C物流專業(yè)英語（第5版） 電子課件 h13

LogisticsDocuments2Chapter13chapteroutline(1)PartITransportDocuments(1)OverviewofTransportDocumentsPartiesInvolvedinShippingDocumentsTypesofShippingDocumentsCirculationofShippingDocumentsBookingNote ShippingOrderStowagePlan TallySheetPartII

TransportDocuments(2)

Mate’sReceiptBillofLading

FunctionsofB/LTypesofB/L

ExportManifest

DeliveryOrderPartIIISupplementaryReading

TransportDocuments(3)

SeaWaybill

AirWaybill

MultimodalTransportDocument

RailWaybill

RoadWaybill

PostParcelReceiptandCourierReceipt

DockReceiptComparativeTablefortheFunctionsofTransport

DocumentsPartITransportDocuments(1)Thecarriageofthegoodsininternationaltradeisanintricatematter.Interestsofallpartiesconcernedmustbematchedandconsideredcarefully.Theseinterestsarebestlookedafterbytheproperadministrationthatcomprisestheuseofmanydifferentdocuments.Transportdocumentsincludeshipper’sletterofinstruction,bookingnote,shippingorder,mate’sreceipt,dockreceipt,containerloadplan,billoflading,deliveryorder,equipmentinterchangereceipt,seawaybill,airwaybill,railwaybill,roadwaybill,cargomanifest,forwarders’certificateofreceipt,forwarders’certificateoftransport,etc.

OverviewofTransportDocumentsPartiesInvolvedinShippingDocuments

Asfarasmaritimetransportisconcerned,themainpartiesinvolvedintheshippingdocumentsaretheshipperortheconsignor,theshippingcompany(thecarrier),theshippingagent,thefreightforwarder,thetallycompany,thestevedoringcompany,theconsigneeandthebanks.TypesofShippingDocuments

Shippingdocumentstakemanyforms,andusuallyareworkedoutandappliedforvariouspurposesinthewholeprocessofmaritimetransportofgoods.Theshippingdocumentschieflyrefertosuchdocumentsasbookingnote,shippingorder,stowageplan,tallysheet,mate’sreceipt,cargomanifest,freightmanifest,outturnreport,billoflading,anddeliveryorder,etc.Thesedocumentsserveaswrittenevidenceofhandingandtakingovercargoineachlinkofthechainofseatransport,andalsoasthenecessarycertificateforbusinessconnectionsofthepartiesconcernedanddemarcationoftheirrespectiveresponsibilities.

