Chapter4
transport
授课教师：夏夕美
Introduction
The delivery of goods in international trade, is one
the most important steps. This is because in
international trade where an exporter and an importer
are always far apart, the goods under the contract
have to go a long distance and sometimes change
several carriers in transit before they reach the
importer. In an international business, it is one of the
basic tasks for the exporter to deliver the goods to the
buyer or carrier or agreed conveyance after the
contract has been singed according to the stipulated
time, place, and transport methods in the contract.
The delivery of the goods means that the
seller delivers the contract goods at the agreed
time, place and in the agreed manners to the
buyer. In international sales of goods, the
delivery also means to transfer the necessary
documents at the stipulated time to the buyer.
Methods of the Delivery
As to the methods of delivery in international practice,
there are many methods to deliver the goods purchased,
such as ocean transport, railway transport, air transport,
river and lakes transport, postal transport, road transport,
pipelines transport, land bridge transport and international
multimode transport and so on. The buyer and seller can
decide which methods will be the best for the goods to be
transported according the goods characteristics, quantity,
transit journey, value, time, the natural conditions, etc.
Modes of Transport
Sea
Charter
Liner
Land
Railway, train
Roadway, truck
Air
Airline
Ups, Fedex, DHL,EMS
Postal Parcel Transport
Combined Transport
OCP Transport: Overland common point
Land Bridge Transport
Section one
ocean transport
授课教师：夏夕美
Introduction to ocean transport
Ocean freight is the most widely used form of
transportation in international trade as well as the most
efficient form in terms of energy. It still has the attraction
of being a cheap modes of transport for delivering large
quantities of goods over long distance. Before a shipment is
made, the exporter has to consider many different factors
influencing his transport considerations such as cost, safety,
speed and convenience.
Ⅰ Advantage and disadvantages
•
•
•
•
firstly ,the easy passage since
about 70% of the earth is covered
by water.
Secondly ,ocean transport has a
large capacity. For example , the
deadweight of the largest oil tanker
can be up to 500,000 tons.
Thirdly , because of such large
capacity ,the unit distribution cost
is reduced .
And finally , ocean transport has
good adaptability to cargoes of
different size ,weight ,shape, etc.
Ⅰ Advantage and disadvantages
• Of course ,there are also
disadvantages ,one of which is the
slow passage.
• In addition, ocean transport is also
vulnerable to bad weather and less
punctual if compared with road or air
transport.
海洋运输的特点
优点：1. 通过能力大。
2. 运量大，
3. 投资少，运费低
4.对货物的适应性强。
缺点：1. 受气候和自然条件影响较大。
2. 速度也相对较慢。
Ⅱ Major types of cargo vessels
• A general or packed cargo vessel is built
to carry various types of cargoes.
• An OBO (ore/bulk/oil) carrier is a
multipurpose vessel for large volume of
bulk cargoes.
• A refrigerated ship is built with
refrigerating facilities inside the ship for
carrying perishable cargoes.
• A timber ship has spacious holds and
heavy lifts for carrying timber or wood
logs.
Ⅱ Major types of cargo
vessels
• An oil tanker is specially designed to
carry crude oil or fuel oil.
• A container vessel is designed to carry
from 200 to over 6,000 standard
containers.
• (A standard container refers to a
container of 20 feet in length, which is
more often called a twenty-foot
equivalent unit [TEU].)
• Role On/Role Off（RO/RO or RORO）
Vessels
• LASH (Lighter Aboard Ship)
Ⅲ Classification of
merchant vessels
1.Liner/Regular Shipping Liner
(班轮运输)
2.Shipping by Chartering
（租船运输）
1.Liner/Regular Shipping Liner
1)Definition：
A liner is a vessel with regular sailing and
arrival on a stated schedule between a group of
specific ports.
• 定义：也叫定期船运输。是指船舶在固定的航
线上和港口间按照事先公布的船期表航行，并按
事先公布的与费率收取运费从事客货运输业务的
运输方式
• 2)The main features of liners usually include:
• a. The liner has a regular line, port, timetable
and comparatively fixed freight，which is
the basic features of liners
• b. The ship-owner usually leases part of
shipping space instead of the whole ship.
• c. The carrier is responsible for loading and
unloading operations, i.e., Gross Terms.
• d. The B/L drawn by the shipping company is
the shipping contract between the carrier and
the consignor. The rights and obligations of
the carrier and the consignor are based on the
B/L drawn by the shipping company.
• 特点
1）“四固定”：
航线、停靠港口、船期、运费率；
2）一般在货种货量上不作限制；
3）承运人负责配载装卸并负担装卸费用，承
运人和托运人之间不计速遣费和滞期费；
4）无须签定租船合同，承运人签发的班轮提
单作为双方权利、义务和责任豁免的依据
负责装卸货物的一方，如果
未按约定的装卸时间和装卸
率完成任务，需要向船方缴
纳延误船期的罚款。
滞期费
如果负责装卸货物的一方在约
定的装卸时间内提前完成任务，
有利于加快船舶周转，则可以
从船方取得奖金。
速遣费
国际海上货物运输中，主要海
运国家经营班轮运输的航运公
司为保护和协调彼此间的权益
而组成的超国家的航运垄断组
织。又称水脚公会。
班轮公会
3) Freight of liners
The liner freight is charged
according to Liner’s Freight Tariff. The
liner freight includes basic freight and
surcharges.
Freight = Fb + ∑S
Fb----Basic freight
S----surcharge
A. basic freight
• The basic freight is charged
according to the standard of Liner’s
Freight Tariff. The basic standards
for calculating freight are stipulated
as follows:
• Gross weight, i.e., weight ton, which
indicated by“ W” in the tariff.
• Volume, i.e., measurement ton, which
is indicated by“ M ” in the tariff.
A. basic freight
Gross weight or volume weight, choosing
the higher rate between the two, which
is indicated by “W/M” in the tariff.
The value of the cargo, i.e., a certain
percentage of FOB price which is
indicated “A.V. ” in the tariff.
Gross weight or volume or A.V., i.e.,
choosing the highest rate of the three,
which is indicated by “W/M ”or“ A.V.
A. basic freight
• Gross weight or volume, and then plus
a certain percentage of A.V., which is
indicated by “W/M ”plus“ A.V. ”
• The number of the cargo
• The temporary agreement entered
into between the ship owner and the
consignor.
• 起码费率：若实际运费小于运价表的最
低运费额，按照运价表最低运费计收。
错误理解运费吨案例
某出口公司出口货物对外报价FOB新港，每
公吨500港元。外商要求改报CIF香港价。业务
人员在查阅运价表时见该商品每运费吨为50港
元，并匡算保险费为6港元，便以CIF每公吨556
港元对外报价，结果成交150公吨。到装运时发
现运价表上运费吨50港元是指尺码吨，不是
重量吨，因商品积载系数为2.5/1（立方米/公
吨），给国家造成损失11400港元。
B. surcharges
•
•
•
•
The main surcharges are as follows:
Extra charges on heavy lifts
Extra charges on over lengths
Additional on Optional Discharging
Port
• Additional on direct
C. The formula of
calculating the liner
freight
• F=Fb+∑s=fQ+f(s1+s2+……+sn)Q=fQ(1+s1+s
2+……+sn)
• Fb_______ basic freight
• ∑s______surcharges
• f_______the rate of the basic freight
• Q_______freight ton
• s__________the rate of the surcharge
• 运费=（基本费用+附加费用）x计费标准
• 附加费用=基本费用X附加费率
• 班轮运费=基本运费率*（1+附加运费率）
*计费标准
运费计算1
广东A公司与法国B公司签订某商品出口
合同。商品总重10公吨，400箱装，每箱
毛重25公斤，体积20厘米×30厘米×40
厘米，单价CFR马赛(Marseille)每箱55
美元。查表知该货为8级，计费标准为W
／M，每运费吨运费80美元，另征收转船
附加费20％，燃油附加费10％。试计算
应收总运费。
•
•
•
•
•
•
•
运费计算1
分析：
W=25公斤=0.025公吨 M=0.024立方米
W>M,采用W作为计费标准
运费=80+80*30%=104美元每运费吨
总运费=104*10公吨=1040美元
每箱运费：（80+24）*0.025=2.6美元
总运费=104*0.025*400=1040美元
运费计算2
• 出口到澳大利亚悉尼港某商品100箱,每
箱毛重30公斤,体积0.035立方米,运费计
算标准为W/M10级.查10级货直运悉尼港
基本运费为200元人民币, 加货币附加费
35.8%,再加燃油附加费28%, 港口拥挤费
25%. 求运费
运费计算2
解：M>W,按M 计算 基本运费: RMB200
基本运费的币值附加费:200×35.8%=RMB71.6
燃油附加费:（200+71.6）×28% = RMB76
港口拥挤费:（200+71.6）×25%= RMB67.9
运费合计:
（200+71.6+76+67.9）×0.035×100
=1,454. 25元人民币。
4) General procedures of ocean
transport by liners
• Find out freight rates.
