Chapter 1 International Trade Terms and Customs 国际贸易术语与国际贸易惯例 国际贸易实务双语教案.doc

chapter 1 international trade terms and customs国际贸易术语与国际贸易惯例1.1 trade terms and customs国际贸易术语与国际贸易惯例 definitions and functions of international trade terms国际贸易术语的概念及作用international commodity prices are consisted of not only unit price and amount but also related liabilities, costs and risks between the seller and buyer.国际贸易商品价格构成中，除了要表明每一计量单位的价格、金额外，还要表明买卖双方在货物交接过程中有关责任、费用、风险的划分问题。definitiontrade terms, also called price terms or price conditions, are abbreviations of letters or words specifying specific certain liabilities, costs and risks between the seller and buyer. 国际贸易术语（trade terms） 也称为价格术语、价格条件，它是指用短语或英文缩写来说明商品的价格构成及买卖双方在货物的交接过程中有关的风险、责任和费用划分问题的专门用语。it covers two basic elements: 1) trade terms indicate commodity price composition, for instance, whether the sellers quotation includes freight, insurance premium or discharge. fob excludes freight and insurance premium which are paid by the buyer. and cif is the opposite. 2) trade terms are specified terms concerning place of delivery, risks, obligations and costs during delivery of goods between the seller and the buyer.这一定义包含两层意思，第一层含义：贸易术语说明了商品的价格构成，卖方所报价格是否包含运费、保费、装缷费是离岸价还是到目的港的价格。如用fob，不包含运费、保费，称离岸价，运、保费要由买方出。cif则相反：运费、保费都已在包含在货价中，由卖方承担。第二层含义：国际贸易术语是买卖双方在货物交接过程中，关于交货地点，风险、责任、费用如何划分的专门用语。function国际贸易术语的作用trade terms, which are used as united and specific language for worldwide merchants, take shape gradually in international practice and greatly simplify dealing procedures, improving efficiency and play significant roles in international trade.国际贸易术语是在长期的国际贸易实践中逐渐发展形成的，作为全世界国际贸易商人的统一专门用语，大大简化了交易程序，提高了交易效率，降低了交易成本，有力地促进了国际贸易的发展，在国际贸易中具有重要的作用。international trade customs有关国际贸易术语的国际贸易惯例definition国际贸易惯例的概念international trade customs are universally recognized customary ways for doing business as well as explanation evolving in the long process of trade development. it has been compiled by relative international organizations into rules and regulations which are acquainted, recognized and adopted by many trading organizations in most countries. 国际贸易惯例是在国际贸易的长期实践中逐步发展、形成的具有普遍意义的一些习惯做法和解释，经过有关国际组织的编纂与解释成为规则、条文，并为较多的国家或贸易团体所熟悉、承认和采用。 nature 国际贸易惯例的性质1.international trade customs are not compulsory since they are neither legislations for all countries, nor laws of a certain country. 它不是各国的共同立法，也不是某一国的法律，不具有法律的强制性。2.when both parties cite one international custom, it becomes legally valid and both parties are subject to it.当买卖双方在合同中援引某项惯例时，则该惯例即具有法律效力，对双方均有约束力，有法律强制性。3.even if the contract does not indicate which custom the contract is subject to, the custom still has binding force. 合同中未引入某项惯例，惯例仍有约束力。when disputes arise during the contract execution, court of justice or arbitration agencies usually makes ruling according to the customs, thus the customs are influential to some extent. especially lately, some international conventions and laws endow the customs legality. chinas laws indicates what the law fails to cover are subject to international trade customs. cisg stipulates that the commonly used and universally known customs which are not excluded from the contract are binding to both parties. 在执行合同中发生争议时，法院判决、仲裁机构仲裁往往以惯例作为准则进行裁决，因此这些惯例实际上有一定的影响力，特别是目前的新的趋势，某些国际公约或某些国家以立法的形式直接赋予惯例法律效力。如我国的法律规定：凡是中国法律没有规定的适用国际贸易惯例。公约规定：合同没有排除的惯例，已经知道或应当知道的惯例和经常使用反复遵守的惯例对双方当事人均有约束力。