CirculationofShippingDocumentsThecirculationoftherelevantshippingdocumentsisasfollows:(1)Theshipper(orconsignor)makesanapplicationtoashippingcompanyoritsagentfortheshipmentofgoodsbyfillinginabookingnote(B/N).(2)Aftertheacceptanceofthebookingnote,theshippingcompanyissuesashippingorder(S/O)totheshipper,advisinghimofwhenandwheretodeliverthegoodsalongsidethenamedship.(3)Theshipper,onthestrengthoftheS/O,goesthroughthecustomsdeclarationformalitiesforoutwardgoodsandgetsthegoodsreadyforshipment.(4)TheagentpreparesaloadinglistfortheshipaccordingtotheS/O.(5)Thechiefofficerworksoutastowageplan.Anumberofcopiesaresenttothetallycompanyandstevedoringcompanythroughtheagentforthearrangementofloadinganddischarge.(6)ThechieftallymanchecksallgoodsloadedonboardagainstthetallysheetsandsignstheS/O.(7)Thechiefofficer,byreferencetothetally,endorsestheS/O,whichthenautomaticallybecomesthemate’sreceipt(M/R)tobeissuedtotheshipperafterloading.(8)Afterpayingforthefreight(prepaid),theshipperturnsovertheM/Rtotheshippingcompanyoragentinexchangeforthebilloflading.(9)TheshippersendstheB/Landotherrelevantdocumentstothebankfornegotiationofpayment.(10)Theagentmakesoutfortheshipasuitablenumberofcopiesoftheexportmanifest(M/F)andfreightmanifest(F/M),whicharerequiredbythecustomsatthelocalportaswellasotherportsofcall.(11)TheconsigneesecurestheB/Lfromthebankbyeffectingthepaymentforgoods.(12)TheconsigneepresentstheB/Ltotheshippingcompanyoragentinexchangeforthedeliveryorder(D/O),bywhichhetakesdeliveryofgoodsatthewarehouse.BookingNoteBookingnoteispreparedbyashipperandcountersignedbythecarrierorhisagentasacontractforthereservationofshippingspaceonthecarrier’svesselforthetransportoftheshipper’scargotoaparticulardestination.Bookingnotecontainsthedetailedtermsandconditionsofthecarriagecontractincludingfreightchargeable,descriptionanddimensionsofthegoodstobecarried,thenameofthevesseltocarrythegoods,themodeoftransport,thelocalitywherethegoodsshouldbesentforloading,thetimewhenthevesselisreadytoreceivethegoods,thelastdatewhenthegoodsmaybereceivedbythevesselforloading,theportofdestinationofthegoods,thetypeoftransportdocumenttobeissuedand,whereapplicable,thenameoftheconsignee.Thebookingnoteisacontractdocumentwhichimposeslegalobligationsandconferslegalrightsonthepartiesaccordingtoitsterms.Iftheshipperfailstotenderthestipulatedgoodsforshipmentatthedesignatedplaceandtime,hemayforfeitanyprepaidfreightorbeliablefordamages.Similarly,iftheshipperfulfillsitsobligationsunderthecontractandthecarrierdefaults,theshippermayclaimdamagesagainstthecarrier.Shippingorderisissuedbytheshippinglinetoashipperwithaconfirmedspacebooking,authorizingthereceivingclerk(cargochecker)atthecontainerterminalordocktoreceiveaspecifiedamountofgoodsfromthenamedshipper.Theshippingordertypicallycontainsthespacebookingnumber,namesandaddressesoftheshipperandcustomsbrokerorfreightforwarder,vesselandvoyagenumber,sailingtime,deliverydateandlocation,customsclosingdate,andnumberandtypeofpackages.ShippingOrderThecustomsbrokerorfreightforwarderusuallyrequiresthepackinglistofaconsignmentinordertobooktheshippingspaceandtoobtaintheshippingorderand/ortopreparethedockreceipt.Theshippingorderaccompaniesthedockreceiptandthedelivererofthegoodspresentsthesetwoandotherdocumentsthatmayberequiredinthedeliverytothereceivingclerkattheclosinglocation.Incertaincountries,onlythespacebookingnumberisneededinsteadofaformalshippingorder,sincetheinformationinanshippingorderisfoundinthedockreceipt.

Stowageplanisacompleteddiagramofaship’scargospaceshowingwhatcargohasbeenloadedanditsexactstowagelocationineachhold,tweendeck,orotherspaceinaship,includingdeckspace.Eachportofdischargeisindicatedbyaparticularcolororothersymbol;deckandtweendeckcargoisshowninperspective

(top

view),cargostowedinthelowerholdisshowninprofile(sideview),butvehiclesareshowninperspective

(topview),regardlessofstowage.StowageplanAgoodstowageplanhastoconsidermanydifferentfactorsincludingshipstability,cargomovementhandlingcost,cargotypesandtheirportofdestinations,etc.Allcargoisshownonthestowageplaninmetrictonsandmeasurementtons(CBM).The

stowageplanhelpsorganizeloadingsothatthecargoisaccessibleforunloadingandquicklyidentifiesthelocationandtypeofcargoforanygivenport.

Tallysheetisissuedbythetallycompanyafteritscountingthequantityofthegoodsinthecourseofloadinganddischargingthecargoes.Tallycanbedividedintotallyonshoreandtallyonboardships.Thetallycompanytalliescargoesonbehalfofthecargoownertocheckorkeeprecordofallcargoloadedintoanddischargedfromavessel.Thisisanessentialpartofcargoworkinordertopreventclaimsontheshipforso-calledshortdischarge,i.e.whensomeofthecargoismissing.Thecrewoftheshipcansometimestallycargoesfortheshippingcompany,anditissometimescustomaryfortheshipperorconsigneetoprovidehisowntallyclerks.TallySheet

