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5 chapter 5 cargo transportation(2)(3)(1)_图文

5 chapter 5 cargo transportation(2)(3)(1)_图文

5.2 Transport Documents
International trade attaches so great importance to shipping documents that, to a certain degree, it can be called trade of documents, or “symbolic” trade. This is because shipping documents represent the title to the goods. For example, under letter of credit, the buyer cannot take the delivery of the goods until he obtains the shipping documents; on the other hand, only if the seller releases the shipping documents can he receive the payment. What documents to be used and how to carefully and accurately complete them deserve our adequate attention.

Bill of exchange Bill of lading Certificate of Origin

Leading Documents


Insurance policy

Packing List

1) Functions of Bill of Lading 2) Contents of Bill of Lading
3) Types of Bill of Lading

4) Other types of Bill of Lading

(1) On board B/L and received for shipment B/L

Classification of Bill of Lading

(2) Clean bill and unclean bill

(3) A straight B/L, An order B/L and A blank B/L

(4) A direct B/L, A transshipment B/L, A through B/L

(5) A long form B/L, A short form B/L

(6) A freight prepaid B/L, A freight to be collected B/L
(7) A liner B/L, A charter party B/L (8) Other types of B/L

5.2 Transport Documents 5.2.1 Bill of Lading
? a document issued by an ocean carrier to a shipper with whom the carrier has entered into a contract for the carriage of goods.

2、Function of B/L
? a receipt of cargo ? an evidence of contract of carriage ? a document title to the goods

– on the face正面 ? Information concerning contracted parties, full particulars of the cargo, terms of carriage contract… – on the back 反面 ? the general terms and conditions

4、Types of Bill of Lading 提单的种类
? according to whether the goods have been loaded on board the carrying vessel
– shipped B/L 已装船提单 ? Issued after goods shipped on board the vessel ? Indicating date of shipment and name of the vessel – received for Shipment B/L备运提单
? ? Goods being received but not yet loaded Difficult to anticipate date of arrival, so not favorable by buyer Ways of becoming Shipped B/L
– Exchange for a Shipped B/L after goods are shipped on board – Wording such as “Goods shipped on board S/S Red Star on May 10, 2011” added and signed by the carrier or the agent on the received B/L



according to the condition of the exterior packing of the received cargo
– clean B/L 清洁提单
? Proof that goods have been “shipped in apparent good order and condition” or “clean on board” or the like Favored by buyers and banks for financial settlement Marked as “unclean”, “foul” etc. e.g.. 2 cases missing, 3 cartons wet, 1 case broken, cases inadequately packed Usually unacceptable to buyers and banks


– unclean B/L不清洁提单



according to the address of the consignee
– straight B/L记名提单
? ? ? ? ? ? ? Made out to a designated consignee Only the named consignee is entitled to the cargo Not transferable No name of a definite consignee The consignee box left blank or open, or bearing the wording “To bearer” Can be transferred without endorsement High risk → unfavorable in international trade

– open B/L (barer B/L, Blank B/L) 不记名提单

4、Types of Bill of Lading 提单的种类
– Order B/L 指示提单
? ?

Made out to the order of a named person No definite consignee, “To order” “To order of the shipper” or “To order of the consignee” instead Negotiable and transferable,but need endorsement
– Special endorsement: signature of the endorser and name of the endorsee – Blank endorsement: signature of the endorser but no name of the endorsee


Widely used in international trade

Example for order B/L: Consignee: to order (凭指定) to order of shipper (凭发货人指定) to order of ××CO,Ltd.(凭收货人指定 ) to order of ××Bank.(凭××银行指定 )

4、Types of Bill of Lading 提单的种类
? according to whether transshipment is involved in transit
– direct B/L 直达提单
? ? ? ? ? port of shipment → port of destination Preferred by the buyer port of shipment → intermediate port → port of destination Involving additional charges, longer time and higher risks in transit, therefore unfavorable to the buyer Acceptable only when there is no direct service

– transshipment B/L 转船提单

4、Types of Bill of Lading 提单的种类
? according to the perplexity or simplicity of the content
– long form B/L 全式提单
? detailed shipping contract clause printed on both the face and the back simplified and abbreviated no detailed shipping contract clause esp. on the back not suitable for evidence of contract of carriage

– Short form B/L 简式提单
? ? ?

