3 1.Learning Objective（学习目标） Skill Objective(技能目标)：To fill out Bill of lading correctly and skillfully according to the letter of credit.（根据信用证准确熟练地填制提单）Knowledge Objective(知识目标)：To know about the meaning , characteristics , main parties, main types, main contents , way to make out of the Bill of lading and discrepancies avoided when making out of Bill of lading .(通过本项目的教学，使学生理解提单定义，主要特征,主要当事人,主要类型,主要内容,填制方法和提单制作时应避免的不符点)
4 2.Operating Tasks(操作任务) Wangtao is the salesman of CHINA ELECTRONICS ZHEJIANG COMPANY. He prepares to make out all documents under L/C before the period of presentation stipulated in L/C. Now you are Wangtao and are required to do this task for him. The goods are to be shipped according to the amount and packages in the invoice and packing listNov.30th,2011. The shipping company is to issue the ocean bill of lading according to the following L/C.( 王涛是中国电子进出口公司浙江分公司外贸业务员，他准备在信用证交单期之前制作好信用证项下所有附属单据。请根据以下信用证代表船公司签发海洋提单。L/C资料
5 3.Operating Sample (操作示范) 海运提单的缮制海运提单一般就是指港至港已装船提单(Port to port shipped on board marine bill of lading)，习惯简称为海运提单。海运提单的格式，每家船公司都有自己不同的格式，但各项栏目、内容基本一致。出口商缮制提单和银行审核提单的基本要求是“单证相符”。下面介绍中远集装箱运输有限公司(COSCO CONTAINER LINES )海运提单的缮制及审核中注意事项。(参见提单示样)
6 L/C单据要求中关于海洋提单的规定： 1）FULL SET OF 整（全）套 ----份数要求 2）CLEAN ON BOARD OCEAN MARINE BILL OF LADING 清洁已装船海洋提单 ----单据类型3）MADE OUT TO ORDER AND BLANK ENDORSED NOTIFYING THE BUYER AND MARKED “FREIGHT PREPAID”.制成“凭空白指示、空白背书”，通知买方（开证申请人）并标出“运费已付”。 制作要求Q: What are the main contents of bill of lading?A B/L normally contains the following items:
7 ◆ B/L NO(提单号码):The number arranged by the carrier or its agent in the order of the goods received. P110-1由承运人或其代理人根据收到货物的顺序所安排的号码。一般列在提单右上角，以便于工作联系和查核。发货人向收货人发送装船通知(SHIPMENT ADVICE)时，也要列明船名和提单号码。本栏目填入:APL168◆ The Name of the Shipping Company ( the Carrier 承运人)中远集装箱运输有限公司COSCO CONTAINER LINES
8 CHINA ELECTRONICS ZHEJIANG COMPANY 408 WENSAN ROAD, HANGZHOU, CHINA The Name of the Shipper / Consignor Shipper (Insert Name Address and Phone/Fax) 发货人/托运人Who is usually the beneficiary under L/C or the seller/ the Exporter under the collection. If a credit calls for a third party as a shipper, it must be completed as stipulated in the credit( the Exporter’s Agent).托运人(Shipper)也称发货人(Consignor)，是指委托运输的当事人。信用证项下受益人(Beneficiary)为托运人或托收项下是卖方/出口商。如果信用证要求以第三者为发货人，必须按照信用证规定来填写。本栏目填入:CHINA ELECTRONICS ZHEJIANG COMPANY408 WENSAN ROAD, HANGZHOU, CHINA
9 2) The Name of Consignee(收货人) 这是海运提单的抬头，是银行审核的重点项目。应与托运单中“收货人”的填写完全一致，并符合信用证的规定。There are three alternatives, so it can be made out to different orders :◇ Demonstrative order 指示性抬头◇ Restrictive order 限制性/记名抬头◇ Bearer order 来人/不记名抬头
10 ◇ Demonstrative order 指示性抬头 A Demonstrative order can be made“ to order”(空白指示)“ to the order of shipper(凭发货人指示)”“ to the order of the issuing bank(凭开证行的指示)”“ to the order of the importer”The word “order” should be included and it indicates that the B/L can be transferred by endorsement（背书） and delivery（传递）.
11 ⊙ “To order （凭指示）” and “ to the order of shipper（凭托运人指示）” “To order” indicates that the ownership of goods belongs to the exporter/ shipper. 货物的所有权归出口商和发货人So in effect, it is the same as “to the order of shipper”. When a bill of lading is made out this way, the exporter must make blank endorsementto the bank （由发货人/出口商背书转让给银行）.Once the goods arrive at the destination, they will be released to the holder of the original B/L.Under collection, a bill of lading is often made out “to order” or “to the order of the shipper” in order to indicate the ownership of the goods retained to the exporter.often used in international trade practice一般L/C中会出现标 “MADE OUT TO ORDER”/ “MADE OUT TO ORDER OF SHIPPER”语句；
12 ⊙ “To the order of the issuing bank（凭银行指示）” Under a letter of credit, a B/L may be made “to the order of the issuing bank” in order to show the ownership of the issuing bank to the applicant before presentation to the carrier for the delivery of goods. 信用证下，提单制成“凭开证行指示”是为了表明开证申请人（买方）在向承运人提示提单领走货物前开证行拥有货物的所有权。 L/C may also stipulate a B/L to be made out “to order”.