united nations convention on contracts for the international sale of goods (1980) cisg article 9: 1) the parties are bound by any usage to which they have agreed and by any practices which they have established between themselves. (2) the parties are considered, unless otherwise agreed, to have impliedly made applicable to their contract or its formation a usage of which the parties knew or ought to have known and which in international trade is widely known to, and regularly observed by, parties to contracts of the type involved in the particular trade concerned.（公约第九条：“（1）双方当事人业已同意的任何惯例和他们之间确立的任何习惯做法，对双方当事人均有约束力。（2）除非另有协议，双方当事人应视为已默示地同意对他们的合同或合同的订立使用双方当事人已知道或理应知道的惯例，而这种惯例，在国际贸易上，已为有关特定贸易所涉同类合同的当事人所广泛知道并为他们所经常遵守。”）。therefore, it is of great significance to get familiar with the customs and carry out trade practices.因此熟悉并掌握有关的国际贸易惯例并按照惯例来进行国际贸易业务的操作，具有非常重要的意义。4. if the contract clauses conflict with customs, the contract is to be followed as a basic principle.如果合同的条款与惯例有冲突，将遵循合同优先惯例的原则。5. both parties could make out some clause different from customs when signing a contract on the principle of contract first and contract freedom.遵循契约至上、契约自由的原则，合同双方当事人在签订合同时也可以作出与惯例不同的规定three main international rules on trade terms三个主要国际贸易惯例1. “warsaw-oxford rules 1932”1932年华沙牛津规则they are rules for cif contracts drafted at a conference of the international law association in warsaw. in the mid 1900th, cif is widely applied in international trade, however, there are no unified explanations or rules on each partys obligations, misunderstandings and disputes frequently arise. international law association drafted and adopted rules for cif contracts in the capital of poland, warsaw in 1928. after that, this rule is combined into 21 provisions in oxford conference in 1932 and renamed as warsaw-oxford rules 1932 used till now.这是国际法协会制定的，专门解释了cif这一贸易术语。19世纪中叶起，cif贸易术语在国际贸易中得到了广泛应用，由于这一贸易术语中买卖双方各自承担的义务没有统一的规定和解释，在交易中经常发生争议和纠纷。国际法协会于1928年在波兰首都华沙起草并制定cif统一规则。其后，于1932年牛津会议上，将此规则定为21条，更名为1932年华沙牛津规则，沿用至今。warsaw-oxford rules state that this rule is not legally binding and are to both parties option; once this rule is explicitly adopted, both parties shall be subject to it. in sales contract, the clauses could be different from the rule and each rule could be altered or added according to both parities agreement. if conflicts arise between the clauses and the rules, refer to the clauses. if the contract contains no relating clauses, refer to the rules.华沙牛津规则在总则中说明，这一规则并无法律约束力，仅供双方自愿使用，凡明示采用本规则的，合同当事人应按照本规则的规定办理。在买卖合同中，经双方当事人协议，也可以作出与该规则不同的规定，也可以对本规则的任何一条进行变更、修改或增添。如本规则与合同发生冲突，以合同为准。但合同中没有规定的事项，应按本规则办理。2. revised american foreign trade definition 19411941年美国对外贸易定义修订本the constitutors are chamber of commerce of the united states of america, american importers association (aia) and national foreign trade council, etc.制定人-美国九个贸易团体：美国商会、美国进口商协会、美国对外贸易协会等。it includes 6 terms, namely, ex (point of origin), fob (free on board), fas, c&f, cif and ex dock and is used in some north american and latin american countries.内容-六种术语：ex (point of origin) 产地交货; fob (free on board) 在运输工具上交货; fas (free alongside) 在运输工具旁边交货; c&f (cost and freight) 成本加运费; cif (cost, insurance and freight) 成本加保险费、运费; ex dock (named port of importation)目的港码头交货。该惯例适用地区：北美、一些拉丁美洲国家。3. incoterms 20102010年国际贸易术语解释通则incoterms 2010, international rules for the interpretation of trade terms, are the most widely used, most influential and most important international practices published by icc and all trade terms in this textbook are subject to it. incoterms was first created in 1936 and has been regularly updated to keep pace of the development of the international trade. the latest version, incoterms 2010 came into force on 1st january 2011. 