的貨物不符，在簽發(fā)已裝船提單的情況下懷疑與已裝船的貨物不符，或者沒(méi)有適當(dāng)?shù)姆椒ê藢?duì)提單記載的，可以在提單上批注，說(shuō)明不符之處、懷疑的根據(jù)或者說(shuō)明無(wú)法核對(duì)。

【1.1.3】第七十六條 承運(yùn)人或者代其簽發(fā)提單的人未在提單上批注貨物表面狀況的，視為貨物的表面狀況良好。

【1.1.4】第七十七條 除依照本法第七十五條的規(guī)定作出保留外，承運(yùn)人或者代其簽發(fā)提單的人簽發(fā)的提單，是承運(yùn)人已經(jīng)按照提單所載狀況收到貨物或者貨物已經(jīng)裝船的初步證據(jù)；承運(yùn)人向善意受讓提單的包括收貨人在內(nèi)的第三人提出的與提單所載狀況不同的證據(jù)，不予承認(rèn)。

【1.1.5】第七十八條第一款 承運(yùn)人同收貨人、提單持有人之間的權(quán)利、義務(wù)關(guān)系，依據(jù)提單的規(guī)定確定。

【1.1.6】第四十六條 承運(yùn)人對(duì)集裝箱裝運(yùn)的貨物的責(zé)任期間，是指從裝貨港接收貨物時(shí)起至卸貨港交付貨物時(shí)止，貨物處于承運(yùn)人掌管之下的全部期間。承運(yùn)人對(duì)非集裝箱裝運(yùn)的貨物的責(zé)任期間，是指從貨物裝上船時(shí)起至卸下船時(shí)止，貨物處于承運(yùn)人掌管之下的全部期間。在承運(yùn)人的責(zé)任期間，貨物發(fā)生滅失或者損壞，除本節(jié)另有規(guī)定外，承運(yùn)人應(yīng)當(dāng)負(fù)賠償責(zé)任。

前款規(guī)定，不影響承運(yùn)人就非集裝箱裝運(yùn)的貨物，在裝船前和卸船后所承擔(dān)的責(zé)任，達(dá)成任何協(xié)議。

【1.1.7】第五十一條 在責(zé)任期間貨物發(fā)生的滅失或者損壞是由于下列原因之一造成的，承運(yùn)人不負(fù)賠償責(zé)任：

（一）船長(zhǎng)、船員、引航員或者承運(yùn)人的其他受雇人在駕駛船舶或者管理船舶中的過(guò)失；

（二）火災(zāi)，但是由于承運(yùn)人本人的過(guò)失所造成的除外；

（三）天災(zāi)，海上或者其他可航水域的危險(xiǎn)或者意外事故；

（四）戰(zhàn)爭(zhēng)或者武裝沖突；

（五）政府或者主管部門(mén)的行為、檢疫限制或者司法扣押；

（六）罷工、停工或者勞動(dòng)受到限制；

（七）在海上救助或者企圖救助人命或者財(cái)產(chǎn)；

（八）托運(yùn)人、貨物所有人或者他們的代理人的行為；

（九）貨物的自然特性或者固有缺陷；

（十）貨物包裝不良或者標(biāo)志欠缺、不清；

（十一）經(jīng)謹(jǐn)慎處理仍未發(fā)現(xiàn)的船舶潛在缺陷；

（十二）非由于承運(yùn)人或者承運(yùn)人的受雇人、代理人的過(guò)失造成的其他原因。

承運(yùn)人依照前款規(guī)定免除賠償責(zé)任的，除第（二）項(xiàng)規(guī)定的原因外，應(yīng)當(dāng)負(fù)舉證責(zé)任。

1.2行政法律之一：《中華人民共和國(guó)進(jìn)出口商品檢驗(yàn)法》（2013年修正版）

【1.2.1】第三條 商檢機(jī)構(gòu)和經(jīng)國(guó)家商檢部門(mén)許可的檢驗(yàn)機(jī)構(gòu)，依法對(duì)進(jìn)出口商品實(shí)施檢驗(yàn)。