NewWordsandExpressions

Mate’sreceiptisadocumentissuedbythefirstmate(i.e.thechiefofficer)ofavessel,whoisresponsibleforcargo,inthenameoftheshippingcompanyevidencingreceiptofashipmentonboardthevesselandstatingthequantity,identifyingmarksandtheapparentconditionofthegoods.Ifthereareanydamagestothegoodsbeforeloading,thiswillberecordedonthereceipt,anditisnolonger“clean”.PARTIITransportDocuments(2)Mate’sReceiptItisnotadocumentoftitleandisissuedasaninterimmeasureuntilaproperbillofladingcanbeissued.Thatis,mate’sreceiptwillbeissuedbythefirstmateafterthegoodsistalliedintotheshipbytallyclerks.Theshipperorhisrepresentativewillthentakethemate'sreceipttothemasterortheagenttoexchangeitforabilloflading,whichwillincorporateanyconditionsinsertedintothemate'sreceipt.Nowadays,Mate'sreceiptisnotoftensignedbythemateoftheshipbutbysomepersonintheshoreofficeoftheshippingcompanyoritsagents,althoughthenameofthedocumentremainsthesame.

Billoflading(B/L)isatransportdocumentissuedbythecarrieroritsagenttotheshipperadmittingthatgoodshavebeenreceivedforshipmenttoaparticulardestinationandstatingthetermsonwhichthegoodsaretobecarried.WithaB/L,theconsignorcancometothebankfornegotiation,andtheholderofwhichcangetthegoodsattheportofdestinationfromthecarrier.TheB/L,togetherwiththeinsurancepolicyandcommercialinvoices,constitutesthechiefdocumentsindispensabletointernationaltradeandlogisticsactivities.BillofLadingAB/Lisusuallynegotiableandwidelyusedinmaritimetransport.AB/Lmainlycontainsthefollowingparts:thenameoftheshippingcompany(thecarrier),thenameoftheshipperwhoisusuallytheexporteroritsagent,thenameoftheconsignee,thenotifyparty,thenameofthecarryingvesselandthevoyageno.,thetwoports(i.e.theportofloadingandtheportofdischarge),marksandnumbers,descriptionofgoods,kindsofpackages,grossweight,measurement,freightandcharges(freightprepaidorfreightcollect),numberoforiginalB/L,thesignatureofthecarrier,andtheB/Lissuingplaceanddate.

Whenthegoodsaretransportedbyvessel,themarineoroceanB/Lisoneofthemostimportantshippingdocuments.Abillofladingfunctionsasareceiptofgoodsbythecarrierevidencingreceiptofthegoodsfromtheconsignor,evidenceofacontractofcarriagebetweentheshipperandthecarriercontainingtheconditionsonwhichtransportismade,andadocumentoftitletothegoodsinthesensethatthelawfulholder/owneroftheB/Listhelawfulownerofthegoodsandthecarriercontainingtheconditionsonwhichtransportismade,andadocumentoftitletothegoodsinthesensethatthelawfulholder/owneroftheB/ListhelawfulownerofthegoodsandthecarrierwillonlyreleasethegoodsatthestipulatedportofdestinationagainstthepresentationoftheoriginalB/L.

FunctionsofB/L

TypesofB/LBillsoflading(Bs/L)areofmanykinds,andcanbeclassifiedintothefollowingcategoriesinaccordancewithdifferentcriteria.(1)IntermsofwhetherornotthegoodsareonboardShippedB/L(orOnBoardB/L)isissuedbythecarrieroritsagentwhenallthegoodsareloadedonboardtheship,andmustbearthenameoftheshipandthedateofshipment.ReceivedforShipmentB/Lisissuedbythecarrieroritsagentwhenthegoodsareunderhiscontrolbeforeloadedonboardtheship.Theimporterdoesnotfavorit,andusuallytheL/CwillrequiretheexportertopresentshippedB/Lfornegotiationatthebank.However,withthedevelopmentofcontainertransport,receivedforshipmentBs/Larebeingincreasinglyapplied.(2)OnthebasisoftheapparentconditionofgoodsnotedWhentheshippingcompanywritesontheB/L“Thegoodsloadedareinapparentgoodorder”,thisB/LisaCleanB/LoranUnclausedB/L.Whentheshippinglinegivessuchanindicationas“Thegoodsloadedarenotinapparentgoodorder”or“Thepackingisbrokenor…ispolluted,etc.”,thisB/LisanUncleanB/LorafoulB/LoraclausedB/L,andnon-negotiableatthebank.(3)InthelightofdifferentcharacteristicsofconsigneesStraightB/Lhasaspecifiednameinthecolumnofconsignee,whichmeansthatthegoodscanonlybereceivedbythespecifiedpersonandtheB/Lcannotbetransferredtoathirdperson.

