B08323-04-张井涛-郭凤艳-外文翻译.doc

本科生毕业设计 (论文)外 文 翻 译原 文 标 题Study on The risk of bill of lading译 文 标 题海运提单风险研究作者所在系别经济管理系作者所在专业物流管理作者所在班级B08323作 者 姓 名张井涛作 者 学 号20084032304指导教师姓名郭凤艳指导教师职称教授完 成 时 间2011年10月北华航天工业学院教务处制 译文标题海运提单风险研究原文标题Study on The risk of bill of loading作 者Li Hua Jiang译 名李华江国 籍中国原文出处毕业论文海运提单风险研究提单作为国际贸易和航运的文件，并从物物交换，以文件交易形式.因而在国际贸易过程中起着重要作用，然而许多问题源于在实践采用中提单时，包括交换保函和清洁提单、倒签和先付提单以及运送货物在原来的提单没有提到的情况下，在本文探讨到的问题和认识的风险，并确认哪些是有关各方应负担的风险。与此相对应，它提出了一些改善对策。随着科学技术的发展和频繁使用的信用证（L / C的）遍布世界的，系统的提单，而受到威胁的现象，如清洁已交换保函（L / G）时，倒签提单和先付提单，以及交付货物，原来没有的提单.尽管这些现象在海上货物运输中有详细而具体的介绍，但如果未能认识到这些现象，有关各方可能会负担那些不必要的损失。一、产生清洁提单和保函交换的原因在国际货物买卖中，根据诚实信用原则，如果承运人送达的货物有缺陷，承运人应在提单上标明，以保证和保护收货人的合法权益，着就是程序要求的关于在制单时应注明的信息。至于付款方法，许多海上贸易是通过信用证解决的，它主要是基于独立的交易买卖或其他交易合同形式。因此，信用证仅仅是一种商业文件，银行仅基于单据审查报告确定，而不论文件表面上看其来是否构成完整的单据，但如果有任何差异，银行将拒绝付款。如果承运人发现细节的描述，标记，包数或件数，重量或数量的货物，与实际收到的货物不相符，它会记下。这样的话，提单将不再是清洁提单，根据UCP600规定，在收到不清洁的提单时银行有权拒绝交付，因为她不符合清洁提单和信用证的要求。为了获得清洁提单承运人向托运人保证，对承运人造成的损失进行赔偿。显然，放弃保函是一种典型的欺诈行为。然而，保函在某种程度上可以促进有缺陷的货物的转让。于是，用提单交换保函在全球范围内得到了普遍使用。事实上，这种做法在某种程度上具有促进经济和航运发展的积极作用。二、保函有效性的法律基础使用保函交换清洁提单者一做法在国际货物买卖中已得到广泛的使用，当交付的货物出现缺陷是，它可以缓解承运人与托运人之间的矛盾。例如，在美国和法国他们就拒绝承认保函的有效性，然而，在汉堡规则国际公约中，对保函在一些地区的法律效力作了系统的规定，所以承运人有权要求赔偿向托运人签发后，向受第三方造成的损失，但如果保函导致的第三方欺诈，包括收货人，这样保函就可以避免承运人和托运人之间不一致，而导致的索赔。（1）包含交换清洁提单的具体对策我们可以看到，交换保函既具有其积极的一面又有其不利的一面，在某种程度上，保函又是货物能够顺利流动的基础，如果没有保函国际间的货物贸易将无法顺利进行。就承运人而言，他们在接受保函的时候需要非常的小心，他们要非常细致的检查货物，当发现货物有问题时应当立即提出赔偿的要求。对发货人而言，在准备装船期间他应该仔细检查货物是否符合销售合同条款的具体的规定。（2）收货人采取的对策最高法院在正式的书面回答关于保函问题的有效性时做出了如下规定：“在海上运输货物，收货人不是必须要按照承运人提出的用保函交换清洁提单。无论保函作何规定，这都不会影响收货人要求承运人赔偿损失。”规定表明，保函对收货人的约束力是有限的，着可能增加对承运人提出赔偿要求的可能性。然而，规定收货人可以要求赔偿并不意味着它就一定能成功获得补偿，因此，如果收货人不熟悉托运人并没有业务关系前，收货人应当积极调查信用资质和托运人与承运人通过这样的机构为中国国际银行海事局。当事情出错，收货人应在诈骗方收到货物之前提起诉讼。（3）倒签提单与先付提单的相同与区别不论是倒签提单还是先付提单他们都记录欺诈装运日期。如果货物是装上船舶的，则具体日期记录在货物装运日之前。具体而言，具有下述相似点：两种提单都是采用信用证付款形式。两种提单都涉及有关承运人和托运人阴谋欺诈的行为，尤其是在CIF术语下当托运人负责租船或订舱时。由于这两种选择模糊了收货人事实上装运延迟的问题，当收货人了解了真相之后它可以选择接收货物的条件，或拒绝接受货物或要求赔偿根据条件损坏的货物。如果开证行在确定倒签提单和先付提单后，它有权拒绝有关提单的谈判。根据UCP 600，银行不承担责任或责任的形式，充分性，准确性，真实性，伪造或法律效力的文件，这是对银行的责任免除。然而，如果文档审查银行是假的，银行仍有权拒绝接受提单。（4）倒签提单和先付提单的风险及原因大部分倒签提单是由承运人在托运人的要求下制定的。倒签提单的目的是托运人保证出货日期与销售合同和信用证的要求相一致，因而他能履行交付义务和外汇结算的成功和顺利。联合联合国国际货物销售合同公约货物与合同法考虑交付义务的一个重要的。如果托运人不能交货或不能按时交货，视为违反合同的根本和收货人可以取消合同。即使货物已到港目的地，收货人拒绝提货，如果他能证明托运人没有完成的时间内装船发货。此外，在信用证付款下，根据UCP600的规定，交单到期日，必须与信用证相符合，如果不符，银行有权拒绝接受提单并且拒绝根据信用证条款付款，而且提供信贷的银行将改为信贷业务。因此，托运人将面临的风险没有收到货款。因此，托运人有权要求当实际装运日期晚于规定的日期时采取倒签提单形式。（5）针对两种提单提出的建议为了减少由于倒签提单和先付提单带来的不必要的损失，在采取对策应考虑两点：建立完善的制度与实践。有人建议，银行可以提供延伸服务。这是，银行与指定的机构，负责检查是否装运条件符合双方的文件和信用证.然而，银行也不能保证没有任何欺诈行为，也不能保证是否销售合同是成功的。根据规定的，银行不承担责任或责任的形式，充分性，准确性，真实性.所以为避免倒签提单和先付提单的风险，必须要求托运人委托真正的检验机构签发有效证件，可以证明的准确性和真实性的装运日期，而非提单和保险政策。否则，托运人不能结汇。三、对承运人的要求随着时代的发展，航运业中运输时间减少，特别是在短途运输。然而，提单的操作程序仍然是传统方式的操作，这是严重滞后。因此，我们经常见到在货物到达目的港口之后而提单却还么送到。因而，大多数的运输企业意思到他们需要遵守交付正本提单的义务，否则他们将对由此造成的风险或货物的损坏进行补偿。所以货物的正本提单可以避免额外的费用支出。然而，如果收货人如果未能在规定你给的时间内向海关部门申报，它将承担其他费用如滞期费，集装箱滞留费和附加费，报关进口货物。