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

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。

Definition

Trade 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 seller’s 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. China’s 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 party’s 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.R evised American foreign trade definition 1941

《1941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? 2010《2010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? 2010presents 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DA T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 transportation

2)Place of delivery of the seller is on board a ship in the export country

3)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 FUZHOU

Definition

The 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 Seller’s Obligations卖方义务

a. Ship the goods on board the ship at port of shipment within due time and

notify the buyer promptly

b. All costs and risks before the goods are loaded on board the ship

c. Clear export customs and provide related documents and certificates

d. Provide related shipping documents or EDI electronic information

●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。

●负担货物装上船前的一切费用和风险。

●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。

●负责提供有关货运单据或EDI电子信息。

The Buyer’s Obligations买方义务

a. Book space and pay the freight and notify the seller sailing date and

name of sailing vessel

b. Bear all costs and risks after the goods are loaded on board the ship

c. Accept related documents provided by the seller and pay duly according

to the contract

●负责租船或订舱，支付运费，并将船期、船名及时通知卖方。

●负责货物装上船后的一切费用和风险。

●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. Th e 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。

CIF

Cost 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。

Definition

The 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 Seller’s 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 Buyer’s 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.

●负担货物装上船后的一切费用和风险；

●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。

●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 buyer’s 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 buyer’s 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 goods in due time and has no guarantee for the arrival of goods. The core of Symbolic delivery is the buying and selling of related documents instead of physical goods, in other words, delivering the documents is delivering goods by the seller to the buyer. The seller delivers the goods against documents and the buyer pay for the goods against the documents.

As long as the seller provides all sets of qualified documents in due time and even if the goods are damaged of lost during shipment, the buyer shall pay. Reversely, if the seller provides wrong documents and even if the goods are in good shape, the buyer may refuse to pay.

CIF贸易术语是一个典型的象征性交货（Symbolic Delivery）的贸易术语。所谓象征性交货是针对实际交货（Physical Delivery）而言。象征性交货是指卖方只要按照合同规定的时间在装运港把货物装上船并向买方提交了合同规定的代表货物所有权凭证的有关单据，就算完成了交货义务。风险在货物装上船时由卖方转移给买方，卖方只负责按时装运，无需负责保证到货。象征性交货的核心是单据的买卖，双方交易的是单据而不是货物，也就是说卖方只要向买方交单就是向买方交货。卖方是凭单交货，买方是凭单付款。只要卖方如期向买方提交了全套合格单据，即使货物在运输途中损坏或灭失，买方也必须履行付款义务。相反的，如果卖方提交的单据不符合要求，即使货物完好无损的到达目的地，买方仍有权拒绝付款。实际交货是指卖方要在合同规定的时间和地点，将符合合同规定的货物提交给买方或其指定的人。而不能以交单代替交货。

Physical delivery refers to that the seller deliver the goods to the buyer in due time and at due place as agreed in the contract. 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 has no guarantee for the arrival of goods. The

seller delivers the goods against documents and the buyer pay for

the goods against the documents.

按期在约定装运港船上装运，并向买方提交合同规定的包括物权凭证在内的有关单据就算完成了交货义务，无需保证到货。卖方凭单据交

货，买方凭单据付款。

CFR

CFR 全称：Cost and Freight （….Named Port of Destination）

中译名：成本加运费（指定目的港）

It shall be followed by the name of port of destination, like CFR London.

采用这术语后加注目的港：如CFR London

Definition

The 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 are transferred when goods are delivered on board).

卖方负责租船订舱，在合同规定的装运港和期限内，将合同规定的货物装上运往指定目的港的船只，支付运费并负担风险（货物在装运港装上船后风险即由卖方转移至买方）。

Obligations双方义务

Except that the insurance is covered by the buyer, both parties’ obligations are just the same as that of CIF.

除了保险是由买方自己投保，CFR买卖双方义务基本上和CIF一样。

Some points for attention注意事项

The seller shall dispatches shipping notice promptly to facilitate the buyer’s insurance covering and if the buyer fails to cover insurance and suffers losses as a result of the seller’s late notice, the seller is responsible.