• Select a shipping line and a particular
vessel for reliable service and
reasonable cost.
• Book shipping space.
• Register cargo on a shipping note
(S/N), which describes the details of
cargo, and send the shipping note to
the shipping line.
4) General procedures of ocean
transport by liners
• Register details on the Customs forms.
• Arrange adequate packing, including
shipping marks.
• Receive calling forward notice (when to
send in the cargo) from shipping line.
• Send cargo to the port of shipment
with consignment note, which has the
details of the shipment.
4) General procedures of ocean
transport by liners
• Pay freight bill.
• Receive from the shipping line a bill
of lading (B/L).
• Send B/L via shipping line or directly
to consignee or to a bank acting as
intermediary.
1)Definition;
summary1
2)main features of liners
• ⅠAdvantage
3) Freightand
of disadvantages
liners
4) General procedures of ocean
• ⅡMajor
typesby
of liners
cargo vessels
transport
• ⅢClassification of merchant vessels
A.basic freight
B. Surcharges
1.Liner/Regular
Shipping Liner (班轮运输)
C. Thebyformula
of calculating the
2.Shipping
Chartering（租船运输）
liner freight
2.Shipping by Chartering
It is also called tramp. A shipping by
chartering is a freight-carrying vessel which has
no regular route or fixed schedule of sailing. It
is first in one trade and then in another, always
seeking those ports where there is a demand at
the moment for shipping space. The shipper
charters the ship from the ship-owner and uses
it to carry the goods.
It falls into 3 kinds: voyage charter, time
charter and demise charter.
(1). Voyage charter 定程租船
(2). Time Charter 定期租船
(3). Demise charter 光船租船
(4). Charter party 租船合同
1). Voyage charter
The voyage charter is one for the carriage of
goods from one specified port to another, or for a
round trip. It includes single voyage charter,
return voyage charter and successive voyage
charter. According to the route stipulated in the
charter party, the ship-owner is responsible for
delivering the goods to the port of destination and
for managing the ship as well as bearing all
expenses.
Under a voyage charter, payment by the charterer
is usually based on an agreed rate per ton for a
“full and complete cargo”. Should he fail to provide
sufficient cargo to fill the ship he is liable for what
is termed dead freight, a prorate payment for the
space not used. A voyage charter also stipulates the
number of days known as lay days, for loading and
unloading. Should these be accessed, the charter is
liable for a demurrage charge for each day in
excess, and conversely is entitled to dispatch money
for each day not taken up. The liability of the shipowner is to provide a ship that is seaworthy and to
avoid unjustifiable deviation in route.
定程租船
（voyage charter; trip charter）
定程租船又称程租船或航次租船，是指船舶
按航程租赁，和出租人的事先约定的条件，船
舶按时到装运港装货后，再驶抵卸货港卸货，
以完成整个航程运输任务。它又分为：
单航次租船（single trip charter）
来回程航次租船（return trip charter）
连续航次程租（consecutive voyages）
2). Time Charter
The charterer charters the ship for a period
of time during which the ship is deployed and
managed by the charterer. What concerns the
charterer most is the period, not the voyage. The
chartering may be for a period of 1 year or of
several years.
2). Time Charter
During the period of chartering, the ship is
managed, deployed and used by the charterer.
A series of work, such as loading, unloading,
stowing and trimming and the so caused fuel
expenses, port expenses, loading and
unloading expenses, etc., should be borne by
the charterer.
2). Time Charter
• The ship-owner should bear the wages and
board expenses of the crew, and be
responsible for seaworthiness during the
period of chartering and the so-caused
expenses and the vessel insurance premium.
定期租船
又称期租船，是指船舶所有人按照租船合
同约定，将特定的船舶，在约定的期限内，
交给承租人使用的一种租船方式。转让使用
权，包括船与船员。
The differences between the
tramp and time charter
• 1.Voyage charter: the charterer
charters the ship by the voyage;
• Time charter: the charterer charters
the ship by the time.
• 2.Voyage charter: The shipowner not
only manages the ship but also is
responsible for driving, sailing and
transportation of the goods.
• Time charter: The shipowner is
responsible for the ship’s
maintenance, repair and crew’s
wages; but transportation of the
goods, loading and unloading the
goods are borne by the charterer.
返回目录
• 3. Voyage charter: the freight is
charged according to the quantities of
the goods shipped and the contract
shall stipulate time of shipment or
rate of shipment;
• Time charter: the freight is charged
according to the period of time and
the contract doesn’t have to stipulate
time of shipment.
程租与期租的区别
• 1．对船舶的经营管理不同
程租时，租船人不负责船舶经营管理，不承担
日常开支（包括船用染料、锅炉用水、引水费、
码头费）；期租时，租船人负责船舶经营管理，
（承担全部开支，包括日常与非日常开支，船
员工资、船大修大检，保险费）
• 2．对船舶的调度权限不同
程租时，租船人无权调度船舶；期租时，租船
人有权调度船舶（航线、港口和货物）。
3). Demise charter
Demise charter, is also called bare-boat
charter, the charterer takes a lease of
the entire ship for an agreed time. So
demise charter belongs to time charter,
but there are some differences: as to
time charter, during the period of
chartering, the ship-owner provides the
charterer with a crew, while as to bareboat charter,
3). Demise charter
the ship-owner only provides the
charterer with a bare-boat, the charterer
shall employ the crew and pay the crew’s
wages and provisions, ship’s
maintenance and stores etc. by himself,
apart from those expenses he is
responsible for under the time charter.
光船租船
又称“净船期租船”，是船舶所有人
将船舶出租给承租人使用一个时期，但
船舶所有人提供的是空船，承租人要自
己任命船长，配备船员，负责船舶的给
养和船舶营运管理所需的一切费用。光
船租船实际上属于财产租赁，不同于与
一般的期租船。
4). Charter party
The charter party is a contract concluded
between the ship-owner and the
charterer when the latter charters the
ship or booking shipping space from the
former. It stipulates the rights and
obligations of the two parties. The main
terms on the charter party include the
interested parties, name and flag of the
ship, description and so on
4). Charter party
(1) A voyage charter party should
include the following main clauses.
• Shipper, carrier, name of vessel,
flag of vessel;
• Cargo type, packaging, quantity;
• Ports and alternatives;
•
• Laydays date and cancelling date
(the earliest and the latest date
date charterer can accept for
loading the cargo by which the
carrier must have the vessel ready
and charterer must have the cargo
ready);
• How (by freight ton or s lump-sum),
When and where( “prepaid” or “to
be paid”) the freight paid;
• Loading and unloading fees (FIO,
FI, FO, Liner Terms);
• Laytime / laydays, demurrage and
dispatch money.
Key trade terms used
specifically in charter shipping
• One issue that needs to be clarified in
charter shipping is who should bear the
loading and unloading costs. The key trade
terms have been developed in this regard.
• FI --Free In
• The word “free” as used in the charter
shipping term means “not including”. FI is a
pricing term indicating that the charter of
a vessel (i.e., the shipper) is responsible
for the cost of loading goods onto the
vessel.
• FO--Free Out: FO is a pricing term
indicating that the charter of vessel
(i.e., the shipper) is responsible for
the cost unloading goods from the
vessel.
• FIO--Free In and Out: FIO is a
pricing term indicating that the
charterer of a vessel (i.e., the shipper)
is responsible for the cost unloading
goods onto the vessel and unloading
goods from the vessel.
• Gross Terms
定程租船货物的装卸费用的负担
①船方负担装货费和卸货费，又可称为
“班轮条件”(Gross Terms) ，船货双
方一般以船边划分费用。
多用于木材和包装货物的运输。
②船方管装不管卸(Free Out, FO)。即
船方负担装货费，但不负担卸货费。
定程租船货物的装卸费用的负担
③船方管卸不管装(Free In, FI)。即船方负
担卸货费，而不负担装货费。
④船方装和卸均不管(Free In and Out, FIO)
即船方既不负担装货费，也不负担卸货费。
这种条件一般适用于散装货。采用这一规
定方法时，必要时还需明确规定理舱费和
平舱费由谁负担，如 (Free In and Out,
Stowed and Trimmed, FIOST)条款。
Laytime/laydays, demurrage
and dispatch money.