13 ⊙ “To the order of the importer /CONSIGNEE （凭收货人指示） ” When a B/L is made out this way, no endorsement of the importer is required when he takes delivery of the goods. 当以这种方式制作提单，进口商许需要任何背书就可以领走货物。As banks cannot have the ownership of the goods, banks will be reluctant to accept the kind of B/L under L/C.由于银行对货物没有拥有权（控制权），信用证结算下，银行不愿意接受这种提单
14 ◇ Restrictive order限制性/记名抬头 When a B/L is made out to a named consignee, it is a restrictive order and the named consignee is the importer. 当提单制成指定收货人是限制性/记名抬头，指定收货人就是进口商。In this case, the importer can obtain the goods by presenting the original B/L upon his identification is proved. 这种情况下，进口商凭他的身份只要通过提示正本提单就可获得货物。Under a restrictive order B/L, the exporter is at the risk of non-payment once the goods are delivered. 在记名提单下，一旦进口商直接得到货物，出口商就面临进口商不付款的风险。一般不能做成收货人指示式，因为这样的话信用证项下的开证行和发货人,代收项下的代收行和发货人均无法控制货权；但代收业务中未经代收行同意的话，也不能做成代收行指示式，因为UCP522第10条规定：事先未征得银行的同意，货物不应直接运交给银行或做成银行抬头或银行指示性抬头。
15 ◇ Bearer order来人/不记名抬头 Bearer order B/L（不记名提单）is made out “to bearer 交持票人)”.即空白抬头It can be transferred by delivery without endorsement and it is difficult to be replaced once lost. 这类提单不需要背书就可以通过传递转让，一旦丢失就很难补回。It is seldom used in practice. 实际业务中很少使用。
16 收货人栏的填写必须与信用证要求完全一致。任何粗心大意和贪图省事的填法都可能是单证不符点。例： B/L issued to the order of ABC Co. Ltd 记名提单(提单开成凭ABC公司指定人指示）L/C required to ABC Co. Ltd.（信用证要求凭ABC公司指示) 。抬头为特定的公司与这一公司的指定人是完全不同的，前者只有这一特定的公司可以提货，提单不能转让，后者提单经此公司背书便可以转让。又如，假设信用证上规定的地名是简称，而提单上写的是全称，也是不符点。本栏目填入:TO ORDER
17 3) Notify party(被通知人)It is usually the consignee’s agent with full name and address as stipulated in the credit. 通常信用证中有规定，应严格按信用证规定填写，如详细地址、电话、电传、传真号码等，以使通知顺利。According to L/C, when a B/L is made out to order without the importer shown as the consignee, information of the importer or his agent should be shown in the notify party.（如果是空白指示提单或托运人指示提单）根据信用证，当提单中收货人一栏填的不是进口商的话，则此栏必须把进口商或其代理人的信息作为被通知人名称及详细地址填入，否则船方就无法与收货人联系，收货人也不能及时报关提货，甚至会因超过海关规定申报时间被没收。
18 If not stipulated in a credit, this item can be left blank in order to be keep documents and the credit identical, and the copy rendered to shipping company must bear the applicant’s complete name, address and telephone number….etc.（在信用证项下的提单，如果是记名提单或收货人指示提单，且收货人又有详细地址的）如果信用证无其他规定，为了使单据和信用证相同，则此栏可以留空不填。交给船公司的那份必须包含开证申请人的全名、地址以及电话号码等。p110-2
19 这是船公司在货物到达目的港时发送到货通知的收件人，有时即为进口人,也可以是买方的代理人,货到目的港时由承运人通知其办理报关提货等手续。 本栏目填入:NEW YORK TRADING CO.,LTD.NO.88 FILANKLIN ROAD NEW YORK, U.S.A.
20 4) Combined Transport * Pre-carriage by(前段运输/前程运输方式):若货物需要转运，此栏填写第一程运输工具的名称,即第一程船的船名;若货物不需转运,此栏留空不填. 5) Combined Transport* Place of Receipt (收货地点):指货物装上第一程运输工具时的收货地名称, 若货物需要转运，此栏填写收货的港口名称或地点; 若货物不需转运,此栏留空不填.
21 填写货物实际装运的船名,若系班轮,应加注航次号(Voy.No. );若货物需转运,则填写第二程船名. 本栏目填入: MARIA V.275 6) Ocean Vessel Voy.No. （ The Name of the Ocean Vessel and the Voyage No. 船名，船次）The Name of the Carrying Vessel by which the goods are shipped as well as the number of.填写货物实际装运的船名,若系班轮,应加注航次号(Voy.No. );若货物需转运,则填写第二程船名.本栏目填入:MARIA V.275◆ The Two Ports 两个港口
22 7) Port of Lading(装运港)One port is called the port of receipt, the port of loading or the port of shipment: the name of the port where the goods are loaded on board.应填列实际装船港口的具体名称。若货物需转运,填写中转港口名称,若不需要转运则填写装运港口名称.(1) 应严格按信用证规定填写，装运港之前或之后有行政区的，如Xingang/Tianjin，应照加。(2) 一些国外开来的信用证笼统规定装运港名称，仅规定为“中国港口”(Chinese ports, Shipment from China to…)，这种规定对受益人来说比较灵活，如果需要由附近其他港口装运时，可以由受益人自行选择。制单时应根据实际情况填写具体港口名称。
24 8) Port of Discharge (卸货港/目的港) and the other port is referred to as the port of destination, the port of discharge or the port of delivery:the port of discharge :the name of port where the goods are unloaded from the vessel.the port of delivery : the final destination. Left blank if the bill of lading used as port to port bill of lading.填列货物实际卸下的港口名称。在L/C条件下,应按L/C规定填写.若L/C规定有两个以上的选择港口,只能选择其中一个填写. 本栏目填入: NEW YORK,USA
