论海事国际惯例的适用
内容提要
国际惯例的研究既是全球经济一体化和我国加入WTO后的需要，也是海事司法实践的需要。当前某些行业为了行业利益混淆了国际惯例的基本概念，理论上对其性质的认识亦极不统一，司法实践中对国际惯例用不用，怎样用，难以把握。
国际惯例首先起源于海事国际惯例，海事国际惯例具有跨国性、任意性、普遍性、专业性和规范性特征，是实体法规范。尊重和适用海事国际惯例是全球经济一体化和海事司法实践的需要。本文以对海事国际惯例的概念、形式、性质的分析和评价为切入点，重点研究了海事国际惯例的适用，包括识别标准、查明途径和冲突形式等，最后提出了冲突解决的立法或司法解释建议。全文由问题的提出、惯例的概念、惯例的类型、惯例的适用等部分组成。（全文约10000字，不含注释字数）
作者简介
饶中享，男，49岁，早年毕业于武汉理工大学航运学院船舶驾驶专业，后自修法学大专、本科，现中南财经政法大学法律硕士研究生毕业，获法律硕士学位。曾在船上工作10年，后任海事法官，现任武汉海事法院副院长；兼任海商法教授，长江海事局海事处理专家顾问，中国航海学会专业委员等职。在《中国司法评论》、《法律适用》、《中国海商法年刊》等刊物上发表论文近30万字。获全国法院系统优秀论文一等奖2篇，二等奖1篇，三等奖2篇；参加了有关国际会议，在国际海商法研讨会上宣讲论文（英文）2篇；参加了《海商法大辞典》的词条编写工作。
王建新，男，31岁，武汉海事法院法官，毕业于中南财经政法大学，获法学学士学位。现在武汉大学攻读法律硕士学位。曾在《中国涉外商事海事审判指导与研究》、《中国海商法协会通讯》、《中国水运》、《法庭内外》等刊物上发表论文或案例10多篇，部分论文获奖。代表性成果有：《论仲裁条款的独立性》、《民事执行程序中存在的问题与对策》等等。
论海事国际惯例的适用
1.问题的提出
在全球经济一体化及我国已加入WTO的大环境下，经济主体、政府部门、司法机关和其他行业都提出要“按国际惯例办事”，与“国际惯例接轨”。然而，究竟何为国际惯例尚缺乏系统的研究，认识上不统一，适用中各取所需。如，有专著名为《国际条约与惯例》，实则找不到任何惯例条款。又如，某些行业为了行业利益，将行业规范当成国际惯例，实际是保护行业利益的借口，于是法律界的专家直言：“国际惯例”也需要打假。1还如，有的代理人在法庭上“雄辩”中开口就要依照国际惯例，可根本不能提出适用什么样的国际惯例。有的审判人员在涉外商事、海事审判实践中，认为国内法或国际条约没有规定的就是没有法律依据；某些判决书则写道，“根据某某法及国际惯例判决如下……。”什么惯例呢，前无陈述，后无引用。由此可见，国际惯例在当今被当成了“神”，需要就可以取之即来，来之能用，用而有利。
国际私法中的国际惯例主要规范民事主体之间的私法关系，海事国际惯例就属于这一范畴。为了防止国际惯例的滥用，我们有必要对海事国际惯例的适用问题进行专门研究。
2.惯例的概念
2.1.基本定义
国际惯例的概念在我国法律中没有明确的规定，理论界对国际惯例有三种代表性表述：（1）国际惯例是在国际交往中逐渐形成的不成文的法律规范，它只有经过国家认可才有约束力。2（2）国际惯例是在国际贸易实践中逐渐、自然形成，某一地区，某一行业或某类贸易中所经常遵守和普遍接受，并由此产生相应的义务感与合理期望的任意性行为规范。3（3）国际惯例指在国际交往中经过反复实践形成的公认的不成文规则，由国际“习惯”（CUSTOM）和“通例”(USAGE)两部分组成。4这三种表述各有侧重，都不同程度地揭示国际惯例的主要特征，但都不全面。第一种揭示了国际惯例与国内法及国际条约的区别，但外延过窄，因为国际惯例在一定条件下有约束力。第二种比较全面的揭示了国际惯例的普遍性特征，但没有表明国际惯例的编纂机关。第三种揭示了国际惯例的形成过程，但过于抽象，没有体现国际惯例的成文性特点。
综合上述几种表述，国际惯例是指在国际商业往来中经过长期实践形成，并由非政府性国际组织编纂成文的行为规范。由此可见，海事国际惯例是指国际海事行业在船舶关系和海运关系的长期实践中逐渐形成，由非政府组织编纂成文，在较大范围内被经常遵守和普遍接受，并由此产生合理期望的行为规范。海事国际惯例的基本特征是：（1）跨国性，它调整的是跨越一国国境的民商事行为与事件；（2）任意性，它由非政府组织编纂，不可能有强制力，在当事人明示或默示采用时才有约束力；（3）普遍性，它是在涉外经济往来的反复实践中形成，在较大范围内普遍知道或理应知道。（4）专业性，它是在船舶关系和海运关系的实践中形成的行为规范，海事专业性强。（5）规范性，它对船舶关系和海运关系国际海事行业的行为有规范作用，这是惯例成为法的本质属性之一。需要说明的是，海事国际惯例不同于行业的习惯性做法，两者的根本区别在于采用习惯性做法并非出自一种义务感，并非伴随着一种法律意识，习惯性做法达到一定的普遍程度和取得较强的稳定性时才可能发展成国际惯例。
2.2.惯例的类型
国际惯例首先起源于海事国际惯例。普遍认为，公元前9世纪产生于地中海沿岸的航海习惯法—罗得海法是海事国际惯例的起源，该惯例是以共同海损为中心内容，用来解决争议的一种习惯。海事国际惯例包括海上运输、海上货物或船舶保险、租船、海运代理等方面的内容。海事司法中涉及的国际惯例主要包括以下类型：
2.2.1.与海事审判密切相关的国际贸易惯例。有2000年《国际贸易术语解释通则》（INCOTERMS2000）与《跟单信用证统一惯例500》（UCP500），由国际商会（ICC）编纂。在海上货物运输合同货损货差纠纷案件中，（INCOTERMS2000）是确定责任大小和风险的承担等重要定案依据。（UCP500）表述的是信用证业务当事人之间的法律关系。该惯例也是审理海上货物运输合同纠纷案件、提单纠纷案件和海事欺诈案件的重要定案依据。除此以外，国际商会还编纂了与海事审判有关的1978年《托收统一规则》（URC1978）。另一个重要国际惯例是《华沙—牛津规则》（WARSAW-OXFORD RULES），由国际法协会（ILA）编纂。该惯例是为按CIF条款进行货物买卖但缺乏标准合同格式或共同交易条件的人们提供一套可在CIF合同中易于使用的统一规则，涉及涉外海事纠纷国际货物买卖中风险的划分与所有权转移问题。
2.2.2.国际货运代理方面，有国际货运代理标准交易条件范本、国际货运代理业示范法及制定的各种单证，由国际货运代理协会联合会（FIATA）编纂或制定。这些惯例都具有广泛的国际影响，对确定货运代理人在海上货物运输代理合同法律关系中所处的地位有重要作用。
2.2.3.海上运输及保险方面，有国际商会编纂的1974年《清洁提单问题》（CBL1974）、1973年《国际多式联运单据统一规则》（URCTD1973）等国际惯例。另有国际海事委员会（IMC）制定的《约克—安特卫普规则》（YORK-ANTWERP RULES）及英国伦敦保险协会（ILU）制定的《伦敦保险协会货物保险条款》以及2002年《国际船壳险条款》（IHC2002）等。这些海事国际惯例分别对共同海损理算以及货物和船舶保险等方面的问题作出了规定,也是典型的海事国际惯例。此外还有1990年《国际海事委员会海运单统一规则》（CMI UNIFORM RULES FOR SEA WAYBILLS 1990），1990年《国际海事委员会电子提单规则》（CMI RULES OF ELECTRONIC BILLS OF LADING 1990）等。
2.2.4.租船合同方面，国际标准合同(UNIFORM CONTRACT FORMS)是海事国际惯例的重要形式之一。这方面，既有非政府组织制定的，也有某种贸易或航运协会制定的。海事审判中经常碰到的两种租船合同格式由波罗的海国际航运公会(BIMCO)制定，分别是《航次租船合同（金康格式）》（VOYAGE CHARTER - GENCON），《定期租船合同（波尔的摩格式）》（TIME CHARTER）。此外还有《定期租船合同（土产格式）》（TIME CHARTER-NEW YORK PRODUCE EXCHANGE）、《澳大利亚谷物租船合同》、《油船航次租船合同》（由美国船舶经纪人和代理人协会制定）、《租船和航运用语》等。国际上的许多航运公司经常将上述合同条款并入提单，以此产生的管辖权纠纷十分常见。另外，英国航运总会和波罗的海航运分会联合编纂的1980年《租船合同装卸时间定义》也是一种确定滞期费和速遣费的重要海事国际惯例。
3.惯例的性质
海事国际惯例是不是法，是什么性质的法，这是我们必须回答的问题。有三种观点：一种观点认为国际惯例是法，理由是认为国际惯例有普遍性、权威性和强制执行力，这是国际惯例作为法律区别于宗教、道德及其他一般社会规范的要件。6另一种观点认为国际惯例不是法，理由是认为国际惯例不具备可预见性和国家意志性，不能自动适用。7还有一种观点认为，国际惯例是一种“准法律”。理由是认为国际惯例尚未获得各国对其法律地位的普遍承认，而是一种法律漏洞的补充工具。8我们认为，海事国际惯例是一种跨国性行为规范，判断其性质不应停留在国内法角度，而应站在国际民商新秩序的角度来判断。“准法律”并不是对国际惯例的定性，而是从国际惯例作用的角度对其进行的概括性描述。海事国际惯例不仅是法，而且是一种需要得到尊重和正确适用的法。