• Laytime is the total time (number of
hours or days) allowed through an
agreement between the ship-owner and
the charterer for loading and/or
unloading the cargo. Within that time ,
the ship-owner bears the expense for
the vessel to be on berth. Over that
time, the charterer pays for any hours
as demurrage, the cost of delaying a
ship, to the ship-owner.
Laytime/laydays, demurrage
and dispatch money.
• If the loading and/or unloading can
be completed I less time allowed in
the voyage charter party, dispatch
money is paid by the ship-owner to
the charterer as an amount of
compensation. Dispatch money is
normally based on, or as a fraction of,
the rate for demurrage.
Laytime/laydays, demurrage
and dispatch money.
• Demurrage and dispatch money are
stipulated in order to increase the
operating efficiency and to reduce
the operating cost of the vessel.
Laytime/laydays, demurrage
and dispatch money.
• With different implications to ship-owners
and charterers, there are different ways
to calculate the laydays such as:
• Running or consecutive days (Each and
every 24 hours are counted as one day.)
• Working days (Non-working days such
Sundays and holidays are excluded.)
• Weather working days (A day of good
weather and working day is taken as part
of the laytime.)
装卸时间、滞期费和速遣费
如果在约定的允许装卸时间内未能将货物装卸完，
致使船舶在港内停泊时间延长，给船方造成经济
损失，则延迟期间的损失，应按约定每天若干金
额补偿给船方，这项补偿金叫滞期费。
反之，如按约定的装卸时间和装卸率，提前完成
装卸任务，使船方节省了船舶在港的费用开支，
船方将其获取的利益的一部分给租船人作为奖励，
叫速遣费。
按惯例，速遣费一般为滞期费的一半。
滞期费和速遣费通常约定为每天若干金额，不足
一天者，按比例计算。
装卸时间、滞期费和速遣费
• （一）装卸时间lay time
• 指允许完成装卸任务所约定的时间，一般以
天数或者小时数来表示。表示方法如下：
• 1.按连续日（或时）（Running
consecutive days/hours），指按24小时
应为一个连续日，其中没有任何折扣。
• 2.工作日（Working days），指按照港口
习惯，属于正常工作的日子，星期日和节假
日除外。
装卸时间、滞期费和速遣费
• 3.好天气工作日（Weather Working
days），指按正常的日子星期日和例假日
以及因天气恶劣不能进行装卸作业时都除
外，不予计算工作日。
• 4.连续24小时好天气工作日（Weather
Working days of 24 consecutive
hours），这种规定按连续24小时为一个工
作日，但星期日、例假日和不能装卸的坏
天气都一律扣除。
装卸时间、滞期费和速遣费
• （二）装卸率
• 装卸率就是每个工作日装卸多少吨货物。
装卸率直接影响到装卸时间。
4). Charter party
• (2)A time charter party should
include the following main clauses:
• Description of ship;
• Trade limit (cargo, area);
• Charter period; Delivery of vessel;
• Charter hire;
Suspension of hire;
• Redelivery of vessel;
Sublet.
summary1
• ⅠAdvantage and disadvantages
(1). Voyage charter 定程租船
(2). Time Charter
定期租船
• ⅡMajor types of cargo vessels
(3). Demise charter 光船租船
(4). Charter party
租船合同
• ⅢClassification of merchant vessels
1.Liner/Regular Shipping Liner (班轮运输)
2.Shipping by Chartering（租船运输）
characteristics and
functions
liner ship business
obligations of
consignment
liner consortia
marine transportation
business
characteristics of
ship leasing
ship charter
voyage
charter
ways of ship
chartering
time
charter
charter party
demise
charter
补充资料：
国际海洋运输的主要规则
•
•
•
•
•
《海牙规则》
《维斯比规则》
《汉堡规则》
《国际海事委员会海运单统一规则》
《国际海事委员会电子提单规则》
Section two
Ocean Bill of Lading
(B/L)
授课教师：夏夕美
introduction
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.
Generally, commercial invoice, bill of lading,
insurance policy or certificate, packing list, and weight
memo etc, are called shipping documents. In addition,
other documents required by the buyers and related to
the matter of duty to be paid on the imported goods,
sometimes, are also included in shipping documents,
they are the proforma invoice, consular invoice,
certificate of origin, certificate of value, certificate of
inspection.
Bill of exchange
Invoice
Variety of
documents
(Leading)
Bill of lading
Insurance policy
1.Definition of Ocean bill of
lading:(海运提单)
• It is a document signed by a
carrier (a transporter of goods) or
the carrier’s representative and
issued to a consignor (the shipper
of goods).
• It is a receipt from the shipping
company, giving detail of a
particular shipment.
2.Functions of B/L
• It serves three main functions:
– It is evidence that a valid
contract of carriage exists
between the carrier and the
shipper, and it may incorporate
the full terms of the contract
between them.
（运输契约的证明）
2.Functions of B/L
– It is a receipt signed by the carrier
confirming whether goods matching
the contract description have been
received from the shipper in goods
condition.（货物收据）
– It is also a document of title,
creating ownership of the goods
shipped.（物权凭证）
海运提单bill of lading
• 1、提单的概念（承运人签发）
是一种用以证明海上货物运输合同和货
物已由承运人接管或装船，以及承运人
据以保证交付货物的单证。
托运人
承运人
收货人
海运提单bill of lading
• 2、提单的性质与作用
（1）货物收据
证明已接管或装
船
表面状况
数量或件数
（2）是运输合同的证明
先有运输合同后有提单，两者内容不符，以
合同内容为准。
（3）物权凭证：可以通过背书转让货物所有权
提单经典案例
经营柑橘的托运人在西班牙与承运人在合
同中约定，承运人应在1947年12月1日英国
提高这种货物进口税以前把货物运到英国。
但船舶首先开到安特卫普港，12月4日才到
达伦敦。托运人要求承运人赔偿损失。承
运人辩称：提单中载有通常条款，即规定
承运人可以任意经过任何航线把货物直接
或间接运至目的港。问承运人是否应该承
担责任？
3.Kinds of B/L 提单的种类
1 ） According to whether the goods
have been loaded on board the
vessel, the B/L is divided into:
A. shipped on board B/L已装船提单
B. received for shipment B/L备运提单
the on board notation on the B/L
name of the vessel
the date of the shipment
3、提单分类
（1）按签发提单时货物是否装船来分:
• 已装船提单（Shipped or on Board B/L）, 是
指货物装船后，由承运人签发给托运人的提单。
提单上必须载明装货船名和装船日期。
• 备运提单(Received for Shipping B／L)，是
指承运人在收到托运货物等待装船期间，向托
运人签发的提单。这种提单没有肯定的装货日
期，往往不注明装运船舶的名称，因而买方和
银行一般不接受备运提单。备运提单如经承运
人加注“已装船”字样，注明装船名称，装船
日期并签字证明，也可转为已装船提单。
3.Kinds of B/L 提单的种类
• 2）According to whether there are
notes on the bill of lading, it falls
into two kinds: Clean B/L and
unclean B/L 清洁提单和不清洁提单
• the goods are received without
damage, irregularities or short
shipment
• The bank will reject a dirty bill of
lading, unless stipulated otherwise
in the letter of credit (L/C).
• Clause which do not expressly state
that the goods or the packaging
are unsatisfactory (e.g., “secondhand cases”, “used drums”)
3、提单分类
（2）按提单有无不良批注条款:
• 清洁提单(Clean B/L) , 是指货物交运时
外表状况良好，承运人未加有关货损或包
装不良或其他有碍结汇批注的提单。清洁
提单是国际贸易中广泛采用的提单。
• 不清洁提单(Unclean or Foul B/L), 是指
承运人加注货物外表状况不良或存有缺陷
等批注的提单。如“包装不固”、“破
包”、“X件损坏”等。
清洁提单案例
一批木材在装船时受到原油的污染，承
运人签发了“清洁提单”，托运人持此
提单转让给第三者，被背书人在提货时
发现木材有污染，就要求承运人负责赔
偿损失，问应该有谁承担责任？
清洁提单案例
某进口公司以CFR价格，即期信用证
付款方式成交某商品1500袋，提货时，
发现短量103袋，持清洁提单向船公司索
赔时，船公司出示出口人出具的“赔偿
保证书”（Letter of Indemnity，L/I）
（通称保函），拒不承担赔偿责任，进
口商当即致电卖方索赔，巧遇卖方公司
破产倒闭。对此船公司应该如何处理？
船公司真的没有责任吗？
3.Kinds of B/L 提单的种类
• 3) According to whether the B/L is
transferable, it is divided into 3
kinds:
• A. Straight B/L 记名提单
• B. order B/L 指示提单
• C. blank B/L 空白提单
• A. Straight B/L
• A straight bill of lading is one in
which the goods are consigned to a
designated party. It is a nonnegotiable bill of lading---title to
the goods is conferred directly to
a party named in the letter of
credit (usually the buyer) and is
not transferable to another party
by endorsement.
