海事请求保全若干问题研究
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摘要
海事诉讼是一种专门诉讼，有不同于普通诉讼程序的特殊之处。海事请求保全在海事诉讼中具有独特的作用。《中华人民共和国海事诉讼特别程序法》(以下简称：《海诉法》)的出台进一步完善了扣船制度，并改变了扣货制度立法的薄弱状况。但由于航运业的发展与时具进，已颁布的法律在实践中不免会遇到许多实际问题。
本文旨在对海事请求保全的实践当中存在的若干法律问题进行研究，在我国有关海事请求保全立法的基础上，借鉴国际公约、国外立法以及我国台湾地区立法的先例，主要对下列问题进行探讨：
(1)海事请求保全的含义问题。认为海事请求保全的本质是财产保全，是以海事请求为基础的财产保全。海事请求保全与一般财产保全既有联系又有区别，是特殊与一般的关系。
(2)海事请求保全的管辖问题。探讨了诉前海事请求保全和相应的实体请求的地域管辖问题，认为对债权人，“择地行诉”的行为应当加以限制，并应有条件地扩大海事请求保全的管辖地，在债权人与债务人之间实现公平。
(3)海事请求保全的申请、担保与赔偿诉讼问题。探讨了申请的理由、保全标的物的数量及其担保额，海事请求保全担保的特色及其方式，反担保的提供、数额、时间，申请错误的认定及其损害赔偿诉讼等问题，笔者认为，法律应当明晰反担保提供的原则或条件，数额和时间的确定应当既合理又有效率。
(4)有关船舶“活扣”的问题。主要探讨了“活扣”的公平性、可否转变为“死扣押”及其与重复扣押的关系。笔者认为，首先有必要对“活扣”的条件和适用范围进行限制，其次“活扣”在一定条件下可以转变为“死扣押”，再次法律应当允许重复扣押，使其他债权人在船舶已经被“活扣”的情况下的权益能够得到保护，以利于法律公平原则的实现。
(5)船舶经营人法律地位的确定问题。这里通过对其法律地位的确定来明晰扣船程序中的适格被申请人及责任主体，同时讨论了一种比较特殊的经营方式，即挂靠经营。
(6)认定关联企业暨公司法人格的否定问题。笔者认为，当今航运企业应当正视关联企业的问题；在一定的条件下可以对公司的法人格进行否定，以使控制公司承担对债权人的债务，加大对债权人的保护力度；同时，程序法也应当同实体法相统一，只有明确适格的主体和举证责任等问题，才能实现真正的公平。
(7)扣押船载货物的含义问题。认为船载货物的范围应限定在货物运输期间，即自托运人将货物交给承运人之后至承运人交付货物之前。在货物交付之前，因为货物仍在承运人控制之下，此时申请扣押比较合理；但在卸货港扣押船载货物，货
方经常采用制造假买卖合同等手段，使海事请求人处于“十扣九错”的境地。因此，
允许海事请求人对装船之前处于承运人的占有之下的货物进行扣押，更有利于保护
海事请求人的利益。同时这种范围的限定使该扣押与一般的财产保全也有所区别。
（8）扣押船载货物的条件。笔者认为，除了通常需要具备的四个条件之外，也
应借鉴英国玛瑞瓦禁令所规定的“公平与方便”的要件，以便法院在对无辜第三人
的权利都给予最大程度保护的基础上作出裁定。
o）因留置权扣押船载货物的问题。笔者对承运人因为行使留置权而申请法院
扣押船载货物与《海诉法》所规定的作为财产保全形式存在的扣押船载货物制度的
不同进行研究，认为在因留置权而申请扣押船载货物的场合，承运人通过法院行使
货物留置权，是货物留置权这一实体法权利通过法院扣押船载货物的程序实现，承
运人的实体权利不应受到丝毫损害。
（10）扣押船载货物的优先受偿权问题。研究了强制执行法草案确立的强制执
行的效率优先原则，认为对船载货物的扣押应使得海事请求人对该货物具有优先受
偿权，对超额扣押船载货物应予禁止及建立重复扣押制度的必要性。
总之，笔者认为应当进一步完善海事请求保全的有关法律制度，促使海事请求
保全这一司法强制措施能够更好的发挥其对债权人权益的保障作用，同时对债务人
亦不至于有失偏颇。
Maritime procedure is different from common civil procedure and preservation of maritime claims plays an important role in it. The enacting of maritime procedure law has further improved the arrest system of seagoing ships and eliminated some weaknesses in the legislation of the attachment of the cargo. With the fast development of the shipping industry, however, there are many difficulties about the enforcement of the present laws in practice.
Based on Chinese legislation on preservation of maritime claims and using for reference international conventions, foreign legislation and legislation precedent in Chinese Taibei , this author makes a primary study to the legal problems in the practice of preservation of maritime claims.