3.1.法指普遍有效的政治原则和道德公理，是一种抽象概念；法律则指由国家机关制定和颁布的具体的行为规则，是法的具体表现形式。9法包括法律，但不仅指法律。“法律这一名称，不仅指由一个或几个国家立法机关制定的客观规范，而且还指当事人间订立的，在他们之间有着广泛法律约束力的合同；在此方面，单个合同以及典型广泛采用的合同格式，也可称为‘合同法’”。这是德国学者诺伯特?霍恩（NOBERT HORN）对法律的认识。根据这种观点，当事人约定采用某国际惯例时，该国际惯例就是一种法。国际贸易法的重要创始人施米托夫（CLIVE M.SCHMITTHOFF）曾说：“我们把法的地位也给予某一团体所普遍接受的惯例，行为法典，专业和准专业机构的指南，君子协定和被认为在法院没有强制执行力的其他安排” 。10因此，法应包括国际海事行业普遍遵守的行为规则—国际惯例。
3.2.从现代国际私法发展的角度看，国际惯例不应该与政治制度片面结合。当今社会，无论是何种性质的国家，也无论是发达国家还是发展中国家，都存在各国都能接受的共同的或相似的基本原则和制度。要参与国际社会的竞争，谋求发展，各国在法律上有必要认可国际惯例的法律约束力。各国在国内民商法律创制和运作过程中越来越多地涵纳国际社会的普遍实践与国际惯例。根据系统论中运动和发展观点，我们在考察国际惯例的法律性质时，应习惯于新的法律概念。
3.3.国际惯例是实体法规范。从实践上考察，我们所见的国际惯例规定的都是当事人的权利和义务规范，本身就是一种实体性的权利与义务规范。在冲突法方面，目前还没有经过国际民间组织整理成文的惯例。有的观点以“不动产物权依不动产所在地法”等例子为由，认为这些普遍性冲突原则也是国际惯例。对此值得商榷，我们认为，这些规则没有经非政府组织编纂成文，缺乏确定性，只能算是各国司法机关的一种习惯做法，而习惯做法是不同于国际惯例的。任意性国际惯例仅指那种大量存在于国际合同、国际贸易、海事及国际商事仲裁中的实体性的国际商事惯例。11从法律规定上考察，我国法律规定的是国际惯例弥补国内立法和国际条约规定不足。我国现阶段没有利用管辖权与法律适用方面的国际惯例来弥补国内法或国际条约的不足。非政府国际组织编纂冲突法性质或程序法性质的国际惯例缺乏权利基础。《民法通则》第142条规定“可以适用国际惯例”无疑是指可以适用实体性的国际惯例，这种理解更符合立法精神。12根据一国法律内在统一性原理，其他民事法律规范，如《海商法》、《票据法》、《民用航空法》等关于国际惯例的规定应该与此一致。
3.4.我国《民法通则》第142条、《海商法》第268条等法律都规定，“中华人民共和国法律和中华人民共和国缔结或参加的国际条约没有规定的，可以适用国际惯例”。1980年《联合国国际货物销售合同公约》第8条、第9条也明确规定，当事人可以约定适用国际惯例。从国内立法及国际条约的规定可以看出，国际惯例是司法机关审理案件的法律依据，说明立法已认可其法律效力。国家对国际商事惯例的认可，即意味着国家赋予它任意性法律的性质。13一国的法律规范由强制性规范和任意性规范两部分组成，而任意性规范主要存在于民商法领域，并不给当事人产生强制约束力，但不能因此否认其法律约束力。
纵观国际，各国国内立法和国际条约关于国际惯例的法律效力的规定大致有三种情况：（1）合同性效力，即国际惯例在当事人同意适用时才对当事人产生拘束力，往往是通过国内法和国际条约对当事人“意思自治原则”的承认而间接赋予的。海事案件中经常可见各种租船合同条款并入提单就是典型例证。（2）强制性效力，即通过国内立法赋予国际惯例以普遍约束力，不管当事人是否协议选择，已取得等同于国内法效力的特定国际惯例必须适用，其效力是强制性的。如西班牙、伊拉克等国内法中有所体现。（3）替补性效力，即在有关国内法和国家缔结或参加的国际条约对有关事项未作相应规定时，适用特定国际惯例补其空缺。如我国，国际惯例补缺原则是国际私法的一般原则。体现在两个方面，一是国内法和国际条约没有规定时适用国际惯例，如《海商法》第268条第2款规定，“中华人民共和国法律和中华人民共和国缔结或参加的条约没有规定的，可以适用国际惯例”。《民法通则》第142条第3款也有相同的规定。二是适用国际惯例解释，如《合同法》第125条规定，当事人对合同条款的理解有争议的，可以按照交易习惯确定该条款的真实意思。全球经济一体化的时代，许多涉外交易习惯已发展成国际惯例。当涉外商事、海事合同纠纷案件对合同条款理解有争议时，利用相关国际惯例进行解释，并不违反我国立法精神。
4.惯例的适用
4.1.适用的必要性
随着全球经济一体化的发展，国际私法一体化进程的加快，遵守国际条约，尊重国际惯例显得十分重要。海事国际惯例不仅能弥补国内法和国际条约的不足，而且具有国内法和国际条约无法比拟的优越性，在海事审判实践中应严格遵守适用。适用海事国际惯例的必要性主要体现在以下两大方面：
4.1.1.海事国际惯例大都经过非政府间国际组织编纂，不必经过漫长的谈判和批准程序，而且，海事国际惯例适时修订，内容周密，普遍性强。如《国际贸易术语解释通则》共进行了6次修订，具有一定的代表性和适应性，得到了国际社会的普遍接受，是目前应用范围最广，影响最大的一种国际惯例。14适用海事国际惯例不仅可以节省当事人缔结合同的时间，而且可以避免或减少纠纷，有利于照顾当事人来源于不同文化传统和法制环境的特点，平等保护中外当事人的合法权益。世界上许多主权国家为适应国际民商事交流日益频繁的需要，广泛认可海事国际惯例的约束力。如在国际海上保险业务中影响最大的英国伦敦海上保险人协会的保险条款就明确规定该条款受国际惯例调整。
4.1.2.适用海事国际惯例是避免和消除法律冲突最简便的法律手段和调整方法，从而可以大量减少各国内法的冲突而代之以统一的、世界范围内普遍适用的惯例。中国法律如何与已形成的国际惯例接轨，如何借鉴、吸收外国先进的国际私法制度，是中国加入WTO后的重要法律适用制度，一方面需要理论界的深入探讨，另一方面也离不开海事司法实践的推动，遵守国际条约的同时，尊重国际惯例，以跨越世纪的眼光来构思符合世界潮流的中国法律适用制度。
当然，海事国际惯例是一种任意性规范，国际惯例不可能涵盖涉外商事、海事审判中的所有领域，但这并不影响国际惯例强大的生命力。21世纪将是统一国际私法条约和国际惯例蓬勃发展时期，从而导致国内法律在国际间的趋同，尤其在民商法领域，这种趋同走势将极为强劲。15
4.2.适用的条件
各国对适用国际惯例的态度不完全统一，但大体上采用比较宽松的态度，在发达和发展中国家很少有排除适用国际惯例实例。根据我国法律规定，结合海事国际惯例的特点，适用海事国际惯例应满足以下条件：
4.2.1.海事国际惯例在海事审判中适用时，案件争议问题的准据法应允许适用国际惯例。我国有关实体法规定了可以适用国际惯例，以我国国内法律为准据法时，如《海商法》、《民法通则》等，是可以适用有关国际惯例的。如果争议所适用的准据法不许适用国际惯例，则不能适用国际惯例。简而言之，是否适用国际惯例应首先解决准据法问题，准据法是适用国际惯例的前提。需要说明的是，我国《海商法》第269条规定，合同当事人没有选择法律的，可利用最密切联系原则适用法律。因国际惯例不是国内法律，当利用最密切联系原则确定适用法律时，应指向一国的内国法，而不包括国际惯例。
4.2.2.适用海事国际惯例不能与国内法及我国缔结或参加的国际条约相抵触。我国立法规定的是国际惯例补缺原则，当国内法及国际条约没有规定时，才可适用国际惯例，否则不予适用。这里的“抵触”是指与国内法或国际条约的强制性规定相抵触，对于任意性规定，则不存在抵触问题。据此可以推断涉外商事、海事案件中国际惯例，国内法及国际条约的效力高低，即国际条约、国内法、国际惯例。对于非强制性规定而言，当事人选择适用国际惯例而排除适用国内法时，应适用国际惯例。
4.2.3.案件事实应存在可适用的海事国际惯例。如果通过各种途径无法查明可适用的海事国际惯例，则适用海事国际惯例没有实际意义。在无法查明可适用的国际惯例时，有一种观点认为可参照我国未缔结或参加的国际条约，也有的观点提出以法理及判例来补充。结合审判实践，我们认为，此时应利用我国相关法律的基本原则或参照我国法律中最类似的条款进行解决比较切合中国实际。
4.2.4.当事人自愿选择适用或没有明示排除适用海事国际惯例。由于海事国际惯例是任意性法律规范，如果当事人自愿选择适用国际惯例，该惯例对当事人有拘束力。当事人没有明示排除适用国际惯例，也可以默示推定适用国际惯例来处理有关当事人的纠纷。国际惯例属于当事人意思自治范畴，如果当事人在合同中已明示排除某惯例的适用，则无论该惯例如何广为人知且被普遍遵守，均不可拘束此合同当事人。