4、Types of Bill of Lading 提单的种类
? according to the payment condition of freight
– freight prepaid B/L 运费预付提单
? ? Issued only after freight having been paid Normally suitable for Sales Contracts on trade terms (e.g. CFR/CIF ) where the seller is obliged to arrange contract of carriage and pay the freight. Wording such as “Freight payable at destination” or “Freight to collect at destination” is indicated Normally suitable for Sales Contracts (e.g. FOB) where contract of carriage is arranged by the seller on behalf of the buyer

– freight to be collected B/L 运费到付提单
? ?


according to the validity
– original B/L正本提单
? ? ? ? Valid only after being singed by the shipping company or its agent Showing “Original” and the number of the signed originals Normally made out in a set of three originals Presented for taking the delivery of the goods at destination, one is used, the others becomes void automatically Bearing “Copy” “Duplicate” or “Non-negotiable” Normally only used for reference or for records made out in several to be a full set of together with the originals

– Copy B/L 副本提单
? ? ?

5、other types of Bill of Lading 其他种类的提单


Stale B/L过期提单
– presented later than the latest presentation date specified in the L/C – or presented later than the goods’ arrival at the destination – UCP 600: the B/L shall be presented within 21 days after issuance, unless otherwise stipulated in the credit – necessary to add a clause that a “Stale B/L is acceptable” in the contract for short voyages

5、other types of Bill of Lading 其他种类的提单


Anti-dated B/L倒签提单
– the shipment date shown on the bill being earlier than the actual one – issued at the request of the shipper to meet the time of shipment stipulated in the credit – for the avoidance of a non-payment – constitute a fraud 欺骗行为

5、other types of Bill of Lading 其他种类的提单


Advanced B/L预借提单
– issued before actual loading of the goods is completed or even before the commencement of the actual loading operation – issued when the time of shipment stipulated in the L/C is almost due but the actual loading of the goods is not yet completed or the goods are not ready for shipment. – issued at the request of the seller – for the avoidance of a non-payment – constitute a fraud 欺骗行为

5、other types of Bill of Lading 其他种类的提单


On deck B/L舱面提单
– indicating that the goods are stowed and shipped on deck – carrier being responsible for the damage & losses – usu. unacceptable to buyer and bank unless the credit stipulates otherwise – special arrangement for insurance is needed if applicable







全套清洁已装船海运提单,做成空 白抬头、空白背书,注明运费预付 ,装运日期不迟于信用证的最迟装 运日期,也不得早于信用证的开证 日期。还需附带三份不可议付的副 本。

5.3.2 Other types of transportation documents
(二) 其他运输单据

– – – – –

Sea Waybill Air Waybill Consignment Note (Rail Waybill) Road Consignment Note Multimodal Transportation Document (MTD)

5.4 shipment clause in the sales contract

time of shipment vs. time of delivery (装运期VS. 交货期)
– for shipment contracts time of shipment = time of delivery – for all arrival contracts time of shipment ≠ time of delivery

5.4.1 time of shipment vs. time of delivery

1 The time of shipment refers to the time limit for loading the goods on board the vessel at the port of shipment. 2 The time of delivery refers to the time limit during which the seller shall deliver the goods to the buyer at the agreed place by the agreed methods.

There are the following ways to stipulate the time of delivery in the contract.
– specifying a fixed period of time or a deadline
? Shipment is to be made during January/February/March 2011 ? Shipment not later than 31st July, 2011

– setting a time period upon receipt of payment
? Shipment is to be made within 30 days after receipt of the L/C. The relevant L/C must reach the seller not later than 30th June, 2011.

5.4.1 time of shipment vs. time of delivery


Issues concerning time of shipment
– Sufficiency
? ? ? availability of goods availability of shipping space Payment
– Normally L/C should arrive at least 15 days before the time of shipment to allow time for examining and modifying L/C

– Flexibility: avoid “shipment on May 15th” – Clarity
? avoid wording like “Immediate shipment”, “Prompt shipment”, “Shipment as soon as possible” etc.

5.4.2 Port of shipment & Port of destination (二)装运港和目的港

Port of Shipment Port of Destination

Guangzhou Shanghai/Xiamen/Dalian Guangdong Port(s) China Port(s)

London EMP

5.4.2 Port of shipment & Port of destination (二)装运港和目的港


Issues concerning port of shipment and destination:
– close to the origin of the goods – considering port facilities, regulations, specific transportation conditions, charges and possible sanctions.. – definite and specific – being aware of different ports in the same name

5.4.3 Partial shipment & Transshipment 分批装运与转运 1)Partial Shipment分批装运
Means that the commodities under a contract are to be shipped in more than one lot Partial shipments allowed. (prohibited) Shipment should be effected within Jan/Feb/Mar 2003 in three lots. ……in three equal monthly lots. Shipment should be effected within May/June in three lots, 500M/T for each.