Soitisalsocallednon-negotiableB/L，andthusitisnotcommonlyusedininternationaltradeandnormallyappliestohigh-valueshipmentsorgoodsforspecialpurposes.OrderB/Ldoesnothaveaspecifiednamebutthephraseologyof“Toorder”,or“Totheorderof…”inthecolumnofconsignee.ThiskindofB/Lcanbetransferredtoothersbyendorsement,thuscallednegotiableB/L,andwidelyusedininternationaltrade.

OpenB/Lhasneithertheconsignee’snamenorthephraseologyof“Toorder”fillinthecolumnofconsignee.ThistypeofB/LisalsocallednegotiableB/L,andcanbenegotiablewithoutendorsement,andownershipofthegoodspasseswhentheB/Lishandedovertoanyone.Owingtotheexceedinglyhighriskinvolved,thisB/Lisrarelyused.

(4)InaccordancewithmodesoftransportUnderDirectB/L,thegoodswillbedirectlycarriedtotheportofdestinationwithouttransshipment.UnderTransshipmentB/L,thegoodswillbetransshippedintransit.ThroughB/LisadevelopmentofthesetwoBs/L.UnderThroughB/L,thegoodswillatleastbecarriedbytwodifferentmodesoftransportassea-landorland-seaandtakenchargeofbydifferentcarriersduringtransportbeforearrivingattheportofdestination.AmultimodaltransportoperatorresponsibleforthewholevoyageissuesCombinedTransportB/L,involvingtwoormoredifferentkindsoftransport.

ThiskindofB/LisusuallyusedincontainertransportandmaybeaReceivedforShipmentB/L,butaThroughB/LmustbeaCleanShippedB/L.(5)InconformitywiththedetailedorsimplifiedclausesLongFormB/Lhasdetailedclausesprintedonitsbackconcerningthetransportofgoodssoastosolveanypossibletransportdisputes.ShortFormB/Ldoesnothavesuchclausesonitsback.However,ifsuchwordingas“alltransportclausesarebasedonthelongformB/Lofourcompany”isstampedonthebackofashortformB/L,thisB/Lisequaltoalongformoneandwillbeacceptedbythebankfornegotiation.

(6)IncompliancewiththetypesofvesselLinerB/Lisissuedbythecarrierwhenthegoodsareshippedonaregularlinervesselwithscheduledrouteandreservedberthatdestination.Itsobviousadvantageisthatthecarriercanadvisetheshipper,beforeorshortlyaftertheseavoyage,oftheestimatedtimeofdeparture(ETD)andtheestimatedtimeofarrival(ETA)sothattheimporterwillalsobeinformedthatthegoodsaredispatchedandwillarriveonasetdate.ThemajorityofB/LislinerB/L.CharterpartyB/Lisissuedbyachartererofashiptotheexporter.ThetermsoftheB/Laresubjecttothecharterpartybetweentheshipownerandthecharterer.AcharterB/Lusuallycontainssuchwordings“subjecttothecharterparty”.BanksnormallywillnotacceptacharterB/Lunlessstatedotherwiseinthecredit.ThistypeofB/Lisnotverypopularininternationaltrade.ExportManifestExportmanifestisadocumentcontainingthelistsofgoodstobeloadedonboardashipandgivingthedescriptionofaship’scargo.Itgivesthedetailsofeachconsignmentsuchasthemaritimetransportdocumentreference,e.g.thebillofladingnumber;thecontaineridentificationnumber;thenumber,kinds,marksandnumbersofthepackages;thedescriptionandgrossweight/volumeofthegoods;theportorplacewherethegoodswereloadedontotheship;theoriginalportorplaceofshipmentforgoodsonamaritimetransportationdocument.DeliveryOrder

Deliveryorderisanorderfromashippinglinetotheterminalsuperintendentforthereleaseofgoodstoaconsigneefollowingpaymentoffreightcharges.Itisthenecessarydocumenttogothroughtheimportingcountry’scustomsformalitiesandtheevidenceoftakingdeliveryofthegoods.NewWordsandExpressions

TransportDocuments(3)PARTIIISupplementaryReadingSeaWaybillAseawaybillisatransportdocumentissuedbyashippingcompanyasanalternativetoaB/L.ItonlyperformstwofunctionsofaB/L,thatis,asareceiptofgoodsandacontractofcarriage.Inotherwords,unlikethebilloflading,aseawaybillisnotadocumentoftitletothegoodsoranegotiabledocument,andthuscanonlybemadeouttoanamedconsignee,i.e.