25 9) Combined Transport* Place of Receipt Final destination(最终目的地) 如果货物的目的地就是目的港，空白这一栏。填写目的港或目的地应注意下列问题： (1) 除FOB价格条件外，目的港不能是笼统的名称，如European main port，必须列出具体的港口名称。如国际上有重名港口，还应加国名。世界上有170多个港口是同名的，例如“Newport”(纽波特)港同名的有五个，爱尔兰和英国各有一个，美国有两个，还有荷属安的列斯一个；“Portsmouth”(朴次茅斯)港也有五个，英国一个，美国四个；“Santa Cruz (圣克鲁斯)港有七个，其中两个在加那利群岛(Canary Islands)，两个在亚速尔群岛(Azores Islands)，另外三个分别在阿根廷、菲律宾和美国；而“Victoria”(唯多利亚)港有八个，巴西、加拿大、几内亚、喀麦隆、澳大利亚和塞舌尔、马来西亚和格林纳达都有。
26 (2) 如果来证目的港后有In transit to…，在CIF或C&F价格条件，则不能照加，只能在其他空白处或唛头内加注此段文字以表示转入内陆运输的费用由买方自理。 (3) 美国一些信用证规定目的港后有OCP字样，应照加。OCP即Overland Common Points，一般叫做“内陆转运地区”，包括North Dakota, South Dakota, Nebrasla, Colorado, New Mecico起以东各州都属于OCP 地区范围内。
27 例如San Francisco OCP，意指货到旧金山港后再转运至内陆。San Francisco OCP Coos Bay，意指货到旧金山港后再转运至柯斯湾。新加坡一些信用证规定“Singapore PSA”， PSA意指Port of Singapore Authority，即要求在新加坡当局码头卸货。该码头费用低廉，但船舶拥挤，一般船只不愿意停泊该码头，除非承运人同意。 (4) 有些信用证规定目的港后有Free port (自由港)，Free zone (自由区)，提单也可照加，例如Aden(亚丁)，Aqaba(阿喀巴)，Colon(科隆)，Beirut(贝鲁特), Port Said (赛得港)这些目的港后应加Free Zone，买方可凭此享受减免关税的优惠。
29 案例信用证规定海运提单，货从上海运到丹麦Aarhus，我出口公司在提单上有关装卸各栏填制为： Port of Loading：SHANGHAI Port of Discharge：(空白) Final destination：AARFUS 单据寄到国外银行，开证行拒付，理由是AARFUS应为卸货港，而不是目的地。信用证规定的是海运，属于港至港运输，AARFUS是一个港口而不是内陆城市，因此，它只能是卸货港，而不是最后目的地。如果运输方式是多式联运，从上海装船到欧洲某一港口，再通过陆运到AARFUS，那么AARFUS可做为最后目的地，而卸货港则为欧洲港口。
31 11) Mark & No. (Marks and Numbers 货运标志/唛头和号码) 唛头即为了装卸、运输及存储过程中便于识别而刷在外包装上的装运标记，是提单的一项重要内容，是提单与货物的主要联系要素，也是收货人提货的重要依据。as stipulated in a credit or according to the contract.如信用证上有具体规定，缮制唛头应以信用证规定的唛头为准。唛头内的每一个字母、数字、图形、排列位置等应与信用证规定完全一致，保持原形状，不得随便错位、增减等。 如果信用证上没有具体规定，则以合同为准。It should be identical to the invoice and other documents.提单上的唛头应与发票等其他单据以及实际货物保持一致，否则会给提货和结算带来困难。
32 In case of no such a stipulation, write “NO MARKS”(N/M). 如果合同上也没有规定，可按买卖双方私下商订的方案，受益人自定或写“N/M ”。 散装货物没有唛头，可以表示“No mark” 或“N/M”。裸装货物能常以不同的颜色区别，例如钢材、钢条等刷上红色标志，提单上可以“Red stripe” 表示。本栏目填入:N/M
33 12) Number and kind of Container or packages (件数和包装种类) the same as packing list. This shows how many boxes/cartons/cases into which goods are packed.本栏填写包装数量和包装单位。如果散装货物无件数时，可表示为“In bulk ”(散装)。包装种类一定要与信用证一致。本栏目填入: 1000CASES
34 案例某A公司出口一笔大豆，合同规定以旧、修补麻袋包装。信用证对于包装条件却规定：“Packed in gunny bags”(麻袋包装)。A公司按合同规定，货物以旧、修补麻袋包装，提单按信用证规定“麻袋包装”缮制。承运人在签发提单时发现货物包装是旧袋且有修补，要求在提单上加注。A公司考虑提单加添批注造成不清洁提单则无法议付，以为合同即规定允许货物以旧、修补麻袋包装，买方不会有异议，所以改制单据为货物以旧、修补麻袋包装。单据交议付行议付时，议付行也疏忽未发现问题，单到开证行却被拒付，其理由：信用证规定为“Packed in gunny bags.”(麻袋包装)，而发票与提单却表示为“Packed in used and repaired gunny bags.”(旧、修补麻袋包装)，故单证不符。A公司几经交涉无果，结果以削价处理才结案。
35 13) Kind of packages; Description of goods (包装类型和货物描述) As stipulated in the credit or according to the contract. Commodity name can be in general terms. A general or a brief description of the goods will do.商品名称应按信用证或合同规定的品名以及其他单据如发票品名来填写，应注意避免不必要的描述，更不能画蛇添足地增加内容。如信用证上商品是Shoes (鞋子)，绝不能擅自详细描述成Men’s canvas shoes (男式帆布鞋)，或Ladies’ casual shoes (女式轻便鞋)等。如果品名繁多、复杂，货物名称可用统称表示。If the transaction is under L/C, the credit number, the name of the issuing bank and the credit issuing date should be indicated here.如果是信用证下交易，信用证号码、开证行名称和开证日期都应该在此注明。本栏目填入: “FOREVER”BRAND BICYCLES
36 14) Gross Weight (kos)(毛重<公斤>) Total gross weight denoted by kilograms. If it is naked package(裸装), net weight should be marked.毛重应与发票或包装单相符。一般以公斤为计量单位,公斤以下四舍五入,除非L/C有特别规定,一般不填净重,如裸装货物没有毛重只有净重，应先加Net weight 或 N.W.，再注具体的净重数量。本栏目填入: 10,000KGS
37 以立方米为计量单位，小数点以下保留三位。FOB价格条件下可免填尺码。 本栏目填入: 28CBM 15) Measurement (尺码/体积)as to total volume of the goods, three digits after decimal point are needed.以立方米为计量单位，小数点以下保留三位。FOB价格条件下可免填尺码。本栏目填入: 28CBM
38 16)Total Number of Containers and/or Packages(in words) (大写件数) total number of the containers and packages (in capital letters).填写英文大写包装件数,且与前面包装的件数相符,习惯上先以”SAY”开头,以 ONLY结尾,分别表示”计”和”整”.散装货物此栏留空不填.本栏目填入:SAY ONE THOUSAND WOODEN CASES ONLY.