• The letter of credit calls for a
straight bill of lading usually by
using such words as “consigned to
[the named party]” or “issued in
the name of [the named party]”.
The named party can obtain the
goods directly from the carrier at
destination.
• the use of a straight bill of lading
has higher risk for the seller.
记名提单
• 记名提单(Straight B/L) :
收货人是具体的公司名称，只有收货人
才能提货，又称为“不可转让提单”。当
货物装上船的时候, 这份货权就完全是收
货人的了, 无论对卖方与付款银行都不利。
记名提单一般只用于运输贵重物品或有特
殊用途的货物。
• B. Order B/L
• An order bill is one in which the
goods are consigned to the order of
a named party. It is a negotiable
bill of lading---the title to the
goods is conferred to the order of
shipper or to the order of a named
party in the letter of credit (usually
the issuing bank).
• The title to the goods is
transferable to another party by
endorsement, usually on the
reverse (back) of the bill of lading
by the title holder of the B/L.
• The letter of credit normally calls
for an order bill of lading that is
to order blank endorsed or to
order of shipper and blank
endorsed.
• Unless provided otherwise, a
consignment that is “to order”
means to order of shipper. “Blank
endorsed” means without specifying
to whom the bill of lading is
transferred.
• If a letter of credit requires a B/L
that is “to order blank endorsed”,
enter the words “To Order” in the
Consignee field in the bill of lading
and other documents/forms. If a
letter of credit requires a B/L that
is “to order of shipper and blank
endorsed ”.enter the words “To
Order of [shipper’s name]” in the
Consignee field.
指示提单(Order B／L)
指示行为是用背书来体现: 凭XXX的指示才能
使另外的人使用提单来提货。记载方式:
To order of shipper凭托运人指示(托运人背书 )
To order of XXX Bank 凭银行指示 (银行背书)
To order of XXX 凭x公司指示 (公司背书)
To order＝To the order 凭指示 (又称空白抬头、
托运人背书)
• C. Bearer B/L
• Bearer B/L states that delivery shall
be made to any holder of the bill. This
type of B/L makes the consignee “to
bearer” or leaves it blank.
• No endorsement is needed to transfer
such a document and the delivery of
the cargo shall be made to any bearer
of the B/L.
• It is also called open B/L or blank B/L.
不记名提单
• 不记名提单(Bearer B/L) , 又称“空白
提单” :
收货人一栏内不填写收货人名称而留
空的提单。提单持有人可以不作任何背
书转让或提取货物。由于这种提单风险
大，国际贸易中很少使用。
3.Kinds of B/L 提单的种类
• 4)According to the modes of
transport, it can be divided into 3
kinds:
• A. direct B/L直达提单
• B. transshipment B/L转船提单
• C. through B/L.联运提单
• A. direct B/L直达提单
• This type of B/L means that the
cargo on the B/L must be shipped
from the port of loading directly to
the port of discharge on the same
vessel.
3、提单分类
（4）按运输方式分:直达/转船/联运提单
• 直达提单(Direct B/L)，是指货物从装运
港装船后，中途不换船而直接运到目的港
使用的提单。直达提单上仅列有装运港和
目的港的港口名称。
• 在国际贸易中，如信用证规定货物不准转
船，卖方就必须取得承运人签发的直达提
单后才能向银行办理议付货款。
• B. transshipment B/L转船提单
• Transshipment means the transfer and
reloading during the course of carriage
from the port of lading to the port of
discharge from one vessel to another
vessel.
• Transshipment B/L means the cargo on
the B/L changes ships during transit.
• Such a B/L has the phrase “to be
transshipped at xxx (name of the
transshipment port)”.
3、提单分类
• 转船提单(Transshipment B/L)，是指
货物须经中途转船才能到达目的港而由
承运人在装运港签发的全程提单。
• 转船提单上注有“在某港转船”的宇样，
承运人只对第一程运输负责。
• C. through B/L.联运提单
• A through bill of lading involves the
use of at least two or more
carriers of different modes of
transport from sea, road, rail, and
river, such as sea-land or seariver. It is therefore a “multimodal
bill of lading”.
• Such a B/L does not always provide
for responsibility of the issuer for
loss or damage to cargo from point
of origin to destination.
3、提单分类
• 联运提单（Through B/L)是指须经两种或
两种以上运输方式（海陆、海河、海空、
海海等）联运的货物，由第一承运人收取
全程运费后，在起运地签发到目的港的全
程运输提单。
• 联运提单虽然包括全程运输，但签发提单
的承运人只对自己运输的一段航程中所发
生的货损负责，这种提单与转船提单性质
相同。
3.Kinds of B/L 提单的种类
• 5)According to the issuing date of
B/L, it can be divided into 3 kinds:
• A.过期提单(Stale B／L)
• B. 倒签提单(Anti-dated B／L)
• C.预借提单(Advanced B／L)
• A. Stale B/L
• A stale B/L is one that is
negotiated when the L/C has
expired or one that will reach the
consignee after the arrival of the
cargo
• If a stale B/L is unavoidable it
should be expressly permitted in
the letter of credit.
• The remedy to the problem of a
stale bill of lading is for the
importer to use the Guarantee for
delivery of goods or a similar form
provided by the L/C the issuing bank
and to post a bond in order to clear
the goods through customs in the
absence of the B/L however the
importer is obliged to surrender to
the carrier the original B/L upon
receipt o to produce a replacement
of the original B/L in case of loss.
过期提单(Stale B/L)
两种情况:
• 1.按正常邮程预计收货人不能在船舶抵港
之前收到的提单。
• 解决办法：船东单电放就是不需要正本提
单，只需要凭背书的电放提单传真件和电
放保函提单签发人提货就可以了。
过期提单(Stale B/L)
• 2.按照《跟单信用证统一惯例》的规定，
在提单签发日期后21天才提交的提单就
为过期提单.
过期提单影响买方及时提货、转售并
可能造成其它损失，因而为防止买方以
此为借口而拒付货款，银行一般都拒收
过期提单。
案例分析
• 公司与B公司签订了一份国际货物买卖合同，
由A公司向B公司销售一批货物，双方在合
同中规定信用证付款。合同订立后，B公司
依约开来信用证。该信用证规定，货物最
迟装运期至9月30日，提单是受益人A公司
应向银行提交的单据之一，信用证的到期
日为10月15日，信用证未规定交单期。A
公司于9月12日将货物装船并取得提单，提
单日期为9月13日。10月5日A公司向银行
交单议付，银行以已过交单期为由拒绝付
款。问：银行是否可以拒付?理由是什么？
案例分析
• 银行可以拒付，原因如下：
• 若信用证未规定交单期，按照《UCP500》
规定，受益人应于运输单据出单日期之后
的21天内向银行提交单据，并不得迟于信
用证的有效期。
• 本案例中，A公司于9月12日将货物装船并
取得提单，提单日期为9月13日，交单期应
到10月4日有效。A公司10月5日向银行交
单议付，由于已经过了交单期，所以银行
以已过交单期为由拒绝付款正确。
• B. 倒签提单(Anti-dated B／L)
• A B/L is anti-dated when the
actual date of loading is later than
the date set in the contract or the
L/C it is used by some shippers in
order to comply with the L/C
requirements and to negotiate
payment when they have not been
able to effect shipment in time
• ante-date a B/L is to make a false
statement on a bill of lading
倒签提单(Anti-dated B/L)，
指承运人在提单上签注的货物装船完毕的
日期早于货物实际装船完毕的日期。这种
提单与“预借提单”一样，通常被认为是
非法的和欺诈性的，应禁止使用。
“晚装签早装”
• C. Advanced B/L
• Looked the same as a shipped B/L
an advanced B/L is in fact issued
before loading the cargo on board
the shipper in order to negotiate
payment before L/C expires at an
earliest possible.