Contracts under CFR belong to shipment contracts.

卖方要及时发出装船通知以便买方办理保险，如卖方未及时发出装船通知，买方因此未办理保险，如造成损失，由卖方承担。

CFR贸易术语也是装运港交货术语，以该贸易术语签订的买卖合同属于装运合

同。

1.3 FCA, CPT and CIP

向承运人交货的三种贸易术语

The above three trade terms are used when the exporter delivers the goods to the carrier and share the following characters:

向承运人交货的贸易术语是FCA、CPT、CIP。这三个贸易术语都是在出口国货交承运人时使用，在性质上有以下共同点：

1. They are suitable for any means of transport including marine cargo transportation.

2. Place of shipment is in the exporting country.

3. Risk is transferred at port of shipment

4. Deliver at shipping port in the exporting country.

5. Contracts signed as per these three rules are all shipping contracts.

第一，这三个贸易术语都是适合于包括海洋运输在内的任何一种运输方式。

第二，这三个贸易术语卖方交货的地点都是在出口国装运地货交承运人。

第三，这三个贸易术语风险划分都是以出口国装运地货交承运人。

第四，这三个贸易术语都是出口国装运地交货条件。

第五，以这三个贸易术语的签订的买卖合同都是装运合同。

The nature of these three terms is the same as that of FOB, CFR, CIF. The difference between the two classifications is the mode of transport. FCA, CPT and CIP are applicable for all modes of transportation includ ing marine cargo transportation.

这三个贸易术语与FOB、CFR、CIF在性质上是相近的，只不过适用的运输方式上有所不同。FCA、CPT、CIP适用于包括海洋运输在内的任何一种运输方式。

FCA

Free Carrier (…https://www.360docs.net/doc/246174552.html,d Place)

中译名：货交承运人（指定地点）

FCA 后加注指定地点。

FCA is similar with FOB and Place of delivery could be any place in the exporting country. Free Carrier refers to the free carriers of the export country.

出口国装运地，为什么是place而不是port：FCA贸易术语不限于码头，船上交货。可以在出口国任何地点交货，但性质上相似于FOB。

另一个要注意的是货交承运人所指的是在出口国的货交承运人，而不是在进口国。

Definition

The seller delivers the goods, cleared for export, to the carrier nominated by the buyer at the named place and the buyer concludes shipping contract on his own expense and notify the seller promptly.

买方要自费订立从指定地点启运的运输合同，并及时通知卖方。卖方在规定的时间、地点把货物交给买方指定的承运人，并办理出口手续后就完成了交货。

This rule is suitable for all modes of transportation including sea waterway transport.

Characteristics:

a.Place of delivery: the exporting country or port

b.Risk transfer: the buyer bears all risks and any costs occurring after the

goods have been delivered

c.Carrier: any one actually fulfills the obligation of shipment or the

shipping agent

该术语适用于包括海洋运输在内的各种运输方式，特点：

●交货地点：出口国内地或港口货交承运人。

●风险转移：货交承运人时卖方转移至买方。

●承运人指两种人：a.实际履行运输义务承运人b.运输代理人。

Comparison of FCA and FOB异同点

Common points 相同点

1.The buyer is responsible for shipment and covering insurance and the

contracted price does not include shipping charges or insurance premium

2.Port of loading is the place of delivery

3.Contracts under these two terms are shipment contracts but not sales

contract

●这两个贸易术语都是由买方负责运输。买方负责保险。在价格构成上都不包

含运费和保费。

●这两个贸易术语都属于出口国装运港（地）交货条件。

●以这两个贸易术语签订的买卖合同，都是装运合同。

Differences 不同点

1.FOB is used in port-to-port marine shipment; FCA could be used in all

means of transport including marine shipment

2.Places of delivery for FOB is on board the ship at port of loading; FCA is

free carrier to a named place

3.Risks transfers when the goods are on board the vessel for FOB and

when the goods are delivered to the carrier for FCA

4.FOB is a symbolic delivery trade term

●适用的运输方式不同：FOB只适用于港到港的海洋运输。FCA适用包括海洋

运输方式在内的一切运输方式。

●交货地点不同：FOB装运港船上，FCA出口国装运地货交承运人。

●风险划分的地点不同：FOB装运港以装上船为界；FCA出口国装运地货交承

运人。

●FOB是象征性交货的贸易术语。

CPT

Carriage Paid To (…https://www.360docs.net/doc/246174552.html,d Place of Destination)