theseawaybillobligesthecarriertodeliverthegoodstotheconsigneenamedinthedocument.Hencethereisnoneedfortheconsigneetopresentanytransportdocumentattheportofdischarge,aslongashecanidentifyhimselfasthepartynamedasconsigneeintheseawaybill,thecarrier'sonlyresponsibilityinthisconnectionistoexerciseduediligencewhenconfirmingtheidentityofthepersonclaimingtobetheconsignee,whichcanspeedupprocessingattheportofdischarge.Theseawaybillissuitableforshorttraffics,becausethetraditionalbillofladingwouldarriveafterthegoodshavereachedtheirdestination.MostofthegoodsshippedontheAtlanticrouteisdoneundertheseawaybill.AirWaybillAnairwaybill(AWB)isatransportdocumentissuedbyanairlineusedfortheairtransportofgoods.Thatis,itisanairconsignmentnoteusedforthecarriageofgoodsbyair.TheairwaybillisapproximatelyequivalenttotheoceanB/L,butitisnotadocumentoftitletogoodsoranegotiableinstrumentinthesamewayasisanoceanB/Lbecausethecargowouldarriveatthedestinationairportdaysorsometimesweeksbeforetheairwaybill’sarrivalviathebankingsystem.Therefore,theconsigneeisallowedtotakedeliveryofthegoodsbeforereceivingtheairwaybill.

Eachairwaybillhasthreeoriginalsandatleast6copies.Theairwaybillmustbeaccuratelycompleted,andclearandcompleteforwardinginstructionsmustbegiventotheairlineoragentforefficientservice.

Theairwaybillmainlyfunctionsasareceiptofthegoodsfordispatch,evidenceofthecontractofcarriagebetweenthecarrierandtheconsignor,afreightbillspecifyingthechargesrespectivelybornebytheconsignorandtheagent,andasourcedocumentforclearance.

Theairlineindustryhasadoptedastandardformattedairwaybillthataccommodatesbothdomesticandinternationaltraffic.Thestandarddocumentwasdesignedtoenhancetheapplicationofmoderncomputerizedsystemstoairfreightprocessingforboththecarrierandtheshipper.

Amultimodaltransportdocumentevidencesthecontractofcarriageofgoodsbyatleasttwomodesoftransport,suchasshippingbyrailandbysea,issuedbyamultimodaltransportoperatorunderamultimodaltransportcontract.Multimodal(orCombined)TransportDocument(MTDorCTD)

MultimodaltransportdocumentisquitesimilartothroughB/LandcombinedtransportB/Lusedforoceantransport,butisbroaderthanthem.ThoughB/LandcombinedtransportB/Larealwaysconnectedwithsea,usedforanytransportcombinedwithsea,whilemultimodaltransportdocumentmaybeappliedtoanykindofcombinedtransport，notnecessarilyconnectedwithseatransport.SeveralcarriersareinvolvedinthroughB/L,whilemultimodaltransportdocumentisissuedbyonlyonecarrier,thatis,multimodaltransportoperator.Multimodaltransportdocumentcanbeeithernegotiableornon-negotiable,andusuallynon-negotiable.RailWaybillArailwaybill,alsocalledconsignmentnoteforrailtransportorrailwaycargoreceipt,servesasthecontractofcarriagebetweentherailwayandconsignor,evidencingthereceiptofthegoodsandthedateacceptanceforcarriagebythecarrier.Therailwaybillwillbedeliveredwiththecargofromthedeparturestationtotheconsigneeatthedestinationstationagainstpaymentoftheamountsbytheconsignee.Aduplicateisgiventotheshipperasareceiptforacceptanceofthegoods.UnlikeB/L,itisnotadocumentoftitleandisnotnegotiable.TherailwaybillissubjecttotheInternationalConventionfortheTransportofGoodsbyRail(CIM).Aroadwaybill,alsocalledconsignmentnoteforroadtransportorCMRconsignmentnote,whichissimilartorailwaybillinformandcontents,standsforthecontractforthecarriageofgoodsbyroadinvehicles,completedbythesenderandthecarrierwiththeappropriatesignaturesand/orstamp.Likerailwaybill,itevidencestheplaceanddateoftakingoverthegoodsandtheplacedesignatedfordelivery.Itisnotatransferabledocumentordocumentoftitleeither,andissubjecttotheConventiononC