The following are the author's main concerns.
(1) On the definition of preservation of maritime claims. The author thinks that the nature of preservation of maritime claims is preservation of property based on maritime claims. Therefore, it is closely similar to but at the same time different from common property preservation.
(2) On the jurisdiction of preservation of maritime claims. The author studies the territorial jurisdiction of preservation of maritime claims before instituting an action and its corresponding substantive claims and proposes that the creditor's right to choose a preferable place be reasonably limited and the jurisdiction of preservation of maritime claims be conditionally enlarged so as to achieve equity between the creditor and the debtor.
(3) On the application, security and claim procedure of preservation of maritime claims. The author analyzed the problems regarding the reasons of application, the amount of preserved object, the amount of security, the provision, time and amount of countersecurity, the determination of wrongful application and corresponding damage compensation procedure etc. The author maintains that criteria and conditions of countersecurity should be clarified by law and the determination of amount and time should be both reasonable and efficient.
(4) On the problem of "active" arrest of a vessel. The author studies the equity of active arrest, its transferability to arrest and the relationship with reduplicated arrest. The author thinks that it is necessary to specify the conditions and applicable range of active arrest and that under certain conditions active arrest can be transferred to arrest and reduplicated arrest should be allowed by law so that other creditors' right can be protected while the ship is already under active arrest, thus the equality of laws can be realized.
(5) On the identification of the ship operator's legal status. The author studies
the qualified person against whom a claim is made through ascertaining and clarifying his legal status. The author also researches a special operation mode, namely, the reputed ownership.
(6) On the identification of relevant corporation and the negation of corporate personality. The author maintains that the shipping corporations in China should attach more importance to the problem of relevant corporation, that corporate personality can be negated under certain conditions to make sure the controlling corporation assume its liability to its creditors, thus strengthening the protection for the creditors. The author also holds that procedure law should be consistent with substantive law and only if problems such as the qualified subject and burden of adducing evidence etc. are clarified, equity can be really achieved.
(7) On the meaning of cargos carried by ship. The author thinks that cargos carried by ship should be defined as goods that are during its transportation, i.e. goods delivered to the carrier by the shipper but not yet delivered by the carrier. It is reasonable to apply for attachment before the cargo is delivered and still under the carrier's control. If attachment of cargo carried by ships is done in the port of discharge, the owner of cargo often take advantage of making some false contracts and thus makes the maritime claimant unlikely to make
本文旨在对海事请求保全的实践当中存在的若干法律问题进行研究，在我国有关海事请求保全立法的基础上，借鉴国际公约、国外立法以及我国台湾地区立法的先例，主要对下列问题进行探讨：
(1)海事请求保全的含义问题。认为海事请求保全的本质是财产保全，是以海事请求为基础的财产保全。海事请求保全与一般财产保全既有联系又有区别，是特殊与一般的关系。
(2)海事请求保全的管辖问题。探讨了诉前海事请求保全和相应的实体请求的地域管辖问题，认为对债权人，“择地行诉”的行为应当加以限制，并应有条件地扩大海事请求保全的管辖地，在债权人与债务人之间实现公平。
(3)海事请求保全的申请、担保与赔偿诉讼问题。探讨了申请的理由、保全标的物的数量及其担保额，海事请求保全担保的特色及其方式，反担保的提供、数额、时间，申请错误的认定及其损害赔偿诉讼等问题，笔者认为，法律应当明晰反担保提供的原则或条件，数额和时间的确定应当既合理又有效率。
(4)有关船舶“活扣”的问题。主要探讨了“活扣”的公平性、可否转变为“死扣押”及其与重复扣押的关系。笔者认为，首先有必要对“活扣”的条件和适用范围进行限制，其次“活扣”在一定条件下可以转变为“死扣押”，再次法律应当允许重复扣押，使其他债权人在船舶已经被“活扣”的情况下的权益能够得到保护，以利于法律公平原则的实现。
(5)船舶经营人法律地位的确定问题。这里通过对其法律地位的确定来明晰扣船程序中的适格被申请人及责任主体，同时讨论了一种比较特殊的经营方式，即挂靠经营。
(6)认定关联企业暨公司法人格的否定问题。笔者认为，当今航运企业应当正视关联企业的问题；在一定的条件下可以对公司的法人格进行否定，以使控制公司承担对债权人的债务，加大对债权人的保护力度；同时，程序法也应当同实体法相统一，只有明确适格的主体和举证责任等问题，才能实现真正的公平。
