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1、 TRANSPORT DOCUMENTSIntroduction: The main transport documents used in international trade is the bill of lading. There are four functions of a bill of lading: 1. Acting as a receipt for the goods from the shipping company to the exporter.2. Being evidence of the contract of carriage between the exp
2、orter and the carrier.3. Being a quasi negotiable documents.承运人准可转让单据物权证书aa4. Acting as a document of title for goods being shipped overseas.Original bills of lading are usually issued in sets of two or three and the number of originals will be indicated on the bill of lading. Shipping companies oft
3、en issue unsigned copies of the bill of lading for record purpose. These unsigned copies are not documents of title.There are different types of bills of lading:Combined transport bills of lading 联运提单Transhipment bill of lading 转运提单Container bills of lading 集装箱提单Marine bills of lading 海运提单Short form
4、 bills of lading 简式提单 Long form bills of lading 全式提单Liner bills of lading 班轮海运提单 Charter party bills of lading 租船提单Channel bills of lading 拖车提单Railroad bills of lading 铁路货运提单Ocean bills of lading 海运提单On board bills of lading 已装船提单Direct bills of lading 直达提单It is not a documentof title and not accept
5、ed by banks.a Port to port bills of lading 码头到码头提单On deck bills of lading 舱面提单Stale bills of lading 过期提单（提单签发日期21天后提交的提单）；先期装运提单（签发日期在输入许可证核发日期之前的提单）；失效提单Clean bills of lading 清洁提单Dirty bills of lading 不洁提单Order bills of lading 指示提单在提单“收货人”一栏内不填写具体收货人名称，而填写“to order” 字样。这种提单可通过背书进行转让。aPart OnePart O
6、neWords and Expressionscall for (=demand, need) 要求evidence 证明dispatch 发送purport 意味着；声称properly 适当地，正当地in the case of 至于，就.来说claim possession of 要求获得.的所有权This part is about the following aspects:1. Documentary credits call for certain documents as evidence that a) the goods have been dispatched; b) t
7、he goods purport to be of the type and quality ordered. 信用证要求某些单据作为证明：1）货物已经发送；2）货物是订购的品种和质量。2. The documents are required both to ensure that a) the goods are being properly transported;b) in the case of bills of lading, the buyer can claim possession of the goods when they arrive. 要求单据保证1）货物正确运输；2
8、）对于提单，要保证买方在货物到达时能够获得货物的所有权。Part TwoPart TwoWords and Expressionstransport by sea 海运transport documents 运输单据document of title 物权证书to some degree 在某种程度上attribute 特征；属性negotiable instrument 可转让单据hand over against (=release against) 凭.交付 prima-facie praim feiI: 真正的entitle to: to give the right to 授权给 e
9、.g. He is entitled to receive the goods. 他有权收货。in sets of three 一式三份the ships master 船主void 无效surrender 交出，放弃call for 要求From this part we will learn something about the characteristics of the bill of lading.The bill of lading is called for if goods are transported by sea.The bill of lading is a docu
10、ment of title.The bill of lading, to some degree, has the attributes of a negotiable instrument.从某种程度上说，提单属于具有可转让单据。aThe goods are handed over only against surrender of the bill of lading and the holder is prima-facie the person entitled to receive the goods.The bills of lading are normally issued i
11、n sets of three.The ships master usually keeps a copy (the fourth) without signature on it on file as record of the business.凭提交提单发货，提单持有人是正当收货人。船主保留一份无签名副本（第四张）作为交易记录存档。a The bill of lading must show how many original bills of lading have been issued. An original bill of lading is one which is sign
12、ed by the ships master, or by an agent of the shipping company. When one of the original bills of lading is handed over to claim possession of the goods, the remaining copies become void.提单上必须注明开出的正本提单数目。正本提单是由船主或运输公司签名的提单。一份正本提单被提交发货，剩下的几份无效。Part ThreePart Three& Part Four& Part FourWords and Expre
13、ssionscertify 证明transportation 运输vessel 船；飞机port of loading 装运港port of discharge 卸货港consign 托运（货物等）consignee 收货人 (consignor 发货人)consignment 托付，托付物notify (sb. of sth.) 通知(某人某事) quantity 数量mark 唛头，标记package 包装用品；包裹in the condition 在.状态，在.状况inspect 检查 comment 注释；评论declare 宣布，宣称defective 有缺点的，有缺陷的a foul