4.2.5.适用海事国际惯例不能违背公共秩序。公共秩序保留原则是我国适用外国法和国际惯例时所特有的一贯原则。1998年武汉海事法院在审理“天裕”（TIAN YU）轮海盗船案件时，就是以“海事欺诈例外原则”排除《跟单信用证统一惯例》的适用，冻结信用证下的货款。该案适用的就是公共秩序保留原则，取得好的社会效果。如果法院按“信用证独立支付原则”，没有冻结信用证项下的货款，那么就是放任了海盗行为，而海盗行为已被列为国际犯罪行为，甚至列为国际恐怖主义行为，显然违反了公共秩序。有一种观点认为，我国立法中应废除利用公共秩序保留原则来排除国际惯例的适用的规定，理由是，在我国国内法及国际条约没有规定时才适用国际惯例，如果排除适用国际惯例，裁判就没有法律依据了。西方国家，并未放弃公共秩序保留的权利，既然适用国际条约时可以适用该原则，对国际惯例而言又有什么理由不适用该原则呢？审理涉外商事、海事案件在没有明文法律规定时，即使没有国际惯例，也可以适用“诚实信用”和“公平合理”等原则来处理纠纷。
4.3.适用的方式
海事国际惯例的适用方式与其性质，适用条件是一脉相承的，与国内法和国际条约的适用方式有较大区别，后者一般通过法律或冲突规范指引适用，前者却不同。根据海事国际惯例的性质和特征，可以有以下几种适用方式：
4.3.1.当事人在合同中明确选择适用某海事国际惯例。当事人在缔结合同时、缔结合同后，甚至在争议诉讼过程中可以明确选择适用特定的国际惯例作为解决他们之间争议的准据法。1994年4月21日，英国上议院在审理“比吉拉”（BIJELA）轮一案时，就是根据当事人在租船合同中明确约定适用《1974年约克—安特卫普规则》为由，推翻了英国上诉院的判决，认为该案应适用国际惯例，将临时性修理船舶列入共同海损，而不是根据上议院法官个人对法律的理解，从而维护了海事国际惯例的地位，在海事司法界有较大影响。
4.3.2.根据案件事实推定适用海事国际惯例。前文已提及在当事人没有明示排除适用国际惯例时，一定条件下，可默示推定适用海事国际惯例。1980年《联合国国际货物销售合同公约》第9条第2款规定，“除非另有协议，双方当事人应视为已默示地同意对他们的合同或合同的订立适用双方当事人已知道或理应知道的惯例”。据此，在缺乏当事人明示选择的情况下，依一定事实认定当事人默示同意在国际商事、海事合同关系中适用特定海事国际惯例。
4.3.3.国内法或国际条约强制规定适用海事国际惯例。这种方式不需要当事人选择，也不需要默示推定，只要符合法律规定的条件即可适用。采取无条件适用的国家目前在世界上只有西班牙和伊拉克等国家，以国内法立法的形式，直接赋以法律拘束力，但并不是所有国际惯例都无条件强制适用，西班牙的一切进口交易和伊拉克的所有进出口交易都必须受《国际贸易术语解释通则》的约束。
4.3.4.参照适用海事国际惯例。目前仲裁方面对此种适用方式有规定，即不管适用什么样的准据法，都应考虑有关的国际惯例。如《联合国国际贸易法委员会仲裁规则》第33条第3款以及《国际商会仲裁规则》第13条第5款都规定仲裁员在所有情况下都应考虑有关的惯例。又如1994年《中华人民共和国国际经济贸易仲裁委员会仲裁规则》第53条规定：“仲裁庭应当根据事实，依照法律和合同规定，参照国际惯例”。从国际商事仲裁与诉讼的实践来看，“法律不是裁决的唯一依据”。
我国法律允许涉外合同当事人选择争议所适用的法律，但没有明确规定当事人可以选择适用国际惯例。在实践中，根据“当事人意思自治原则”，我国司法机关也没有令人信服的理由否定当事人选择适用海事国际惯例的约定，海事审判实践中应承认这种形式的效力，允许当事人选择适用海事国际惯例作为合同准据法。既然单独适用国际惯例在法理上是可行的，将海事国际惯例与国内法合并适用，相互弥补就更是可行的，只要所适用的海事国际惯例不违反我国法律和缔结或参加的国际条约中的强制性规定。
4.4惯例的识别与查明
4.4.1.识别的标准
海事国际惯例的识别是在适用海事国际惯例时，依据一定的司法理念，对有关事实构成作出定性或分类，将其归入一定的海事国际惯例调整的范畴，从而确定应援用哪一种海事国际惯例的过程。海事国际惯例的识别应解决两个方面的问题，一是特定纠纷是否应归类于适用海事国际惯例，需要对特定国际商业或航运作法进行判断；二是特定范围海事国际惯例是否适用于某种纠纷，需要对国际惯例的约束主体和客体进行甄别。只有将两个方面正确结合起来，才能在审判实践中正确适用海事国际惯例。
海事国际惯例的识别标准有主观标准和客观标准。主观标准要求特定的商业或航运惯例的适用必须经当事人双方明示或默示同意。明示同意通常表现于合同或协议的明确规定，也可以在审判过程中征求双方当事人的意见后明示同意。默示同意则指在缺乏当事人的同意和相反表示时依据客观情况对当事人的内在意思所作的一种法律上的推论或拟制。客观标准是指某国际惯例所涉同类合同当事人普遍知道或理应知道某一特定惯例这一事实。如前所述，几种租船合同标准格式以及（UCP500）等是同行业之间普遍知道，并经常遵守的国际惯例。这种标准要求在空间上特定海事国际惯例被广泛知道，时间上反复实践并被广泛遵守。实际上这是以具体当事人以外的其他人是否知道该惯例为标准来确定该具体当事人是否“理应知道”。如果符合这一条件，就可以认为当事人理应知道某特定国际惯例。
有种观点认为对国际惯例的识别有合理性标准问题，应对国际惯例的合理价值进行判断。实际上，没有必要运用这种标准。一方面，合理性的标准因当事人而异，因时间而异。既然已成为普遍性国际惯例必然有一定的合理性，不可能存在普遍性的不合理。另一方面，国际惯例是意思自治的体现，用不合理的标准来否认国际惯例违背国际私法的基本原则。海事国际惯例的编纂组织一般都能中立地对不同利益当事人同等保护，兼顾各方当事人的利益。广大发展中国家的努力正迫使一些国际组织去制定一些公正合理的国际惯例。惯例的合理性不需要证明，接受惯例的事实本身就可构成其合理性的初步证据。19合理乃是国际惯例的首要要素之一，不能确定一种不合理的或荒诞的习惯去影响当事人的权利。20我们在适用国际惯例时除涉及公共秩序保留原则外，不应利用所谓合理性标准问题。
4.4.2.查明的途径
海事国际惯例的查明是在审理涉外商事、海事案件时，确定何时适用国际惯例，如何证明海事国际惯例关于某一特定问题的规定。海事国际惯例的查明包括查明国际惯例的存在，查明国际惯例的规定，较外国法要复杂。通行的国际惯例已经国际组织或行业组织编纂成文或公布于世，其查明途径可参照外国法的查明方法。通常有：①法院利用所掌握的正规信息资料；②由当事人提供有关文件；③有针对性地咨询有关专家；④咨询相关国内国际组织机构或分支机构，如国际海事委员会中国分会等。
海事国际惯例涉及面广，类型多样，以国际标准租船合同范本为例，干货航次租约范本有8种，定期租约范本有3种；液体货航次租约范本有4种，定期租约范本有3种，光租租约范本有2种，要求审判人员全部通晓是不现实的。通过各种途径仍无法查明该怎么办呢？美国《统一商法典》第1-205节第（2）款明确规定，贸易惯例是否存在及其适用范围，应作为事实问题加以证明。瑞典法院则敦请瑞典商会就当事人所称的贸易惯例出具一份报告，以此作为审理案件的依据。根据我国民事审判方式改革的方向，海事国际惯例的查明，应以当事人举证为主。当事人无法举证时，可申请法院进行查明。当法院无法查明时，法院则可以当事人举证不足为由驳回当事人的诉讼请求。这里会出现一个问题，如何证明海事国际惯例的真实性，我们仍应该通过一般证明程序，结合国际惯例的构成理论去分析、判断和取舍。为了证明这种惯例的存在，法院同样可以征询专家或有关组织的意见，但不应按查明外国法那样向外国政府机构或使领馆查明，专家出具的这种意见应该是书面正式的材料。英国、德国、芬兰等国都采用这种方式，我国完全可以吸收这方面的经验。
下面通过一典型案例阐述海事国际惯例的识别标准和查明方法。
1991年3月25日，中华人民共和国某海事法院受理了原告新加坡新和航运有限公司（下称新和公司）诉被告中国外轮代理公司北海分公司（下称北海外代）航次租船合同运费滞期费纠纷案。基本案情是，1990年9月15日，新和公司与北海外代签订了一份租船合同。该合同约定其他未提到条款按1976年国际标准《航次租船合同》（金康格式）范本实行。1990年9月20日23:00时，“新和”轮抵北海港，10月7日21:00时装货完毕。10月12日06:00时，“新和”轮抵达马尼拉。除去约定的卸货时间，10月24日02:08时开始滞期。1991年3月26日，新和公司向海事法院提起诉讼，并提交了合同及《航次租船合同》（金康格式）范本等证据，要求北海外代支付运费和滞期费及利息。该院根据我国《民法通则》及海事国际惯例判决被告北海外代向原告新和公司支付运费及滞期费约25万美元及利息。二审维持了原判。