其次，如果货物是紧急或易腐等，收货人将试图说服承运人交付货物的提单副本和保函。此外，在现代物流的发展下，执法部门或其代理或经销商希望缩短了从生产到营销着眼于节约成本和提高效率。所以收货人要求货物只是时间和不会留下太多额外的时间在卸货港。（1）提单的延迟信用证是一种在国际贸易货物转售中普遍的付款方式的，货物可能被转售很多次而提单却没有得到电子银行很好的检查，着导致了提到到达时间的迟延。此外，在信用证下，银行有义务审查报告的准确性，准确性的判断仅仅基于提单，而不考虑其他单独的文件。在他们看来，遵守贸易术语规定和信用证条款和其他是一致的。银行在检查文件的时候需要特别的小心，如果银行认为提单和提货单存在一些严重的差异，它将拒绝全部文件和要求托运人改造一新的全套单据，根据规定，在信用证期满前提交正确单据。以上这些都是造成提单延迟的原因。（2）没有正本提单情况下运输货物的风险尽管在运输货物中没有正本提单的而这时必要的，它任然是违反货物运输原则的。首先，它损害提单持有人的合法权利。其次，托运人可能不会收到付款的货物和承运人可能面对船舶扣押的风险。一方当事人对策可能只是对自身效益本身有利，并不能保证别人的权益作为一个整体。因此，有必要做一些立法方法，这可能创造一个三赢的局面。建立统一的信用证标准和提单条例，作者相信提单法案是保证货物正常运输的基本工具，在没有正本提单、倒签提单或先付提单下保证能够顺利的实现保函和清洁提单的交换。然而，在我们国家却没有相关方面的法律，这一法律真空对与一个海运打过而言和WTO的成员之一是不相符的，为此我们需要加强这方面的立法工作。自从提单开始作为海上货物运输的关键性文件开始，到目前为止还没有一份其他类型的文件能够完全替代它。我们国家需要继续以提单法例作为我国海运准则。有关没有正本提单的运输在制定提单条例时需要特别指出。四、电子提单的风险电子提单不但可以避免的倒签提单和先付提单的风险，而且还可以避免没有正本提单下货物运输的风险。保函交换清洁提单是在现代系统下制单和商业效率下的一个折中措施，倒签提单和先付提单需遵守合同或信用证的装运日期，在电子提单下，各交易方在系统内通过标准格式交换信息。由于没有书面文件，当托运人交付货物的装运港，当承运人接收货物存储在电子数据交换系统，收货人可以检查装运日期的计算机网络避免倒签提单和先付提单的延迟。电子提单是基于电子数据交换系统，也就是说，交易数据的相互交换是通过电信网络实现的。那就是说，货主的效率取决于电子数据交换系统。五、电子提单的发展背景由于传统的提单存在有不可避免的缺陷，人们正寻求采取一系列新文件例如交通海运单和电子提单替代传统的海运提单，但仍存在以下问题：首先，托运人失去控制货物装船后承担的风险，没有收到货款；其次，可谈判海运单不符合实际货物重新出售的情况。随着科技的发展，人们开始探讨电子提单。一个典型案例是洛杉矶的电子商务示范法。电子提单面临的两个主要问题是：规则采取的是基于目标功能对等的原则，通过传统提单分析如何实现这些目标和功能的电子技术。其目的是模拟传统提单以达到到最大程度的在电子技术和程序法下转移货物所有权。根据规则，承运人是一个关键的电子提单是承运人签发人，使非官方注册的电子提单转移到官方控制的秘密注册系统上操作的电子提单。规则第四条规定，信息收到的信息具有相同的效力和效果，如果他们被包含在一个纸质提单中。规则第七条规定，在纸质提单中控制权的转让和转让应具有相同的效果作为转让等权利。规则第十一条规定承运人和托运人和随后的所有各方利用这些程序同意，任何国家或地方的法律，习俗或习惯要求运输合同，须以书面证明并签署了满意的传达和电子数据保留在计算机上的存储数据得到证实。在同意通过这些规则，当事人应当采取同意不提高防御本合同中为写明的。因此，电子数据与书面提单具有相同的效力。指 导 教 师 评 语 外文翻译成绩：指导教师签字： 年 月 日注：1. 指导教师对译文进行评阅时应注意以下几个方面：翻译的外文文献与毕业设计（论文）的主题是否高度相关，并作为外文参考文献列入毕业设计（论文）的参考文献；翻译的外文文献字数是否达到规定数量（3 000字以上）；译文语言是否准确、通顺、具有参考价值。2. 外文原文应以附件的方式置于译文之后。附件：外文翻译原文Study on The risk of bill of ladingBill of loading is a document for international trade and shipping and plays all important role in the process of international trade from barter to documentary transactionHowever, many problems arises from the practice of using BL， including exchanging LG clean BL. antidated and advanced BL as well as delivery of goods without presentation of the original BL In light of the situation mentioned above，this dissertation probes into the problems and recognizes the risks which relevant parties shall burden. Correspondingly , it proposes several countermeasure for improvement. With the development of science and technology and the frequent use of Letter of Credit(LC)all over world，the system of BL is threatened by the phenomena such as exchanging Letter of Guarantee(LG)for clean B/L，antidated B/L and advanced BL as well as delivery of goods without presentation of the original BLAlthough these phenomena are quotidian in the carriage of goods by sea ,the relevant parties who fail to recognize these phenomena shall burden unnecessary loss1.Causes for Exchanging LG for Clean BL In the