国际贸易术语解释通则2010简称“incoterms 2010”是目前使用最广泛、影响最大、最重要的一个国际贸易惯例，本课程所提到的贸易术语的解释都以该通则为准。通则最早发布于1936年，后经多次修订。最新的一次修订是2011年1月1日生效的2010通则。a. it is created and has been regularly updated by icc, international chamber of commerce.制定人-国际商会b. it entries into force since january 1, 2011 this is the seventh revision for incoterms. 2010版生效时间-2011年1月1日，目前最新的一次修改为第七次修改。c. incoterms 1990 consists 13 trade rules. incoterms 2000 groups the 13 rules into 4 categories. incoterms 2010 updates and consolidates the delivered rules, reducing the total number of rules from 13 to 11. the incoterms 2010 rules, daf, des, deq and ddu are replaced by two new incoterms rules dat and dap. incoterms 2010 presents 11 rules in two distinct classes: rules for any mode or modes of transportation, exw、fca、cpt、cip、dat、dap and ddp; rules for sea and inland waterway transportation, fas、fob、cfr and cif. 1990年修订时主要内容包含13个贸易术语。2000通则保留了这13个贸易术语，并把贸易术语分成4组。2010通则 改为11个贸易术语，删去了原来d组的daf、des、 deq和ddu, 新增加了dat和dap。2010年版通则把这11个贸易术语分成两组。一组是可以适用于任何运输方式或多种运输方式的术语：exw、fca、cpt、cip dat、dap与ddp。另一组为适用于海运及内河水运的术语：fas、fob、cfr与cif。 d. one of the main features of the incoterms 2010 is that they are available for application to both international and domestic sale contracts. the forming of various trade blocs, like the european union, has made it a must for the rules to be applicable for both international and domestic trade. 2010通则的一个很重要的特点是其中所涉及的国际贸易术语对国际和国内货物买卖合同均可适用。由于像欧盟这样的贸易同盟的出现使国际贸易术语必须在适用与国际贸易的同时也能适用于国内贸易。1.2 fob, cif and cfr 装运港交货的三种常用贸易术语among the 11 trade terms, fob, cfr and cif are the most commonly used terms. nowadays, they are used as trade terms for symbolic delivery, which means documents sales replace goods sales, and the seller delivers the documents instead of the goods while the buyer pays according to the documents. symbolic delivery creates a new epoch of international trade. and symbolic delivery is the basic of understanding modern international settlement and credit dealings.在国际贸易中，我们使用最多的贸易术语是fob、cfr、cif。这三个贸易术语是国际贸易史上渊源最久远的贸易术语。在现代的国际贸易中，它们已经升华为象征性交货的贸易术语。所谓象征性交货，也就是以单据的买卖代替了货物的买卖，卖方以交单代替了交货，买方凭单付款。象征性交货开创了国际贸易的新纪元。理解什么是象征性交货才能理解现代的国际结算、信用证交易。fob, cfr and cif are classified into one group as they are alike in characters from the below 6 aspects:1) they are used for port-to-port waterway transportation2) place of delivery of the seller is on board a ship in the export country3) risks are borne by the seller until the goods are on board the vessel.4) symbolic trade terms, or, documents instead of goods dealing is the core of selling and buying 5) the risks are transferred to the buyer once the seller delivers the goods on board the vessel.6) contracts signed under the 3 terms are referred to shipment contracts, in other words, the seller is only responsible for punctual shipment and disregard when it arrives.我们把fob、cfr、cif作为一个章节来论述，是因为这三个贸易术语在性质上是一样的，有着它们共同的规律，可以从以下六个方面来看：第一，这三个贸易术语都是适用于港到港的海洋运输。第二，卖方的交货地点都是在出口国的装运港船上。第三，风险的划分都是在出口国装运港以货物装上船为界。第四，都是象征性交货的贸易术语，也就是说是以单据的买卖为核心，以交单代替了交货。第五，都是属于装运港交货条件的术语，也就是说卖方只要在装运港把货物装上船就完成了交货义务，风险就转移给了买方。第六，以这三个贸易术语签订的买卖合同都是属于装运合同，也就是卖方只管按时装运，不管何时到达。fob free on board （ named port of shipment)中译名：“装运港船上交货”“离岸价”“船上交货” (加注装运港名称)it shall be followed by the name of port of shipping, like fob fuzhou.采用此术语时后面一定要加注装运港名称，如fob fuzhoudefinitionthe seller is responsible for shipping the contracted goods on board the ship dominated by the buyer at the port of shipment within specific period and bearing all costs and risks before the goods are on board the vessel.