商务英语教程 A COURSE FOR BUSINESS ENGLISH employed. EXW, FCA, CPT, CIP, DAT, DAP and DDP belong to this class. They can be used even when there is no marit

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1 Unit 1 INCOTERMS 年国际贸易术语解释通则 Section A Reading Practice The Major Features of INCOTERMS 2010 The major features of INCOTERMS 2010 are briefly summarized as follows. 1. Two new INCOTERMS rules DAT and DAP have replaced the INCOTERMS 2000 rules DAF, DES, DEQ and DDU. The number of INCOTERMS rules has been reduced from 13 to 11. This has been achieved by substituting two rules that may be used irrespective of the agreed mode of transport DAT, Delivered at Terminal, and DAP, Delivered at Place for the INCOTERMS 2000 rules DAF, DES, DEQ and DDU. Under both new rules, delivery occurs at a named destination: in DAT, at the buyer s disposal unloaded from the arriving vehicle (as under the former DEQ rule); in DAP, likewise at the buyer s disposal, but ready for unloading (as under the former DAF, DES and DDU rules). The new rules make the INCOTERMS 2000 rules DES and DEQ superfluous. The named terminal in DAT may well be in a port, and DAT can therefore safely be used in cases where the INCOTERMS 2000 rule DEQ once was. Likewise, the arriving vehicle under DAP may well be a ship and the named place of destination may well be a port: consequently, DAP can safely be used in cases where the INCOTERMS 2000 rule DES once was. These new rules, like their predecessors, are delivered, with the seller bearing all the costs (other than those related to import clearance, where applicable) and risks involved in bringing the goods to the named place of destination. 2. Classification of the 11 INCOTERMS 2010 rules The 11 INCOTERMS 2010 rules are presented in two distinct classes: Class One consists of Rules for Any Mode or Modes of Transport, including EXW (ex works), FCA (free carrier), CPT (carriage paid to), CIP (carriage and insurance paid to), DAT (delivered at terminal), DAP (delivered at place), and DDP (delivered duty paid). Class Two is composed of Rules for Sea and Inland Waterway Transport, i.e., FAS (free alongside ship), FOB (free on board), CFR (cost and freight), and CIF (cost, insurance and freight). The first class includes the seven INCOTERMS 2010 rules that can be used irrespective of the mode of transport selected and irrespective of whether one or more than one mode of transport is 001

2 商务英语教程 A COURSE FOR BUSINESS ENGLISH employed. EXW, FCA, CPT, CIP, DAT, DAP and DDP belong to this class. They can be used even when there is no maritime transport at all. It is important to remember, however, that these rules can be used in cases where a ship is used for part of the carriage. In the second class of INCOTERMS 2010 rules, the point of delivery and the place to which the goods are carried to the buyer are both ports, hence the label sea and inland waterway rules. FAS, FOB, CFR and CIF belong to this class. Under the last three INCOTERMS rules, all mention of the ship s rail as the point of delivery has been omitted in preference for the goods being delivered when they are on board the vessel. This more closely reflects modern commercial reality and avoids the rather dated image of the risk swinging to and fro across an imaginary perpendicular line. 3. Rules for domestic and international trade INCOTERMS rules have traditionally been used in international sale contracts where goods pass across national borders. In various areas of the world, however, trade blocs, like the European Union, have made border formalities between different countries less significant. Consequently, the subtitle of the INCOTERMS 2010 rules formally recognizes that they are available for application to both international and domestic sale contracts. As a result, the INCOTERMS 2010 rules clearly state in a number of places that the obligation to comply with export/import formalities exists only where applicable. Two developments have persuaded ICC (International Chamber of Commerce) that a movement in this direction is timely. Firstly, traders commonly use INCOTERMS rules for purely domestic sale contract. The second reason is the greater willingness in the Unites States to use INCOTERMS rules in domestic trade rather than the former Uniform Commercial Code shipment and delivery terms. 4. Guidance notes Before each INCOTERMS 2010 rule you will find a Guidance Note. The Guidance Notes explain the fundamentals of each INCOTERMS rule, such as when it should be used, when risk passes, and how costs are allocated between the relevant seller and buyer. The Guidance Notes are not part of the actual INCOTERMS 2010 rules, but are intended to help the user accurately and efficiently steer towards the appropriate INCOTERMS rule for a particular transaction. 5. Electronic communication Previous versions of INCOTERMS rules have specified those documents that could be replaced by EDI messages. Articles A1/B1 of the INCOTERMS 2010 rules, however, now give electronic means of communication the same effect as paper communication, as long as the parties so agree or where customary. This formulation facilitates the evolution of new electronic procedures throughout the lifetime of the INCOTERMS 2010 rules. 6. Insurance cover The INCOTERMS 2010 rules are the first version of the INCOTERMS rules since the revision of the Institute Cargo Clauses and take account of alterations made to those clauses. The INCOTERMS 002

3 Unit rules place information duties relating to insurance in articles A3/B3, which deal with contracts of carriage and insurance. These provisions have been moved from the more generic articles found in articles A10/B10 of the INCOTERMS 2000 rules. The language in articles A2/B3 relating to insurance has also been altered with a view to clarifying the parties obligations in this regard. 7. Security-related clearances and information required for such clearances There is heightened concern nowadays about security in the movement of goods, requiring verification that the goods do not pose a threat to life or property for reasons other than their inherent nature. Therefore, the INCOTERMS 2010 rules have allocated obligations between the buyer and seller to obtain or to render assistance in obtaining security-related clearances, such as chain-ofcustody information, in articles A2/B2 and A10/B10 of various INCOTERMS rules. 8. Terminal handling charges Under INCOTERMS rules CPT, CIP, CFR, CIF, DAT, DAP, and DDP, the seller must make arrangements for the carriage of the goods to the agreed destination. While the freight is paid by the seller, it is actually paid for by the buyer as freight costs are normally included by the seller in the total selling price. The carriage costs will sometimes include the costs of handling and moving the goods within port or container terminal facilities and the carrier or terminal operator may well charge these costs to the buyer who receives the goods. In these circumstances, the buyer will want to avoid paying for the same service twice: once to the seller as part of the total selling price and once independently to the carrier or the terminal operator. The INCOTERMS 2010 rules seek to avoid this happening by clearly allocating such costs in articles A6/B6 of the relevant INCOTERMS rules. 9. String sales In the sale of commodities, as opposed to the sale of manufactured goods, cargo is frequently sold several times during transit down a string. When this happens, a seller in the middle of the string does not have to ship the goods because these have already been shipped by the first seller in the string. The seller in the middle of the string therefore performs its obligations towards its buyer not by shipping the goods, but by procuring goods that have been shipped. For clarification purposes, INCOTERMS 2010 rules include the obligation to procure goods shipped as an alternative to the obligation to ship goods in the relevant INCOTERMS rules. Excerpted from Main features of the INCOTERMS 2010 rules Introduction, INCOTERMS 2010 (ICC Publication No ) 003