预借提单(Advanced B/L)
是指承运人在货物未装船或未装船完毕时
签发的提单。在托运人需要提前取得运输
单据办理货款结算手续，或派作其他用途
时，通常会要求承运人签发预借提单
“未装签已装”
3、提单分类
（6）按提单的使用效力
–正本提单 (original B/L)
提单上注明“original”，有承运人、
船长或其代理人签章并注明签发日期。
信用证常规定议付时提交全套正本提单
“full set of ××”
–副本提单 (copy B/L)
提单上没有承运人、船长或其代理人签
章而仅作参考用，上面标明“copy” or
“non-negotiable”
7).other Kinds of B/L
• A. A groupage B/L that covers a
number of consignments from
different shippers
• B. a house B/L certificate issued
by a freight forwarder to each
individual shipper
3、提单分类
按出具提单的人
• 船东单: (Master B/L 或 Ocean B/L)
俗称大单由船公司或实际承运人签发
• 货代单: (House B/L或 Forwarder B/L)
俗称小单, 也称货运提单/全程提单/分提
单/运输商提单, 由货运代理出具的提单.
7).other Kinds of B/L
• C. On deck B/L
• An on deck B/L is issued when the cargo
is not loaded into the shin’s hold but
placed on the deck of the ship Unless
otherwise stipulated in the letter of
credit the bill of lading must not
indicate that the goods are or will be
loaded on deck because of the higher
risks the cargo has to face Modern
cellular container ship carry about onethird of the containers on deck .
舱面提单(On Deck B/L)。舱面提单是
指货物装在船舶甲板上运输所签发的提
单，故又称甲板提单。在这种提单中应
注明“在舱面”(On Deck)字样。
7).other Kinds of B/L
• D. Freight Prepaid B/L
• The term freight used here refers to
transportation charges the incomes
determine whether the shipper or the
consignee is responsible for paying the
freight .
• freight prepaid means the freight has been
paid or prepaid by the shipper the trade
terms CFR (C&F) CIF DAF CPT CIP DDU
DES and DEQ requires a prepayment of the
cost of main carriage
• In a prepaid delivery the letter of credit
normally requires that the words “freight
prepaid ” be marked on the B/L clearly
indicating payment or prepayment of freight
at port (or point ) of origin, the mark may
appear by stamp or be indicated by other
means
• freight prepaid B/L is issued only after the
freight has been paid.
• The words “freight to be prepaid ”or
“freight prepayable” or similar wording that
may appear on the B/L do not prove that
the freight has been paid.
7).other Kinds of B/L
• E. Freight collect or freight at
destination B/L
• Freight collect means that the
freight still has to be paid by the
consignee at destination the trade
terms FOB FAS EXM and FAC
require a collection of the cost of
the main carriage
• In a collect delivery the letter of
credit normally requires that the
words “Freight collect ”be marked
on the bill of loading clearly
indicating freight payable at
destination
• hence the freight charged on a
collect basis is normally higher than
on a prepaid basis.
7).other Kinds of B/L
• F. Short form bill of lading
• –the term and conditions of carriage
on the reverse (back) of the bill of
lading (B/L) are omitted instead they
are listed on a document other than
the B/L such as a charter party .
• Unless otherwise stipulated in the
letter of credit (B/L) a short form
bill of loading is acceptable .
4. Contents of B/L
•
A B/L invariably contains the following
particulars.
–
–
–
–
Shipper/exporter/consignor---name and
address
Consignee---complete name and address,
non-negotiable unless consigned to order
Notify party---complete mailing address;
Place of prepared;
4. Contents of B/L
– Date B/L prepared;
– Date B/L issued;
– Place B/L issued;
– B/L number;
– Pre-carriage;
– Vessel voyage (flag)---name of
ship;
– Port of loading;
4. Contents of B/L
– Port of discharge and place of delivery;
– Booking number, document number,
export declaration;
– Export references;
– Forwarding agent references, name and
address;
– Country of origin of the goods;
– Type of move---containerized or
otherwise;
4. Contents of B/L
– Final destination;
– Container number, seal number, mark
number;
– Number of packages, description of
goods shipped;
– Total gross weight---kilograms/pounds;
– Total measurement---cubic
meters/cubic feet;
– Freight charges, rate per unit, prepaid
or to be collected.
国
际
贸
易
实
务
4、内容（正面）
•
•
•
•
•
•
•
•
•
•
•
1)托运人shipper
2)收货人consignee
3)通知方notify party 4)装运港port of loading
5)目的港destination or port of discharge
6)船名vessel’s name & voyage number
7)麦头shipping marks & numbers
8)货物description of goods & number of package
9)重量和体积weight & measurement
10)运费freight prepaid of freight to collect
11)提单号码number of original B/L
12)承运人name & signature of the carrier
13)出单的地点和时间place & date of issue
内容背面
第
二
章
背面还有印就的涉及承运人与货方之间的权利、
义务与责任豁免的条款
summary
•
•
•
•
1.
2.
3.
4.
Definition of B/L
Features of B/L
Kinds of B/L
Contents of B/L
补充：海上货运单
简称海运单（sea waybill; ocean
waybill）是证明海上货物运输合同和货物
由承运人接管或装船，以及承运人保证据
以将货物交付单证所载明的收货人的一种
不可流转的单证，因此又称不可转让海运
单（non-negotiable sea waybill）。
海上货运单与海运提单的区别
• 海运单非流通性收据，而海运提单为物权
单据，可以流通；
• 海运单收货采用记名，无须收回该单据；
• 海运单为简式单证，无详细货运条款；
• 海运单可用于集装箱运输也可以用于传统
运输方式；
• 适用于船速快的运输。
Section three
shipment clauses
装运条款
授课教师：夏夕美
1.Time of shipment
• Time of shipment is the time period
or the deadline by which the seller
must effect the shipment of the
contract goods
• Time of delivery?
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.
Ways of stipulating the time of
shipment 装运时间的规定方法
There are the following ways to stipulate the
time of shipment in the contract.
• (1) Stipulate the definite time of shipment ---Stipulate a fixed time
• (2) Stipulate a period of fixed time, the seller
can arrange shipment during whichever date
• (3) Stipulate shipment within … days after
receipt of the letter of credit
• (4) Stipulate the goods shall be shipped in the
near future.
• the first two methods are
straightforward and easy to
understand
• the third provides more
security for the transaction as
shipment will not be made until
payments is guaranteed .
• Shipment should be made in
MAY/JUN
• Shipment not later than
• shipment is to be made xx days after
the seller receives the L/C
• Make shipment as soon as possible
• (immediate / prompt shipment)
About L/C
• Generally speaking the L/C should
arrive at least 15 days before the
time of shipment to allow sufficient
time to check and amend if
necessary the L/C and to shipment
and the L/C should expire 7 to 15
days after the deadline for shipment
to allow sufficient time to prepare
documents before negotiation
装运时间
（一）概述
装运时间time of shipment又称装运期
即是卖方装运货物的期限，它是买卖合同
的主要条件，如果卖方违反该条件，买方
则有权撤销合同，并要求卖方赔偿其损失。
装运时间
（二）装运时间的规定方法
1. 明确规定具体装运时间。
2. 规定在收到信用证后若干天或若干月
装运。这类规定方法，主要适用于特殊情
况，如按买方要求的花色、品种和规格或
专为某商号生产的商品，或者难以转售的
商品；在一些外汇管制较严，或实行进口
许可证或进出口配额制的国家；对某些信
用较差的客户，促使其按时开证等。
3. 笼统规定近期装运。
considerations in relation to the time
should be made in the following areas
• Availability of goods and shipping
space if the seller is responsible for
transport .
• Clarity of stipulation and absence of
ambiguity such as “immediate / prompt
shipment ”
• Some flexibility to allow reasonable
length of time for loading the cargo
• Nature of the cargo
一、装运时间
(二)规定装运时间应注意的问题
1.买卖合同中的装运时间的规定，要明确具
体，装运期限应当适度
2.应注意货源情况、商品的性质和特点以及
交货的季节性等
3.应考虑交货港、目的港的特殊季节因素
4.在规定装运期的同时，应考虑开证日期的
规定是否明确合理
2. Place of shipment & Unloading
Port of
Shipment
Port of
Destination
Guangzhou
Shanghai/Xiamen/Dalian
Guangdong Port(s)
China Port(s)
London
EMP
Ways of stipulating the port
of shipment and destination
• 1) Stipulate only one port of
shipment and one destination;
• 2) Stipulate at least two ports of
shipment and destination;
• 3) Stipulate optional ports
Consideration: In choosing port of
shipment and port of destination clear
• Firstly, convenience to the transaction.
• Secondly allow some flexibility by allowing
optional ports
• because sometimes when the contract of sale
is concluded it might not be possible to
decide precisely on the exact point or even
the place where the goods should be
delivered it is then usually stipulated that
the buyer has the right or duty to name
later on the more precise point if the buyer
fails to do so he must bear the risks and
additional costs.