卖方在合同规定的装运港和期限内把合同规定的货物装到买方指定的船上，并负担货物装上船为止的一切费用和风险。the buyer is responsible for the freight and insurance premium from port of shipment to port of destination. the risk of loss of or damage to the goods passes when the goods are on board the vessel.到目的港的运输和投保由买方自行安排，承担运费和保费。风险划分是在货物装上船时，风险即由卖方转移至买方。the seller should notify the buyer promptly as the buyer shall cover the risks under fob terms. if the buyer fails to cover the risks as a result of deferred notice by the seller and once accidents happen, the seller is responsible.装船后及时通知买方，是因为fob贸易术语是由买方自己投保的，如果卖方装船后没有及时通知买方，致使买方没有投保，一旦发生风险或事故，由卖方承担责任事故。obligations买卖双方义务the sellers obligations卖方义务a. ship the goods on board the ship at port of shipment within due time and notify the buyer promptlyb. all costs and risks before the goods are loaded on board the ship c. clear export customs and provide related documents and certificatesd. provide related shipping documents or edi electronic informationl 负责在合同规定的装运港和规定的期限内(日期内)，将货物装上买方指定的船只并及时通知买方。l 负担货物装上船前的一切费用和风险。l 负责办理出口报关手续，提供出口国政府或有关方面签署的证件。l 负责提供有关货运单据或edi电子信息。the buyers obligations买方义务a. book space and pay the freight and notify the seller sailing date and name of sailing vesselb. bear all costs and risks after the goods are loaded on board the shipc. accept related documents provided by the seller and pay duly according to the contractl 负责租船或订舱，支付运费，并将船期、船名及时通知卖方。l 负责货物装上船后的一切费用和风险。l 接受卖方提供的有关货运单据，并按合同规定支付货款。some points for attention about fob 要注意的几个问题the cancellation of the concept “cross the rail”“船舷为界”概念的取消it is a historic practice before incoterms 2010 to regard the rail as the boundary. however, some defects were found in practical application. moreover, the meaning of it is obscure. “revised american foreign trade definition 1941” has stipulated that the risk transfers when the goods are on board the ship. incoterms 2010 specified that the risk of loss of and damage to the goods passes when the goods are on board the vessel, and the buyer bears all costs from that moment onwards. it could be an engagement that both parties agree to regard boarding on ship as the boundary. the concept of “cross the rail” was cancelled thereafter. 以船舷作为划分风险的界限是2010通则以前长期沿用的一种惯例，但是在实际应用中有很多缺陷，不是很确切。1941年美国对外贸易定义是以货物装上船作为风险划分的界限，有它的科学性。incoterms2010在关于fob风险划分时就做了重新规定：取消了以船舷为界划分风险的概念，明确规定以货物装上船作为风险划分的界限。shipping charges关于fob的装船费用dividing the shipping charges on the basis of the rail is unscientific as shipping goods is a continuous action. incoterms 2010 section 6 stipulates that the seller shall pay all related expenses until the goods are delivered by placing them on board the vessel nominated by the buyer at the loading point, if any, indicated by the buyer at the named port of shipment or by procuring the goods so delivered. generally, the seller is responsible for shipping charges; excluding stowage charges and trimming charges after the goods are loaded on board the ship.2010通则的解释卖方义务的第六条规定：“卖方必须支付按货物装上船，或以取得已经在船上交付的货物的方式交货前的费用。”这就说明了，在一般情况下，卖方要承担装船的费用，而不包括货物装上船后的理舱费和平舱费。cifcost insurance and freight (.named port of destination)中译名：成本加保费、运费（指定目的港）it shall be followed by the name of port of destination, like cif london.这个贸易术语在后面要加注目的港名称：如cif london .cif is a typical symbolic delivery term and contracts under this term are shipment contracts.as the same with fob, place of delivery of cif is port of shipment in export country but not port of destination.以cif术语签订的买卖合同为装运港交货条件，属于“装运合同”，cif是典型的象征性交货术语。过去有人把它称为“到岸价”是不正确的。