4 商务英语教程 A COURSE FOR BUSINESS ENGLISH Notes and Explanations 1. INCOTERMS 年国际贸易术语解释通则 2. DAT 目的地港站交货 (delivered at terminal 的缩写 ) 3. DAP 指定目的地交货 (delivered at place 的缩写 ) 4. These new rules, like their predecessors, are delivered, with the seller bearing all the costs (other than those related to import clearance, where applicable) and risks involved in bringing the goods to the named place of destination. 这两条新规则和先前的几条规则一样, 是由卖方承担所有费用 ( 除与进口清算有关的费用外 ) 和货物到达目的地前的风险 5. Rules for Any Mode or Modes of Transport 适用于任何运输方式或多式联运的规则 6. EXW 工厂交货 (ex works 的缩写 ) 7. FCA 货交承运人 (free carrier 的缩写 ) 8. CPT 运费付至 (carriage paid to 的缩写 ) 9. CIP 运费及保险费付至 (carriage and insurance paid to 的缩写 ) 10. DDP 完税后交货 (delivered duty paid 的缩写 ) 11. Rules for Sea and Inland Waterway Transport 适用于海上和内陆水上运输的规则 12. FAS ( 启运地 ) 船边交货 (free alongside ship 的缩写 ) 13. FOB 船上交货 (free on board 的缩写 ) 14. CFR 成本加运费 (cost and freight 的缩写 ) 15. CIF 成本 保险费加运费 (cost, insurance and freight 的缩写 ) 16. It is important to remember, however, that these rules can be used in cases where a ship is used for part of the carriage. 然而, 重要的是要谨记 : 只要部分运程动用过船只, 即可使用此类 ( 适用于任何运输方式或多式联运 ) 规则 17. In the second class of INCOTERMS 2010 rules, the point of delivery and the place to which the goods are carried to the buyer are both ports, hence the label sea and inland waterway rules. 在第二类规则中, 交货点和把货物送达买方的地点都是港口, 所以只适用于 海上或内陆水上运输 规则 18. Under the last three INCOTERMS rules, all mention of the ship s rail as the point of delivery has been omitted in preference for the goods being delivered when they are on board the vessel. 最后的三条规则, 删除了以越过船舷为交货标准的相关内容, 而把将货物装运上船作为交货标准 19. This more closely reflects modern commercial reality and avoids the rather dated image of the risk swinging to and fro across an imaginary perpendicular line. 这更贴切地反应了现代商业现实, 避免了以往围绕船舷这条虚拟垂线来回摇摆的风险 004

5 Unit trade blocs 贸易集团 21. Consequently, the subtitle of the INCOTERMS 2010 rules formally recognize that they are available for application to both international and domestic sale contracts. 所以, 2010 年国际贸易术语解释通则 的副标题正式认可所有贸易规则既可适用于国际销售合约也可适用于国内销售合约 22. Uniform Commercial Code 统一的商业法规 23. shipment and delivery terms 运输和交付术语 24. The Guidance Notes explain the fundamentals of each INCOTERMS rule, such as when it should be used, when risk passes, and how costs are allocated between seller and buyer. 引言解释了每条贸易规则的基本内容, 比如说什么时候使用这些规则, 什么时候风险转移, 还有费用在卖方和买方间是怎样分配的等等 25. The Guidance Notes are not part of the actual INCOTERMS 2010 rules, but are intended to help the user accurately and efficiently steer towards the appropriate INCOTERMS rule for a particular transaction. 引言 并不是 2010 年国际贸易术语解释通则 的内容, 但是它们能帮助使用者更准确更有效率地针对一次特定的交易运用合适的贸易条款 26. give electronic means of communication the same effect as paper communication 赋予电子通信方式和纸质通信相同的效果 27. insurance cover 保险范围 28. since the revision of the Institute Cargo Clauses 自本协会货物条款修订以来 29. security-related clearances and information required for such clearances 事关安全的清关及此类清算所需的信息 30. chain-of-custody information 监管链相关信息 31. terminal handling charges 终点站装卸费 33. string sales 链式销售 34. as opposed to the sale of manufactured goods 与制成品的销售不同 35. during transit down a string 在沿销售链运转过程中 36. For clarification purposes, INCOTERMS 2010 rules include the obligation to procure goods shipped as an alternative to the obligation to ship goods in the relevant INCOTERMS rules. 为了明确起见, 2010 年国际贸易术语解释通则 在相关规定中把运输商品的义务替换为提取已经运输的商品的义务 005

6 商务英语教程 A COURSE FOR BUSINESS ENGLISH Section B Reflections and Practices I. Reading practice Answer the following questions according to the above passage. 1. What is the language of foreign trade? 2. From what are INCOTERMS derived? 3. How many INCOTERM rules are there in INCOTERMS 2010 according to the passage? 4. How many classes are the 11 INCOTERMS 2010 rules presented and what are they? 5. What is the function of a Guidance Note in the INCOTERMS 2010 rules? 6. What is the first version of the INCOTERMS rules since the revision of the Institute Cargo Clauses and for what? 7. What are string sales? 8. Does the seller in the middle of the string perform its obligations towards its buyer by shipping the goods? II. Situational practice Work in groups to join in the following English debate. An English debate on whether INCOTERMS 2010 are important to the present international trade or not. III. Oral practice Discuss the following topics. 1. Why were INCOTERMS 2000 revised into INCOTERMS 2010 according to ICC? 2. Can the INCOTERMS 2010 rules be altered when used in a sales contract and how? 3. Brief the major features of INCOTERMS 2010 in English. 006