中译名：运费付至（指定目的地）

CPT后加注目的地

Definition

The seller delivers the goods to the carrier nominated by him and the seller must in addition pay the cost of carriage necessary to bring the goods to the named destination and notify the buyer promptly. The risks are transferred to the buyer when the goods are delivered to the carrier. The place of delivery could be inland in the exporting country, port or railway station. In other words, the seller is obliged to arrange the goods to be transported to the destination, but the place of delivery is still in the exporting country.

卖方要自负费用订立货物运往目的地指定地点的运输契约，并负责按合同规定的时间将货物交给承运人（在多式联运的情况下，交给第一承运人）处置之下，即完成交货。交货后及时通知买方。

风险转移的地点：货交承运人处置后风险转移至买方。与FCA、CPT、CIP相同交货地点：出口国的内陆，港口、车站。

采用CPT，卖方要负责安排将货物运到目的地，但卖方交货的地点还是在出口国货交承运人。

Some points for attention使用CPT应当注意的问题

Risk Transfer风险划分的界限

The seller delivers the goods to the carrier and pays the cost of carriage necessary to bring the goods to the named destination; however, the seller

bears risks until the goods are delivered to the carrier in the exporting country.

As INCOTERMS 2010 explained, the buyer bears all risks and any other

costs occurring after the goods have been so delivered. In multimodal

transport, risks transfer to the buyer when the seller delivers the goods to the

first carrier.

按照CPT贸易术语，卖方要负责从装运地到指定目的地的运输，并承担运费，但是卖方承担的风险仍然是在出口国货交承运人为限。按照《2010年通则》

的解释，货物自交货地点至目的地的运输途中的风险由买方承担，而不是卖方，

卖方只承担货物交给承运人控制之前的风险。在多式联运的情况下，卖方承担的

风险自货物交给第一承运人控制时即转给买方。

Allocation of Obligation and Costs责任和费用划分的问题

The seller is responsible for the shipping charges to the destination. After he delivers the goods to the carrier, the seller shall immediately notify the

buyer for insurance covering and getting receipt of the goods in due time.If

both parties fail to confirm the specific place of receipt, the seller could

choose the appropriate place in the destination.

按照CPT贸易术语，卖方要承担费用，负责安排到目的地的运输费用。卖方将货物交给承运人之后，应向买方发出货已交付的通知，以便买方投保，并且在

目的地受领货物。如果双方未能确定目的地买方受领货物的具体地点，卖方可以

在目的地选择最适合其要求的地点。

Comparison of CPT and CFR异同点

Common points相同点

1.In both terms, the seller is obliged to arrange transport to the destination

and bear related costs while the buyer covers insurance on himself.

2.Same delivery terms—Ship at port of shipment.

3.Contracts under both terms are shipment contracts

●这两个贸易术语都是由卖方负责安排到目的地的运输，承担运费，由买方自

己投保，承担保费。

●这两个贸易术语都是装运港（装运地）交货条件。

●以这两个贸易术语签订的买卖合同都是装运合同。

Differences 不同点

1.CFR is used in port-to-port marine transport; CPT could be used in any

mode of transport including marine transport.

2.Place of delivery for CFR is on board the ship in port of shipment and

for CPT is in the exporting country to the carrier.

3.Risks under CFR are transferred when the goods are on board the vessel

in port of shipment in the exporting country and under CPT risks are

passed when the goods are delivered to the carrier in the exporting

country.