39 17) Freight and Charges 运费/其他费用/付款地点/方式 Freight clause(运费条款) 运费条款应按信用证规定注明。如信用证未明确，可根据价格条件是否包含运费决定如何批注。主要有以下几种情况： (1) Freight charges can be made as prepaid or collect, that is, to write “FREIGHT PAID” or “FREIGHT PREPAID” under the term CIF and CFR, or to write “FREIGHT COLLECT” under the term FOB and FAS.此处可以填写已付或到付。也就是说，如果是CIF、CFR等价格条件，运费在提单签发之前支付者，提单应注Freight paid (运费已付)或Freight prepaid (运费预付)； FOB、FAS等价格条件，运费在目的港支付者，提单应注明Freight collect、Freight to collect、Freight to be collected (运费到付或运费待收)，或注Freight payable at destination (运费目的港支付)。
40 (2) When the voyage chartered, write ”AS ARRANGED”. 如信用证规定Charter party B/L acceptable (租船契约提单可以接受)，提单内可注明Freight as per charter party 表示运费按租船契约支付。(3) 如果卖方知道运费金额或船公司不愿意暴露运费费率的情况下，提单可注Freight paid as arranged (运费已照约定付讫)，或者运费按照约定的时间或办法支付，提单可注Freight as arranged, 或者 Freight payable as per arrangement。
41 (4)对于货物的装船费和装卸费等负担问题，经常船方要求在提单上注明有关条款，如“F. I. ” (Free In)：船方不负担装船费； “F (4)对于货物的装船费和装卸费等负担问题，经常船方要求在提单上注明有关条款，如“F.I.” (Free In)：船方不负担装船费； “F.O.” (Free Out)：船方不负担卸船费； “F.I. O.” (Free In and Out)：船方不负担装船费和卸船费； “F.I. O.S.” (Free In , Out and Stowed)：船方不负担装卸费和理舱费； “F.I. O.S.T.” (Free In , Out, Stowed and Trimmed)：船方不负担装卸费和理舱费；
43 freight payable at…The name of the port of destination under the term FOB or the name of the port of loading under the terms CFR/CIF.
44 18) No. of Original B/L (Number of Original B/Ls正本提单的份数) Two or three original bills of lading issued by carrier are needed, sets are indicated in capital letters. This indicates how many original bills of lading will make a full set. In practice, full set may contain two, three or four originals. An original B/L is one which is signed by the ship’s master(船长), or by an agent of shipping company(船代).提单有正本和副本之分,只有正本提单可流通，交单，议付，副本则不行。对正副本提单要求的权利在收货人一方.出口商应对来证中各种份数表示方法做出正确判断, 按信用证规定来要求承运人签发正副本提单份数,并在交单议付时，应提交信用证要求的份数。单据上忘记打上正本份数或某份提单没有“正本”字样，都是不符点。
45 信用证中对份数的各种表示法： 例1. Full set of B/L，是指全套提单，按习惯作两份正本解释。 例2 信用证中对份数的各种表示法： 例1. Full set of B/L，是指全套提单，按习惯作两份正本解释。 例2. Full set (3/3) plus 2 N/N copies of original forwarded through bills of lading，本证要求提交全部制作的三份正本。这里的(3/3)意为：分子的数字指交银行的份数，分母的数字指应制作的份数。N/N (Non-Negotiation)意为不可议付，即副本,这里要求提交两份副本。
46 例3. Full set less one copy on board marine bills of lading，指应向议付行提交已装船海运提单，是全套正本(至少一份正本)。 例4. 2/3 original clean on board ocean bills of lading，指制作三份正本提单，其中两份向议付行提交。
47 UCP600第二十条指出: “iv. be the sole original bill of lading or, if issued in more than one original, be the full set as indicated on the bill of lading. iv. “系仅有的一份正本提单，或者，如果出具了多份正本，应是提单中显示的全套正本份数。”(提单可以是一套单独一份的正本单据，但如果签发给发货人的正本超过一份，则应该包括全套正本。)
49 19) Place and date of Issue (Place and Date of Issuing the B/L 提单签发地点和日期) the place of issue（签单地）should be the loading place（装货港地点，即承运人收受货物或装船的地址）and the date of issue（提单签发日期）is the date of shipment（装船日期/装运日，指装完货的日期,而非接受货物开始装船的日期）, which is the date when the shipping company receives the goods for shipment and /or when the goods are loaded on board the ship, not later than the latest date stipulated in a credit or contract （是船公司收到货物并装上船的日期，但不得晚于信用证或合同规定的最迟装运期，这对出口商能否安全收汇很重要。）.If the transaction is under L/C, the B/L date should be made consistent with the stipulation of the credit and is usually be made between the invoice date and the latest date of shipment.信用证下交易，提单日期应与信用证规定的日期一致，通常在发票日期和最晚装船日期之间。本提单正面条款中已有装上船条款(Shipped on board the vessel named above…)，在这种情况下签单日期即被视为装船日期。
50 本栏目填写: Date of Issue Place of Issue NOV. 30,2012 SHANGHAI,CHINA COSCO CONTAINER LINES
51 20) Laden on Board the Vessel ( On board notations已装船批注) Date and signature which are either pre-printed wording or are stamped on the bill of lading when the B/L is signed by the carrier.当承运人签发提单的时候，装船日期和签名事先在提单上印就或已盖章。有些提单正面没有预先印就的类似已装上船的条款，这种提单便称为备运提单。备运提单转化为已装船提单的方式有两种： (1)在提单的空白处加“已装船”批注或加盖类似内容的图章。例如“Shipped on Board”，有的只加“On Board”，然后加装船日期并加提单签发的签字或简签。所谓简签，是指签字人以最简单的签字形式通常只签本人姓名中的一个单词或一个字母来代替正式签字。
52 (2)在备运提单下端印有专供填写装船条款的栏目：Laden on Board the Vessel(已装船标注)。有人称之为“装船备忘录”。装船后，在此栏处加注必要内容，如船名等，并填写装船日并由签字人签字或简签。本栏目填入:NOV. 30,2011
53 21) Signed for the Carrier(提单签发人签字) The signature may be handwriting, seal, perforation, stamp, symbol or in any other mechanical or electronic way if not violating the law of the issuing country. P110-4For a B/L to be original, it should be signed on behalf of the shipping company. Shipping companies often issue unsigned copies of B/L for record purpose. These unsigned copies are not title documents and can not be taken as original B/L.海运提单必须经装载船只的船长签字才能生效,在没有规定非船长签字不可的情况下,船代可代理签字.来证规定手签的必须照办. 按照UCP600规定，有权签发提单的是承运人或作为承运人的具名代理或代表，或或作为船长的具名代理或代表。如果是代理人签字，代理人的名称和身份与被代理人的名称和身份都应该列明。按上述规定提单签字应根据签字人的不同情况批注不同内容:
54 1)承运人签字:如为COSCO, 则提单签字显示” COSCO As Carrier or The Carrier” 2)代理人签字:如果承运人为COSCO,代理人为ABC SHIPPING CO., 则提单签字显示” ABC SHIPPING CO. As agent for the Carrier COSCO".3)船长签字:COSCO As Master or The Master.本栏目填入:COSCO CNTAINER LINESAS CARRIER
55 22) Special condition in B/L(特殊条款) 本栏目填入:L/C NO.:1349/86283/VR/05ON BOARDFREIGHT PREPAIDSHIPPER’S LOAD, COUNT & SEALCY-CY FCL-FCL 1X20’APLU12346/7658
56 例1. Bill of lading must specifically state that the merchandise has been shipped or loaded on bard a named vessel and /or bill of lading must evidence that merchandise has been shipped or loaded on board a named vessel. 信用证要求在提单上特别地注明货物装上一指定船名的船。虽然在提单上已有一个栏目填船名，但对方仍然坚持用文字证明。这是对方强调装载船的表示。一般托运人会接受，于是在提单的空白处打上 We certify that the merchandise has been shipped on a ship name xxx.