7 Unit 1 IV. Terminology practice Match the following English terms with their Chinese translations. 1. applicable law 保险费 2. carrier 运输方式 3. CFR 销售合同 4. CIF 理舱 5. CIP 链式销售 6. container 贸易集团 7. CPT 平舱 8. customs formalities 保险范围 9. DAP 保险单据 10. DAT 保险担保书 11. DDP 保险担保人 12. delivery 保险权益 13. delivery document 保险项目 14. EXW 保险赔偿金 15. FAS 清关 16. FCA 保险期限 17. FOB 保单 18. freight forwarders 全损保险 19. insurance against TLO 水渍保险 20. insurance against WPA 保险赔偿金 21. insurance benefits 保险索赔 22. insurance claim 保险条款 23. insurance clause 交货单 24. insurance cover 工厂交货 25. insurance documents 启运地船边交货 26. insurance guarantee 货交承运人 27. insurance guarantor 船上交货 28. insurance interest 转运代理人 29. insurance items 运费付至 30. insurance money 报关单 31. customs clearances 指定目的地交货 32. insurance period 目的地港站交货 33. insurance policy 完税后交货 34. insurance premium 交货 35. modes of transport 适用法律 36. sale contract 承运人 37. stowage 成本加运费付至 38. string sales 成本 保险费加运费 39. trade blocs 运费及保险费付至 40. trimming 集装箱 V. Translating practice Translate the following passage into Chinese. A Brief Explanation of Terms Used in the INCOTERMS 2010 Rules As in the INCOTERMS rules, the seller s and buyer s obligations are presented in mirror fashion, reflecting under column A the seller s obligations and under column B the buyer s obligations. These obligations can be carried out personally by the seller or the buyer or sometimes, subject to terms in the contract or the applicable law, through intermediaries such as carriers, freight forwarders or other persons nominated by the seller or the buyer for a specific purpose. The text of the INCOTERMS 2010 rules is meant to be self-explanatory. However, in order to assist users the following text sets out guidance as to the sense in which selected terms are used throughout the document. 007

8 商务英语教程 A COURSE FOR BUSINESS ENGLISH Carrier: For the purposes of the INCOTERMS 2010 rules, the carrier is the party with whom carriage is contracted. Customs Formalities: These are requirements to be met in order to comply with any applicable customs regulations and may include documentary, security, information or physical inspection obligations. Delivery: This concept has multiple meanings in trade law and practice, but in the INCOTERMS 2010 rules, it is used to indicate where the risk of loss or damage to the goods passes from the seller to the buyer. Delivery document: This phrase is now used as the heading to article A8. It means a document used to prove that delivery has occurred. For many of the INCOTERMS 2010 rules, the delivery document is a transport document or corresponding electronic record. However, with EXW, FCA, FAS and FOB, the delivery document may simply be a receipt. A delivery document may also have other functions, for example as part of the mechanism for payment. Electronic record or procedure: A set of information constituted of one or more electronic messages and, where applicable, being functionally equivalent with the corresponding paper document. Packaging: This word is used for different purposes. 1. The packaging of the goods to comply with any requirements under the contract of sale. 2. The packaging of the goods so that they are fit for transportation. 3. The stowage of the packaged goods within a container or other means of transport. In the INCOTERMS 2010 rules, packaging means both the first and second of the above. The INCOTERMS 2010 rules do not deal with the parties obligations for stowage within a container and therefore, where relevant, the parties should deal with this in the sale contract. Excerpted from Explanation of Terms Used in the INCOTERMS 2010 Rules, INCOTERMS 2010 (ICC Publication No ) VI. Writing practice Read Section C carefully by yourselves and then write an English composition of at least 150 words on one of the following three topics. 1. The roles of INCOTERMS The major differences between INCOTERMS 2010 and INCOTERMS What I have learnt from this unit 008

9 Unit 1 Section C Guidance to Topics I. An Overview of INCOTERMS 年国际贸易术语解释通则 概述 INCOTERMS 2010 (ICC 2010) 即 2010 年国际贸易术语解释通则, 是国际商会 ICC 适应国际贸易发展的需要, 对 INCOTERMS 年国际贸易术语解释通则 (ICC 2000) 进行修订后的新版本 该版的内容表面上只涉及 11 条术语, 但详细说明和解释这 11 条术语运用的英文导言长达 800 多个自然段 个英语词, 比 INCOTERMS 2000 足足多了 2000 多个英语词 英文原文中 INCOTERMS 2010 书写上最显著的变化, 是在 INCOTERMS 后增添了一个注册商标符号, 以此标志国际商会所创造的贸易规则或提供的产品和服务, 同时也表明国际商会对商标 知识产权保护的强烈诉求和格外关注 国际商会的英文全称为 International Chamber of Commerce, 缩写为 ICC, 成立于 1919 年, 迄今已有来自 130 多个国家的成员公司和协会, 会员超过 650 万个, 是全球唯一代表所有企业的权威代言机构 国际商会于 1921 年开始编纂 INCOTERMS(International Commercial Terms 的简缩形式, 意为 : 国际贸易术语 ), 于 1923 年编纂出了最早的 6 条贸易术语 1936 年, 国际商会首次使用由 International Commercial Terms 简缩而来的 INCOTERMS 名称正式出版了其编纂的 11 条贸易术语 INCOTERMS 一词本来应该翻译为 国际贸易术语, 但因其副标题为 International Rules for the Interpretation of Trade Terms, 而且国际商会对于 INCOTERMS 下的每条术语都有详细的使用说明和解释, 所以其中文被译成了 国际贸易术语解释通则 并一直沿用至今 该 通则 先后历经 年的 7 次修订 2010 年的修订版于 2010 年 9 月 27 日由国际商会在法国巴黎召开的 2010 年国际贸易术语解释通则 全球发布会发布, 并作为国际商会第 715 号出版物正式出版, 于 2011 年 1 月 1 日正式生效 2010 年国际贸易术语解释通则 使用简短概念或三个英语字母的缩写来说明价格的构成 买卖双方有关费用和风险的责任划分以及交卸货过程中应承担的义务等, 更新了涉及保险 运输 报关报检 国际结算等方面的国际贸易规则 由于这些术语是国际货物买卖中不可或缺的专门用语, 故有 外贸语言 the language of foreign trade ( 吴百福 1999) 之称 II. Changes in INCOTERMS 年国际贸易术语解释通则 的变化 进入 21 世纪以来, 全球运输方式发生巨变, 集装箱运输规模扩大 多式联运蓬勃发展, 大批新航线开通, 使 2000 年国际贸易术语解释通则 中的贸易术语在实际业务中难以运用自如 世界贸易方式的重大改变, 从客观上对贸易术语提出了更精准便捷的新要求 为了适应国际贸易的快速发展和变化, 国际商会决定对 2000 年国际贸易术语解释通则 进行修订 修订过程历时两年半, 收到 130 个国家的国际贸易专家和法学家提供的 2000 多条修改 009