●CFR适用于港到港的海洋运输，CPT适用于任何一种运输方式，包括海运。

●交货地点不同。CFR卖方在出口国装运港船上交货，CPT在出口国货交承运

人。

●风险划分不同：CFR风险在出口国装运港货物装上船后转移至买方，CPT在

出口国货交承运人风险转移至买方。

CIP

Carriage Insurance Paid to (…Named Place of Destination)

中译名：运费、保险费付至（指定目的地）

CIP后要加注进口国目的地的名称。

Definition

The seller contracts for insurance and pay the insurance premium for the carriage of the goods in addition to whatever should be covered and the transfer of risk happens when the seller delivers the goods to the carrier he chooses.

卖方要负责订立运输契约并支付将货物运达指定目的地的运费。还要办理货运保险、支付保险费。卖方在合同规定的装运期内将货物交给承运人，在第一承运人的处置之下即完成交货义务。交货后及时通知买方，风险于交货时转移给买方。

Comparison of CIF and CIP CIF与CIP的异同点

Common points相同点

1.The contract price includes shipping charges and insurance premium and

the seller arranges transport to port of destination and pay for related

shipping charges and insurance premium.

2.Place of delivery is port of shipment in the exporting country.

3.Contracts under both terms are shipment contracts.

1.二者的价格构成中都包含了通常的运费和保费，卖方都要安排到目的港

（地）运输，负责投保，支付有关运费和保费。

2.二者交货地点都是出口国装运港或装运地，也可称为装运港或装运地交货条

件。

3.二者术语签订的买卖合同均为装运合同。

Differences 不同点

1.CIF is typically used in symbolic delivery

2.CIF is especially suitable for ocean marine transport; CIP is used in

multi-modal transport

3.Place of deliver for CIF is on board the ship in port of shipment and for

CIP is to the carrier in the exporting country

4.Risks transfer when goods are on board the vessel for CIF and for CIP

risks transfer when the goods are delivered to the carrier

5.Insurance under CIF is purely ocean transport insurance; insurance under

CIP may not only involve transport insurance but also inland or airway

insurance

●CIF为典型的象征性交货。

●适应运输方式不同，CIF专门适应海洋运输，CIP适用于国际多式联运包括

各种运输。

●CIF为装运港交货条件, CIF交货地点为出口国装运港船上，CIP为出口国装

运地（包括装运港）货交承运人。

●风险划分不同: CIF以装运港货物装上船为界，CIP出口国货交承运人。

●二者的保险不一样。CIF单纯为海洋运输保险，CIP可能牵涉到陆运或航空

险，如果用海洋运输还包括海运险。

1.4 EXW and FAS

出口国交货的其他贸易术语

EXW

EX Works(… named place)

中译名：工厂交货（指定地点）

EXW后加注指定地点

This term imposes on the seller the minimum obligations, costs and risks. It is frequently used in coastal areas in mainland, Hong Kong and Macao.

这一术语是13个贸易术语中卖方义务最小的一个，在我国沿海开放地区和靠近港澳的地区经常使用这一术语。

Definition

The seller delivers when it places the goods at the disposal of the buyer at the seller's premises or at another named place (i.e., works, factory, warehouse, etc.).

The seller does not need to load the goods on any collecting vehicles, nor does it need to clear the goods for export, where such clearance is applicable.

INCOTERMS2010规定：“卖方在其所在地或其他指定的地点（如工场、工厂或仓库等）将货物交给买方处置时即完成交货，卖方不办理出口清关手续，亦不将货物装上任何前来接收货物的运输工具”。

Thus the buyer has to bear all costs and risks, and handle all necessary procedures from the moment he agrees to accept the goods or to take delivery of the goods. This term imposes on the seller the minimum obligations, costs and risks.

需要注意的是：买方应承担自卖方的所在地将货物运至预期目的地的全部费用和风险。因此，工厂交货是卖方承担责任、费用和风险最小的一种贸易术语。

EXW is widely used in any means of transport including multi-modal transport in both domestic trade and international trade.

The buyer is obliged to clear export customs, thus is exposed to risks of export embargo. So before concluding the contract, the buyer shall learn about related laws and government regulations in case of any unnecessary losses. If the buyer may not be able to clear export customs directly and indirectly, FCA is preferred.