【1.2.2】第四條 進(jìn)出口商品檢驗(yàn)應(yīng)當(dāng)根據(jù)保護(hù)人類健康和安全、保護(hù)動(dòng)物或者植物的生命和健康、保護(hù)環(huán)境、防止欺詐行為、維護(hù)國(guó)家安全的原則，由國(guó)家商檢部門(mén)制定、調(diào)整必須實(shí)施檢驗(yàn)的進(jìn)出口商品目錄（以下簡(jiǎn)稱目錄）并公布實(shí)施。

【1.2.3】第七條 列入目錄的進(jìn)出口商品，按照國(guó)家技術(shù)規(guī)范的強(qiáng)制性要求進(jìn)行檢驗(yàn)；尚未制定國(guó)家技術(shù)規(guī)范的強(qiáng)制性要求的，應(yīng)當(dāng)依法及時(shí)制定，未制定之前，可以參照國(guó)家商檢部門(mén)指定的國(guó)外有關(guān)標(biāo)準(zhǔn)進(jìn)行檢驗(yàn)。

【1.2.4】第十二條 本法規(guī)定必須經(jīng)商檢機(jī)構(gòu)檢驗(yàn)的進(jìn)口商品的收貨人或者其代理人，應(yīng)當(dāng)在商檢機(jī)構(gòu)規(guī)定的地點(diǎn)和期限內(nèi)，接受商檢機(jī)構(gòu)對(duì)進(jìn)口商品的檢驗(yàn)。商檢機(jī)構(gòu)應(yīng)當(dāng)在國(guó)家商檢部門(mén)統(tǒng)一規(guī)定的期限內(nèi)檢驗(yàn)完畢，并出具檢驗(yàn)證單。

【1.2.5】第十三條 本法規(guī)定必須經(jīng)商檢機(jī)構(gòu)檢驗(yàn)的進(jìn)口商品以外的進(jìn)口商品的收貨人，發(fā)現(xiàn)進(jìn)口商品質(zhì)量不合格或者殘損短缺，需要由商檢機(jī)構(gòu)出證索賠的，應(yīng)當(dāng)向商檢機(jī)構(gòu)申請(qǐng)檢驗(yàn)出證。

二、國(guó)際法【成員國(guó)共同的法律意志】：    

2.1已對(duì)我國(guó)生效的海事國(guó)際條約之一：《1974年國(guó)際海上人命安全公約》（SOLAS）

該國(guó)際條約本身對(duì)此問(wèn)題無(wú)直接規(guī)定，相關(guān)規(guī)定體現(xiàn)于其附件中。

2.2對(duì)我國(guó)生效的國(guó)際規(guī)則之一：SOLAS附件之一：國(guó)際谷物規(guī)則（IGC）

（備注：根據(jù)具體案件及貨物品名查閱）

2.3對(duì)我國(guó)生效的國(guó)際規(guī)則之二：SOLAS附件之二：國(guó)際海運(yùn)固體散貨規(guī)則（IMSBC）

（備注：根據(jù)具體案件及貨物品名查閱）

2.4對(duì)我國(guó)生效的國(guó)際規(guī)則之三：SOLAS附件之三：國(guó)際海運(yùn)危險(xiǎn)貨物規(guī)則（IMDG）

（備注：根據(jù)具體案件及貨物品名查閱）

2.5未對(duì)我國(guó)生效的國(guó)際條約之一：United Nations Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea（2008年鹿特丹規(guī)則）

Chapter 4

Obligations of the Carrier

Article 11

Carriage and delivery of the goods

The carrier shall, subject to this Convention and in accordance with the terms of the contract of carriage, carry the goods to the place of destination and deliver them to the consignee.

Article 12

Period of responsibility of the carrier

1.The period of responsibility of the carrier for the goods under this Convention begins when the carrier or a performing party receives the goods for carriage and ends when the goods are delivered.

2.(a)If the law or regulations of the place of receipt require the goods to be handed over to an authority or other third party from which the carrier may collect them, the period of responsibility of the carrier begins when the carrier collects the goods from the authority or other third party.