• Thirdly, political considerations
should be made.
• For instance, when a country is
under an international sanction or
when a country is an enemy of
some other countries, sellers might
want to avoid going to the port of
that country.
• Fourthly, port regulations, facilities
and charges should be considered.
• Ports with unfamiliar regulations, poor
facilities and high charges should be
avoided; otherwise, efficiency might
be reduced and costs increased.
• Lastly, there is a possibility that
different ports have the same
name and that inland cities might
be used as loading or unloading
ports.
• Therefore, it is wise to specify the
area where the intended port is
located and to find out if an inland
city has been used as the port of
shipment or the port of discharge.
确定国外装运港和目的港的注意事项
(1)对国外装运港或目的港的规定，应力求具体明
确。在磋商交易时，如国外商人笼统地提出以
“欧洲主要港口”或“非欧洲主要港口”为装运
港或目的港时，不宜轻易接受。
(2)不能接受内陆城市为装运港或目的港的条件。
(3)必须注意装卸港的具体条件。
(4)应注意国外港口有无重名问题。
(5)如采用选择港口规定，要注意各选择港口不宜
太多，一般不超过三个，而且必须在同一航区、
同一航线上。同时在合同中应明确规定：如所选
目的港要增加运费、附加费，应由买方负担，同
时要规定买方宣布最后目的港的时间。
3. Partial shipment & Transshipment
分批装运与转运
1）Partial Shipment分批装运
It means the goods under the
contract shall be shipped at different
time or different lots.
Partial shipments allowed. (prohibited)
Shipment should be effected within
Jan/Feb/Mar 2011 in three lots.
……in three monthly lots.
……in three equal monthly lots.
分批装运和转船
(一)分批装运(Partial shipment)
是指一笔成交的货物，分若干批次装运。
但同一船只、同一航次中多次装运货物，
即使提单表示不同的装船日期及(或)不同装
货港口，也不作为分批装运论处。
一般来说，允许分批装运，对卖方来说比
较主动。根据惯例，除非信用证有相反规
定，可准许分批装运。
分批交货
• 如果某一批货物的不符，构成对该批的根
本违反合同，则买方可以就该批货物撤消
合同
• 如果某一批货物的不符使得买方有充分理
由断定对今后各批货物将会发生根本违反
合同，可以宣布该批和以后的都无效
• 如果某一批货物的不符构成对整个合同的
根本违反，可以撤消整个合同
案例分析
• 我公司与德商签订一出口合同，德商按时
开来了信用证，证中规定的装运条款为：1
月装100公吨，2月装150公吨，3月装150
公吨。我公司1月份按规定如数装运并顺利
收到货款。考虑到货源分散，经与船公司
协商同意，由月亮河号轮于2月10日在烟台、
2月11日在青岛共装运150公吨。当我公司
持单据到银行要求付款时，遭到开证行的
拒绝。请问开证行的拒付是否合理？为什
么？
案例分析
• 开证行的拒付不合理。原因如下：
• （1）分批装运是指货物用不同的运输工具
或同一运输工具的不同航次来运输。由此
推断，货物在不同的时间和不同的地点装
载在同一运输工具不属于分批装运。
• （2）在该案例中，2月份经与船公司协商
同意，由月亮河号轮于2月10日在烟台、2
月11日在青岛共装运150公吨，属于不同
的时间和不同的地点装载在同一运输工具，
是一批装运，符合信用证要求。
2）Transshipment 转运
• Transshipment: in ocean shipping, is the
movement of goods in transit from one
carrier to another at the ports of
transshipment before the goods reach the
port of destination.
Reasons for transshipment
• Transshipment is necessary when ships
sailing direct to the port of destination are
not available, the port of destination does
not tie along the sailing route of the liner,
or the amount of cargo for a certain port
of destination is so small that no ships
would like to call at that port.
分批装运和转船
(二)转运
如货物没有直达船或一时无合适的船舶
运输，而需通过中途港转运的称为转船
(Transshipment)。
根据规定，除非信用证有相反的规定，
可准许转运。
4.Advice of shipment
• Advice of shipment is required to
coordinate the responsibilities of the
exporter and importer.
• For example, when FOB is used, the
exporter needs to know when the ship will
arrive to pick up the goods so that he can
get the goods ready in time for delivery.
And the importer needs to know when the
goods will be ready in order to arrange
transport. Besides, the importer needs to
know when the goods are delivered in order
to arrange insurance and when he should be
ready to receive the goods.
• The advice often includes
information such as contract
number, name of commodity, name
of the carrying vessel, loading date,
invoice value, and quantity, etc.
•
•
•
•
•
•
•
•
•
•
•
•
•
•
• SHIPPING ADVICE
FAX：
INVOICE No. ：
TELEX：
L/C No.：_
TEL：
S/C No.：
MESSRS：DEAR SIRS：
WE HEREBY INFORM YOU THAT THE GOODS UNDER
THE ABOVE MENTIONED CREDIT HAVE BEEN
SHIPPED. THE DETAILS OF THE SHIPMENT ARE
STATED BELOW.
SHIPPING MARKS：
COMMODITY：
NUMBER OF BALES：
TOTAL G..T：
OCEAN VESSEL：
DATE OF DEPARTURE：
B/L No.：
PORT OF LOADING：
DESTINATION：
装运通知
• 系出口商向进口商发出货物已于某月某日
或将于某月某日装运某船的通知。
• 装运通知的作用在方便买方购买保险或准
备提货手续，其内容通常包括货名、装运
数量、船名、装船日期、契约或信用状号
码等，这项通知，大多以电报方式为之，
然也有用航邮方式的。
装运通知
• 在装运货物后，按照国际贸易的习惯作
法，发货人应立即（一般在装船后3天
内）发送装运通知给买方或其指定的人，
从而方便买方办理保险和安排接货等事
宜。如卖方未及时发送上述装船通知给
买方而使其不能及时办理保险或接货，
卖方就应负责赔偿买方由此而引起的一
切损害及／或损失。
More or less clause
• It is sometimes difficult to ship
the exact quantity of the
commodity, and then a “more or
less clause” can be used to allow
some tolerance in the quantity. The
wording of such a clause might be:
“xxx with x% more or less at
Seller’s/Ship’s option”.
• If the word “about” or
“approximately” is used, it means a
difference not exceeding 10% more
or 10% less is allowed. Unless
there is a stipulation that the
quantity of the goods must not be
exceeded or reduced, a tolerance
of 5% more or 5% less will be
permissible.
• This clause is normally used for
bulk goods and not applicable to
the number of packed units or
individual items.
• It is also important to allow the
same tolerance in the total sum of
payment in the letter of credit if
the quantity has a tolerance so
that the seller will be paid when he
has shipped more goods.
•
•
•
•
•
•
•
•
•
summary
1.Time of shipment
Ways of stipulating the time of shipment
considerations in relation to the time
2. Place of shipment & Unloading
Ways of stipulating the port of shipment
and destination
Consideration in choosing port of shipment
and port of destination clear
3.Partial Shipment/Transshipment
4.Advice of shipment
5.more or less clause
Section four
other modes of
transport
授课教师：夏夕美
ⅠRailway Transport
Railway is capable of attaining relatively
high speeds with large quantities and is ,
safe, at low cost, punctual, rather
economical and less influence by weather.
ⅠRailway Transport
Railway transport falls into 2 kinds:
• １、Railway transport at home; 国内铁路运输
• ２、International railway through transport:
国际多式联运
• The goods belong to the export country shall
be transported to the place of destination
with a railway bill of lading issued at the
place of dispatch. During the delivery, the
railway department is responsible for
transportation and the consignor and
consignee don’t have to care for it.
consignment note
• the consignment note is the evidence
of the Contract of carriage, The
consignment note will be delivered to
the consignee at the destination
station against receipt and payment of
the amounts chargeable to the
consignee,
• The duplicate of the consignment note
is the document for settlement of
payment between the consignor and
the consignee.