EXW本属按国内贸易的办法进行交货，但也可用于国际贸易。其适用范围很广，适合于任何一种运输方式，其中包括多式联运。

EXW术语中由买方办理出口结关手续，不由卖方承担，所以买方就有可能承担货物被禁止出口的风险。因此，在成交之前，买方必须了解出口国的政府当局是否接受一个不住在该国的当事人为其代表在该国办理出口结关手续，以免蒙受不必要的损失。如果买方不能直接或间接地办理货物出口手续，就不应使用这一术语，而应选用FCA。

FAS

Free alongside ship… (named place of shipment)

中译名：装运港船边交货（…指定装运港）

FAS后加注指定装运港

Definition

The seller places the goods alongside the vessel nominated by the buyer at the named port of shipment to fulfill his delivery obligation under this term.

卖方将货物运到指定的装运港码头船边，即船舶吊钩所及之处，以履行其交货义务。

在港口吃水浅而船舶不能靠岸的情况下，卖方履行船边交货义务，就得用驳船将货物改运到货轮吊钩所及之处，以便用货轮上的吊钩将货物吊到船上。

Allocation of Risks and Costs 风险与费用划分

The seller bears all costs (including shipping charges, charges for transshipment and losses or damages of the goods) and risks of transporting the goods alongside the ship. When the goods are alongside the ship, costs and risks are transferred to the buyer.

货物运至装运港船边前的一切费用和风险（包括轮船费用和改运过程中发生的货物风险和损失）由卖方负责。当货物交到船边后，费用和风险转移给买方。

Comparison of FOB and FAS 异同点

Common points相同点

1.Both are used in port-to-port ocean marine transport

2.The buyer arranges transport, covers insurance and bears shipping

charges and insurance premium.

●都适用于港到港的海洋运输。

●都是由买方安排运输、投保、承担运费和保费。

Differences不同点

a.FOB is used for symbolic delivery; FAS is used for physical delivery

b.Place of delivery for FOB is on board the ship and for FAS is alongside

the ship

c.Risks transfer when the goods are on board the vessel for FOB and when

the goods are alongside the ship for FAS

d.The seller is responsible for loading the goods for FOB and the seller is

free from shipping charges for FAS

●FOB属于象征性交货，而FAS属于实际交货。

●FOB中卖方交货的地点是在装运港的船上，而FAS是在装运港船边。

●FOB的风险划分是在装运港以货物装上船为界，而FAS的风险划分是在装运

港的船边。

●FOB中由卖方负责装船，而FAS中卖方不承担装船费用。

Different definition under American trade terms

与美国对外贸易定义的区别

1.In America, FAS is free along side; in INCOTERMS 2010, FAS is free

alongside ship.

2.In America, FAS is used in any means of transportation.

3.In INCOTERMS 2010, FAS is used in ocean marine transportation.

●名称不同。美定义的FAS中为along side，而INCOTERMS2010中的FAS为

alongside ship。

●内容不同。美定义的FAS可在任何运输工具旁，不一定在港口。

●INCOTERMS 2010中的FAS与美定义的FAS+Vessel具有相同的意义。

1.5 DAT, DAP and DDP

目的地交货的各种贸易术语

D组贸易术语共3个：DA T、DAP、DDP。

The common points of the above 3 terms这三个贸易术语的共同点

a.The seller shall deliver the goods to the buyer in the importing country

b.They are used in physical delivery

c.Risks transfer when the buyer takes hold of the goods in the importing

country

d.Contracts under the terms are arrival contracts

e.The seller shall bear shipping charges and insurance premiums which are

both included in the contract price

●三个贸易术语都是在进口国目的地交货的贸易术语，卖方的交货地点都是要把货

物运到进口国实际交到买方手上。

●相对于象征性交货，这三个贸易术语都是实际交货的贸易术语。

●这三个贸易术语风险划分的地点都是在进口国货物处于买方处置之下时转移。

●以这三个贸易术语签订的买卖合同都是到达合同。

●这三个贸易术语运输和保险都由卖方来承担，在价格构成中都包含了运费和保

费。

DAT

Delivered at Terminal (…named terminal at port or place of destination)

中译名：运输终端交货(…指定港口或目的地的运输终端)

This rule may be used irrespective of the mode of transport selected and may also be used where more than one mode of transport is employed.

