我国海事赔偿责任限制制度适用模式研究 I 摘 要 海事赔偿责任限制是海商法中有别于民法损害赔偿的一项特殊制度。它是指作 为责任人的船舶所有人、经营人等，在发生重大海损事故后，可依据法律规定，将 自己的赔偿责任限制在一定的限额内。该制度历史悠久，并经不断完善，但客观上 却导致债权人不能得到充分赔偿。因此，随着科学技术不断进步，海上风险日趋减 少，取消该制度的呼声也日益高涨。然而，该制度的作用并未因此而受到削弱，相 反国际公约的不断修更从法律层面上进一步确认和巩固了该制度。究其原因在于航 运业对国际贸易具有举足轻重的影响，国际社会不得不正视该行业与生俱来的特殊 风险性，并据此接受这种看似“极不公平”的责任限制制度。与此同时，各国出于 自身政治、经济、贸易等方面的需要，也相继通过相关领域的国内立法，以确立其 各自的海事赔偿责任限制法律制度。 中华人民共和国海商法参照1976 年海事赔偿责任限制公约对海事赔偿 责任限制制度进行了实体上的规定。同时， 中华人民共和国海事诉讼特别程序法 颁布实施，也对相关的责任限制基金设立和债权登记与受偿程序进行了规定。由此， 我国基本在实体法和程序法两个层面上，建立了较为完整的海事赔偿责任限制的适 用模式。但是，由于海事赔偿责任限制制度本身的特殊性，而我国在借鉴国际公约 立法时又缺乏经验，使得现行制度在程序上不完整，导致当事人的实体权利可能无 法实现。这种实体法与程序法无法衔接的局面，造成了司法实践中海事赔偿责任限 制制度适用上的混乱。针对现行模式所存在的问题，本文拟从海事赔偿责任限制制 度的起因、变化、发展着手，以分析比较该制度的数次国际立法为研究方法，从海 事审判工作实践的角度，对我国海事赔偿责任限制制度从实体层面和程序层面进行 剖析，并对我国海事赔偿责任限制制度适用模式的重构提出自己的建议，目的在于 进一步完善具有中国特色的海事赔偿责任限制的适用模式。 关键词：关键词：海事赔偿责任限制 申请责任限制 责任限制基金 管辖 确权诉讼 债权 人会议 适用模式 我国海事赔偿责任限制制度适用模式研究 II ABSTRACT Limitation of liability for maritime claims is a special regime under maritime law which is different from civil damages. After maritime mishaps, ship owners and managers may limit their liability for the payment of damages based on the limitation of liability and in accordance with relevant legal rules. Although the limitation of liability regime has a long history and is improved from time to time, it is destined to prevent creditors from a full recovery for their losses. Therefore, with better science and technology and less marine risks, more and more voices are heard for the abolishment of the limitation of liability. However, the impact of the regime has not been weakened. To the contrary, the regime has been further confirmed and consolidated upon continual amendments of international conventions. The vitality of the regime can be traced to the significant influence of the shipping industry on international trade. Since the international community has to face and recognize the special risks arising out of the shipping business, it must accept the limitation of liability regime which seems “unfair”. At the same time, taking political, economic and trade needs into account, different nations have established limitation of liability for maritime claims through domestic legislation one after another. The PRC Maritime Law has made a reference to the Convention on Limitation of Liability for Maritime Claims 1976 and stipulated the substantive regulations on the limitation of liability for maritime claims. Besides, the promulgated PRC Special Maritime Procedure Law has regulated the procedures of the establishment of limitation funds and the registration and realization of claims. China has thus established an integrated applicable mode of limitation of liability for maritime claims based on the two layers of substantive law and procedural law. However, because of the specialty of the limitation of liability for maritime claims and the lack of experience of China on the reference to international conventions, the current regime is not complete on its procedures and the incompleteness may result in the creditors failure to realize their claims. The mismatch between the substantive law 我国海事赔偿责任限制制度适用模式研究 III and the procedural law leads to the confusion of the application of the limitation of liability for maritime claims in judicial practice. Relating to the existing problems of the current mode, the author starts the dissertation with the origin, change and development of the limitation of liability for maritime claims, uses a comparative research method to compare certain international rules on the regime, makes an in-depth analysis of the substantive and procedural rules of Chinas limitation of liability for maritime claims from a maritime judicial practice perspective and proposes his suggestion on the reconstruction of the applicable mode of Chinas regime on the limitation of liability for maritime claims in order to further improve the applicable mode of the limitation of liability for maritime claims with Chinese characteristics. Zhu Jie（International Law） Directed by Professor Jiang Zhengxiong KEYWORDS: limitation of liability for maritime claims, application for limitation of liability, limitation fund, jurisdiction, declaratory action, creditors meeting, applicable mode 我国海事赔偿责任限制制度适用模式研究 IV 目 录 引 言 1 第一章 海事赔偿责任限制制度概述3 第一节 海事赔偿责任限制制度的基本概念3 第二节 几种海事赔偿责任限制制度简介4 第三节 海事赔偿责任限制制度的作用与意义 5 第四节 海事赔偿责任限制制度的形成与发展 7 第五节 我国海事赔偿责任限制法律制度的历史沿革9 第二章 海事赔偿责任限制实体性及程序性规定述评 13 第一节 有关国际公约综述