international sale of goods，If the shipper delivers the flawed goods，the carrier should make a note in BL、with a view to securing and protecting the legitimate rights and interests of the consignee or the holder of BL，according to the principle of honesty and credibilityThe above is about the system of making a note in B/L As to the payment methodmost payments are settled by LC.LC by itself is a separate transaction from the sale Or other contracts on which it may be based Consequently, LC is only documents businessBanks only examine a presentation to determine，on the basis of the documents alone，whether or not the documents appear On their face to constitute a complying presentation。If there is any discrepancy，banks will refuse negotiation If the carrier finds particulars concerning the description，mark，number of packages or pieces，weight or quantity of the goods which do not accurately represent the goods actually received，it will make a note in BLIn that case，BL is unclean According to UCP600。the unclean B/L cant be negotiated in banks because it is not complying with the clean and shipped BL stipulated in LCIn order to obtain the clean BLthe shipper surrenders LG to the carrier indicating that the shipper undertakes to indemnify the carrier against loss resulting from the clean BL issued by the carrier who didnt transfer the notation from males receipt to B/LApparently, surrendering L/G is a certain kind of fraudHoweverL/G can facilitate the transfer of the flawed goods from the shipper to the carrierSo exchanging LG for clean BL is used universallyAs a matter of fact, this practice has positive effect in promoting economy and shipping to Some degree2.The Legal Basis for LG Validity Exchanging LG for clean BL has been an accustomed practice in the international sale of goods and the shipping industry，which can abate the contradiction between the carrier and the shipper when disputes over the flawed goods arise For instance，America and France deny LG Validity， However, international convention，Hamburg Rules first formulates the legal status and Validity of LG in some areas. So the carrier has a fight to claim compensation from the shipper, who issued UQ after indemnified against the third party the loss resulting from LG But if LG resulting in defrauding a third party ,including a consignee，such LG is void even between the carrier and the shipper, and the carrier has no fight to claim compensation from the shipper even if it has indemnified the consignee(1)Countermeasures of Exchanging LG for Clean BL We can see that delivery LG has both positive and negative effectsTo some extent， issuance of LG is inevitable for smooth delivery of goodsAs to the carrier, it should be careful at the acceptance of L/G to the consignee .it should be active to examine the goods and claims compensation immediately when the problem arises. As to the shipper, it should