该术语可适用于任何运输方式，也可适用于多种运输方式。

Definition

“Delivered at Terminal”means that the seller delivers when the goods, once unloaded from the arriving means of transport, are placed at the disposal of the buyer at a named terminal at the named port of place of destination.

“Terminal”includes any place, whether covered or not, such as a quay, warehouse, container yard or road, rail or air cargo terminal. The seller bears all risks involved in bringing the goods to the unloading them at the terminal at the named port of place of destination.

“运输终端交货”是指当卖方在指定港口或目的地的指定运输终端将货物从抵达的载货运输工具上卸下，交给买方处置时，即为交货。“运输终端”意味着任何地点，而不论该地点是否有遮盖，例如码头、仓库、集装箱堆积场或公路、铁路、空运货站。卖方承担将货物送至指定港口或目的地运输终端并将其卸下期间的一切风险。

The parties are well advised to specify as clearly as possible the terminal and, if possible, a specific point within the terminal at the agreed port or place of

destination, as the risks to that point are for the account of the seller. The seller is advised to procure a contract of carriage that matches this choice precisely.

由于卖方承担在特定地点交货前的风险，特别建议双方尽可能确切地约定运输终端，或如果可能的话，在约定港口或目的地的运输终端内的特点的点。建议卖方取得的运输合同应能与所做选择确切吻合。

Moreover, if the parties intend the seller to bear the risks and costs involved in transporting and handling the goods from the terminal to another place, then the DAP or DDP rules should be used.

此外，如果双方希望由卖方承担将货物由运输终端运输和搬运至另一地点的风险和费用，则应当使用DAP或DDP术语。

DAT requires the seller to clear the goods for export, where applicable. However, the seller has no obligation to clear the goods for import, pay and import duty or carry out any import customs formalities.

如适用时，DA T要求卖方办理出口清关手续。但卖方无义务办理进口清关、支付任何进口税或办理任何进口海关手续。

Under both new rules, delivery occurs at a named destination: in DAT, at the buyer’s disposal unloaded from the arriving vehicle (as under the former DEQ rule); in DAP, likewise at the buyer’s disposal, but ready for unloading (as under the former DSF, DES and DDU rules). The new rules make the Incoterms 2000 rules DES and DEQ superfluous. The named terminal in DAT may well be in a port, and DAT can therefore safely be used in cases where the Incoterms 2000 rule DEQ once was.

使用DA T时卖方要负责把货物从运输工具上卸下，由买方处置，而DAP则不同，在目的地由买方自行卸货。因此，DA T可以适用原DEQ的场合。DAP可以适用原来DES的场合。

Obligations双方义务

The Seller’s Obligations卖方义务

a.The seller must provide the goods and the commercial invoice in

conformity with the contract of sale and any other evidence of

conformity that may be required by the contract.

卖方必须提供符合买卖合同约定的货物和商业发票，以及合同可能要求的其他与合同相符的证据，亦可以是同等作用的电子记录或程序。

b.Licenses, authorizations, security clearances and other formalities

许可证、授权、安检通关和其他手续

The seller must obtain, at its own risk and expense, any export license and other official authorization and carryout all customs

formalities necessary for the export of the goods and for their transport

through any country prior to delivery.

卖方必须自负风险和费用，取得所需的进出口许可和其他官方授权，办理货物出口和交货前从他国过境运输和进口所需的一切海关手续。

c.Contract of carriage关于运输

The seller must contract at its own expense for the carriage of the goods to the named terminal at the agreed port or place of destination. If

a specific terminal is not agreed or is not determined by practice, the

seller may select the terminal at the agreed port or place of destination that best suits its purpose.