铁路运输
（一）国际铁路联运
凡是使用一份统一的国际联运票据，由铁
路负责经过两国或两国以上铁路的全程运
送，并由一国铁路向另一国铁路移交货物
时，不需发货人和收货人参加，这种运输
称为国际铁路货物联运。
铁路运输
• 采用国际铁路货物联运，有关当事国事
先必须有书面的约定。1938年《国际铁
路货物运送公约》(简称《国际货约》)。
从1951年前苏联和东欧各国签订《国际
铁路货物联运协定》，简称《国际货
协》。随后东欧形势发生剧变，1991年
1月起终止《国际货协》。
铁路运输
（二）国内铁路运输
国内铁路运输是指仅在本国范围内按《国
内铁路货物运输规程》的规定办理的货物
运输。我国出口货物经铁路运至港口装船
及进口货物卸船后经铁路运往各地，均属
国内铁路运输的范畴。
供应港、澳地区的物资经铁路运往香港、
九龙，也属于国内铁路运输的范围。对港
铁路运输是由国内段运输和港段铁路运输
两部分构成。它是一种特殊的租车方式的
两票运输。
铁路运输
具体做法是：从发货地至深圳北站的国内
段运输，由发货人或发货地外运机构依照
对港铁路运输计划的安排，填写国内铁路
运单，先行运往深圳北站，收货人为中国
外运公司深圳公司。负责在深圳与铁路局
办理货物运输单据的交换，并向深圳铁路
局租车，然后申报出口，经查验放行后，
将货物运输至九龙港。
铁路运输单据
国际铁路联运运单是国际铁路联运的主要运输
单据，它是参加联运的发送国铁路与发货人之
间订立的运输契约，其中规定了参加联运的各
国铁路和收、发货人的权利和义务。对收、发
货人和铁路都具有法律约束力。
运单正本随同货物到达终到站，并交给收货
人，它既是铁路承运货物出具的凭证，也是铁
路与货主交接货物、核收运杂费和处理索赔与
理赔的依据。
运单副本于运输合同缔结后交给发货人，是
卖方凭以向收货人结算货款的主要证件。
ⅡAir Transport
•
•
•
•
•
•
•
Benefits of air transport :
Faster delivery
Better
security
Less packing
Lower
insurance
Faster settlement
Better service
Reduced stock
Expanded trade and new markets
• Disadvantages
• limited capacity, dimension and
weight restrictions;
• very high operating expense and
high transport cost;
• vulnerable to disruption when
weather is bad;
• expensive handling cost because of
consignments tend not to be
consolidated;
• sparsely located facilities.
Kinds of Air Transport
The air transport can be divided into the
following kinds:
a. Scheduled airliner班机运输
b. Charted carrier包机运输
c. Consolidation集中托运
d. Air express急件运送
ⅡAirway Bill
Airway Bill has the following features:
• a. It is a transport contract signed
between the consignor/shipper and the
carrier/ airline.
• b. It is a receipt from the airline
acknowledging the receipt of the
consignment from the shipper.
ⅡAirway Bill
• c. The air waybill is an internationally
standard document mostly printed in
English and in the official language of
the country of departure, which
facilitates the on-carriage of goods going
through 2 to 3 airlines in different
countries to the final destination.
Air freight
• Air freight is collected according to actual
weight for heavy cargo or measurement
weight for large volume cargo.
• The rates are normally quoted per
kilogram–gross weight of volume equivalent.
If the volume of a 1–kilogram cargo is
smaller than 7,000 cubic centimeters or
427 cubic inches, then actual weight will be
used; otherwise, measurement weight is
used and each unit of 7,000 cubic
centimeters or 427 cubic inches is charged
as one kilogram.
• For example, if the actual gross
weight of a cargo is 250 kilograms
and the measurement is 1,908,900
cubic centimeters, the total
measurement should be divided by 1
kilogram/7,000 cubic centimeters
and the quotient is 272.70 kilograms.
Then the freight should be charged
according to the measurement
weight(273 kilograms) since the
measurement weight is larger than
the actual gross weight.
航空运单
• 航空运单是由承运人或其代理人签发的重
要的货物运输单据，是承托双方的运输合
同，其内容对双方均具有约束力。航空运
单不可转让，持有航空运单也并不能说明
可以对货物要求所有权。因此，在航空运
单的收货人栏内，必须详细填写收货人的
全称和地址，而不能做成指示性抬头。
航空运单
• 航空运单的正本一式三份，每份都印有背
面条款，其中一份交发货人，是承运人或
其代理人接收货物的依据；第二份由承运
人留存，作为记账凭证；最后一份随货同
行，在货物到达目的地，交付给收货人时
作为核收货物的依据。
• 航空运单主要分为两大类：
•
1、航空主运单
•
2、航空分运单
Ⅲ Postal Transport
According to international trade practice,
the seller fulfils the duty of delivery only if he
delivers the parcel to the post office, pays off
the postage, and gets the receipt. The post
office is responsible for the delivery of the
goods to the destination, and the consignee
goes to the post office for picking up his goods.
ⅢPostal Transport
Postal transport falls into 2 kinds:
a. Regular mail;
b. Air mail.
邮包运输
每包裹重不超过20公斤，长度不得超过一公
尺。因此，邮包运输只适用于量轻、体小
的货物。目前快递业务主要有：
1 、 国 际 特 快 专 递 (International Express
Mail Service)简称EMS，是我国邮政部门
办理的特快专递业务。
邮包运输
2、DHL信使专递(DHL Courier Service)这
是由Dalsey、Hilbolom、Lind三个老板组
建的敦豪国际有限公司信使专递和民航快
递服务(AIR Express Service, 简称AE)。
DHL是国际信使专递行业中具有代表性的
专递公司，总部设在美国纽约，在世界
140多个国家和地区设有分支公司和代理
机构，传递范围遍及世界各地。
ⅣInternational Combined
Transport/International Multimodal Transport
International combined transport means
the conveyance of cargo includes at least
two modes of transport by which the goods
are carried from the place of dispatch to
that of destination on the basis of combined
transport or a multimodal transport
contract.
ⅣInternational Combined
Transport/International Multimodal Transport
Under this method, the container is used
as an inter-medium and make up of an
international multimodal and joint
transport mode by sea, air and land.
CTD is combined
transport document
• Issued when multimodal transport,
is used, of a multimodal The main
features are:
• 1) The carriage of goods by two or
more modes of transport;
• 2) Under one contract
• 3) One document
• 4) One responsible party (CTO –
combined transport operators) for
the entire carriage to other
carriers. Liability of the CTO
starts at the place of receipt and
ends at the place of delivery. this
is the major difference between a
CTD and a through B/L.
国际多式联运
（一）含义
国 际 多 式 联 运 (International
Multimodal Transport)是在集装箱运
输的基础上产生和发展起来的一种综合
性的连贯运输方式，它一般是以集装箱
为媒介，把海、陆、空各种传统的单一
运输方式有机地结合起来，组成一种国
际间的连贯运输。
国际多式联运
（二）条件：
1. 必须有一个多式联运合同。
2. 使用一份包括全程的多式联运单据。
3. 至少是两种不同运输方式的连贯运输。
4. 必须是国际间的货物运输，并且必须由
一个联运经营人对全程运输负责；
5. 必须是全程单一的运费费率。
多式联运单据
多式联运单据(Multimodal Transport
Document，MTD)是指证明多式联运合同以
及证明多式联运经营人接管货物并负责按照合
同条款交付货物的单据。
多式联运单据是多式联运合同的证明，也是
多式联运经营人收到货物的收据和凭以交付货
物的凭证。可以作成可转让的，也可不可转让
的。多式联运单据如签发一套一份以上的正本
单据，应注明份数，其中一份完成交货后，其
余各份正本即失效。副本单据没有法律效力。
国际商会曾制定《联合运输单据统一规
则》，对多式联运单据作了具体的规定。
《跟单信用证统一惯例》规定，如信用
证要求包括至少有两种不同方式(多式联
运)的运输单据，银行接受的多式联运单
据是由承运人或多式联运经营人或其代
理签字和证实，表明货已发运、接受监
管或已装载者。即使信用证禁止转运，
银行将接受表明可能转运或将要转运的
多式联运的多式联运单据，但同一多式
联运单据须包括全程运输。
ⅤContainer Transport
Containerization (集装箱运输) is a
method of transporting freight by
placing it in large containers. It is an
important cargo-moving technique
developed in the 20th century .
• The use of container provides a highly
efficient form for transport by ship, by
road, by rail and by air, though its fullest
benefits are felt in shipping, where costs
may be reduced by as much as one half.
1)Advantages of containerization
• (1) Less handling of cargo and higher
efficiency
• It permits door-to-door service or, in
case of need, services from door to
container freight station
(CFS)/container yard (CY), from
CFS/CY to door, and from CFS/CY to
CFS/CY.
• （2）More protection of cargo
• Containers do not allow outsiders to
know what they contain and thus
minimize breakage, theft and
pilferage.
• (3)Lower costs
• In addition to higher efficiency, the cost
savings come from other different sources.