(7)扣押船载货物的含义问题。认为船载货物的范围应限定在货物运输期间，即自托运人将货物交给承运人之后至承运人交付货物之前。在货物交付之前，因为货物仍在承运人控制之下，此时申请扣押比较合理；但在卸货港扣押船载货物，货
方经常采用制造假买卖合同等手段，使海事请求人处于“十扣九错”的境地。因此，
允许海事请求人对装船之前处于承运人的占有之下的货物进行扣押，更有利于保护
海事请求人的利益。同时这种范围的限定使该扣押与一般的财产保全也有所区别。
（8）扣押船载货物的条件。笔者认为，除了通常需要具备的四个条件之外，也
应借鉴英国玛瑞瓦禁令所规定的“公平与方便”的要件，以便法院在对无辜第三人
的权利都给予最大程度保护的基础上作出裁定。
o）因留置权扣押船载货物的问题。笔者对承运人因为行使留置权而申请法院
扣押船载货物与《海诉法》所规定的作为财产保全形式存在的扣押船载货物制度的
不同进行研究，认为在因留置权而申请扣押船载货物的场合，承运人通过法院行使
货物留置权，是货物留置权这一实体法权利通过法院扣押船载货物的程序实现，承
运人的实体权利不应受到丝毫损害。
（10）扣押船载货物的优先受偿权问题。研究了强制执行法草案确立的强制执
行的效率优先原则，认为对船载货物的扣押应使得海事请求人对该货物具有优先受
偿权，对超额扣押船载货物应予禁止及建立重复扣押制度的必要性。
总之，笔者认为应当进一步完善海事请求保全的有关法律制度，促使海事请求
保全这一司法强制措施能够更好的发挥其对债权人权益的保障作用，同时对债务人
亦不至于有失偏颇。
Maritime procedure is different from common civil procedure and preservation of maritime claims plays an important role in it. The enacting of maritime procedure law has further improved the arrest system of seagoing ships and eliminated some weaknesses in the legislation of the attachment of the cargo. With the fast development of the shipping industry, however, there are many difficulties about the enforcement of the present laws in practice.
Based on Chinese legislation on preservation of maritime claims and using for reference international conventions, foreign legislation and legislation precedent in Chinese Taibei , this author makes a primary study to the legal problems in the practice of preservation of maritime claims.
The following are the author's main concerns.
(1) On the definition of preservation of maritime claims. The author thinks that the nature of preservation of maritime claims is preservation of property based on maritime claims. Therefore, it is closely similar to but at the same time different from common property preservation.
(2) On the jurisdiction of preservation of maritime claims. The author studies the territorial jurisdiction of preservation of maritime claims before instituting an action and its corresponding substantive claims and proposes that the creditor's right to choose a preferable place be reasonably limited and the jurisdiction of preservation of maritime claims be conditionally enlarged so as to achieve equity between the creditor and the debtor.
(3) On the application, security and claim procedure of preservation of maritime claims. The author analyzed the problems regarding the reasons of application, the amount of preserved object, the amount of security, the provision, time and amount of countersecurity, the determination of wrongful application and corresponding damage compensation procedure etc. The author maintains that criteria and conditions of countersecurity should be clarified by law and the determination of amount and time should be both reasonable and efficient.
(4) On the problem of "active" arrest of a vessel. The author studies the equity of active arrest, its transferability to arrest and the relationship with reduplicated arrest. The author thinks that it is necessary to specify the conditions and applicable range of active arrest and that under certain conditions active arrest can be transferred to arrest and reduplicated arrest should be allowed by law so that other creditors' right can be protected while the ship is already under active arrest, thus the equality of laws can be realized.
(5) On the identification of the ship operator's legal status. The author studies
the qualified person against whom a claim is made through ascertaining and clarifying his legal status. The author also researches a special operation mode, namely, the reputed ownership.
(6) On the identification of relevant corporation and the negation of corporate personality. The author maintains that the shipping corporations in China should attach more importance to the problem of relevant corporation, that corporate personality can be negated under certain conditions to make sure the controlling corporation assume its liability to its creditors, thus strengthening the protection for the creditors. The author also holds that procedure law should be consistent with substantive law and only if problems such as the qualified subject and burden of adducing evidence etc. are clarified, equity can be really achieved.