57 例2. Bill of lading should mark freight payable as per charter party, evidencing shipment from shanghai, China to U.S, gulf port. 这是要求强调运费根据租船契约支付，并强调装运由中国的上海至美国的哥尔夫波特港的特殊条款。在填写提单时，不应因这两项内容已注在栏目中填写而放弃重写一次，应在提单空白处打上Fright has been payable as per charter party. 和 The shipment has been made from shanghai, China to U.S, gulf port.
58 例3. 来证要求：Terms as intended in relation to name of vessel, port of loading and port of arrival are not acceptable. 这是不允许在有关船名、装运港、目的港表达中出现“预计”字样的条款。在具体制作提单过程中应遵照办理。 例4. 来证要求：issuing company’s certificate confirming that the vessel named in B/L is a vessel of a conference line. This document is only to be presented in case of shipment be sea freight. 这是一个限制托运人必须把货物交给班轮公会承运的条款。托运人在收到来证时就应根据实际情况决定是否能做得到。从制作提单的具体方式来看有两种处理办法：其一是由船公司出具一张船籍证，证明装载船是某班轮公会的；其二，由船公司在签发提单时务必在提单上加注证明该船是某班轮公会的。
59 23) 提单的背书指示提单和不记名提单可背书转让,因此提单的背书可分为记名背书与空白背书两种方式.记名背书即在提单背面批注”Endorsed to….”或”Deliver to ….Co.”,再由背书人签字盖章;空白背书由背书人在提单背面签字盖章,不另作其他任何记载.若提单漏注背书,极易造成拒付的危险.
60 4.Basic Knowledge (基础知识) Contents Section one Bill of Lading1Section two Other Transport Documents2
61 shipping Documents In this chapter, you will learn: Section 1 Bill of lading 提单The meaning of B/L 提单定义The main characteristics of B/L 提单的特征The main parties involved in B/L提单的主要当事人The main types of B/L 提单的主要类型The main contents of B/L 提单的主要内容(The way to make out of B/L提单填制方法)Cautions and notes for B/L 提单的注意事项
62 Section 2 Other Transport Documents 1）Non-negotiable sea way-bill(SWB)不可转让海运提单The Definition，main characteristics & the main elements 定义,特征与主要要素2）Air Transport Documents空运单据3）Charter party bill of lading
63 Section one Bill of Lading Q1: What is shipping document?Q2: What is a bill of lading?Q3: What are the main characteristics of a bill of lading?Q4: What are the main parties involved in the bill of lading?Q5: What are the main types of bill of lading?Q6: What are the main contents of bill of lading?Q7: What shall we pay attention to in making out bill of lading?
64 Q1: What is shipping document? Shipping documents are issued by the carriers (承运人) or named agent (指定货代) and masters (船主) or named agent, certifying (证明) that the goods have been loaded on board or dispatched or taken in charge (货物已经装上船或发运或已由承运人监管)Shipping documents mainly refer to:Marine bill of lading 海洋提单Seaway bill 海运单Airway bill 航空运单Charter party bill 租船合约提单Combined transport documents 联合运输单据
65 Q2: What is a bill of lading? A bill of lading is a transport document (运输单据) which is issued and signed by the shipping company (运输公司/船公司)or his agent ( the carrier承运人) and given to the shipper （托运人）acknowledging that goods have been received for shipment to a particular destination and stating the terms on which the goods are to be carried. 海运提单是货物承运人或其代理人(轮船公司)签发给托运人，证明托运的货物已经收到，或装运到船上，约定将该项货物运往目的地交于提单持有人的物权凭证。
66 When the goods are transported by ship, marine bill of lading is one of the most important shipping documents.
67 According to Hamburg Rules------the United Nations Convention on the Carriage of Goods by Sea, 1978, “ the bill of lading means a document which evidences a contract of carriage by sea and the taking over or loading of the goods by the carrier, and by which the carrier undertakes to deliver the goods against surrender of the document. A provision in the document that the goods are to be delivered to the order of a named person, or to order, or to bearer, constitutes such an undertaking”.
69 Q3: What are the main characteristics of a bill of lading? ◆ A receipt of goods承运人收到托运货物的书面收据。It serves as a receipt for goods shipped, acknowledging that the goods have been received in said quality, quantity and in apparent good order for the purpose of loading on board a vessel.◆ A contract of carriage 运输合同的证明It is a contract of carriage made between the carrier and the shipper. The detailed provisions will be made on the reverse of the document which stipulates the rights and responsibilities of the two parties.
70 ◆ A negotiable document 可以转让的单据 ◆ A title document 货物所有权证书It is a title document in the sense that the legal owner of the bill of lading is the legal owner of the goods. The carrier will only release the goods against surrendering the original bill of lading. When a bill of lading is transferred, the ownership over the goods has also been transferred.◆ A negotiable document 可以转让的单据
71 Q4: What are the main parties involved in the bill of lading? ◆ carrier 承运人: a shipping company who can either be the owner of the ship or the hirer of vessel.◆ shipper 发货人: also called the consignor who dispatches the goods to the carrier. He can either be the exporter or the importer. However, under L/C, he is usually the beneficiary.◆ consignee 收货人:the party who has the right to take delivery of the goods at the stated destination.