该案涉及海事国际惯例的识别及查明问题。新和公司和北海外代在租船合同中明确约定未提到条款按1976年《航次租船合同》（ 金康式）履行。该标准格式租船合同第6条对装卸时间的起算及时间计算方法作出了规定，第8条对船东货物留置权也进行了规定，成为当事人之间租船合同条款的一部分。根据案件事实，双方当事人明示同意适用金康格式的《航次租船合同》，符合国际惯例识别的主观标准；由当事人提供海事国际惯例范本符合国际惯例的查明方法。这是一件成功适用国际惯例的案例。
4.5.惯例的冲突及解决
在我国，法律规定国际惯例在审判实践中原则上处于替补性地位，所以，海事司法实践中，海事国际惯例与国内法及相关国际条约一般不存在冲突。当按我国法律规定，需要适用国际惯例或当事人选择适用哪种版本的国际惯例不明确时，由于同一国际惯例存在不同的解释文本，可能产生同一国际惯例之间的冲突。如FOB、CIF贸易术语在1941年《美国对外贸易定义修订本》（REVISED AMERICAN FOREIGN TRADE DEFINITION 1941）和《国际贸易术语解释通则》都有规定，冲突不可避免存在；又如，定期租船合同，既有波尔的摩格式，又有土产格式，也可能产生冲突。海事国际惯例随着形势的变化经常被修订，新版本并不当然否定旧版本，同一解释文本的新旧版本之间会出现冲突。另外，由于都是权利义务条款，国际惯例与合同其他条款可能产生冲突。
在中国国际私法研究会讨论起草《中国国际私法示范法》的过程中，有的学者提出国际私法规范的范围要包括统一实体法规范和海事国际惯例。21我们认为，这种国际私法理念的建树是十分必要的。海事司法实践中在选择适用海事国际惯例时建立以下惯例适用理念或在立法及司法解释中作出指引规定是具有积极意义的。
4.5.1.当双方当事人同意适用海事国际惯例但适用何种版本意见不一致时，可参照“新法优于旧法”原则，适用最新版本海事国际惯例。按通常逻辑和社会发展规律，新惯例应该比旧惯例更公平合理。如（IHC1983）与（IHC2002）同属于国际船壳保险条款的不同版本，当事人同意适用该保险条款，但适用何种版本不一致时，可优先适用（IHC2002）。
4.5.2.当同一问题在不同国际组织或行业组织编纂的海事国际惯例中有不同解释时，可适用我国属于成员国或会员国的非政府国际组织参与编纂的国际惯例，或采用我国通常适用的国际惯例。我国是该组织的成员国或会员国就意味着我国有关行业遵循该惯例，只有这样才更有说服力。如《国际贸易术语解释通则》与《华沙─牛津规则》分属不同国际组织编纂，对某种问题的解释有差别，我国就应优先适用前一种惯例，因为我国通常采用的是前一个国际惯例。
4.5.3.当某海事国际惯例对某一问题有规定，而另一海事国际惯例没有规定时，可适用有规定的国际惯例。如《华沙—牛津规则》对货物所有权转移的时间作了具体规定，但《国际贸易术语解释通则》等国际惯例却没有规定，当涉及货物所有权转移时间时可适用前者。
4.5.4.当法律、缔结或参加的国际条约和海事国际惯例对国际商业或航运合同中的不同法律问题分别作出规定时，分别适用国内法、国际条约、国际惯例。前文列举新和公司诉北海外代运费滞期费纠纷案就是这种适用方法。
4.5.5.当同一合同中其他条款与海事国际惯例相冲突时，合同条款在合法有效的前提下，优先适用合同条款。因为国际惯例是否适用主要取决于当事人是否同意，合同条款的效力优于海事国际惯例。这与我国法律中的非强制性规定、合同条款优先于法律的法理精神，当事人意思自治原则及国际惯例的任意性特点是一致的。《国际贸易术语解释通则》第6条，《华沙-牛津规则》第1条对此种解决方法都有明确规定。
5.结 束 语
海事国际惯例是一种跨国性的任意性的行为规范。国际私法中的海事国际惯例指的是实体法规范性质的国际惯例。尊重海事国际惯例是全球经济一体化和法律趋同化发展的必然要求。海事国际惯例的适用应先解决准据法问题，遵循一定的规则，不得违背社会公共秩序。适用海事国际惯例的识别有主观和客观两种标准，但不应采用合理性标准。其查明途径多种，冲突形式多样，冲突解决方式应区别对待。海事国际惯例有鲜明的特点和相对独立性，是当今海事国际私法的一个重要组成部分，建立专章的海事国际惯例适用法律规范是具有积极意义的。
ON THE APPLICATION OF
THE INTERNATIONAL MARITIME PRACTICE
Rao Zhongxiang
Wang Jianxin
Wuhan Maritime Court
18 July 2003
Tel: 027-8376 9525 0513-3510 119
Address: 44 Libei No. 1 Village, Hankou, Wuhan City, Hubei Province
SUMMARY
Following the globalization of the world economy and China's accession to the WTO, there is a need to study the international practice.In the course of the maritime judicial practice, there is also a need to study the international practice.Nowadays, in pursuance of their interests, some sectors confuse the basic concepts of the international practice.The scholars' understanding of the nature of the international practice also varies.In the course of the judicial practice, it appears that there are no hard and fast rules on whether and how to apply the international practice.
The international practice primarily comes from the international maritime practice, which is transnational, discretionary, universal, specialized and standard and is a matter of the substantive law.In the course of the globalization of the world economy and the maritime judicial practice, the international maritime practice requires respect and application.This article begins with an analysis and an evaluation of the concept, the form and the nature of the international maritime practice.Then it focuses on the application of the international maritime practice.It deals with, inter alia, the criteria for identification, the ways to ascertain a practice, and the types of conflict.Finally, this article proposes several methods of legislative and judicial interpretation to solve the conflicts.This article is comprised of an outline of the issues, the concept of the practice, the types of the practice and the application of the practice.
(This article is approximately 10,000 words long, exclusive of the footnotes.)
ABOUT THE AUTHORS