(7) On the meaning of cargos carried by ship. The author thinks that cargos carried by ship should be defined as goods that are during its transportation, i.e. goods delivered to the carrier by the shipper but not yet delivered by the carrier. It is reasonable to apply for attachment before the cargo is delivered and still under the carrier's control. If attachment of cargo carried by ships is done in the port of discharge, the owner of cargo often take advantage of making some false contracts and thus makes the maritime claimant unlikely to make
引文
[1]於世成，杨召南，汪淮江．海商法．法律出版社，1997
[2]尹东年．海上货物运输法．人民法院出版社，2000
[3]侯军，侯广燕．当代海事法律适用法学．上海：世界图书出版公司，1998
[4]沈达民．比较民诉法初论．法律出版社，1995
[5]常怡．民诉法学．中国政法大学出版社，1996
[6]柴发邦．民诉法学新编．第2版．法律出版社，1994
[7]司玉琢．海商法详论．第3版．大连海事大学出版社，1997
[8]高言．海商法理解适用与案例评析．人民法院出版社，1996
[9]陈荣宗．民事程序法与诉讼标的理论．人民法院出版社，1997
[10]江平．合同法．北京大学出版社，1999
[11]施天涛．关联企业法律问题研究．北京大学出版社，1998
[12]福永有利．关于法人格否认法理在诉讼上的诸问题．法律出版社，1996
[13]江伟，王国征．完善我国财产保全制度的设想．中国法学，1996(5)
[14]朱清．海事诉讼与仲裁．大连海事大学出版社，1996
[15]金正佳．海事请求保全专论．大连海事大学出版社，1996
[16]张文显．法理学．法律出版社，1997
[17]陈现杰．公司人格否认法理述评．外国法译评，1997(三)
[18]王利明．物权法论．中国政法大学出版社，1998
[19]肖建国．民事诉讼程序价值论．中国人民大学出版社，1999
[20]史尚宽．物权法论．中国政法大学出版社，2000
[21]史尚宽．债法各论．中国政法大学出版社，2000
[22]杨良宜．海事法学．大连海事大学出版社，2000
[23]杨良宜．禁令．中国政法大学出版社，2000
[24]杨良宜．程租合约．大连海事大学出版社，1998．
[25]杨良宜．期租合约．大连海事大学出版社，1997
[26]梁慧星．中国物权法研究．法律出版社，1998
[27]佟柔．中国民法．法律出版社，1990
[28]王家福．民法债权．法律出版社，1991
[29]毛汨静．对海事诉讼特别程序法立法中的几个问题的探讨：[学位论文]．上海：上海海运学院，2000
[30]王瑜．海事诉讼特别程序法若干问题研究：[学位论文]．上海：上海海运学院，2000
[31]陈晓明．海事强制令：[学位论文]．上海：上海海运学院，2001
[32]李良鸿．论海事担保：[学位论文]．上海：上海海运学院，2002
[33]司玉琢，尹东年．中国海商法年刊，1990～2001年
[34]北京大学法学院海商法研究中心主办．海商法研究丛书，总第1～7辑
[35]金正佳．中国海事审判年刊，1999～2000年
[36]Er Hardy Ivamy. Carriage of Goods by Sea. London Butterworthy, 1985
[37]Christopher hill. Arrest of ships. Lloyd's of London Press Ltd.,1985.P10
[38]D. C. Jackson. Enforcement of maritime claims. Lloyd's of London Press Ltd.,1981. P13～16
[2]尹东年．海上货物运输法．人民法院出版社，2000
[3]侯军，侯广燕．当代海事法律适用法学．上海：世界图书出版公司，1998
[4]沈达民．比较民诉法初论．法律出版社，1995
[5]常怡．民诉法学．中国政法大学出版社，1996
[6]柴发邦．民诉法学新编．第2版．法律出版社，1994
[7]司玉琢．海商法详论．第3版．大连海事大学出版社，1997
[8]高言．海商法理解适用与案例评析．人民法院出版社，1996
[9]陈荣宗．民事程序法与诉讼标的理论．人民法院出版社，1997
[10]江平．合同法．北京大学出版社，1999
[11]施天涛．关联企业法律问题研究．北京大学出版社，1998
[12]福永有利．关于法人格否认法理在诉讼上的诸问题．法律出版社，1996
[13]江伟，王国征．完善我国财产保全制度的设想．中国法学，1996(5)
[14]朱清．海事诉讼与仲裁．大连海事大学出版社，1996
[15]金正佳．海事请求保全专论．大连海事大学出版社，1996
[16]张文显．法理学．法律出版社，1997
[17]陈现杰．公司人格否认法理述评．外国法译评，1997(三)
[18]王利明．物权法论．中国政法大学出版社，1998
[19]肖建国．民事诉讼程序价值论．中国人民大学出版社，1999
[20]史尚宽．物权法论．中国政法大学出版社，2000
[21]史尚宽．债法各论．中国政法大学出版社，2000
[22]杨良宜．海事法学．大连海事大学出版社，2000
[23]杨良宜．禁令．中国政法大学出版社，2000
[24]杨良宜．程租合约．大连海事大学出版社，1998．
[25]杨良宜．期租合约．大连海事大学出版社，1997
[26]梁慧星．中国物权法研究．法律出版社，1998
[27]佟柔．中国民法．法律出版社，1990
[28]王家福．民法债权．法律出版社，1991
[29]毛汨静．对海事诉讼特别程序法立法中的几个问题的探讨：[学位论文]．上海：上海海运学院，2000
[30]王瑜．海事诉讼特别程序法若干问题研究：[学位论文]．上海：上海海运学院，2000
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