10 商务英语教程 A COURSE FOR BUSINESS ENGLISH 意见, 几易其稿, 终于推出 2010 年国际贸易术语解释通则, 以此取代实施了 11 年之久的 2000 年国际贸易术语解释通则 从总体上说, 2010 年国际贸易术语解释通则 充分考虑到近十年贸易领域的新变化, 内容更清晰简洁, 操作性和指导性更强, 也更符合当前贸易实务的需要 与 2000 年国际贸易术语解释通则 相比较, 2010 年国际贸易术语解释通则 的变化是多方面的, 囿于篇幅, 仅概述如下八种变化 1. 术语分类的变化 1990 年国际贸易术语解释通则 的分类是按贸易术语的首字母排序, 将全部术语分为四组, 一直沿用到 2000 年国际贸易术语解释通则 而 2010 年国际贸易术语解释通则 摒弃了这种做法, 改为依据各贸易术语所适应的运输方式分为两类 : 第一类为适用于任何运输方式或多式联运的贸易术语 ; 第二类为适用于海洋与内河运输的贸易术语 第一类共有七条 :EXW(ex works 的缩写 ) 工厂交货,FCA(free carrier 的缩写 ) 货交承运人,CPT(carriage paid to 的缩写 ) 运费付至目的地,CIP(carriage and insurance paid to 的缩写 ) 运费 保险费付至目的地,DAT(delivered at terminal 的缩写 ) 目的地或目的港的集散站交货, DAP(delivered at place 的缩写 ) 目的地交货,DDP(delivered duty paid 的缩写 ) 完税后交货 第二类共有四条 :FAS(free alongside ship 的缩写 ) 装运港船边交货,FOB(free on board 的缩写 ) 装运港船上交货,CFR(cost and freight 的缩写 ) 成本加运费,CIF(cost insurance and freight 的缩写 ) 成本 保险费加运费 1990 年国际贸易术语解释通则 的术语强调按组体现的 交货点 风险点与费用点 之间的 关键点 的重合与分离, 但 2010 年国际贸易术语解释通则 的分类则强调各种贸易所适合的运输方式 以所能适应的运输方式进行贸易术语分类, 有利于促使贸易双方在选择贸易术语时把首要关注点集中在交易中最适合采用的运输方式上 2. 术语更新的变化 2010 年国际贸易术语解释通则 的显著变化之一是以 DAT DAP 这两条新术语取代了 2000 年国际贸易术语解释通则 中的 DAF DES DEQ DDU 四条术语 所以 2010 年国际贸易术语解释通则 的贸易术语从以前的 13 条减少为 11 条 新术语 DAT(delivered at terminal, 目的地港站交货, 亦称 : 运输终点站交货 ) 适用于任何运输方式或多式联运, 指卖方在指定目的港或目的地指定港站卸货后将货物交给买方处置, 卖方即完成交货义务 运输终点站包括码头 仓库 堆场 车站 空港 卖方应承担将货物运至指定目的地的一切风险和费用, 要负责卸货的费用, 但不负责进口通关事宜与费用 新术语 DAP(delivered at place, 指定目的地交货 ) 指在指定目的地, 将运到的运输工具上准备卸载的货物交由买方处置之时, 即属于卖方交货, 卖方承担货物运至指定目的地的一切风险和费用 当事人在买卖合同中最好能清楚地写明指定目的地内的具体地点, 因为至该地点的风险均由卖方承担 买方负责卸货和进口通关事宜与费用 010

11 Unit 1 3. 义务分类的变化 2010 年国际贸易术语解释通则 仍然把买卖双方的一般义务 证书与清关 运输与保险 交货与风险 费用划分 通知与交单 核对与信息协助等义务分为 10 项, 用镜像方式对比 买卖双方义务分类等细节明显优化 邓旭 (2011) 以卖方义务为例, 对其中的变化作如下对比 表一 INCOTERMS 2000 与 INCOTERMS 2010 中所规定的卖方义务对比 INCOTERMS 2000 中的卖方义务 A1 Provision of goods in conformity with the contract 提供符合合同规定的货物 A2 Licences, authorizations & other formalities 许可证 其他授权书及手续 A3 Contract of carriage & insurance 运输与保险合同 INCOTERMS 2010 中的卖方义务 A1 General Obligations of the Seller 卖方的一般义务 A2 Licences, authorizations, security clearances & other formalities 许可证 其他授权书 安全清关及手续 A3 Contract of carriage & insurance 运输与保险合同 INCOTERMS 2010 中的新变化标题变化, 更简练了标题变化, 增加了安全清关手续标题无变化 A4 Delivery 交货 A4 Delivery 交货标题无变化 A5 Transfer of risks 风险转移 A5 Transfer of risks 风险转移标题无变化 A6 Division of costs 费用划分 A6 Allocation of costs 费用分配 ( 摊 ) 费用划分改为分配 ( 摊 ) A7 Notice to the buyer 通知买方 A8 Proof of delivery, transport, document of equivalent electronic message 交货凭证 运输单据或有同等效率的电子信息 A9 Checking, packaging, marking 核对 包装 标记 A10 Other obligations 其他义务 A7 Notices to the buyer 通知买方 A8 Delivery document 交付单据 A9 Checking, packaging, marking 核对 包装 标记 A10 Assistance with information & related costs 信息协助和支付相关费用 标题中的通知 Notice 改为复数形式标题更简洁标题无变化标题变化, 义务更明确 从表一可见 : 2010 年国际贸易术语解释通则 的义务分类更为清晰 准确, 并直观地表达了对安全清关信息 交付单据和信息协助的关注, 客观地反映了交易规则的细节优化, 从而使新修订的 2010 年国际贸易术语解释通则 在国际贸易实践中更具可操作性 4. 保险义务的变化 2000 年国际贸易术语解释通则 除了在 A3/B3 条中规定了保险合同事宜外, 还在 A10/B10 条的第 2 款中规定了提供保险信息的义务 但 2010 年国际贸易术语解释通则 则将以前在 011