(b)If the law or regulations of the place of delivery require the carrier to hand over the goods to an authority or other third party from which the consignee may collect them, the period of responsibility of the carrier ends when the carrier hands the goods over to the authority or other third party.

3.For the purpose of determining the carrier’s period of responsibility, the parties may agree on the time and location of receipt and delivery of the goods, but a provision in a contract of carriage is void to the extent that it provides that:

(a)  The time of receipt of the goods is subsequent to the beginning of their initial loading under the contract of carriage; or

(b)The time of delivery of the goods is prior to the completion of their final unloading under the contract of carriage.

Article 13

Specific obligations

1.The carrier shall during the period of its responsibility as defined in article 12, and subject to article 26, properly and carefully receive, load, handle, stow, carry, keep, care for, unload and deliver the goods.

2.Notwithstanding paragraph 1 of this article, and without prejudice to the other provisions in chapter 4 and to chapters 5 to 7, the carrier and the shipper may agree that the loading, handling, stowing or unloading of the goods is to be performed by the shipper, the documentary shipper or the consignee. Such an agreement shall be referred to in the contract particulars.

Article 14

Specific obligations applicable to the voyage by sea

The carrier is bound before, at the beginning of, and during the voyage by sea to exercise due diligence to:

(a)Make and keep the ship seaworthy;

(b)Properly crew, equip and supply the ship and keep the ship so crewed, equipped and supplied throughout the voyage; and

(c)Make and keep the holds and all other parts of the ship in which the goods are carried, and any containers supplied by the carrier in or upon which the goods are carried, fit and safe for their reception, carriage and preservation.

Chapter 5

Liability of the carrier for loss, damage or delay

 Article 17

Basis of liability

1.The carrier is liable for loss of or damage to the goods, as well as for delay in delivery, if the claimant proves that the loss, damage, or delay, or the event or circumstance that caused or contributed to it took place during the period of the carrier’s responsibility as defined in chapter 4.

2.The carrier is relieved of all or part of its liability pursuant to paragraph 1 of this article if it proves that the cause or one of the causes of the loss, damage, or delay is not attributable to its fault or to the fault of any person referred to in article 18.

3.The carrier is also relieved of all or part of its liability pursuant to paragraph 1 of this article if, alternatively to proving the absence of fault as provided in paragraph 2 of this article, it proves that one or more of the following events or circumstances caused or contributed to the loss, damage, or delay:

 created by governments, public authorities, rulers, or people including detention, arrest, or seizure not attributable to the carrier or any person referred to in article 18;

(e)Strikes, lockouts, stoppages, or restraints of labour;

(f)Fire on the ship;

(g)Latent defects not discoverable by due diligence;

(h)Act or omission of the shipper, the documentary shipper, the controlling party, or any other person for whose acts the shipper or the documentary shipper is liable pursuant to article 33 or 34;

(i)Loading, handling, stowing, or unloading of the goods performed pursuant to an agreement in accordance with article 13, paragraph 2, unless the carrier or a performing party performs such activity on behalf of the shipper, the documentary shipper or the consignee;

(j)Wastage in bulk or weight or any other loss or damage arising from inherent defect, quality, or vice of the goods;

(k)Insufficiency or defective condition of packing or marking not performed by or on behalf of the carrier;

(l)Saving or attempting to save life at sea;

(m)Reasonable measures to save or attempt to save property at sea;

(n)Reasonable measures to avoid or attempt to avoid damage to the environment; or

(o)Acts of the carrier in pursuance of the powers conferred by articles 15 and 16.

4.Notwithstanding paragraph 3 of this article, the carrier is liable for all or part of the loss, damage, or delay:  

(a)  If the claimant proves that the fault of the carrier or of a person referred to in article 18 caused or contributed to the event or circumstance on which the carrier relies; or

(b)  If the claimant proves that an event or circumstance not listed in paragraph 3 of this article contributed to the loss, damage, or delay, and the carrier cannot prove that this event or circumstance is not attributable to its fault or to the fault of any person referred to in article 18.