14、 bill of lading 不洁提单a clean bill of lading 清洁提单A bill of lading normally embodies the following details.BILL OF LADING FOR COMBINED TRASPORT SHIPMENT OR PORT TO PORT SHIPMENTShipper OVERSEAS B/L No 1234 Speirs and Wadley Ltd. CONTAINERS Booking Ref. 1234 Adderlay Road LIMITED Shippers Ref. 345London
15、 EnglandConsignee To Order SPECIMEN Notify Party: Address Place of Receipt (.) Woldal Ltd. Speirs and Wadley Ltd. New Road Adderley Road Kowloon London Hong Kong EnglandThe name of the shipping companyor the carrier.The name and address of the shipper(发货人）.The space forthe name of the consignee.It i
16、s usually made out “To Order” andendorsed in blank. 提单通常作成空白抬头，并且空白背书。The person or firm to be notified of thearrival of goods.The place from whichthe goods are received. aIf the word “order” appears here, then theshipper (exporter) must endorse the bill oflading and it can be then transferable by d
17、elivery.Intended Vessel and Voy No. Place of Delivery ()Cardigan Bay Woldal Ltd. 0415 New Road Intended Place of Loading Kowloon London Hong KongIntended Port of Discharge Hong KongMarks and Nos. Number and Kind of Packages. G.W (kg) MeasuementConsigner Nos. Description of Goods. WL 5 Wooden Cases 9
18、50 2.376124 containingHong Kong 400 Electric Power Drills1/5 Model LM 425The place of delivery.The port of loadingThe port of discharge.The name of the vessel.Marks and numbersof the consignment.The descriptionof the goods.The weight andmeasurement of the packages.aABOVE PARTICULARS AS DECLARED BY A
19、HIPPERTotal No. Of Containers/Packages Received by the carrier Packages or pieces 5 from the shipper in Movement apparent good orderLCL. Depot/LCL.Depot and condition (unless otherwise noted herein)Freight and Charges(Indicate whether prepaid or collect) .Origin zone transport charge Prepaid Ocean F
20、reight Prepaid. Charge Prepaid Place and Date Issue: London 01081999 Number of Original Bills of Lading Two (02) For the Carrier: The number and type of packages.This shows whetherthe freight costs havealready been paid.The number of the original billsof lading.The signature of theowner of the ship
21、oron behalf of the company.The place and dateof issuing the bill of lading.This shows it is a clean ordirty bill of lading.aAs it is the responsibility of the master of the ship to deliver the goods in the condition in which they are received, they are carefully inspected upon arrival on board, and,
22、 if they are not in good condition, a note to this effect is made on the bill of lading. 由于船主必须负责把货物按照收货时的状况交付货物，货物在到达装船时须经过严格的检查。如果有任何损坏，提单上必须附有一个有关问题的批注。有关这个问题的批注货到装船时按照收货时的状况A bill carrying comments which expressly declare that goods and/or their packaging were received in a defective condition i
23、s called a dirty or foul bill of lading. 载有明确声明收货时货物或包装有破损的批注的提单称为不洁提单。A clean bill of lading is one which carries no such indication that the goods or their packaging were defective when received on board. 没有载有收货时货物或包装有破损的批注的提单是洁净提单。 The specimen bill of lading is a clean bill of lading.Part FivePa
24、rt FiveWords and Expressionsclause 条款notation 注释，批注be superimposed on 附加在上面categorically 无条件地cask 木桶leak 渗漏timber 木材, 材料warp 弯曲 stain 玷污boiler 锅炉condemn 否定apply 应用reject 拒绝judge 判断solely 唯一地，仅仅transport documents 运输单据This part is about foul bills of lading.1. According to the stipulations of the Uni
25、form Customs and Practice banks will refuse foul bills of lading or other transport documents unless the credit expressly states clauses or notations which may be accepted.按照跟单信用证统一惯例的规定, 如果信用证上没有明确地载有可以接受的条款或批注，银行拒绝接受不洁提单或其它运输单据。a 2. If it is a foul bill of lading, the clause or notation declaring
26、the defective condition must be superimposed on the transport document, and it must expressly declare the condition. 如果是不洁提单，声明破损状况的条款或批注必须附加在运输单据上，并且要明确地说明其状况。How to note the defective condition:For example:“several casks leaking”“ timber badly warped and stained” If such notes are made on the bill
27、s of lading, they are dirty or foul bills of lading.If on the bill of lading there is a note that the goods have been stored next to the ships boilers, it can not make the transport document foul because the note does not expressly state that the goods are defective. 如果提单上的批注说货物存放在轮船的锅炉旁边，该批注不能使提单成为