12 商务英语教程 A COURSE FOR BUSINESS ENGLISH A10/B10 条第 2 款中规定的保险信息义务合并于 A3/B3 条的 b 款 将保险相关事宜统一规定在一个条款, 显然有助于国际贸易实务从业人员掌握并运用 同时, 在保险义务方面亦有变化 鉴于 2009 年 1 月 1 日刚刚实施了新修订的协会货物保险条款 (Institute Cargo Clauses), 2010 年国际贸易术语解释通则 考虑到其修订情形, 在卖方需承担保险义务的贸易术语中作了表述 : 卖方必须自负费用取得至少由协会货物保险条款 (LMA/ IUA) 的 (C) 条款或任何类似条款所提供最低承保范围的货物保险 5. 风险划分点的变化 FOB CFR CIF 这三条适用于海运和内河水运的贸易术语使买卖双方的风险划分点发生了重大变化 以前业界所熟知的这三种术语以装运港船舷 (ship s rail) 为风险划分点的规则为 2010 年国际贸易术语解释通则 所摒弃 修订后的 2010 年国际贸易术语解释通则 规定,FOB CFR CIF 这三条术语的风险划分点改为货物装上船为止 (on board the vessel) 对于这一变化, 国际商会明确指出 : 装上船的说法不仅更接近现代贸易的实际情况, 而且可避免风险存在于想象中的垂直线上摇来晃去的陈旧概念 2010 年国际贸易术语解释通则 取消了 船舷 的概念, 从而明确了由卖方承担货物装上船为止的一切风险 由买方承担货物自装运港装上船后的一切风险的风险点划分 6. 安全信息的增加 2010 年国际贸易术语解释通则 新增了通关所需安全信息, 并列入 A2/B2 以及 A10/B10 的条款下 为了避免暴力恐怖事件的发生, 各国均大幅度加强了对运输货物的安全性关注, 欧美发达国家尤其强调查证货物并无自然属性以外的对生命和财产的威胁因素 为此, 2010 年国际贸易术语解释通则 各术语中的 A2 条的第 2 款均提到了卖方应当提供安全通关所需的信息, 并为此规定 : 当适用的情形下, 应买方请求并由买方承担费用和风险, 卖方必须提供其所拥有的用于货物安全通关所需的信息 对于并非由卖方所拥有的信息, 但如果为安全通关所需, 在买方提出请求并承担费用和风险的前提下, 卖方也有义务协助买方获取 对我国相关行业而言, 2010 年国际贸易术语解释通则 在沿袭了先前 国际贸易术语解释通则 的基础上又体现了其始终保持与商业实践一致的宗旨, 同时亦展示了其崭新特征 无论是从尊重国际商会知识产权的诉求, 到适用于国内贸易的新特征, 再到 国际贸易术语解释通则 中各术语的优化等多个侧面, 都要求我们必须认真面对这些新的变化 7. 链式销售的变化鉴于大宗货物买卖中货物在运输期间经常会被多次转卖的实际情况, 2010 年国际贸易术语解释通则 在 FAS FOB CFR CIF 等术语中加入了货物在运输期间被多次买卖 ( 链式销售 ) 的责任及义务划分 在一连串销售中间的销售商并不将货物 装船, 因为它们已经由处于这一销售链中的起点销售商装船 因此, 链式销售的中间销售商对其买方应承担的义务不是将货物装船, 而是 设法获取 已装船的货物 2010 年国际贸易术语解释通则 对卖方的交付义务做了细分 在出口地交货的 8 个贸易术语中, 除 EXW FCA 两个术语外, 其他 6 个术语对于卖方履行交付货物或签订运输合同的义务, 除了原来的实际履行之外还增加了 取得 已经 012