5.The carrier is also liable, notwithstanding paragraph 3 of this article, for all or part of the loss, damage, or delay if:

(a)The claimant proves that the loss, damage, or delay was or was probably caused by or contributed to by (i) the unseaworthiness of the ship; (ii) the improper crewing, equipping, and supplying of the ship; or (iii) the fact that the holds or other parts of the ship in which the goods are carried, or any containers supplied by the carrier in or upon which the goods are carried, were not fit and safe for reception, carriage, and preservation of the goods; and

(b)The carrier is unable to prove either that: (i) none of the events or circumstances referred to in subparagraph 5 (a) of this article caused the loss, damage, or delay; or (ii) it complied with its obligation to exercise due diligence pursuant to article 14.

6.When the carrier is relieved of part of its liability pursuant to this article, the carrier is liable only for that part of the loss, damage or delay that is attributable to the event or circumstance for which it is liable pursuant to this article.

2.6未對(duì)我國(guó)生效的國(guó)際條約之二：United Nations Convention on the Carriage of Goods by Sea（1978年漢堡規(guī)則）

Article 4.  Period of responsibility

1. The responsibility of the carrier for the goods under this Convention covers the period during which the carrier is in charge of the goods at the port of loading, during the carriage and at the port of discharge.

2. For the purpose of paragraph 1 of this article, the carrier is deemed to be in charge of the goods

(a) from the time he has taken over the goods from:

(i) the shipper, or a person acting on his behalf; or

(ii) an authority or other third party to whom, pursuant to law or regulations applicable at the port of loading, the goods must be handed over for shipment;

(b) until the time he has delivered the goods:

(i) by handing over the goods to the consignee; or

(ii) in cases where the consignee does not receive the goods from the carrier, by placing them at the disposal of the consignee in accordance with the contract or with the law or with the usage of the particular trade, applicable at the port of discharge; or

(iii) by handing over the goods to an authority or other third party to whom, pursuant to law or regulations applicable at the port of discharge, the goods must be handed over.

3. In paragraphs 1 and 2 of this article, reference to the carrier or to the consignee means, in addition to the carrier or the consignee, the servants or agents, respectively of the carrier or the consignee.

Article 5. Basis of liability

1. The carrier is liable for loss resulting from loss of or damage to the goods, as well as from delay in delivery, if the occurrence which caused the loss, damage or delay took place while the goods were in his charge as defined in article 4, unless the carrier proves that he, his servants or agents took all measures that could reasonably be required to avoid the occurrence and its consequences.

7. Where fault or neglect on the part of the carrier, his servants or agents combines with another cause to produce loss, damage or delay in delivery, the carrier is liable only to the extent that the loss, damage or delay in delivery is attributable to such fault or neglect, provided that the carrier proves the amount of the loss, damage or delay in delivery not attributable thereto.

2.7未對(duì)我國(guó)生效的國(guó)際條約之三：Protocol to Amend the International Convention for the Unification of Certain Rules of Law Relating to Bills of Lading（1968年海牙-維斯比規(guī)則）

Article III

Responsibilities and Liabilities

1. The carrier shall be bound, before and at the beginning of the voyage, to exercise due diligence to

(a) make the ship seaworthy;

(b) properly man, equip and supply the ship;

(c) make the holds, refrigerating and cool chambers, and all other parts of the ship in which goods are carried, fit and safe for their reception, carriage and preservation.

2. Subject to the provisions of Article IV, the carrier shall properly and carefully load, handle, stow, carry, keep, care for and discharge the goods carried.

3. After receiving the goods into his charge, the carrier, or the master or agent of the carrier, shall, on demand of the shipper, issue to the shipper a bill of lading showing among other things

(a) the leading marks necessary for identification of the goods as the same are furnished in writing by the shipper before the loading of such goods starts, provided such marks are stamped or otherwise shown clearly upon the goods if uncovered, or on the cases or coverings in which such goods are contained, in such a manner as should ordinarily remain legible until the end of the voyage;

(b) either the number of packages or pieces, or the quantity, or weight, as the case may be, as furnished in writing by the shipper;

(c) the apparent order and condition of the goods:

Provided that no carrier, master or agent of the carrier shall be bound to state or show in the bill of lading any marks, number, quantity, or weight which he has reasonable ground for suspecting not accurately to represent the goods actually received or which he has had no reasonable means of checking.