Relative Stipulations in UCP 600
? Partial shipments are allowed, unless the Credit stipulates otherwise. ?40条(a) 除非信用证另有规定,可视为允许 分批装运。

Relative Stipulations in UCP 600
?Transport documents which appear on their face to indicate that shipment has been made on the same means of conveyance and for the same journey, provided they indicate the same destination, will not be regarded as covering partial shipments, even if the transport documents indicate different dates of shipment and/or different ports of loading, places of taking in charge, or dispatch.
?40条(b)运输单据标明注明货物系使用同一运输工 具装载并经同一线路运输的,即使每套运输单据显示的 装运日期不同,或装货港、接受监管地、发运地不同, 只要运输单据注明的目的地相同,也不视为分批装运。

? If shipments by installments within given periods are stipulated in the Credit and any installment is not drawn and/or shipped within the period allowed for that installment, the Credit ceases to be available for that and any subsequent installments, unless otherwise stipulated in the Credit.
?UCP 600 41条:若其中一期未按规定装运,则信用证 对该期及以后各期均告失效。


某国际贸易公司有一笔对乔治公司出口花生仁的 贸易,总货量为500吨。信用证规定:“分5个月装运: 3月份80吨,4月份120吨,5月份140吨,6月份110 吨;7月份50吨。每月不许分批装运,从中国港口至 伦敦。” 该公司3、4月份均顺利发货并收回货款。 后因货源不足于5月20日在青岛港只装了70.5吨,取 得了提单。经联系烟台某公司有一部分同样品质规格 的货物,所以要求货轮再驶往烟台港继续再装了64.1 吨,取得另一张提单。单据寄到开证行被认为单证不 符,拒绝付款。理由是:1)不符合信用证中每月不 允许分批装运的规定;2)短装5.4吨,不符信用证要 求。

广东某出口公司与外商签定了一笔出 口荔枝的合同,合同规定总数量为1200公 吨,交货期4--7月份,每月平均装运300公 吨,以信用证方式付款。对方按合同规定 如期开来了信用证。该出口公司4月份交货 300公吨,并顺利取得货款。5月份备货不 充分,只交出250公吨,不足的50公吨意欲 于6月一并交出。但遭到银行的拒付。

? Transshipment
Transshipment permitted .

Transshipment not allowed.
Transshipment at ……port.

Relative Stipulations in UCP 600
? Unless otherwise stipulated in the credit, transshipment is allowed.

Case 3
? We exported to South Africa 2000 metric tons of chemical products with letter of credit payment term. The L/C stated: "partial shipment prohibited whereas transshipment allowed." the L/C also indicated: "Be subjected to UCP 600". Now it is known that: the shipping period is approaching, we have set a S/S "Yellowstone" heading for South Africa, the ship first docked at Xingang and then Qingdao. But at this time, the batch of chemical products are separated in Xingang Port and Qingdao by 1000 metric tons respectively.

Contract Terms
? Terms of shipment include: 装运条款包括: 1. methods of transport 运输方式 2. time for shipment 装期 3. partial shipment 分批装运 4. transshipment转运 5. port or place of loading and unloading 装卸港 和装卸地 6. shipping documents 装运单据

There are several ways of stipulating time of shipement:有很多方法规定装期: 1. on or about 左右,five days before to five days after the specified date. 2. not later than=latest date 最晚,include the date mentioned 3. during 在…期间,include the date mentioned 4. within 在…之内,include the date mentioned

5. to, until, till, from 到,直到,直到,从, include the date mentioned 6. between, before, after 之间,之前,之后, exclude the date mentioned 7. first half, second half 上半月,下半月 include the date mentioned 8. beginning, middle, end 月初,月中,月末 include the date mentioned

? The time of shipment should be stipulated in a clear and flexible way. 装期的规定应该清晰 而灵活。 ? Expressions such as “prompt”, “immediately”, “as soon as possible”, and the like should not be used. If they are used banks will disregard them. 不应使用诸如“迅速”、“立即”、 “尽快”之类的词语,如使用此词语,银 行将不予置理。

? Sometimes, the L/C simply stipulates an expiry date without a shipment date, which means these two dates are the same. 有时,信 用证只规定一个有效期,而没有规定装期, 这意味着装期和有效期是同一天。 ? If the exporter ships the goods on July 31, it is very difficult for him to present the documents to the bank on the same day. ? 如果出口商在7月31日装运货物,则很难在 同一天将单据交给银行。

(1)Booking Note (B/N)----托运单 (2)Shipping Order(S/O)----装货单 (3)Mate’s Receipt(M/R)-----收货单/大副收 据 (4)Bill of Lading(B/L)----------提单 (5)Loading List (L/L)------------装货清单 (6)Manifest (M/F)------------------载货清单 (7)Dangerous Cargo List-------------危险品清单 (8)Delivery Order(D/O)-------------提货单


Please finish the exercise in the text book
Case Study: Please read your case book


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