本稿では、国際商取引で使用されている運送書類の歴史的変遷とその構造を考察した上で、電子運送書類の普及に向けた新たな動きを独自の理論的枠組みと実証調査により解き明かそうと試みている。本論文の内容は大きく3つの部分から構成されている。第1は,運送書類の使用状況と背景を探る部分である。第2は、運送書類選択に影響を与える要因を解明している部分である。第3は、電子運送書類の今後の普及動向を考察している部分である。 / 博士(商学) / Doctor of Commerce / 同志社大学 / Doshisha University

The legal nature of the bill of lading as a negotiable document of title has allowed it to provide the basis of a system in which bankers provide credit for the financing of international sales contracts on the strength of the security afforded by the goods represented in the bill. The sea waybill has appeared as a substitute for the bill of lading and, despite its nature as a nonnegotiable document, it can be employed in a manner which allows it to provide collateral security to banks. Multimodal transport documents which may be issued in negotiable or non-negotiable form assume the same legal role as the bill oflading or sea waybill respectively. The inclusion of specific articles in the 1993 Revision of the UCP relating to non-negotiable sea waybills and multimodal transport documents affirms their acceptability to banks financing international sales contracts under documentary letters of credit. / Law / LL.M.

In the context of an international carriage of goods by sea contract, the consignees and endorsees are the two important categories of the parties whom their rights and liabilities have not been legislated for in any international carriage of goods by sea convention until the adoption of the Rotterdam Rules. The truth is that, in contrast to the rights and the correlative liabilities and obligations of the shippers and carriers, the rights and liabilities of the consignees and endorsees have always been dealt with by the domestic and national laws. However, the Rotterdam Rules, with the goals of promoting legal certainty, improving the efficiency of international carriage of goods and harmonization and modernization of the carriage rules, for the first time at an international level, have attempted to regulate the provisions governing the rights and liabilities of the latter parties. Thus, the application of the Rotterdam Rules, in case they gain the force of law, will be broader than any other international maritime convention. Therefore, this has compelled the necessity of carrying out a profound and detailed critical analysis of the new, and somewhat innovative, regulations, since the impact of the application of the Convention on the existing carriage of goods by sea rules, both nationally and internationally will be crucially significant. The UK as one of the major actors of the maritime industry has a long-established set of rules particularly in the field of rights and liabilities of the parties, both in the common law and statutory senses, governing the carriage of goods by sea affairs for centuries. This thesis aims to evaluate the relevant provisions of the Rotterdam Rules by way of comparison with their corresponding rules of the English law in order to find out whether these new sets of regulations can establish a reliable source of reference for the consignees and endorsees who wish to ascertain their rights and become aware of their obligations and liabilities. In other words, the main objective of this study is to examine whether the Rotterdam Rules clearly define and specify the rights and liabilities of the consignees and endorsees to a contract of carriage of goods by sea. Further, it is going to investigate whether the Convention succeed in achieving its goals with respect to the rights and liabilities of these parties. Also, ratification of the Rotterdam Rules is believed to have a significant impact on the English maritime law and therefore, the question whether it is reasonable for the UK to ratify the Convention will be answered in this research. It is suggested that the findings of this thesis in addition to the solutions proposed to solve the difficulties, ambiguity and complexity of the existing rules, will be of assist to the UK authorities as well as the legislative bodies in other jurisdictions in order to obtain a more effective decision on the adoption of the Rotterdam Rules. This study ends with illustrating an alarming vision of the future of maritime law which will be largely affected by the evolution of smart technologies in the shipping industry.

The legal nature of the bill of lading as a negotiable document of title has allowed it to provide the basis of a system in which bankers provide credit for the financing of international sales contracts on the strength of the security afforded by the goods represented in the bill. The sea waybill has appeared as a substitute for the bill of lading and, despite its nature as a nonnegotiable document, it can be employed in a manner which allows it to provide collateral security to banks. Multimodal transport documents which may be issued in negotiable or non-negotiable form assume the same legal role as the bill oflading or sea waybill respectively. The inclusion of specific articles in the 1993 Revision of the UCP relating to non-negotiable sea waybills and multimodal transport documents affirms their acceptability to banks financing international sales contracts under documentary letters of credit. / Law / LL.M.