13 Unit 1 按要求交付的货物或 取得 按要求签订的运输合同的规定 这样的规定就兼顾了连环贸易模式下处于销售中端卖方的具体情形, 作为中间的卖方无须交付货物和签订运输合同, 从而有效弥补了以往版本的 通则 对此问题规定不够细致的缺陷, 使 2010 年国际贸易术语解释通则 不但兼顾了买卖各方的利益, 而且对交货义务的规定也更加细致而周全 8. 适用范围的变化随着经济全球化的发展, 自由贸易区 关税同盟 共同市场 经济联盟等国际贸易组织结构层出不穷, 一体化组织内成员国之间相互给予贸易优惠以及无关税区的不断扩大, 很多进出口商品不但免征关税而且边境手续也日渐简化 此外, 随着内贸的发展, 很多贸易方在其国内买卖合同中已经开始使用国际贸易术语 考虑到上述情况, 尤其是一些大区域贸易集团内部贸易的特点, 比如东盟和欧洲单一市场的存在使得原本实际存在的边界通关手续变得不再重要, 2010 年国际贸易术语解释通则 首次在其新修订版的副标题 国际商会规则术语 (ICC Rules Terms) 中正式而明确地规定了这些术语不仅适用于国际销售合同, 也适用于国内销售合同, 从而扩大了 2010 年国际贸易术语解释通则 术语的适用范围 该规则在 A2/B2 A10/ B10 等多个条款中还明确说明, 进出口商仅在需要时才产生依规定办理进出口报关手续 支付相应费用和向对方提供或协助其取得办理相关进出口清关手续所需任何文件和信息的义务 III. Term Analyses on INCOTERMS 国际贸易术语解释通则 术语分析 在目前集装箱运输 多式联运等运输方式已经获得长足发展 2010 年国际贸易术语解释通则 已经问世的宏观背景下, 为了规避企业贸易风险, 特对 通则 新旧版本中的关键术语在实际应用中的情况简要分析如下 1. FOB 分析 2000 年国际贸易术语解释通则 对 FOB 的解释为 船上交货 ( 指定装运港 ), 指货物在指定的装运港越过船舷, 卖方即完成交货 这意味着买方必须从该点起承担费用和货物灭失或损坏的一切风险 2010 年国际贸易术语解释通则 对 FOB 的解释为 船上交货 ( 指定装运港 ), 指货物在指定的装运港装上买方指派的船上, 卖方即完成交货或者卖方获取已如此交付的货物 ( 适用链式销售 ) 风险在货物装上船时由卖方转移至买方, 并在此刻开始时买方承担所用费用 新通则对 FOB 解释的变化反映在如下两方面 : 一是实现了风险转移界限与卖方交货义务完成的统一 修订前的 2000 年国际贸易术语解释通则 将 FOB 风险转移的界限界定为装运港货物越过船舷, 但卖方交货义务 (A4) 规定在指定日期和指定装运港将货物装上买方指定的船只上 这样规定对实际业务操作中判定货物在装运过程中的损失可能带来争议, 争议的基本焦点就是何时为越过船舷? 而越过船舷之后是否就意味着货物已经装上船? 修订后的 2010 年国际贸易术语解释通则 中的 FOB 改变了在对风险转移界限以 船舷为界 的表述, 取而代之的是明确规定货物在卖方按照规定的交货义务 (A4) 完成时风险由卖方转移至买方 这样规定把风险转移的界限和卖方交货义务完成的时间有机统 013

14 商务英语教程 A COURSE FOR BUSINESS ENGLISH 一, 从而减少了实操中的偏差和理解上的争议 二是明确了装船费用的划分 2000 年国际贸易术语解释通则 规定卖方承担与货物有关的一切费用, 直至货物在指定的装运港越过船舷为止 因此为了能与货物实操中越过船舷之前和之后的费用有所区别, 特别是在大宗货物的租船运输中, 买卖双方就要对装船费用的承担做出明确规定, 因而出现了关于 FOB 的五种变形 :FOB Liner Terms( 班轮条件 );FOB Under Tackle( 吊钩下交货 );FOB Stowed( 理舱费在内 );FOB Trimmed( 平舱费在内 );FOBST( 理舱费 平舱费在内 ) 修订后, 由于 2010 年国际贸易术语解释通则 对风险转移界限和卖方交货义务的规定得到了统一, 因而对于装船费用也有了明确的规定 : 卖方承担与货物有关的一切费用, 直至卖方按照 A4 的规定完成交货义务为止 可见此变化在现实应用中对以 FOB 贸易术语成交的合同, 已不再强调和区分装船费用引起的变形形式 毋庸置疑,FOB 条件下卖方要想实现 2010 年国际贸易术语解释通则 中所规定的交货义务, 必然要承担由此而产生的装船费用, 除非双方在合同中另行规定 2. CFR 分析 2000 年国际贸易术语解释通则 对 CFR 的解释为 成本加运费 ( 指定目的港 ), 指货物在指定的装运港越过船舷, 卖方即完成交货 卖方必须支付货物运至指定目的港的相关费用和运费, 但货物自交付时的损坏或灭失的风险, 由卖方转移至买方 而 2010 年国际贸易术语解释通则 对 CFR 的解释为 成本加运费 ( 指定目的港 ), 指卖方将货物装上船完成交付或获取已如此交付的货物 ( 适用链式销售 ) 风险或损失在货物装上船时转移至买方 卖方必须订立将货物运至指定目的港的运输合同并支付相关费用和运费 新通则中对于 CFR 在风险转移界限上的变化同 FOB, 且在另外两方面亦有重大意义 一是强调了装运港的重要性 : 2000 年国际贸易术语解释通则 对装运港的规定没有特别的说明, 而 2010 年国际贸易术语解释通则 则强调了 CFR 贸易术语有两个关键点 (critical points), 即风险转移地点和费用划分地点 CFR 贸易术语合同中通常因费用问题会指定目的港, 但不一定都会指定装运港 而装运港既是风险转移点, 又是决定运输安排和运费高低的关键, 所以如果装运港对双方具有特殊意义, 那么双方在合同中要尽可能准确地指定清楚 二是明确了卸货费用的划分 2000 年国际贸易术语解释通则 对 CFR 条件下卸货费用的划分包括 CIF 班轮条件 (CFR liner Terms) CIF 卸至码头 (CFR landed) CIF 吊钩下交接 (CFR Ex Tackle) CIF 舱底交接 (CFR Ex Ship s Hold) 四种 2010 年国际贸易术语解释通则 则规定: 将货物运至双方约定目的港的交付点的费用仍由卖方承担, 因此费用的转移地点在目的港 到达交付点后由买方承担卸货费用 (B6 第 3 款 ), 包括驳运费 (lighterage) 和码头费用 (wharfage charges), 这就明确了合同价格的费用构成 3. CIF 分析 2000 年国际贸易术语解释通则 对 CIF 的解释为 成本 保险费加运费 ( 指定目的港 ), 指货物在指定的装运港越过船舷, 卖方即完成交货 卖方必须支付货物运至指定目的港的相关费用和运费, 还要为买方因货物在运输中损坏或灭失办理保险, 支付保险费用 但货物自交付时的损坏或灭失的风险, 已由卖方转移至买方 而 2010 年国际贸易术语解释通则 对 CIF 的解释为 成本 保险费加运费 ( 指定目的港 ), 指卖方将货物装上船完成交付或 014