Mr. Rao Zhongxiang, male, 49 years old, graduated from the Navigation Department of Wuhan University of Technology Shipping Institute.Later he obtained a diploma and a bachelor's degree in law through self-study and obtained a master degree in law from Zhongnan University of Economics and Law.Mr. Rao worked on board vessels for 10 years.Later he became a maritime judge.He is now the Vice-president of Wuhan Maritime Court.He is also a professor of maritime law, a maritime consultant of Changjiang Maritime Safety Administration, and a member of China Navigation Society.He has delivered a number of articles in China Judicial Review, The Application of Law, The Annual Report on the Maritime Law in China, etc.His articles are approximately 300,000 words long in total.Two of his articles won the First Class Award of the National Articles Award (Judicial Sector), one of his articles won the Second Class Award, and two of his articles won the Third Class Award.Mr. Rao has attended relevant international conferences and presented 2 articles (in English) in international seminars on maritime law.He is one of the contributors of the Comprehensive Maritime Law Dictionary.
Mr. Wang Jianxin, male, 31 years old, is a judge of Wuhan Maritime Court.He graduated from Zhongnan University of Economics and Law with a bachelor's degree in law.Now he is pursuing a master degree in law at Wuhan University.He has delivered over 10 articles or case studies in The Guidelines and Studies on the Trial of the Commercial and the Maritime Cases Involving Foreign Interests in China, Newsletter of China Maritime Law Association, China Shipping, Inside and Outside the Courtroom, etc.Some of his articles have won awards.His outstanding articles include the "Independence of the Arbitration Clause" and the "Problems and Solutions in the Enforcement of Civil Matters."
THE APPLICATION OF
THE INTERNATIONAL MARITIME PRACTICE
1.An outline of the issues
Following the globalization of the world economy and China's accession to the WTO, the economic entities, the government bodies, the judiciary and some other sectors propose that "the matters should be handled in accordance with the international practice" and that "the international practice should be followed."However, what is the international practice?There still lack systematic studies.The understanding also lacks uniformity.In the course of application, the actual needs of the relevant party prevail.For example, in a monograph entitled "International Treaties and Practice", no practice is found at all.In pursuance of their interests, some sectors regard the trade forms as the international practice.Actually, this is to protect the interests of the relevant sectors.As a result, some experts in the legal sector state bluntly that "some false 'international practice' must be cracked down" .In the courtroom, some lawyers even "argue" that the international practice must be followed.However, they fail to clarify which international practice is applicable at all.In the commercial and the maritime proceedings involving foreign interests, some judges are of the view that if the laws in China or the international treaties are silent as to an issue, there shall be no legal basis for such issue.Some rulings read that "[i]n accordance with so-and-so law and the international practice, this Court hereby rules that …" However, which international practice are they talking about?There is no quotation or explanation in the whole passage.As can be seen from the above examples, the international practice has been regarded as "God."When there is a need, it will be immediately available.When it is available, it can be used immediately.When it is used, it will bring benefits to the user.