4. Such a bill of lading shall be prima facie evidence of the receipt by the carrier of the goods as therein described in accordance with paragraphs 3(a), (b) and (c).

However, proof to the contrary shall not be admissible when the bill of lading has been transferred to a third party acting in good faith.

Article IV

Rights and Immunities

1. Neither the carrier nor the ship shall be liable for loss or damage arising or resulting from unseaworthiness unless caused by want of due diligence on the part of the carrier to make the ship seaworthy, and to secure that the ship is properly manned, equipped and supplied, and to make the holds, refrigerating and cool chambers and all other parts of the ship in which goods are carried fit and safe for their reception, carriage and preservation in accordance with the provisions of paragraph 1 of Article III.

Whenever loss or damage has resulted from unseaworthiness, the burden of proving the exercise of due diligence shall be on the carrier or other person claiming exemption under this article.

2. Neither the carrier nor the ship shall be responsible for loss or damage arising or resulting from

(a) act, neglect, or default of the master, mariner, pilot or the servants of the carrier in the navigation or in the management of the ship;

(b) fire, unless caused by the actual fault or privity of the carrier;

(c) perils, dangers and accidents of the sea or other navigable waters;

(d) act of God;

(e) act of war;

(f) act of public enemies;

(g) arrest or restraint of princes, rulers or people, or seizure under legal process;

(h) quarantine restrictions;

(i) act or omission of the shipper or owner of the goods, his agent or representative;

(j) strikes or lock-outs or stoppage or restraint of labour from whatever cause, whether partial or general;

(k) riots and civil commotions;

(l) saving or attempting to save life or property at sea;

(m) wastage in bulk or weight or any other loss or damage arising from inherent defect, quality or vice of the goods;

(n) insufficiency of packing;

(o) insufficiency or inadequacy of marks;

(p) latent defects not discoverable by due diligence;

(q) any other cause arising without the actual fault and privity of the carrier, or without the fault or neglect of the agents or servants of the carrier, but the burden of proof shall be on the person claiming the benefit of this exception to show that neither the actual fault or privity of the carrier nor the fault or neglect of the agents or servants of the carrier contributed to the loss or damage.

2.8國(guó)際慣例：此類案件中是否存在相關(guān)國(guó)際慣例，我國(guó)現(xiàn)有判例存在不同認(rèn)定。

三、行政規(guī)則【國(guó)務(wù)院等行政機(jī)關(guān)的法律意志】    

3.1行政法規(guī)之一：《中華人民共和國(guó)進(jìn)出口商品檢驗(yàn)法實(shí)施條例》（2016年修訂版）

【3.1.1】第四條第一款 出入境檢驗(yàn)檢疫機(jī)構(gòu)對(duì)列入目錄的進(jìn)出口商品以及法律、行政法規(guī)規(guī)定須經(jīng)出入境檢驗(yàn)檢疫機(jī)構(gòu)檢驗(yàn)的其他進(jìn)出口商品實(shí)施檢驗(yàn)（以下稱法定檢驗(yàn)）。

【3.1.2】第七條第一款和第二款 法定檢驗(yàn)的進(jìn)出口商品，由出入境檢驗(yàn)檢疫機(jī)構(gòu)依照商檢法第七條規(guī)定實(shí)施檢驗(yàn)。

國(guó)家質(zhì)檢總局根據(jù)進(jìn)出口商品檢驗(yàn)工作的實(shí)際需要和國(guó)際標(biāo)準(zhǔn)，可以制定進(jìn)出口商品檢驗(yàn)方法的技術(shù)規(guī)范和標(biāo)準(zhǔn)。