72 ◆ notify party 被通知人As the importer is seldom shown to be the consignee, information of the notify party will be required. 由于进口商很少成为收货人，要求填写被通知人的信息。He is the person whom the shipping company will notify on arrival of the goods, usually he is the importer or his agent. 这是船公司在货物到达目的港时发送到货通知的收件人，有时即为进口人,也可以是买方的代理人,货到目的港时由承运人通知其办理报关提货等手续。
73 ◆ The Endorsee / Holder 背书人/持单人 The holder is the person who will become the owner of the goods under a given B/L by endorsement or by delivery.The holder is the transferee or the endorsee who will not appear on the face of the B/L and who is the result of the negotiation.The transferee/endorsee/holder may be the importer, a bank or any other third party.
74 Endorsement is required when a bill of lading is a demonstrative order B/L. the endorsement can take the form of blank endorsement and special endorsement. When a B/L is made out “to the order of the issuing bank”, the issuing bank will make special endorsement to transfer it to the importer. When a B/L is made out “to order” or “to the order of shipper” and if it is under L/C, blank endorsement is often required to transfer the B/L to the bank which will in turn make special endorsement to the importer upon his payment.
75 In practice, a bill of lading is usually required to be made out “to order and endorsed in blank” under L/C.◆ Transferee受让人
76 Q5: What are the main types of bill of lading? ◆ According to whether or not the goods are “on board”按提单签发时货物是否已经装船 :● On board/Shipped bill of lading已装船提单on board B/L is one that is issued by the carrier after the goods have been shipped on board the vessel at the port of shipment .. It can be marked with “ on board” by the carrier or “on board” can be pre-printed on the B/L. Date of issuance of a shipped B/L will be deemed to be the date of shipment. An on board B/L is a satisfactory type to the shipper for an early settlement.
77 ● Received for shipment bill of lading备运提单 If a B/L is marked with “received for shipment”, it shows that the carrier has taken the goods in charge but does not certify that they are shipped on board the vessel. Received for shipment B/L can become on board B/L after it is stamped with a date showing when the shipment was loaded.
78 ● Clean or Unclaused B/L 清洁提单 ◆ According to whether or not the goods are damaged at the time of boarding按承运人对货物外表状况有无不良批注 :● Clean or Unclaused B/L 清洁提单It is one on which there are no special unfavorable remarks about the goods conditions and the packing conditions. Each B/L states: “in apparent good order and condition….” .Normally the seller is liable to provide clean B/L. A clean, shipped-on-board B/L is the normal requirement of an L/C.
79 ● Unclean or foul B/L 不清洁提单 If the B/L shows that the goods or packaging are not in good condition, the B/L is an “unclean B/L”, or “foul B/L”.If the carrier does not agree with the statement “Shipped/ Received in apparent good order and condition….”, he will add a clause indicating the defective conditions of the goods or the packing. Such a clause will make the B/L a “foul”, “claused” or “unclean” one. An unclean B/L is not acceptable to the bank.
80 ◆ According to the modes of transportation 按运输过程中是否转换运输工具或换船: ◇ In a single mode where only the sea voyage is involved.⊙ Direct B/L 直达提单A direct B/L is issued when the goods are shipped by one vessel directly from the port of loading to the port of discharge without transshipment being made on the route. When the transaction is under L/C and if the credit bears such indications as “transshipment not allowed”, then a direct Bs/L will be required.
81 ⊙ Transshipment B/L 转船提单 Transshipment B/L is issued when there is no direct service between the port of loading and the port of discharge where two vessels will be involved. The goods will be transshipped from one vessel to another at the port of transshipment.When the transaction is under L/C and if the credit bears such indications as “transshipment allowed”, then a transshipment B/L will be issued by the carrier.
82 ◇ In multi-modes with at least one part of the journey to be the sea voyage. ⊙ Combined Transport Documents ( CTD) / Combined Transport B/L联合运输提单（集装箱运输提单）According to UCP600, CTD are newly developed shipping documents to cover at least two different modes of transport from the place of departure to the place of final destination by sea, inland waterway, rail or road.
83 In a single mode of transportation under a marine B/L, the carrier will only provide port to port service; whereas in multi-modes transportation under CTD, the carrier can provide door to door service. As a result, since the 1980s, the name of marine B/L has been changed to B/L applicable to either the combined transport shipment or port to port shipment.
84 ⊙ Through B/L 联运提单A through B/L resembles a CTD except that a through B/L is issued by the first carrier who will only be responsible for his part of the journey only.
85 ◆ According to whether or not detailed information of the contract is attached:按提单格式的繁简不同 ◇ Long Form B/L 全式提单A long form B/L is a complete form of B/L with full details of the contract of carriage printed on the reverse of B/L.◇ Short Form B/L 简式提单A short form B/L is a regular B/L except that the detailed information of the contract of carriage is omitted and is subject to that contained in the carrier’s long form B/L. Banks will normally accept this type of B/L unless stated otherwise in the credit.
86 ◆ According to Whether or Not the B/L is Negotiable 按提单是否可以转让 ◇ Negotiable B/L 可转让提单⊙ Order B/L 指示提单An order B/L refers to the demonstrative order B/L. This type of bill can be made to order, to the order of shipper, to the order of issuing bank and to the order of the importer. An order B/L can be transferred by endorsement and delivery.
87 ⊙ Bearer B/L 不记名提单（也叫空白提单） A bearer B/L is made out to bearer. It is also referred to as open B/L. This type of B/L is negotiable by mere delivery without endorsement. In practice, it is rarely used because of its higher degree of risk.
88 ◇ Straight B/L 记名提单 A straight B/L refers to a non-negotiable B/L or a named consignee B/L. It is made out to a named consignee and is not negotiable. The wordings “Consigned to ….(the named consignee)” means that no one except the named consignee can take the delivery. The named consignee is usually the importer.
89 In this case, the exporter will suffer a loss in the event that the importer refuses to pay after he has taken the delivery because the legal owner of the goods is made to be the importer by such a B/L. As a result, this type of B/L is often used in non-commercial basis, open account or payment in advance with the purpose to enable the importer to obtain goods with the least formalities.