因为cif贸易术语和fob贸易术语一样，卖方的交货地点是在出口国装运港，并不是在目的港交货。definitionthe seller is responsible for booking space and delivering the goods on board the vessel sailing for the destination in due time according to the contract and covering the risks and expenses during carriage. the risks of loss or damage to the goods pass when the goods are on board the vessel.卖方负责租船订舱，并按照合同规定的装运期或期限内将合同规定的货物装上运往约定目的港的船上，办理保险手续，负责支付运费和保险费并负担货物在装运港装上船前的一切费用和风险。货物灭失或损坏的风险在货物交到船上时转移。notably, the boundary for risk transfer is the same for fob, cif and cfr.需要注意的是：fob 、cif与cfr三个贸易术语风险转移的界线是一样的。 obligations双方义务the sellers obligations卖方义务a. book shipping space and sign shipment contracts from designated port of shipment to destination; load the goods on board the ship in contracted time and port and pay the freight; notify the buyer after shipment promptly.负责租船订舱，签订从指定装运港承运货物的合同。在合同规定的时间和港口，将合同要求的货物装上船并支付至目的港的运费；装船后须及时通知买方。b. bear all expenses and risks before the goods are on board the vessel at port of shipment.负担货物在装运港装上船前的一切费用和风险。c. cover the insurance and pay insurance premium as the contract stipulates. 按照买卖合同的规定，负责办理运输保险，支付保费。d. clear export customs and bear all relating risks and expenses; get export license or other official permission documents.负责办理出口报关手续，并自负风险和费用，取得出口许可证或其它官方批准文件，负责办理货物出口所需的一切海关手续。e. provide relating shipping documents, commercial invoices or equivalent eclectic information or e-documents.提供有关货运单据，商业发票，或相等的电子信息，电子单据。the buyers obligations买方义务a. all expenses and risks after the goods delivered on board at port of shipment. b. accept related documents provided by the seller and take delivery the goods and pay for them. c. clear import customs at port of destination; bear all expenses and risks; get import license or other official permissions.l 负担货物装上船后的一切费用和风险；l 接受卖方提供的有关单据，受领货物，并按合同规定支付货物。l 办理在目的港收货物进口报关手续。（按通则规定由买方办）自负风险和费用，取得进口许可证或其它官方证件， 所需报关手续。 some points for attention about cif注意的问题insurance coverage保险险别问题as explained by incoterms 2010, the seller acts for the buyer to cover insurance. if there is no stipulation on the contract, the lowest level of insurance could be covered, however, a higher level may be covered at the buyers requirement. revised american foreign trade definition 1941 states both parties agree to cover wpa or fpa while warsaw-oxford rules1932 states “insurance shall be covered according to practices of specific industry”.按“2010通则”解释：卖方还要为买方在运输途中货物的灭失或损坏风险办理保险。买方应注意到，在cif下卖方仅需投保最低险别。如买方需要更多保险保护的话，则需与卖方达成明确协议，或者自行做出额外的保险安排。如买方有要求，由买方付费，可加保较高险别。1941年美国对外贸易定义修订本的解释，对于保险险别双方共同明确是投保水渍险或平安险。1932年华沙-牛津规则的规定卖方“应按照特定行业惯例或在规定航线上应投保的一切风险，办理投保手续”。booking shipping space by the seller卖方租船订舱问题as incoterms 2010 states, the seller is liable for shipping the goods with routine marine vessels. the buyer has no right to dominate the vessel age, vessel model or shipping company. the seller has the right to refuse the buyers requirement about vessel age, vessel shape and ship classification.按照2010通则的规定，卖方只负担将货物按惯常路线用通常类型可供装载该合同货物的海上航行船只即可。至于船龄、船型、船公司，买方无权指定。对买方关于船龄、船型、船级的特别要求，卖方有权拒绝。symbolic delivery象征性交货问题cif is a typical term for symbolic delivery, in comparison with physical delivery. symbolic delivery refers to that the seller fulfills obligation on condition that the seller ships the goods on board the vessel as the contract stipulates at port of shipment within due time and delivers related entitled documents as stipulated on the contract. the risks are transferred when the goods are on board the vessel. the seller is liable for loading the goo