In the international private law, the international practice mainly regulates the private legal relationship between the civil subjects.The international maritime practice falls into this category.To prevent the abuse of the international practice, we must carry out a special study on the application of the international maritime practice.
2.The concept of the practice
2.1A basic definition
The Chinese laws have no specific provision on the concept of the international practice.In the academic sector, there are three representative views on the international practice, viz:
(1)International practice is a customary legal norm which is gradually formed in the course of the international dealings.It is not binding unless it is recognized by the countries concerned.
(2)International practice is a discretionary norm which is gradually and naturally formed in the course of the international trade.It is often complied with and generally accepted in an area, an industry or a kind of trade.It produces a corresponding sense of obligation and a reasonable expectation.
(3)International practice relates to a recognized customary norm which is formed through repeated practice in the course of the international dealings.It is comprised of international "customs" and "usage."
The above three views have different focuses.They reveal the main features of the international practice to different degrees.However, none of them are complete.
The first view distinguishes the international practice from the domestic law and the international treaties.However, its denotation is too narrow as in certain circumstances the international practice is binding.
The second view reveals the generality of the international practice in a more comprehensive way.However, it does not mention the compiling bodies of the international practice.
The third view reveals the course of the formation of the international practice.However, it is too abstract.It fails to reflect the written feature of the international practice.
From the above views, international practice is a norm which is formed in the international business dealings through long-term practice.It is also complied by the international non-governmental organizations.As can be seen from the above, international maritime practice is a norm which is gradually formed in the international maritime industry through the long-term practice of the shipping and the marine transport relationships.It is compiled by the non-governmental organizations.It is often complied with and generally accepted to a larger extent.It also produces a reasonable expectation.
The basic features of the international maritime practice are as follows:
(1)Transnational: It governs the transnational civil and commercial acts and matters.
(2)Discretionary: It is compiled by the non-governmental organizations.It is unenforceable.It is not binding until it is expressly or impliedly adopted by the parties.
(3)Universal: It is formed in the economic dealings involving foreign interests through repeated practice.It is generally known or ought to be known to a larger extent.
(4)Specialized: It is a norm formed in the practice of shipping transport.It is highly specialized.
(5)Standard: It regulates the conduct of ships and shipping in international maritime industry.This is one of the basic factor for a custom to become law.
For avoidance of doubt, international maritime practice is different from the customary practice of a trade.The fundamental distinction is that the customary practice of a trade does not stem from a sense of obligation.It is not accompanied by a legal consciousness.It cannot develop into international practice until they are universal to certain extent and become more stable.
2.2Types of practice
International practice primarily comes from the international maritime practice.According to the general view, Lex Rhodia (ie the customary law on navigation which came into existence along the coast of Mediterranean Sea in the 9th Century BC) is the source of the international maritime practice.Lex Rhodia mainly dealt with general average.It was a custom to solve disputes.International maritime practice deals with, inter alia, marine transport, marine cargo or ship insurance, lease of vessels and shipping agency.In the maritime proceedings, the following types of international practice are mainly involved:
2.2.1For the international maritime practice which has a close relationship with the trial of the maritime cases, there are Incoterms 2000 and UCP 500.Both are compiled by ICC.
In disputes over damage and shortlanding of cargo under the contracts for carriage of goods by sea, Incoterms 2000 are an important basis in determining the share of the liability and the risks.
UCP 500 deals with the legal relationship between parties to a letter of credit.It is also an important basis in trying the disputes arising under contracts for carriage of goods by sea, disputes arising under bills of lading and maritime fraud.
In addition, ICC has compiled the URC 1978 in connection with the trial of the maritime cases.
Another important international practice is Warsaw-Oxford Rules.They are compiled by ILA.They provide a set of uniform rules (which can be easily incorporated into the CIF contracts) for people who trade the cargo on CIF terms without a standard contract form or general terms and conditions.They deal with the share of the risks and the transfer of the title in the international sales of goods in connection with the maritime cases involving foreign interests.
2.2.2Regarding international freight forwarding, there are standard trading condition of international freight forwarders, model rules for freight forwarding services and various kinds of shipping document.They are compiled or formulated by FIATA.Such practice has extensive influence on the international society.It plays an important role in determining the status of a freight forwarder in the legal relationship under a freight forwarding agreement.
2.2.3For marine transport and insurance, there are CBL 1974 and URCTD 1973.Both of them are compiled by ICC.
There are also IMC's York-Antwerp Rules and ILU's ILU Cargo Insurance Terms and IHC 2002.
The above international maritime practice regulates the adjustment of the general average and the cargo and vessel insurance.It is also a typical international maritime practice.
In addition, there are CMI Uniform Rules for Sea Waybills 1990 and CMI Rules of Electronic Bills of Lading 1990.
2.2.4For charterparties, the uniform contract forms are an important kind of the international maritime practice.Some of them are formulated by the non-governmental organizations, whereas some of them by a trade or shipping association.In trying the maritime cases, the courts usually come across with the Gencon Voyage Charters and the Baltime Time Charters.Both of them are formulated by BIMCO.The courts will also come across New York Produce Exchange Time Charters, the Australian Grain Charters, the Asbatankvoy (prepared by the Association of Ship Brokers & Agents (U.S.A.)), the Charterparty and Shipping Terms, etc.Many shipping companies in the World often incorporate the above charter terms into the bills of lading.The dispute arising under the bill of lading over the jurisdiction is very common.The Charterparty Laytime Definitions (by British Shipping Federation and BIMCO in 1980) is also a key international maritime practice for determining the demurrage and the despatch monies.
3.The nature of the practice
Is the international maritime practice a law?What kind of law is it?Those question must be answered by us.
There are three views on those questions.The first view is that international practice is a law.It is because it is universal, authoritative and enforceable.This is essential in distinguishing the international practice as a law from the religious, moral and other general social norms.
The second view is that international practice is not a law.It is because it is unforeseeable and lacks the will of the state.It cannot be applicable automatically.
The third view is that the international practice is a "quasi-law."It is because its legal status has not yet been generally recognized by different countries.It is only a tool to plug the loopholes of the laws.
We are of the view that the international maritime practice is a transnational norm.We should not determine its nature solely from the standpoint of the domestic laws.We should also consider its nature from the standpoint of the new international civil and commercial order."quasi-law" is not a conclusive remark of the international practice.It is a general description from the standpoint of the functions of the international practice.The international maritime practice is not only a law, but also a law which requires respect and correct application.
3.1Law relates to the generally valid political principles and moral justice.It is an abstract concept.Laws relate to the specific rules of conduct formulated and promulgated by the authorities of a country.They are an embodiment of law. Law includes laws but does not refer to laws only.
The term "law" not only refers to the objective rules formulated by one or more than one legislative body of a country, but also refers to a contract between both parties with extensive binding effect.In this regards, an individual contract and a widely adopted typical contract form can be referred to as the "contract law."
The above is a German scholar Nobert Horn's understanding of law.According to this viewpoint, when both parties choose an international practice, such international practice shall become law.
Cilve M. Schmitthoff, an important founder of the international trade law, stated that:
We also give the status of law to the practice generally accepted by an organization, the code of conduct, the guidelines of a professional and the quasi-professional institution, gentleman's agreements, and other arrangements which are regarded as unenforceable in the courts.
Therefore law should include the rules of conduct generally accepted in the international maritime industry.In other words, it should the international practice.