90 ◆ According to the types of vessel 按船舶营运方式不同 ◇ Liner B/L （regular liner B/L）班轮提单 A liner B/L is issued by the carrier when the goods are shipped on a regular line vessel with scheduled route and reserved berth at destination. The most obvious advantage of a liner B/L is that the carrier can inform the shipper, before or shortly after the sea voyage, the estimated date of departure (ETD) and the estimated time of arrival ( ETA) so that the importer will also be informed that the goods are dispatched and will arrive on a set date. The majority of B/L are liner B/L.
91 ◇ Chartered (party) B/L 租船提单 A chartered B/L is issued by a hirer of a ship to the exporter. The terms of the B/L are subject to the contract of hire between the ship-owner and the hirer. A chartered B/L usually contains such wordings “subject to the charter party” and it is used when the shipments are large enough to take up the entire available space of a vessel such as the shipments of oil, chemical, grain, coal, cotton and automobiles.
92 Compared with a liner’s B/L, a chartered B/L is cheaper for the shipper to charter a vessel than to pay the sea freight measured by ton or cubic foot. In addition, a chartered B/L is more flexible as there is no strict schedule for the journey. Banks normally will not accept a chartered B/L unless stated otherwise in the credit. This type of B/L is not very popular in international trade.
93 ◆ Other types of B/L ◇ Stale B/L过/迟期提单 It means the goods arrive at the port of destination earlier than the bill of lading reaches the importer.A B/L will be regarded as a state one when it is presented to the bank later than 21 days after the B/L date. The stale bill is not acceptable to the bank under a credit.
94 ◇ On deck bill of ladingIt is issued when the goods are shipped on the deck of the vessel. The importer is usually not willing to accept an on deck B/L because the goods are more likely to be damaged or to get lost.
95 ◇ Container B/L 集装箱提单A container B/L is issued when the goods are packed in either less than a container load (LCL) or full container load (FCL). The carrier will provide services from a container yard in the exporting country to a container yard in the importing country. With container shipping services, containers can be hauled to the premises of the exporter’s and those of the importer’s by a forwarder, thus the goods can be loaded by the exporter and unloaded by the importer.
96 However, not all seaports can offer container shipping services However, not all seaports can offer container shipping services. Again, it should be remembered that the classifications of bills of lading are based on their various functions and there is no clear-cut among them. It is allowed that one B/L can simultaneously take several types in combination.
97 Q6: What are the main contents of bill of lading? 见操作示范
98 Q7: What shall we pay attention to in making out bill of lading? ◆ Original bills of lading (正本提单) must bear a signature in the form described in UCP 600 sub-article 20(a)(i) and indicate the name of the carrier(承运人的名字).◆ If a pre-printed(事先印好的) “Shipped on board”(已装船) bill of lading is presented, its issuance date will be deemed to be the date of shipment(装运日期)unless it bears a separate dated on board notation (装船批注).
99 ◆ If a credit gives a geographical area or range (地区或区域)of ports of loading or discharge, the bill of lading must indicate the actual port of loading or discharge(实际的装货或卸货港), which must be within the geographical area or range quoted.◆ If a bill of lading is issued to order or to order of the shipper, it must be endorsed by the shipper. 提单如果是以”凭指示”或”凭托运人指示”签发的,必须经过托运人背书转让.
100 ◆ Clauses or notations on bills of lading which expressly declare a defective condition of the goods or packaging are not acceptable. 提单上有不良状况的批注是不可接受的.◆ The word “clean” need not appear on a bill of lading even though the credit may require a “clean on board bill of lading” or one marked “clean on board”.即使信用证要求清洁已装船提单或是标明”清洁已装船”的提单,” clean”这个词不需要出现在提单上.
101 ◆ If a credit requires that a bill of lading show that freight has been paid or is payable at destination, the bill of lading must be marked accordingly. 如果L/C要求提单注明运费已支付或在目的港(地)支付,提单必须相应地标明.◆ Corrections and alterations on a bill of lading must be authenticated. Such authentication must appear to have been made by the carrier, master (captain) or any of their agents. 提单的修改和变更必须经过承运人,船长或船长的代理进行证实.
102 Q8 : What are procedures of obtaining the Bill of Lading ? The exporter obtains the bill of lading from the shipping company and completes it himself or gets his freight forwarder to do it. It is then returned to the shipping company. Bills of lading are usually made out in sets, which consist of a number of originals ( usually three ) and a number of copies.
103 The originals are signed by the shipping company and therefore become the negotiable documents of title to the goods that the bill of lading covers. Each original is negotiable, but once one has been accomplished, the others are void.
104 When the goods are loaded on board the vessel, the shipping company checks the details on the bill and hands it to the exporter. As soon as the bill of lading is received by an exporter, he must arrange for it to be sent to his customer. The bill can either travel with the goods on the ship or the exporter can mail the bill to the customer either direct or through a bank, depending on the mode of payment.
105 If the handover of the bill of lading is linked with a method of payment, it is important that all originals are kept together. When payment is arranged under a documentary credit, the terms of the credit usually state that the bill of lading must be clean, on board, to order and blank endorsed.
106 This means that the goods must be in apparent good order, be loaded on board the stated vessel and that the bill of lading gives title to any bearer. All these phrases will be further examined in this text. Great care must be taken to see that this legal document is made out in the proper way.
107 The procedures for arranging a shipment of goods can be complex The procedures for arranging a shipment of goods can be complex. Before goods can be shipped by sea the exporter or his shipping and forwarding agent must : ● Find out freight rates; ● Select a shipping line and particular vessel; ● Booking shipping space; ● Register cargo on a shipping note and send the shipping note to the shipping company;
108 ● Register details on customs entries forms and send to customs; ● Arrange adequate packing, including shipping marks;● Receive the calling forward notice from the shipping company;● Pay freight bill;● Endorse bill of lading and send copies to the shipping line and customer, or to the bank acting as the intermediary.
109 Not every exporter has time enough to attend to all of these details itself. He may wish to use a shipping and forwarding agent. Shipping and forwarding agents are aware of all the different modes of transport for different marks, of the cost and of the suitability of each mode. Their job involves booking space, arranging documentation, and in many cases, collecting the goods from the factory and transporting them to the docks, airport , railway station and road collection point.