國際貿易實務上，「信用狀」係往來銀行提供信用狀擔保付款之模式，確保跨國貿易之順利完成、加速貿易進行，為當今世界重要付款方式。「信用狀統一慣例（UCP）」係國際商會（ICC）制定之信用狀交易實務慣例，自1933年首次頒布以來，目前已成為全世界公認遵行之信用狀標準處理方針。2007年，國際商會公佈最新修訂版本之第600號出版物“UCP 600”，明定因應銀行及航運實務發展、檢討UCP 500之規範文字及語體、抑制銀行拒絕付款率等為主要修訂目標。 鑑於UCP 600對於未來國際貿易發展之影響力，實有全面且深入研究UCP 600條款內容及規範目的之必要。本文以UCP 600新增定義解釋條款、審查單據條款、及運送單據條款為研究主題，透過闡釋條文涵義、比較與UCP 500之差異、探究新條款影響、檢討修訂目標之成效等，俾使信用狀當事人及相關銀行正確理解及適用UCP 600條款內容。 本文首先介紹信用狀之特性、經濟功能及信用狀統一慣例之定位適用等基本概念；其次從文義解釋、法律性質及當事人間法律關係等觀點切入，闡釋UCP 600本次新增之定義及解釋條款；並研究銀行實務最常發生爭議之審查單據程序，詳盡分析UCP 600規定之審單標準、符合提示、拒付瑕疵單據等重要條款。此外，本文探討UCP 600所規定國際航運常見之提單、多式運送單據、不可轉讓海運單及傭船提單等運送單據條款。最後，本文針對UCP 600條款之重要修訂內容予以彙整，嘗試提出該等條款之修正趨勢及未來發展。 / In international trade practice, “letter of credit”which is the most important type of payment in the world is the means of settlement that an issuing bank independently undertake to honour a complying presentation , and that ensures international trade to successfully completed, and speeded up the transactions.“ICC Uniform Customs and Practice for Documentary Credit(UCP)”is the rules of international letter of credit practice promulgated by the Commission on Banking Technique and Practice of the International Chamber of Commerce(ICC).The 2007 Revision, UCP 600, is the latest of a series of revisions of these ICC rules that date from 1933 and have in their evolution become the universal norm for commercial letter of credit. The introduction of UCP 600 expressly indicated the main revised objective was to address developments in banking and transport industries, to look at the language and style used in UCP 500, and to reduce the rejections of the documents presented under letter of credit. In consideration of the influence of UCP 600 for the development of international trade in the future, it was necessary to generally and deeply research the clauses and provisions of UCP 600 and the revised objective. This paper’s research subjects include the formal definitions and interpretations of UCP 600, the provision regarding examination of documents, and the provisions regarding transport documents. In order to make the parties of letter of credit and the relevant banks correctly understand and apply the UCP 600 clauses, this paper interprets the meaning of UCP 600 clauses, compares the differences between UCP 600 and UCP 500, analyses the influence of new provisions, and look at the achievements of this revision. This paper first introduces the fundamental concepts included the characteristic of letter of credit, the economic functions of letter of credit, and the position and application of UCP 600.The second part is to discuss the formal definitions and interpretations that UCP 600 new formulated from the perspectives of language interpretation, quality of law, and the law relationship of the parties. Then this paper discusses the rules for the examination of documents that most controversial in banking industries, and analyses the important provisions regarding standard for examination of documents, complying presentation, and rejection of discrepant documents. Moreover, this paper is referring to the general transport documents clauses stipulated in UCP 600, including bill of lading, multimodal transport document, non-negotiable sea waybill, and charter party bill of lading. Finally, this paper synthesizes the significant revised provisions, and recommends several suggestions about modifying the relevant provisions in UCP 600 and development in the future.