【3.1.3】第九條 出入境檢驗(yàn)檢疫機(jī)構(gòu)對(duì)進(jìn)出口商品實(shí)施檢驗(yàn)的內(nèi)容，包括是否符合安全、衛(wèi)生、健康、環(huán)境保護(hù)、防止欺詐等要求以及相關(guān)的品質(zhì)、數(shù)量、重量等項(xiàng)目。

【3.1.4】第十六條第一款 法定檢驗(yàn)的進(jìn)口商品的收貨人應(yīng)當(dāng)持合同、發(fā)票、裝箱單、提單等必要的憑證和相關(guān)批準(zhǔn)文件，向海關(guān)報(bào)關(guān)地的出入境檢驗(yàn)檢疫機(jī)構(gòu)報(bào)檢；海關(guān)放行后20日內(nèi)，收貨人應(yīng)當(dāng)依照本條例第十八條的規(guī)定，向出入境檢驗(yàn)檢疫機(jī)構(gòu)申請(qǐng)檢驗(yàn)。法定檢驗(yàn)的進(jìn)口商品未經(jīng)檢驗(yàn)的，不準(zhǔn)銷售，不準(zhǔn)使用。

【3.1.5】第二十條第三款 法定檢驗(yàn)以外的進(jìn)口商品的收貨人，發(fā)現(xiàn)進(jìn)口商品質(zhì)量不合格或者殘損、短缺，申請(qǐng)出證的，出入境檢驗(yàn)檢疫機(jī)構(gòu)或者其他檢驗(yàn)機(jī)構(gòu)應(yīng)當(dāng)在檢驗(yàn)后及時(shí)出證。

3.2部門(mén)規(guī)章之一：《出入境檢驗(yàn)檢疫機(jī)構(gòu)實(shí)施檢驗(yàn)檢疫的進(jìn)出境商品目錄》

（備注：需按個(gè)案貨物具體名稱查詢）

3.3部門(mén)規(guī)章之二：《進(jìn)口商品殘損檢驗(yàn)鑒定管理辦法》（2007年10月1日起施行）

【3.3.1】第五條  檢驗(yàn)檢疫機(jī)構(gòu)根據(jù)需要對(duì)有殘損的下列進(jìn)口商品實(shí)施殘損檢驗(yàn)鑒定：

（一）列入檢驗(yàn)檢疫機(jī)構(gòu)必須實(shí)施檢驗(yàn)檢疫的進(jìn)出境商品目錄內(nèi)的進(jìn)口商品；

（二）法定檢驗(yàn)以外的進(jìn)口商品的收貨人或者其他貿(mào)易關(guān)系人，發(fā)現(xiàn)進(jìn)口商品質(zhì)量不合格或者殘損、短缺，申請(qǐng)出證的；

（三）進(jìn)口的危險(xiǎn)品、廢舊物品；

（四）實(shí)行驗(yàn)證管理、配額管理，并需由檢驗(yàn)檢疫機(jī)構(gòu)檢驗(yàn)的進(jìn)口商品；

（五）涉嫌有欺詐行為的進(jìn)口商品；

（六）收貨人或者其他貿(mào)易關(guān)系人需要檢驗(yàn)檢疫機(jī)構(gòu)出證索賠的進(jìn)口商品；

（七）雙邊、多邊協(xié)議協(xié)定、國(guó)際條約規(guī)定，或國(guó)際組織委托、指定的進(jìn)口商品；

（八）相關(guān)法律、行政法規(guī)規(guī)定須經(jīng)檢驗(yàn)檢疫機(jī)構(gòu)檢驗(yàn)的其他進(jìn)口商品。

【3.3.2】第十三條 檢驗(yàn)檢疫機(jī)構(gòu)按國(guó)家技術(shù)規(guī)范的強(qiáng)制性要求實(shí)施殘損檢驗(yàn)鑒定。尚未制訂規(guī)范、標(biāo)準(zhǔn)的可以參照國(guó)外有關(guān)技術(shù)規(guī)范、標(biāo)準(zhǔn)檢驗(yàn)。