110 Shipping and forwarding agents also deal with customs entries and other formalities. They arrange payment of freight charges and insurance, if necessary, and handle collection of necessary documents. They may also help by “consolidating” or grouping together a number of consignments to make transportation more economice. A fee based on a percentage of the freight carried and any charges is usually paid to a shipping and forwarding agent. Individual exporters must decide whether to use a freight forwarder or their own export office.
111 Section two Other Transport Documents non-negotiable sea way-bill 不可转让海运单Air transport document 空运单
112 non-negotiable seaway bill(不可转让海运单) Q9: What is a sea way-bill?A sea way-bill is a shipping document (货运单据) which can be issued by a shipping company(货运公司/船公司) as an alterative to a bill of lading(提单).
113 Q10:What are the main characteristics of non-negotiable sea way-bill 1) It only performs two functions of a bill of lading. Namely:A receipt of goods 货物收据A contract of carriage. 运输合同2)However, Unlike a bill of lading ,a sea way-bill is not a document of title and it is not negotiable. 海运单不像提单,它不是物权凭证,不可转让.As a result , a sea way-bill can only be made out to a named consignee ----the importer(指定收货人-进口商). Thus usually we call way-bill as a non-negotiable B/L
114 Q11:What are the main elements of it? 1) Indicate that the goods have been shipped on board a named vessel at the port of loading stated in the credit; 表明货物已经装上信用证中所指定装运港的指定船上;2) Indicate shipment from the port of loading to the port of discharge stated in the credit; 表明货物已从装运港运往信用证所指定的卸货港;3) Be the sole original non-negotiable sea way-bill or if issued in more than one original, be the full set as indicated on the non-negotiable sea way-bill; 唯一一份正本不可转让的海运单或如果签发不止一份正本,在不可转让海运单上要注明整套份数;
115 5) Contain no indication that it is subject to a charter party. 4) Contain terms and conditions of carriage or make reference to another source containing the terms and conditions of carriage (short form or blank back non-negotiable sea way-bill ).Content of terms and conditions of carriage will not be examined.5) Contain no indication that it is subject to a charter party.
116 Air transport document (空运单据) Q12: What is an air transport document and what is an AWB?In general terms, an air transport document is used to distinguish from other transport document by sea, road or rail (空运单据被用来区别于海运\公路\铁路运输单据)In more specific terms, an air transport document refers to an air way-bill (AWB空运单). An AWB is issued by an airline (航空公司) when goods are dispatched by airfreight(航空运输).It is a contract between the carrier (承运人the airline航空公司) and the shipper(托运人). An air way-bill is a non-negotiable transport document covering transport of cargo from airport of departure to airport of destination(空运单是将货物从起飞的机场运输到目的地机场的不可转让运输单据).
117 Q13:What are the main characteristics of air way-bill Similar to a sea way-bill, an air transport document only perform two function:a receipt of goodsA contract of carriage
118 Disadvantages for an AWB to be made out to the importer are : Upon arrival at the airport of destination,the goods are released to the consignee (the importer)against identification even without surrendering the original AWBUnder letter of credit, when an AWB shows the importer as the consignee the banks have no control over the goods .Under letter of crediit ,the consignee /importer will take the delivery even when he has not made payment to the L/C issuing bank .Under other payment methods the exporter may suffer the loss of non-payment
119 Advantages for an AWB to be made out to the L/Cissuing bank are : The issuing bank has the control over the goods which will be released to the importer only with the permission of the issuing bank .The isuuing bank will release the goods to the importer against his paymentUnder collection,an AWB can be made out to a bank only after granting the latter’s consent and permission.In order to control the goods .another alternative that an exporter can do is to make the named consignee to be the expoter’s agent who enjoy similar advantages to comtrol the goods and secure payment for the exporter in the same way as the L/C issuing bank will.
120 Q14:What are the main contents of air way-bill? ◆The name and address of the shipper: The shipper is normally the exporter◆ The name and address of the consignee: The consignee can be the importer, or , if the exporter wants to retain the ownership over the goods till importer makes payment, the consignee can be made out to the issuing bank under L/C or an agent of the exporter under collection who will press and collect payments from the importer. When payment is effected, the bank or the exporter ‘s agent will instruct the airline to place the goods at the disposal of the importer.
121 ◆ The name of the carrier: The carrier is the airline and the issuer of an AWB . The word non-negotiable will indicate clearly that an AWB is not a title document (空运单不是物权凭证).◆ Carrier ‘s agent : In order to facilitate businesses in different cities and/or countries, the carrier can also have its agent in various places. The information concerning the agent’s name, its code (代码)and account No.(帐号) should be entered into the applicable boxes(相应的栏框内).
122 ◆ The name of the airports: The name of airport of departure and the name of the airport of the destination together with the flight No. (航班号) should be furnished accordingly .◆ The declared value for customs purposes: A detailed knowledge of the customs procedure is not required for this course. It is helpful to know that “NVD” means no value declared.◆ Hanging information: This corresponds to the notify party on a bill of lading. It should be enter with the name and address of the importer when he is not shown as the consignee. Otherwise, this box should be left blank.
123 ◆ Detail of the air freight charges. ◆ Makes :The marks perform the name function as the shipping marks on a bill of lading .The same marks will appear on all the boxes /cartons/cases and on all the other relevant documents to tie them up.◆ Detail of the air freight charges.◆ Brief description of goods: It will appear in the commercial invoice and the packing list. A general description here will be enough to serve the purpose. If the transaction is concluded under L/C. them brief description should be made in conformity with that on the credit.
124 ◆ Freight charges prepaid or collect: this shows whether the air-freight is prepaid by the exporter or whether it is payable at the credit.◆ Signature of the exporter or his agent: The signature is made to confirm the certification shown above.◆ The issuing date :This is the date on which the goods are receive by the airline and in his custody. Normally, this is also the flight date.
125 ◆The signature of the carrier or his agent: An AWB can be signed by the carrier or by his agent on his behalf.◆The full set: Normally air way-bills will be issued in three original to make a full set .The 1st original is for the carrier, the 2nd one is for the consignee and the 3rd one is for the shipper.
126 III.1.B 2.B 3.B 4. X 5.ATV.1.T 2.T 3. T 4.T 5.X
127 Click to edit subtitle style Thank You !Click to edit subtitle style