卖方必须自付费用签订运输合同，将货物运至约定港口或目的地的指定运输终端。如未约定特点的运输终端或不能由实务确定，卖方则可选择最适合其目的在约定港口或目的地的运输终端。

d.Contract of insurance关于保险

The seller has no obligation to the buyer to make a contract of insurance. However, the seller must provide the buyer, at the buyer’s request, risk, and expense (if any), with information that the buyer needs for obtaining insurance.

卖方对买方无订立保险合同的义务。但应买方要求并由其承担风险和费用（如有的话），卖方必须向买方提供后者取得保险所需的信息。

e.Delivery交货

The seller must unload the goods from the arriving means of transport and must then deliver them by placing them at the disposal of the buyer at the named terminal at the agreed port or place of destination on the agreed date or within the agreed period.

卖方必须在约定日期或期限内，在买方指定的港口或目的地运输终端将已从抵达的运输工具上卸下的货物交给买方处置的方式交货。

f.Transfer of risks风险转移

The seller bears all risks of loss of or damage to the goods until they have been delivered by placing the goods at the disposal of the buyer at the named terminal at the agreed port or place of destination.

卖方承担完成交货前货物灭失或损坏的一切风险。

g.Allocation of costs费用划分

The seller must pay all costs resulting from transportation and all costs relating to the goods until they have been delivered, other than those payable by the buyer.

卖方必须支付因运输发生的费用，以及交货前与货物相关的一切费用，但自交货日起应由买方支付的费用除外；

The costs of customs formalities necessary for export as well as all duties, taxes and other charges payable upon export and the costs for their transport through any country, prior to delivery shall be paid by the seller.

货物出口所需海关手续费用，出口应交纳的一切关税、税款和其他费用，以及货物从他国过境运输的费用亦由卖方支付。

h.Notice to the buyer 通知买方

The seller must give the buyer any notice needed in order.

卖方必须向买方发出所需通知，以便买方采取收取货物通常所需要的措施。

i.Delivery document交货凭证

The seller must provide the buyer, at the seller’s expense, with a document enabling the buyer to take delivery of the goods.

卖方必须自付费用，向买方提供凭证，以确保买方能够收取货物。

j.Checking-packaging-marking 查对-包装-标记

The seller must pay the costs of those checking operations (such as checking quality, measuring, weighing, counting) that are necessary for the purpose of delivering the goods, as well as the costs of any pre-shipment inspection mandated by the authority of the country of export.

The seller must, at its own expense, package the goods, unless it is usual for the particular trade to transport the type of goods sold unpackaged.

The seller may package the goods in the manner appropriate for their transport, unless the buyer has notified the seller of specific packaging requirements before the contract of sale is concluded. Packaging is to be marked appropriately.

卖方必须支付为了进行交货所需要进行的查对费用。如查对质量、丈量、过磅、点数的费用，以及出口国有关机构强制进行的装运前检验所发生的费用。除非买方在特定贸易中，某类货物的销售通常不需包装，卖方必须自付费用包装货物。除非买方在签订合同前已通知卖方特殊包装要求，卖方可以适合该货物运输的方式对货物进行包装。包装应作适当标记。

k.Assistance with information and related cost s协助提供信息及相关费用The seller must, in a timely manner, provide to or render assistance in obtaining for the buyer, at the buyer’s request, risk and expense, any documents and information, including security-related information, that the buyer needs for the import of the goods and/or for their transport to the final destination.

卖方，应买方要求并由其承担风险和费用，必须及时向买方提供或协助其取得相关货物进口和/或将货物运输到最终目的地所需要的任何单证和信息，包括安全相关信息。

The seller must reimburse the buyer for all costs and charges incurred by the buyer in providing or rendering assistance in obtaining documents and information.

卖方必须偿付买方提供或协助取得单证和信息时所发生的所有花销和费用。

The Buyer’s Obligations买方义务

a.The buyer must pay the price of the goods as provided in the contract of

sale. Any document referred to in the following items may be an equivalent electronic record or procedure if agreed between the parties or customary.

买方必须按照买卖合同约定支付价款，同时可以是同等作用的电子记录