3.4技術(shù)操作規(guī)程之一：《進(jìn)出口商品重量鑒定規(guī)程 – 水尺計(jì)重》

3.5技術(shù)操作規(guī)程之二：《進(jìn)出口商品重量鑒定規(guī)程 – 液體產(chǎn)品靜態(tài)計(jì)重》

3.6技術(shù)操作規(guī)程之三：《進(jìn)出口商品重量鑒定規(guī)程 – 流量計(jì)計(jì)重》

3.7技術(shù)操作規(guī)程之四：《進(jìn)出口商品重量鑒定規(guī)程 – 衡器鑒重》

3.8技術(shù)操作規(guī)程之五：《原油和石油產(chǎn)品轉(zhuǎn)運(yùn)責(zé)任 – 船上貨量和余留在船上原油量的估算方法》

3.9技術(shù)操作規(guī)程之六：《進(jìn)出口商品容器計(jì)重規(guī)程 – 第2部分：動(dòng)植物油岸上立式金屬罐靜態(tài)計(jì)重》

四、司法規(guī)則【最高人民法院等司法機(jī)關(guān)的普遍性法律意志】：    

4.1海事司法解釋（暫無(wú)）

4.2最高人民法院指導(dǎo)意見(jiàn)之一：《全國(guó)海事法院院長(zhǎng)座談會(huì)紀(jì)要》（2001年7月19日至20日）

三、關(guān)于海上貨物運(yùn)輸中承運(yùn)人的認(rèn)定及責(zé)任

海商法第四十二條規(guī)定了海上貨物運(yùn)輸中承運(yùn)人的定義，并規(guī)定提單是運(yùn)輸合同的證明。在提單作為惟一運(yùn)輸單證時(shí)，若提單沒(méi)有抬頭，除非簽發(fā)人能證明代簽的事實(shí)，否則應(yīng)當(dāng)以提單簽發(fā)人作為承運(yùn)人。

在審理海上貨物運(yùn)輸糾紛案件中，要嚴(yán)格依照海商法和《中華人民共和國(guó)民法通則》(以下簡(jiǎn)稱“民法通則”)的規(guī)定確定承運(yùn)人的責(zé)任，并準(zhǔn)確把握海商法作為特別法與民法通則在法律適用上的關(guān)系。在認(rèn)定承運(yùn)人倒簽、預(yù)借提單的事實(shí)后，承運(yùn)人應(yīng)承擔(dān)與其違反法律規(guī)定的行為有直接因果關(guān)系的損害后果。

在海上貨物運(yùn)輸特別是大宗散裝貨物的運(yùn)輸糾紛案件中，根據(jù)海商法的規(guī)定，由于貨物本身的質(zhì)量或者潛在缺陷造成的貨損和屬于正常范圍內(nèi)的貨物減量、耗損或重量誤差，承運(yùn)人不承擔(dān)賠償責(zé)任。

一般情況下，合法持有正本提單的人向承運(yùn)人主張無(wú)單放貨損失賠償?shù)模瑧?yīng)定性為違約糾紛，承運(yùn)人應(yīng)當(dāng)承擔(dān)與無(wú)單放貨行為有直接因果關(guān)系的損失賠償責(zé)任。

4.3最高人民法院復(fù)函之一：《最高人民法院關(guān)于南京石油運(yùn)輸有限公司與華泰財(cái)產(chǎn)保險(xiǎn)股份有限公司石家莊分公司海上貨運(yùn)運(yùn)輸保險(xiǎn)代位求償一案有關(guān)適用法律問(wèn)題的請(qǐng)示的復(fù)函》（[2005]民四他字第1-1號(hào)，2006年5月11日發(fā)布）

天津市高級(jí)人民法院：

你院經(jīng)高法[2005]170號(hào)《關(guān)于南京石油運(yùn)輸有限公司與華泰財(cái)產(chǎn)保險(xiǎn)股份有限公司石家莊分公司海上貨運(yùn)運(yùn)輸保險(xiǎn)代位求償一案有關(guān)適用法律問(wèn)題的請(qǐng)示》收悉。經(jīng)研究，答復(fù)如下：