15 Unit 1 获取已如此交付的货物 ( 适用链式销售 ) 风险或损失在货物装上船时转移至买方 卖方必须订立将货物运至指定目的港的运输合同并支付相关费用和运费 卖方还要为买方因货物在运输中损坏或灭失办理保险, 支付保险费用 仔细研读 2010 年国际贸易术语解释通则 的内容, 必须注意两点 一 贸易术语本身并不涉及货物所有权转移的问题 即使提交的单据包括所谓的 物权凭证, 但交单并不意味着货物所有权的转移, 因此 CIF 条件下提交符合要求的合格单据只是说明卖方履行了交货义务, 并不代表买方实际收到了符合合同的货物 若出现买方实际收货后货物与合同规定不符并属卖方责任原因, 买方仍可凭合同向卖方提出索赔 二 全面了解单据的两大内涵 一是提交单据的内容上要合格 ; 二是提交单据的种类上要与选择的运输方式和卖方责任相契合 CIF 贸易术语中卖方有一个重要的合同责任和义务, 就是为运输中货物的损失或灭失办理保险并支付保费, 但风险是买方承担 所以 CIF 条件下卖方投保是为买方利益服务的, 这也体现在卖方所提供的单据种类上 4. 价格术语分析新旧通则中的 FCA FOB CPT CFR CIP CIF 这 6 条价格术语, 除了上文中述及的各种变化外, 概括起来还有如下 3 个不同 : 一是适用范围不同 2000 年国际贸易术语解释通则 中的 FOB CFR CIF 只适用于海洋或内河运输, 而 2010 年国际贸易术语解释通则 中的 FOB CFR CIF 条件可适用于任何运输方式 二是交货时间不同 FOB CFR CIF 的交货时间就是货物装船完毕的时间, 也就是提单上所载明的装运日期时间 这三种价格术语中的交货时间 (Time of Delivery) 与装运时间 (Time of Shipment) 是同一概念, 而在 FCA CPT CIP 三种价格术语条件下其交货时间与装运时间则不一定相同, 虽然卖方将货交承运人后即视为交货, 但实际启运货物的时间卖方不得而知, 完全听凭承运人安排 三是投保险种不同 CIF 一般是投保海洋运输险, 而 CIP 卖方究竟应投保何种险种, 则需买卖双方根据具体情况事先进行商定, 必要时应投保海 陆 空险中的适当险种 上文 II 中对于 2010 年国际贸易术语解释通则 新变化的叙述和 III 中对于常用国际贸易术语的分析, 其实都是以新旧通则之间的对比作为基础的 因此, 本单元不再另增章节专门对新旧通则的对比进行赘述 References [1] ICC INCOTERMS 2000 [M]. Paris: International Chamber of Commerce. [2] ICC INCOTERMS 2010, ICC Publication No.715 [M]. Paris: International Chamber of Commerce. 015

16 商务英语教程 A COURSE FOR BUSINESS ENGLISH [3] ICC, 2010, Explanation of Terms Used in the INCOTERMS 2010 Rules, INCOTERMS 2010, ICC Publication No.715 [M]. Paris: International Chamber of Commerce [4] ICC Main Features of the INCOTERMS 2010 rules. Introduction, INCOTERMS 2010 ICC Publication No. 715 [M]. Paris: International Chamber of Commerce 6-9. [5] 邓旭 年国际贸易术语解释通则 的主要变化和发展 [J]. 国际经济探索 (12): [6] 吴百福 进出口贸易实务教程 [M]. 上海 : 上海人民出版社 :

17 Unit 2 Bill of Lading and Shipping Documents 提单和货运单证 Section A Reading Practice Bill of Lading and the Hague Rules The bill of lading has been the foundation of modern international trade, being an essential element to arrangement for sale, transport and financing of goods. The carriage of goods or persons between two or more nations is regulated by various international conventions. The international carriage of goods by sea is governed by the Hague Rules (1924), the Hague-Visby Rules (1968), and the Hamburg Rules (1978). In most countries, the bill of lading is regulated by a multilateral treaty known as the International Convention for the Unification of Certain Rules of Law Relating to bills of lading; or the Hague Rules. An amended version is the Hague-Visby Rules of The Hague Rules were completely rewritten in 1978 in a new treaty known as the Hamburg Rules, which drastically alter the privileged position of a sea carrier as compared to other carriers, but they have not yet been generally adopted. The domestic statutes implementing these conventions are typically called Carriage of Goods by Sea Acts (COGSA). The Hague Rules represented the first attempt by the international community to find a workable and uniform means of dealing with the problems of ship owners regularly excluding themselves from all liability for loss or damage of cargo. Under the Hague Rules the shipper bears the cost of lost/damaged goods if they cannot prove that the vessel was unseaworthy, improperly manned or unable to safely transport and preserve the cargo. The Hague Rules form the basis of national legislation in almost all of the world s major trading nations, and probably cover more than 90 percent of world trade. The Hamburg Rules constitute a new convention on maritime transport agreed under the auspices of the United Nations at a conference at Hamburg on 31 March Their official title is the United Nations Convention on the Carriage of Goods by Sea The Rules were devised with the intention that they should supersede the 1924 Hague Rules together with the 1968 Visby amendments which are considered in detail above. The Hamburg Rules have been strongly opposed by ship owning interests as it is feared that they would tend to increase carriers liability and therefore affect the cost of insurance through the P&I Clubs. They have been equally strongly 017