Firstly, containerization requires much less
packaging. Secondly, compared with those of
a general cargo vessel shipment, close to
90% of the labor and handling expenses can
be saved. Thirdly, the low risk damages and
pilferage enables insurance companies to
offer more favorable premium. Fourthly, the
exporter gets paid due to quicker transit
and better service offered by
containerization.
2) Container
Classifications
• (1)Sizes of ISO containers
• The cross section of an ISO container is
2.60 meters by 2.45 meters or 2.45 meters
by 2.45 meters. The lengths can be 3.05
meters(10 ft), 6.10 meters(20 ft), 9.15
meters(30 ft), 10.70 meters(35 ft) and
12.20 meters(40 ft). The 20-foot and 40foot containers are most popular. Containers
of other sizes and capacities are also
available but not widely used.
• The following table shows the capacity
of the 20-foot and 40-foot containers.
•
Capacity
Volume
Weight
• 2.45X2.60X6.10 31.0cum 8.720kg
• 2.45X2.60X12.20 68.1cum 27.580kg
• 2.45X2.45X6.10 30.0cum 18.000kg
• 2.45X2.45X12.20 66.5cum 27.070kg
(2) Classifications of containers
• 1）general cargo container
• General cargo container is suitable
for the widest varieties of cargo.
It is fully enclosed and
weatherproof, having rigid walls,
roof and floor, with at least one of
its walls, either end wall (end
loading) or side wall (side loading),
equipped with doors.
• 2）specific cargo container.
2）specific cargo container.
• A. Closed ventilation container is
used for the carriage of cargo,
such as hides, that cannot stand
excessive moisture. It is similar to
the general cargo container with
specially designed natural or
mechanical (forced) ventilation.
• B. Open top container is similar to
the dry cargo container except
that it has no rigid roof, but has a
movable or removable cover (e.g.,
a cover made of canvas, plastic or
reinforced plastic material)
supported on movable or removable
roof bow. The open top container is
used for machinery, sheet glass,
and other heavy, bulky or long
objects.
• Platform (flat rack) consists of a flat
bed with fixed or collapsible ends. The
typical flat rack has a steel frame and
end walls and a softwood floor. The
20-foot container can come with
forklift pockets to enable handling by
this type of cargo equipment. The flat
rack container is designed to facilitate
the carriage of cargo that is in excess
of the dimensioned available in either
the general purpose dry cargo container
or the open top container.
• Thermal container (reefer) (保温集装
箱) has insulated walls, doors, roof,
and floor, which limit the range of
temperature loss or gain. It is used
for perishable goods（易腐货物） like
meat, fruits and vegetables.
Depending on if a device is used for
cooling or heating, there are
different sub-types of thermal
containers.
• > Insulated container does not use any
device for cooling and/or heating.
• > Refrigerated container (with expendable
refrigerant) uses dry ice or liquefied gases.
• > Mechanically Refrigerated container use a
Refrigerating appliance, that is, the
mechanical compressor.
• > Heated container uses the heater, that is,
a heat-producing appliance.
• > Refrigerated and heated container uses
the refrigerating appliance (mechanical or
expendable refrigerant) and heater.
4) Freight
• (1) Structure of freight
• Depending on the services used,
carriers calculate the total freight
payable by the shipper. There can be
the following possibilities.
• *Full Container Load （FCL）---FCL:
• Inland haulage charge + terminal
handing charge + freight +terminal
handing charges + inland haulage
charges
• *FCL---Less than Container Load (LCL):
• *LCL---LCL:
• LCL service charges + freight +LCL
service charges
• *LCL---FCL:
• LCL service charges + freight + terminal
handing charges + inland haulage charges
集装箱运输
（container transport）
（一）集装箱
1.定义
集装箱（Container）又称“货柜”或
“货箱”, 是一种容器，具有一定强度、
刚度和规格专供周转使用的大型装货容
器，集装箱能够作为运输辅助设备反复
使用。
集装箱运输
•
•
•
•
2.集装箱特点：
长期反复使用；转运时可直接换装；
快速装卸；便于货物装满和卸空；
容积大；具有国际标准规格。
集装箱运输
3.集装箱基本类型
1A型8’×8’×40’
【外径】(2438×2438×12191mm)
【内径】(238×230×1205cm)
1C型 8’×8’×20’
【外径】(2438×2438×6058mm)
【内径】(238×234×590cm)
集装箱运输
• 4.集装箱其他类型
• 为了适应运输各类货物的需要，集装箱除
了通用的干货集装箱外，还有罐式集装箱、
冷藏集装箱、框架集装箱、平台集装箱、
通风集装箱、牲畜集装箱、散装集装箱、
挂式集装箱等种类
集装箱运输
（二）集装箱运输
1.定义
是以集装箱为运输单位进行货物运输的
一种现代化运输方式，适合于海洋运输、
铁路运输、公路运输、内河运输和国际
多式联运等。
集装箱运输
• 2.集装箱运输的装箱方式
• 整箱货（full container load, FCL）
由货方在工厂或仓库进行装箱，然后直接
交集装箱堆场（CY）等待装运，货到目的
地（港）后，收货人可直接从目的地集装
箱堆场（CY）提走。
• 拼装货（less than container load,LCL）
货量不足一整箱，须由承运人在集装箱货
运站（CFS）负责将不同发货人的少量货物
拼装在一个集装箱内，货到目的地（港）
后，由承运人拆箱后分拨给各收货人。
集装箱运输
3、集装箱货物的交接方式
① 门到门（Door to Door）。整箱交，整箱
收FCL-FCL
② 门到场（Door to CY）。整箱交，整箱收
FCL-FCL
③ 门到站 （Door to CFS）。整箱交，拆箱
收FCL-LCL
④ 场到门（CY to Door）。整箱交，整箱收
FCL-FCL
集装箱运输
⑤ 场到场 （CY to CY）。整箱交，整箱收
FCL-FCL
⑥ 场到站 （CY to CFS）。整箱交，拆箱收
FCL-LCL
⑦ 站到门 （CFS to Door）。拼箱交，整箱
收LCL-FCL
⑧ 站到场 （CFS to CY）。拼箱交，整箱收
LCL-FCL
⑨ 站到站 （CFS to CFS）。拼箱交，拆箱
收LCL-LCL
Ⅵ Land Bridge Transport
• Land bridge transport is a mode of transport
that connects the ocean transport on the two
sides of the land by the railway and land
which runs across the continent, i.e., shiptrain-ship. Land bridge transport uses the
container as a medium, so it has all advantages
of container transport.
There are 3 main land bridges in the world:
• a. American land bridge;
• b. Siberian land bridge.
• c. The New European- Asia land bridge.
ⅦPipelines transport
Pipelines are used for transporting
commodities, such as crude oil and gases etc.,
long distances over land and under the sea.
Rising fuel costs make pipelines an attractive
economic alternative to other forms of
transport in certain circumstances. Safety in
transferring flammable commodities is
another important consideration.
大陆桥运输
大陆桥运输(Land Bridge Transport)是指
使用横贯大陆的铁路(公路)运输系统，作为
中间桥梁，把大陆两端的海洋连接起来的
集装箱连贯运输方式。
（一）大陆桥运输是集装箱运输开展以后
的产物，始于1967年，发展到现在已形成
西伯利亚大陆桥、新亚欧大陆桥和北美大
陆桥三条大陆桥运输路线。
大陆桥运输
（ 二 ） “ OCP” 是 Overland Common
Points的缩写，根据美国运费率规定，
以美国西部落矶山脉为界，其以东地区，
均为内陆地区的范围。按OCP运输条款
达成的交易，出口商不仅可享受美国内
陆运输的优惠费率，而且也可以享受
OCP海运的优惠费率。因此，对美交易
中，采用OCP运输条款，对进出口双方
均为有利。
大陆桥运输
（三）注意问题
1. 货物最终目的地必须属于OCP地区范围。
2. 货物必须经由美国西海岸港口中转。
3. 提单上必须表明OCP字样，并且在提单
目的港一栏中除填明美国西部 海岸港口
名称外，还要加注内陆地区城市名称。
各种运输方式一览表
运输方式
送银行办理议付的运输凭证
签发人
海运提单（B/L）
船长或船公司
或其代理
国际联运
铁路运单副本（第三联）
铁路始发站
港、澳
货物收据（Cargo Receipt）
外运公司
海洋运输
铁
路
航空运输
航空运单（MAWB或HAWB）
民航公司或
外运
邮政运输
邮包收据（Parcel Post Receipt）
邮局
多式联运
多式联运单据（MTD）或
集装箱联运提单（CTB/L）
多式联运经营人
Exercis
e
Please finish the exercise in the text book
Case Study: Please read your case book
THANK YOU！
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