prepare the goods for loading on time and stipulate to accept some notation in sale contract(2)Countermeasures Adopted by the Consignee In an official and written reply to the problem about LG Validity, Supreme Peoples Court stipulated as follow：“In the carriage of goods by sea，the consignee is not bound by LG which the shipper issued in exchange for the clean BLNo matter how LG is stipulated ,it callt affect the consignee to claim for compensation against the carrier or the shipper”the stipulation expresses that the consignee is not bound by LG and it can increase the possibility of receiving the compensation from the carrier. However, the stipulation that the consignee can claim for compensation doesnt mean that it call successfully receive the compensation Therefore，if the consignee is not familiar with the shipper and there is no business relationship before ,the consignee shall investigate positively the credit and qualification of the shipper and the carrier through such organization as Bank of China of International Maritime BureauWhen things go wrong, the consignee should bring an action on time before the defrauder receives payment for goods(3) Similarities and Differences of Antidated BL and Advanced BL Antidated BL means that a shipped BL，whose issue date is prior to the actual shipment dateWhile Advanced BL means that a shipped BL issued when the carrier has not begun loading or completed shipment .Both antidated BL and advanced BL fraudulently record the shipment dateThe shipment date recorded in BL is prior to the actual shipment date if the goods indeed are loaded onto ship in the endTo be specific，similarities are as follows： Both kinds of BL always occur under payment of LC 2. Both kinds of BL involve the conspired fraud between the shipper and the carrier, especially when the shipper is liable for chartering ship or booking space under CIF and CFR trade terms.Because both kinds of BL obscure the consignee from the fact of delay in shipment ,when the consignee learn the truth ,it can choose to receive the goods with condition，or to refuse to receive the goods or to claim compensation according to the condition of damage to goods If the issuing bank identifies antidated BL and advanced BLit has the right to refuse negotiationAccording to UCP600，a bank assumes no liability or responsibility for the form，sufficiency ,accuracy, genuineness，falsification or legal effect of any document ,which is about bankS exoneration from liabilityHowever, if the document examined by the bank is false，the bank still has the right to refuse to receive BL. (4)Causes and Risks of Antidated BL and Advanced BL Most antidated BL are issued by the carder at the request of the shipperThe aim of antidated BL is that the shipper makes sure that the shipment date is consistent with requirement of the sale contract and LC，so it Can fulfill the obligation of delivery and settle foreign exchange successfully and smoothlyUnited Nations Convention on Contracts for the International Sale of Goods and Contract Law consider the obligation of delivery as an important one .If the shipper cant deliver the goods or cant deliver the goods on time，it is deemed breaches contract fundamentally and the consignee can cancel the contract。