18 商务英语教程 A COURSE FOR BUSINESS ENGLISH supported by shipper interests who believe they set a fairer balance between the responsibilities of carrier and shipper. The Hamburg Rules came into force on 1 November 1992 and although there are already 25 parties to the Convention, it has so far had no major impact on world trade. Bill of Lading Certain documents are called for in a contract of sale, and in a documentary credit if there is one, as evidence that the goods have been dispatched and that they purport to be of the type and quality ordered. Furthermore, the documents are required to ensure that the goods are being properly transported and that the buyers can claim possession of the goods when they arrive. The main shipping document is the bill of lading, which is a document signed by, or on behalf of, the master of a ship, certifying that the goods have been received on board in good order for transportation and delivery as specified in the document. Bills of lading are normally issued in sets of three original documents. When one original copy is handed over to claim possession of the goods, the other original copies become void. A bill of lading is a document of title unlike an air waybill or railway consignment note, and as such is a vital document to a banker who is handling the documents and has advanced money against them or has accepted or negotiated a bill of exchange in respect of the transaction. A bill of lading, on its front page, bears the name of the vessel and the port of loading and the port of destination. In addition, it contains the name of the firm shipping the goods. The bill is usually consigned to the order of the shipper and endorsed in blank and a note is made of the person or firm to be notified of the arrival of the goods, the number and types of package, their weight and measurements, and their identification marks, if any. The reverse of the bill of lading contains all the terms and conditions on which the goods have been accepted for shipment. The description in the bill of lading, unlike that in the invoice, does not have to agree exactly with that in the documentary credit, but obviously the goods must appear to be those that were ordered. And now it is rare that the bill of lading bear the name of consignee, which is called straight bill of lading. On shorter sea passage, it is necessary for bills of lading to be sent in the ship s bags so that the importer can take delivery on arrival. A bank handling a bill of exchange in connection with the consignment is therefore unable to control the document of title to the goods and will be much less willing to provide finance for the exporter on the strength of the bill. When short-form bills of lading became common and their existence was recognized in the 1974 revision of the Uniform Customs and Practice, the UCP290 provided for their acceptance by banks on condition that the documentary credit does not specify to the contrary. The shipping company s terms are usually given in full on a bill of lading, but they are more condensed on a short-form bill today. A liner waybill is similar to a bill of lading, but it is not a document of title to the goods and cannot therefore be used by a bank that has advanced money to control the goods. It is evidence of contract of carriage and a receipt by the shipping company for the goods, but it does not have to be handed over to the shipping company to gain possession of the goods on arrival. Banks will accept 018

19 Unit 2 liner waybills unless they are prohibited by the wording of the credit, if there is one, but they are always wary of lending money against them. When container service came into being, provision had to be made in the 1974 revision of the UCP290 for this means of transportation. Under UCP500 and UCP600, bills of lading covering unitized cargoes have been accepted by the banks unless otherwise specified in the credit, and because of the increasing difficulty in checking the number of items that have been shipped, a bill of lading bearing such a clause as shipper s load and count or said by shipper to contain have been accepted by a bank. A through bill of lading is issued where transport by ocean vessel forms only part of the complete carriage. For instance it may be necessary for the goods to be carried overland for some of the journey or transshipped onto a river feeder liner. Similarly a through bill may be issued where there is no ocean vessel going direct to the port of destination and it is necessary to transship the goods onto another ocean-going vessel at a port on the way. Charter party bills of lading cover goods that are carried on board a vessel that is chartered and therefore the owner of the vessel is not responsible for the carriage of the goods. The contract of carriage is between the exporter and the charterer of the vessel, and because of the legal complication that may ensue, the banks are not keen to accept such bills of lading as security for an advance or under a documentary credit, and they are not obliged to accept them unless clearly specified in the credit. Notes and Explanations 1. bill of lading 提单, 特指海运中的提单 2. multilateral treaty 多边条约 3. international convention 国际公约 4. the Hague Rules 海牙规则, 全称为 统一提单的若干法律规定的国际公约 5. the Hague-Visby Rules 海牙维斯比规则, 是 海牙规则 的修订 6. the Hamburg Rules 汉堡规则 7. the privileged position 特权地位 8. domestic statutes 国内法律 9. Carriage of Goods by Sea Acts (COGSA) 海上货物运输法 ( 美国 ) 10. the first attempt 首次尝试 11. international community 国际社会 019

20 商务英语教程 A COURSE FOR BUSINESS ENGLISH 12. a workable and uniform mean 可行的 统一的办法 13. exclude oneself from liability 免除某人的责任 14. loss and damage of cargo 货物的失灭和损害 15. improperly manned 没有恰当配备船员 16. national legislation 国内立法 17. constitute a new convention 构成新公约 18. P&I Club 船东互保协会 ( 船东互助成立的非盈利的互保机构 ) 19. set a fairer balance 建立更公正的平衡 20. claim possession of 声明拥有 21. become void 变得无效 (void 常与 null 一起使用,null and void 意为 无效的 ) 22. railway consignment note 铁路托运单 23. a bill of exchange 汇票 ( 分为贸易汇票和银行汇票, 课文中的汇票指贸易汇票 ) 24. be consigned to the order of shipper 根据发货人的指示运送 25. endorse in blank 空白背书 ( 国际贸易中单证买卖的重要标志, 指示提单一经空白背书, 即成为可以自由转让和买卖的物权凭证 ) 26. identification mark 识别标记 ( 在实践中常被成为 唛头 ) 27. the reverse of the bill of lading 提单的背面 28. To Order bill of lading 指示提单 ( 国际贸易中最常用的提单, 在提单的正面收货一栏不注明具体的收货人, 由发货人背书后, 成为可以自由转让和买卖的提单 ) 29. straight bill of lading 记名提单 ( 提单的收货人一栏注明了谁是收货人, 这种提单不能转让和买卖 ) 30. consignment 托运, 托运的货物 31. short form bill of lading 简式提单 ( 指提单的背面没有关于承运人与托运人及提单持有人之间的权利义务等详细条款的提单, 是相对全式提单 long form bill of lading 而言的 ) 32. a liner waybill 班轮运单 33. UCP500 and UCP600 跟单信用证统一惯例 国际商会第 500 号和第 600 号出版物 34. shipper s load and count 发货人装箱和记数 35. a through bill of lading 直达提单 36. river feeder liner 河流支线班轮 37. charter party bill of lading 租船合同提单 38. legal complication 法律纠纷 39. as security for an advance or under a documentary credit 作为预付款或跟单信用证的抵押物 020