3.2From the standpoint of the development of the modern international private law, international practice should not only be combined with the political system.In modern society, no matter what kind of country a jurisdiction belongs to and no matter whether a jurisdiction is a developed or a developing country, there are common or similar basic principles and systems acceptable to different countries.To participate in the competition in the international society and to seek development, it is necessary for the counties to recognize the binding effect of the international practices in law.In the course of the formulation and the operation of the domestic civil and commercial laws in various countries, more and more general practice of the international society and international practice are included.According to the proposition of movements and development under the systematic theory, in examining the legal nature of the international practice, we should be adapted to a new concept of law.
3.3International practice is a matter of the substantive law.From the practical point of view, international practice often regulates the rights and obligations between both parties.It itself relates to a kind of substantive rights and obligations.In respect of the the conflict of laws, there is no written practice compiled by an international non-governmental organization. Some people suggest that the general rules of conflict are also an international practice on the grounds that "the title to the immovables is governed by the law of the place where the immovable are located."This kind of view is open to question.We are of the view that such rule has not yet been compiled by any non-governmental organization.It lacks certainty.It can only be regarded as a customary practice of each country's judiciary.Indeed, a customary practice is different from international practice.Discretionary international practice only refers to a number of substantive international business practice existing in the international contracts, international trade and international maritime and commercial arbitration. From the standpoint of the legal rules, the laws in China provide that international practice is meant to plug the loopholes of the domestic legislation and the international treaties.At this stage, China has not used the international practice concerning jurisdiction and the application of law to plug the loopholes of the domestic legislation or the international treaties.The international practice complied by the non-governmental organizations in relation to the conflict of law and the procedure law is lessauthoritative. Without doubt, the provision of Article 142 of the General Principles of the Civil Law that "the international practice may apply" means that the substantive international practice may apply.This kind of construction is in a better position to reflect the gist of the legislation.
According to the principle of coherence of the laws of a country, other civil laws in connection with the international practice, such as the Maritime Law, the Bills Law and Civil Aviation Law, should be consistent with this kind of construction.
3.4Both Article 142 of the General Principles of the Civil Law and Article 268 of the Maritime Law provide that:
[i]f a matter is not covered by the law of the People's Republic of China and international treaties to which the People's Republic of China is a signatory or a party, international practice may apply.
Articles 8 and 9 of the United Nations Convention on Contracts for the International Sales of Goods 1980 also specify that both parties may agree to apply the international practice.As can be seen from the provisions of the domestic legislation and the international treaties, international practice is a legal basis for the judiciary to try the cases.This shows that the legislation has recognized its legal force and effect.The recognition of an international business practice by a country suggests that the country has conferred a discretionary legal status to such practice.
The legal rules of a country consist of the coercive and the discretionary rules.The coercive rules mainly exist in the civil and the commercial laws.They are not binding on both parties coercively.However, their legally binding effect cannot be denied.
For the provisions of the domestic laws and the international treaties on the legal force and effect of the international practice, there are three main positions.
(1)Contractual: The international practice shall be binding on both parties only when they agree that the international practice applies.This is often achieved indirectly by the recognition of the "principle of the autonomy of the will" of both parties by the domestic legislation and the international treaties.In maritime cases, a typical example is the incorporation of the clauses of various kinds of charterparties into a bill of lading.
(2)Mandatory: Through domestic legislation, general binding effect is conferred to an international practice.No matter whether the parties have chosen such international practice by way of agreement, to the extent that such international practice has become equally binding with the domestic legislation, it must apply.
Its effect is mandatory.This is reflected in the laws of Spain, Iraq, etc.
(3)Supplemental: If the domestic laws and the international treaties to which a country is a signatory or a party are silent as to a matter, a particular international practice shall apply to fill the gap.For example, this principle is applied in China.This principle is also a general principle in the international private law.It can be shown in two aspects.
First, if the domestic laws and the international treaties are silent as to a matter, the international practice shall apply.For example, Article 268(2) of the Maritime Law provides that:
[i]f the matter is not covered by the law of the People's Republic of China and international treaties to which the People's Republic of China is a signatory or a party, international practice may apply.
Article 142(3) of the General Principles of the Civil Law also has the same provisions.
Second, international practice may apply in interpretation.For example, Article 125 of the Contract Law provides that if the parties have any dispute over the meaning of a clause of a contract, the true meaning of such clause can be determined by the trade customs.In the era of the globalization of the world economy, many foreign trade customs have developed into international practice.In the disputes arising under the business and shipping contracts involving foreign interests, when the parties have disputes over the meaning of a clause, the clause can be construed by reference to the international practice.This does not violate the gist of the legislation in China.
4.The application of the practice
4.1The necessity of application
Following the globalization of the world economy and the acceleration of the integration of the international private law, it is very important to comply with the international treaties and respect the international practice.The international maritime practice not only fills the gap of the domestic laws and the international treaties, but also has incomparable superiority over the domestic laws and the international treaties.It should be strictly complied with and applied in the maritime judicial practice.The necessity of applying the international maritime practice is mainly reflected in two aspects:
4.1.1Most of the international maritime practice is complied by the international non-governmental organizations without lengthy negotiations and approval procedure.
International maritime practice is also amended on a timely basis.Its contents are well-structured and universal.For example, the Incoterms have been amended for 6 times.They are representative and applicable to certain extent.They are generally accepted in the international society.It is the most influential international practice of which the scope of application is the biggest. The application of the international maritime practice not only saves time in negotiating a contract, but also avoids or reduces disputes.
This is useful in preserving the interests of the parties from different cultural and legal backgrounds.The legal rights and interests of the Chinese and the foreign parties are also protected impartially.Many sovereign states in the world widely recognize the binding effect of the international maritime practice in order to cater for the needs of the more and more frequent international civil and commercial dealings.For example, the insurance policies prepared by London Marine Underwriters Association, UK, which is the most influential institute in the international marine insurance sector, specifically provide that the policies shall be subject to the international practice.
4.1.2The application of the international maritime practice is the simplest way to prevent and eliminate conflict of laws, thereby substantially reducing the conflict of laws between different countries and replacing he laws with a uniform and universally applicable practice.How to integrate the laws in China with the established international practice?How to draw on the experience of the foreign countries and absorb their advanced international private law system?This is an important topic concerning the application of the law following China's accession to the WTO.On the one hand, the scholars have to discuss this topic in depth.On the other hand, the driving force of the maritime judicial practice cannot be ignored.While complying with the international treaties and respecting the international practice, the regime of the application of law in China (which should follow the trend of the world) should be constructed from a cross-century standpoint.
Of course, international maritime practice is discretionary.It cannot cover all aspects of the commercial and maritime proceedings.However, this does not affect the dynamics of the international practice.The 21st century will be a period of the active integration of the international private law treaties with the international practice.This will lead to an assimilation of the domestic laws (in particular the civil and the commercial laws) of different countries.This trend will be very strong.
4.2The conditions for application
Different countries have different positions on the application of the international practice.However, generally speaking, they adopt a quite relaxed approach to the international practice.The developed and the developing countries seldom exclude the application of the international practice.Having regard to the characteristics of the international maritime practice, in accordance with the laws in China, to apply an international maritime practice, the following conditions should be fulfilled:
4.2.1When an international maritime practice is applied in the maritime proceedings, the proper law of the issues in dispute should allow the application of the international practice.The relevant substantive laws in China provide that the international practice may apply.When the laws of China (such as the Maritime Law and the General Principles of the Civil Law) are adopted as the proper law, the relevant international practice may apply.If the proper law of the issue in dispute does not allow the application of the international practice, the international practice shall not apply.In a nutshell, in determining whether an international practice shall apply, the issue of the proper law shall be tackled first.The proper law issue is a pre-condition for the application of the international practice.For avoidance of doubt, Article 269 of the Maritime Law provides that if the parties to a contract do not select the proper law, the proper law may be determined pursuant to the principle of proximate connection.Since the international practice is not domestic legislation, when the proper law is determined pursuant to the principle of proximate connection, the proper law should be the domestic legislation, exclusive of the international practice.