28、不洁提单，因为它没有明确说明货物有缺损。3. The applicant of the credit has the right to approve a “dirty” clause and to condemn a “clean” clause. But if he wishes to do so he must expressly state his wishes when giving instructions to open the credit. 信用证的申请人有权同意提单上的不洁条款或否定提单上的清洁条款。但如果他希望这样做，他必须在申请开立信用证时作出明确的说明。4. If t
29、he applicant does not give expressly instruction, the bank concerned will firmly apply “Article 34”, that is, a “dirty” clause will not be accepted and a “clean” clause will not be rejected, for a bank must judge a transport document by the Article and by the specific instructions, if any, contained
30、 in the particular credit.如果申请人没有明确的指示，有关银行将坚决执行第34条款，即不接受不洁条款和不拒绝清洁条款，因为银行必须根据第34条款和信用证里的特别指示，如果有的话，来判断运输单据。 Part SixPart SixWords and Expressionson board transport document 已装船运输单据load on board a named vessel 把 装上指定的船舶 (=ship on a named vessel)initially 签姓名的首写字母于.specimen bill of lading 提单样本stowag
31、e (=shipping) of goods on deck 货物装运上甲板This part is about on board transport documents.If a credit specifically calls for an on board transport document, bills of lading must show that the goods are loaded on board a named vessel or shipped on a named vessel. 如果信用证特别要求已装船运输单据, 提单上必须注明货物装上指定的船舶。 A not
32、ation to the effect may be used to evidence that the bill of lading is an on board transport document.The notation must be dated and signed or initialed by the carrier or his agent. 批注上必须有承运人或其代理人的签名或姓名首写字母的签名并填写日期。 If there is no specific authorization in the credit, banks refuse a transport docume
33、nt showing the stowage of goods on deck. 如果信用证里没有特别的指示，银行拒绝那些注明把货物装放在轮船甲板上的运输单据。Part SevenPart SevenWords and Expressionswaybill 货运单，运单liner waybill 班轮货运单be reluctant to do 不愿(做)advance money 贷款，预付款contract of carriage 运输合同receipt for the goods 货物的收据gain possession of sth. 获得某物Some other transport d
34、ocuments:air waybill 空运单ships waybill 船运单road waybill 公路运单cargo receipt 货运收据railway bill 铁路运单courier receipt 快邮收据post receipt 邮包收据This part is about waybills.A waybill is a transport document which can be issued by the shipping company as an alternative to bill of lading. 运单是装运公司开立的可用来替代提单的一种运输单据。 W
35、aybills are divided into ships waybills (or liner waybills), air waybills and railway bills.The functions of a waybill are similar to those of a bill of lading, except that a waybill is not negotiable and it is not a document of title. 运单的作用与提单类似，但运单不能转让，运单不是物权证书。 Liner waybills are one type of ship
36、s waybills.Liner waybills are often asked for in a documentary credit instead of bills of lading and may be accepted by a bank if this is the case. 信用证常常要求用班轮货运单 替代提单，如果信用证这样要求，银行可以接受货运单。However, from a bankers point of view a liner waybill does not give him the control over the goods that a bill of
37、 lading provides, for unlike a bill of lading it is not a document of title. 但是，从银行的角度来看，运单不能如提单那样向他提供货物的控制权，因为运单不象提单，它不是物权证书。 A bank may therefore be reluctant to advance money against documents that include a liner waybill. 因此银行可能不愿意凭包括班轮运单在内的单据提供贷款。The importer does not need to hand over the line
38、r waybill to the shipping company to gain possession of the goods on arrival.进口商在货物到提取货物时，不必向装运公司提交班轮运单。Part EightPart EightWords and Expressionstrend 趋势roll-on/roll-off traffic 滚装式交通运输inferior to 次于，劣于full bill of lading 全式提单hence 因此security 抵押品desirable 期望的 dispatch 发送，发货take in charge of 接管，接受con
39、flict with 与.相矛盾short-form bill of lading 简式提单simplified form 简化的形式otherwise 别样, 另外This part is about the short-form bills and other forms of transport documents.Some transport documents are used recently instead of full bills of lading.These documents are inferior to the full bills of lading. They
40、are less desirable as security for bank advances.The increasing use of the documents is the result of the growth of roll-on/roll-off traffic with Europe and the changing trends in international trade.Nearly half of our goods are exported to Europe and nearly half of our imports are purchased from Eu