1、關(guān)于承運(yùn)人對(duì)散裝液體貨物運(yùn)輸責(zé)任期間的認(rèn)定。我國(guó)《海商法》第46條規(guī)定，承運(yùn)人對(duì)于非集裝箱裝運(yùn)的貨物責(zé)任期間是從貨物裝上船時(shí)起至卸下船時(shí)止，貨物處于承運(yùn)人掌管之下的全部期間。由于散裝液體貨物在形態(tài)上不同于其他散裝貨物，因此，承運(yùn)人對(duì)于散裝液體貨物運(yùn)輸?shù)呢?zé)任期間，應(yīng)自裝貨港船舶輸油管線與岸罐輸油管線連接的法蘭盤(pán)末端時(shí)起至卸貨港船舶輸油管線與岸罐輸油管線連接的法蘭盤(pán)末端時(shí)止，貨物處于承運(yùn)人掌管之下的全部期間。

2、關(guān)于對(duì)散裝液體貨物交貨數(shù)量證據(jù)效力的認(rèn)定。在收貨人未能提供有效證據(jù)證明貨物短少發(fā)生在承運(yùn)人責(zé)任期間的情況下，承運(yùn)人提供的船舶干艙證書(shū)、空距報(bào)告，具有證明散裝液體貨物交貨數(shù)量的效力。收貨人提供的岸罐重量檢驗(yàn)證書(shū)，除非經(jīng)承運(yùn)人同意，否則不具有證明散裝液體貨物交貨數(shù)量的效力。

此復(fù)。

附：天津市高級(jí)人民法院關(guān)于南京石油運(yùn)輸有限公司與華泰財(cái)產(chǎn)保險(xiǎn)股份有限公司石家莊分公司海上貨物運(yùn)輸保險(xiǎn)代位求償一案有關(guān)適用法律問(wèn)題的請(qǐng)示報(bào)告（2005年9月15日 津高法[2005]170號(hào)）（略）

4.4地方法院海事規(guī)范文件之一：《上海市高級(jí)人民法院審理海事案件若干問(wèn)題的討論紀(jì)要（一）（試行）》（滬高法[2001]286號(hào)）

三、關(guān)于大宗散貨運(yùn)輸、裝卸、計(jì)量的合理允耗、允差問(wèn)題

（一）運(yùn)輸、裝卸合理允耗的確定

當(dāng)事人對(duì)運(yùn)輸、裝卸合理允耗的標(biāo)準(zhǔn)有約定的從其約定，沒(méi)有約定的，按以下原則認(rèn)定：

1、交通部等國(guó)家相關(guān)部門(mén)已確定合理允耗標(biāo)準(zhǔn)的大宗散貨，如煤炭，應(yīng)按照標(biāo)準(zhǔn)認(rèn)定合理允耗。

2、交通部等國(guó)家相關(guān)部門(mén)沒(méi)有確定合理允耗標(biāo)準(zhǔn)的大宗散貨，如鐵礦，可參照我國(guó)參加的《國(guó)際鐵路貨物聯(lián)運(yùn)協(xié)定》規(guī)定的標(biāo)準(zhǔn)認(rèn)定合理允耗。

3、貨物在運(yùn)輸過(guò)程中多次中轉(zhuǎn)換裝的，按中轉(zhuǎn)換裝的次數(shù)，增加相應(yīng)合理允耗。

4、運(yùn)輸、裝卸大宗散貨的合理允耗確定后，不再扣減貨物在運(yùn)輸過(guò)程中因水分蒸發(fā)而產(chǎn)生的減量數(shù)額。

（二）計(jì)量合理允差的確定

1、參照國(guó)際慣例，大宗散貨在運(yùn)輸交接過(guò)程中的計(jì)量允差通常可確定為0.5%，（汽油5‰，柴油3‰，袋裝3‰，水尺5‰）。

2、國(guó)內(nèi)沿海運(yùn)輸亦可參照適用上述標(biāo)準(zhǔn)。

3、大宗散貨計(jì)量合理允差，應(yīng)與運(yùn)輸、裝卸的合理允耗分別計(jì)算。