4.2.2The application of the international maritime practice cannot be inconsistent with the domestic laws and the international treaties to which China is a signatory or a party.The laws in China provide that the international practice shall play a supplemental role.International practice shall apply only when the domestic legislation and the international treaties are silent as to an issue.Otherwise, it shall not apply.For the purpose of this paragraph, "inconsistency" means the inconsistency between the international practice and the coercive rules of the domestic laws or the international treaties.In respect of the discretionary rules, there is no inconsistency.From this an order of priority of the international practice, the domestic laws and the international treaties in the commercial and maritime cases involving foreign interests can be inferred.The international treaties shall apply first, the domestic laws shall come second, and the international practice shall come third.In respect of the non-coercive rules, when the parties choose the international practice and exclude the domestic laws, the international practice shall apply.
4.2.3In the facts of each case, there should exist applicable international maritime practice.If, through various channels, the applicable international maritime practice cannot be ascertained, it will be meaningless to apply any international maritime practice.When the international maritime practice cannot be ascertained, there is a view that the international treaties to which China is not a signatory or party can be consulted.There is another view that the relevant principles of law and cases can play a supplemental role.Having regard to the judicial practice, we are of the view that it will be more practical to consult the relevant basic principles of law or the most similar legal provisions in China to tackle this problem.
4.2.4The parties must have voluntarily selected, or have not expressly excluded, the application of the international maritime practice.Since the international maritime practice is a discretionary legal rule, if the parties have voluntarily selected the application of the international maritime practice, the practice shall be binding on the parties.If the parties have not expressly excluded the application of the international practice, the dispute between the parties can be handled by inferring an applicable international practice.International practice is within the realm of the autonomy of the parties' will.If, in a contract, the parties have expressly excluded the application of a practice, such practice shall not be binding on the parties notwithstanding that such practice has been widely known and generally complied with.
4.2.5The application of the international maritime practice cannot violate the public order.The principle of the preservation of the public order is always adhered in China in applying the foreign laws and the international practice.In 1998, when Wuhan Maritime Court tried the case of a pirate ship "TIAN YU," it excluded the application of the UCP 500 according to the principle that "marine fraud was exception" and granted an injunction against the cargo payment under a letter of credit.In that case, the principle of the preservation of the public order applied and good social effect was achieved.If the court adopted the principle that "the payment under the letter of credit was a separate payment" and refused to grant an injunction against the cargo payment under a letter of credit, it would indulge piracy, which has been regarded as an international crime and even an international terrorist act.It would obviously violate the public order.This is a view that the legislation in China should no longer exclude the application of the international practice by adhering to the principle of the preservation of the public order.It is because since the international practice applies only when the domestic laws and the international treaties are silent as to an issue, if the application of the international practice is excluded, there will be no legal basis in delivering a ruling.The western countries have not yet given up the right to preserve public order.As that principle can be applied when the international treaties are applied, why it cannot be applied when the international practice is applied?In commercial and maritime proceedings involving foreign interests, if the legal provisions are silent as to an issue, even in the absence of the international practices, the principles of "good faith" and "fair and just" can be applied to handle the dispute.
4.3Method of application
The method of the application of the international maritime practice is correlated with the nature of the practice and the conditions for application.It is distinguished from the method of application of the domestic laws and the international treaties.The latter is usually applied through the legal rules on the rules of the conflict of law, whereas the former is different.According to the nature and the characteristics of the international maritime practice, there are a few methods of application:
4.3.1The parties may in the contract expressly select an international maritime practice as the proper law.In and upon entering into a contract and even in the proceedings, the parties may expressly select a particular international practice as the proper law to solve their disputes.On 21 April 1994, when the House of Lords, UK tried the case in connection with MV "BIJELA", it overruled the decision of the Court of Appeal on the grounds that the parties had expressly agreed in the charterparty that the York-Antwerp Rules 1974 should apply.The House of Lords was of the view that the international practice should apply in that case.Accordingly, the temporary repair fee of the vessel was included in the general average.The judges of the House of Lords did not allow the interpretation adopted by the judges of the Court of Appeal.They upheld the status of the international maritime practice.The judgment of the House of Lords has significant impact on the maritime judicial sector.
4.3.2The applicable international maritime practice may be inferred from the facts of a case.As mentioned in the above, when the parties have not expressly excluded the application of the international practice, in certain circumstances, an applicable international maritime practice may be inferred.Article 9(2) of the United Nations Convention on Contracts for the International Sales of Goods 1980 provides that:
[u]nless otherwise agreed, both parties shall be regarded as having tacitly agreed that the practice known or ought to be known by both parties shall be applicable to their contract or the entry into of their contract.
Accordingly, in the absence of the express choice of the practice, the parties tacit agreement that a particular international maritime practice shall apply to the international business or the maritime contract can be ascertained from certain facts.
4.3.3The coercive rules of the domestic laws or the international treaties may provide that the international maritime practice shall apply.This method does not require the choice of the parties.It also does not require inference.To the extent that the legal provisions are complied with, this method can be used.In the world, only Spain, Iraq and some other countries unconditionally apply the international practice.They confer legally binding effect to the international practice through domestic legislation.However, not all international practice is applicable unconditionally.All import transactions in Spain and all import and export transactions in Iraq shall be subject to the Incoterms.
4.3.4The applicable international maritime practice may be consulted.At present, the arbitration rules have provisions on this method.No matter what proper law applies, the relevant international practice shall be considered.For example, Article 33(3) of the UNCITRAL Arbitration Rules and Article 13(5) of the ICC Arbitration Rules provide that in all circumstances the arbitrators shall consider the relevant practice.Article 53 of the Arbitration Rules of CIETAC provides that "[t]he Arbitration tribunal shall, pursuant to the facts and in accordance with the laws and the provisions of the contract and by reference to the international practice..."As can be seen from the practice of the international commercial arbitration and litigation, "the laws are not the sole basis of judgment."
The laws in China allow the parties to a contract involving foreign interests to choose the applicable law of a dispute.However, it is silent as to whether the parties may choose an applicable international practice.In practice, according to the principle of the "autonomy of will of the parties," the judiciary in China has no justification to deny the parties' agreement on the choice of the applicable international practice.In trying the maritime cases, the effect of this method should be recognized.The parties should be allowed to choose an applicable international practice as the proper law of the contract.As it is feasible in terms of legal theory to apply an international practice independently, it will also be feasible to apply both the international maritime practice and the domestic law for complementary purpose to the extent that the international maritime practice so applied does not violate the coercive rules of the laws in China and the international treaties to which China is a signatory or a party.
4.4.The identification and the ascertaining of a practice
4.4.1The criteria for identification
The identification of a practice is a process that prior to the application of an international maritime practice, the nature of the facts will be determined or categorized pursuant to certain judicial concepts.Then the facts will go under certain international maritime practice.
Finally, the court will determine which kind of international maritime practice shall be invoked.The identification of an international maritime practice should solve two issues.The first issue is whether a particular dispute should fall into a category where the international maritime practice applies.This requires a determination of the international commercial or shipping practice.The second issue is whether a specific range of the international maritime practice is applicable to a dispute.This requires a distinction of the subject from the object under the international practice.The international maritime practice can only be applied correctly in the judicial practice only when the above two issues are addressed correctly.
The criteria for identifying an international maritime practice are comprised of the subjective and the objective criteria.Subjective criteria require that the application of a particular commercial or shipping practice needs the express or implied consent of both parties.An express con
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