41、rope.这些单据的使用是由于欧洲滚装式交通运输的发展和国际贸易的变化趋势。我国对欧洲的贸易额占进出口总量的大约一半。 Apart from this aspect, the banks freely accept carriers receipt and other forms of transport document.These documents must evidence dispatch or taking in charge of goods that do not conflict with the instructions in the credit. 这些单据必须证明货物的
42、发送和接管与信用证上的指示一致。 除了这一点以外，银行可自由的接受承运人收据和其它形式的运输单据。 A short-form bill of lading is the simplified form of a full bill of lading and does not contain all the details and conditions shown on the full bill of lading. 简式提单是全式提单的简化形式，简式提单上没有全式提单上的细则和条款。 Turn the sentences into Chinese:1. The goods will be
43、handed over from the overseas port only against surrender of one of the original bills of lading. 在海外码头仅凭提交一份正本提单交付货物。2. Short-form bills of lading function as full bills of lading, and in particular they are considered to be documents of title. 简式提单的功能与全式提单一样，尤其也被看成是物权证书。3. A bill of lading carryin
44、g comments which expressly declare that goods and/or their packaging were received on a defective condition is called a dirty or foul bill of lading. 其批注明确宣称货物收到时货物和/或包装有缺损的提单叫做不洁提单。 Turn the following into English:1. 物权凭证2. 准可转让票据3. 货物的描述4. 运输合同5. 标志和编号6. 简式提单7. 全式提单8. 已装船提单9. 不洁提单10. 班轮货运单11. 空运单1
45、2. 装运公司13. 承运人收据14. 包装的体积15. 要求获得货物16. 状况良好17. 缺损状态18. 订购的品种和质量The English version of the Chinese phrases:1. document of title2. quasi negotiable document3. description of the goods4. contract of carriage5. marks and numbers6. short-form bill of lading7. full bill of lading8. on board bill of lading
46、 9. foul bill of lading10. liner waybill11. air waybill12. shipping company13. carriers receipt14. measurement of the package15. claim possession of the goods16. in good order17. in defective condition18. the type and quality orderedNegotiable Instruments The essential characteristics of a negotiabl
47、e instrument are:1) The instrument and the right which it embodies are capable of being transferred by delivery,either with or without endorsement according as to whether the instrument is in favour of order or bearer; an instrument thus transferred is said to be negotiable.2) The person to whom the
48、 instrument is negotiated can sue on it in his own name.3) The person to whom a current and apparently regular negotiable instrument has been negotiated, who takes it in good faith and for value, obtains a good title to it, even though his transferor had a defective title or no title at all.Unless a
49、n instrument possesses the three characteristics mentioned above, it is not a negotiable instrument. Certain points arising out of these characteristics require further comment. 如果票据没有上述三个特性就不是可转让票据。关于其特性还有几点需要说明。The following are the principal types of negotiable instrument which may be encountered
50、 in modern practice.1.Bills of ExchangeBills of exchange include cheques.2.Promissory NotesPromissory notes include bank notes.3.Bankers Draftsthese drafts are not bills of exchange in cases where the same bank is both drawer and drawee. Nevertheless, it is enacted that where the drawer and drawee o
51、f a bill are the same person, the holder may treat the instrument, at his option, either as a bill of exchange or as a promissory note. it is enacted that 规定at his option 按他自己选择It would be open to the court to decide that bankers draft are negotiable instruments by virtue of that provision; alternat
52、ively, the court would probably have no hesitation in holding that bankers drafts are negotiable by usage. 由于这条规定，银行汇票是否为可转让票据将由法庭裁决。另外，法庭可能会毫不犹豫地认为在使用中它是可转让的。4.Travellers cheques These checks are frequently used by persons journeying in this country and abroad. There are two types in common use. In
53、struments of the first type are drawn by a person, usually a customer, to whom they are issued, in favour of self or order. They are countersigned by the issuing bank. countersign 复签Instruments of the second type are drawn by the issuing bank upon itself. Each correspondent of the bank is supplied d