Even if the goods have already arrived at the port of destination, the consignee Call refuse to take delivery of goods if it can prove that the shipper didnt finish shipment within the time of shipmentMoreover, under payment of LC，according to UCP600，the expiry date for presentation must be consistent with stipulation in LC when the shipper negotiates BL .If not，the bank will refuse to receive such BLthe payment of LC will be voidand the credit of bank will be changed into the credit of businessConsequently ,the shipper will confront the risk of not receiving the payment for goodsTherefore，the shipper requiresthe carrier to issue an antidated BL when the actual shipment date is later than the stipulated time of shipment(5)Countermeasures of Antidated BL and Advanced BL In order to decrease unnecessary loss of the relevant parties resulting from antidated BL and advanced BL，the countermeasures should be considered in two ways：in system establishment and in practiceSomeone suggests that the bank Can offer a extended serviceThat is，the bank contacts with the designated organizations and is liable for checking whether the shipment condition is consistent with both document and LCHowever，banks neither guarantee that there isnt any fraud，nor guarantee whether the sale contract is successful.According to stipulation of UCP600，a bank assumes no liability or responsibility for the form，sufficiency, accuracy ,genuinenessfalsification or legal effect of any document，nor for the credit and qualification of the carrier：but a bank only is liable for examining a presentation to determine，on the basis of the documents alone， whether or not the documents appear on their face to constitute a complying presentationSo in order to avoid the antidated BL and advaned BL the consignee must require the shipper to bring the relevant documents issued by authentic inspection organization which Can prove the accuracy and authenticity of the shipment date ,other than BL and insurance policyOtherwise, the shipper Cant settle foreign exchange3.The Carriers Requirement With the development of the shipment industry, the time of transportation is decreasing, especially in short-distance transportationHowever, the operation procedure of BL is still operated in the traditional way, which is badly lagged behindTherefore，it is common that BL have not reached the consignee while the goods have arrived at port of destinationMost carriers ale aware of abiding by the obligation of delivery with the original BL，otherwise they will