54、irect with authority to cash them together with specimen instruments and facsimile signatures of its signing officials. To guard against fraud, the customer is generally required to write in his name on each travellers cheque in the presence of the issuing bank and to countersign each instrument in
55、the presence of the correspondent.The two signatures are then compared. Travellers checks have been held by courts in the United States to be negotiable, but there does not appear to be reported English decision upon this subject.5. Treasury BillsThese bills were first issued under the provisions of
56、 the Treasury Bills Act 1877. The practice is for the Treasury to advertise for tenders, and the bills are issued at the best price that can be obtained for them. tender 投标人There does not appear to be any decision of the courts recognizing Treasury bills as negotiable instruments, but they are simil
57、ar in form and purpose to earlier instruments known as Exchange bills, which were first issued in 1696 and were recognized in 1820 as negotiable. Hence there would seem to be no doubt that Treasury bills are negotiable.6. Bearer BondsA bond, in the widest legal sense, is any obligation under seal, b
58、ut for present purpose, the obligation is that of repaying a sum of money.obligation 债务If the bond promises payment to bearer, the instrument is a bearer bond. As early as 1824 bearer bonds issued by the King of Prussia were recognized as negotiable by the English courts. bearer bond 无记名债券The questi
59、on whether English bonds were negotiable gave rise to a good deal of litigation during the second half of the nineteenth century. The outcome of this litigation was that English bonds were eventually recognized as negotiable. litigation 打官司，诉讼In 1904 it was held that various bearer bonds, some issue
60、d by an English company in English and others by foreign companies abroad, were negotiable and that the usage was so well established that it was no longer necessary to prove it in evidence.7. Warehouse-keepers Warrants Private Acts of Parliament have made some warehousekeepers warrants fully negoti
61、able instruments.Warehouse-keepers Warrants仓库管理员栈单（=dock warrant 码头仓单）进口货物存入码头仓库时，由仓库签发给货主或其代理人的正式收据。为代表货物所有权的证书，经合法背书即构成物权转让。Private Acts （英国国会）私营法例There are some instruments which possess the first two characteristics of a negotiable instrument, but not the third; in other words, a transferee take
62、s them subject to any defects in the title of prior parties. Such instruments are sometimes referred to as quasi-negotiable or semi-negotiable in order to distinguish them from instruments which are fully negotiable. quasi-negotiable instrument 准可转让票据Some common examples of quasi-negotiable instrume
63、nts are:1. Postal OrdersIn a case decided in 1886, it was held by the Court of Appeal that post office orders were not negotiable.postal order 邮政汇票（=postal money order)It is considered, on the authority of that case, that postal orders of the type issued today are not negotiable. Moreover, postal or
64、ders bear on their face the words not negotiable.2. Bills of LadingA bill of lading is a document signed by the master of a ship or by his agent and given to the person shipping goods on board the vessel. The document performs three functions: first it is evidence of the terms of a contract of carri
65、age, secondly, it is evidence of the shipment of goods, and thirdly it is evidence that the holder of it has the property in the goods. It states that the goods will be delivered to X or his assigns or to X or order and, when endorsed in blank by X, it passes by delivery. Thus, the delivery of an en
66、dorsed bill is equivalent to delivery of the goods themselves, and is effectual to transfer ownership if made with that intention. The bill of lading is the symbol of the goods. Another characteristic of a bill of lading is that an endorsee thereof shall have transferred to and vested in him all rights of suit. vest sth. in sb. 给予某人合法权利But the third characteristic of a negotiable instrument is lacking; an endorsee who gives value in good faith is unable to obtain a better title than his transferor had.
