国际贸易实务英文版第三版知识点及模拟题.doc

国际贸易实务(下划线为重点记忆和理解，无的为一般记忆和了解)
Chapter one
1. 国际贸易概念：International trade is also known as world trade, foreign trade, overseas trade. It refers to the process of fair and deliberate exchange of goods or services between two or more countries, involving the use of two or more currencies. Besides, international trade concerns trade operations of both import and export and includes the purchase and sale of both visible and invisible goods.
2. 国际贸易产生的原因：（了解）
1) Resource reasons (natural resource, human resource and technology)
2) Economic reasons (economic benefits, comparative advantage and economies of scale)
3) Other reasons (political reasons, differences in tastes, preferences and consumption patterns)
3. 国际贸易与国内贸易的不同：
In particular, international trade is more subject to:
1) Language habits and cultural differences
2) Foreign laws, customs and regulations or international rules
3) Exchange rate fluctuations and interest rate
4) Higher level of political, financial and transportation risks
5) More complex business procedures therefore managers need a broader range of management skills
4. 国际贸易的分类：
1)从货物流向（direction of cargo flow）分: export trade, import trade and transit trade(过境贸易)
2)从参与的贸易方（the number of participants ）分：direct trade, indirect trade and entrepot trade(转口贸易)
转口贸易：entrepot trade refers to the transaction which involves importing goods from overseas for further processing or assembling and the re-exporting the goods abroad. 转口贸易又称中转贸易或再输出贸易，是指国际贸易中进出口货物的买卖，不是在生产国和消费国之间直接进行，而是通过第三国转手进行的贸易。对于第三国来说，就是转口贸易，与过境贸易的最大区别在于货物的所有权会发生转移，并且只涉及一个贸易方。国际上有很多中转地，如新加坡，香港，鹿特丹等
3）从商品形式（form of goods）分：有形贸易（visible/tangible goods trade）和无形贸易（invisible/intangible goods trade）
4) 按结算方式（the settlement instrument）分：易货贸易（barter trade）和 自由结汇贸易（free-liquidation trade）
5. 进出口贸易的程序：Export and import procedures:
General speaking, from the beginning to the end of a transaction, the whole operation undergoes four stages:
1) the preparation of a transaction
2) the negotiation of the contract
3) the performance of the contract
4) the settlement of disputes

其中第二个环节：
①Negotiation can be conducted in two forms:
In words (face-to-face negotiation or negotiation through telephone)
In writing (business correspondence which includes letters, faxes, e-mails)
②Four main steps: 询盘(enquiry), 发盘(offer), 还盘(counter-offer),接受(acceptance)

Chapter two 国际贸易术语
1.三种贸易术语的解释规则（three sets of rules）
1) 1932年华沙牛津规则（Warsaw-Oxford Rules 1932）
2) 美国对外贸易修正案1941（Revised American Foreign Trade Definitions 1941）
3) 2000年国际贸易术语解释通则（International Rules for the Interpretation of Trade Terms 2000）
2. incoterms2000 的具体内容（ E、F、C、D组的划分，重点在F、C类）
（这个不知道怎么写，看书本P34-42）

3. 装运合同术语和到货合同术语区别
Shipment contract: 起运前交付（the delivery will happen at the time or before the time of shipment）如：E F C 类
Arrival contract: 到达目的地后交付（deliver at the time of arrival）
5. 象征性交接合实际交接
Symbolic delivery: 买方并没有实质性的接受到货物，而是通过一系列运输单据证明其交接。（ the buyer does not physically receive the goods the delivery is proved by the submission of transport document by the seller to the buyer）只意味着买方同意了买方交货的事实，并不代表买方接受了该批货物就是与合同一致的货物。
Actual delivery: the buyer (or his agent) physically receives the goods upon the time of delivery

Chapter three 出口商品的价格
1.出口商品价格的表达（ expression of export price）

The standard format of a price in international trade has four components
通常一个标准出口价格包括四个部分：
货币（a code of currency）
金额（a number indicating the price）
数量单位（a unit for measuring quantity）
贸易术语（a certain trade term）
例如： USD22.5/Piece CIF New York
这是一种出口价格的表现形式，在纽约市用CIF贸易术语进行交易，每件货为22.5美元
2. 价格的计算
FOB价格： 以出口国货币计算FOB= total cost + profit
以外国货币计算 FOB= (Total cost + profit)/ Exchange rate
CFR价格： CFR= FOB + Ocean freight
CIF价格： CIF=FOB + Ocean freight +Insurance Premium
Insurance premium =CIF *(1+markup) *Premium rate(R)
CIF=CFR / (1-markup*R)
包含佣金（commission）的价格：
①Commission (C) = contract value * commission rate
②Price including C = net price / (1 – C rates)
Net price = price including C (1- C rates)
Price including C 指的是FOB 或 FCA 条件下的价格
折扣价： Discount = contract price * discount rate
Actual price = contract price – discount
= contract price * (1- discount rate)
3. 价格评估的两个指标：
出口利润率（ Export profit margin）:
Export profit margin = export revenue (FOB) – export cost (FOB)
Export revenue (FOB)

公式中用的是FOB价格，即不包含运费保险费的价格，并且使用的是出口国货币。反映的是一单位的销售额能赚取多少的利润，越大越好
出口换汇成本 （Export Cost for Foreign Exchange ）:
Export cost for foreign exchange = export cost in local currency
Export revenue in foreign currency
该指标反映的是要赚取一单位的外国货币需要花费的本国货币成本，越小越好
4. 定价的四个步骤：（要求能够知道概念和判断）
询盘：A potential client asks for information from the counterpart to his intention in buying or selling of a certain commodity.
发盘：A sufficiently definite proposal addressed to one or more specific persons for concluding a contract, necessarily indicating the intention of the offeror to be bound in case of acceptance.
还盘：A reply to an offer which contains additions, limitations of other modifications.
接受： An unconditional statement made formally by or an action conducted by the offeree indicating assent to an offer or counter-offer.
参考书上67-72页的几个example

Chapter four 商品条款
1. 品质条款：
注：CISG规定，如果一项商品交易既凭描述性买卖又凭样品实物买卖，那么卖方必须使交货的商品同时符合这两个条件
1）商品质量用文字说明表示（ sale by description）
凭规格买卖（sale by specification ）: 用商品质量的若干指标，如大小、容量、成分等
凭等级买卖 （sale by grade ）: 如一级二级，大中小号等
凭标准买卖 （sale by standard ）: 采用一些组织如ISO制定公布的标准。有两种主要的标准：良好平均品质F.A.Q （多适用于农产品销售）和上好可销品质G.M.Q（多适用于木材，冷冻类产品）
凭品牌和商标买卖（sale by brand name or trade mark）
凭产地买卖（sale by origin）
凭说明书和图样买卖（sale by descriptions or illustrations）
2）商品质量用实物样品表示（sale by sample）
①凭卖方样品买卖（sale by seller’s sample）: 卖方提供原样，买方选择，卖方需留样（duplicate）
②凭买方样品买卖：又叫来样制作，但容易产生工业产权纠纷
③凭对等样品买卖（sale by counter sample）:对等样品又叫回样 a returned sample 或确认样 a confirmed sample, 是卖方根据买方来样仿制的样品。为避免纠纷，需由第三方或公证机关进行“封样”（ sealed sample）
A counter sample is a replica made by the seller of the sample provided, normally by the buyer. It is also called a returned sample or a confirmed sample.
2. 品质条款的注意事项（必须在合同中注明）
1）品质机动（ Quality latitude）: means the permissible range within which the quality of the goods delivered by the seller may be flexibly controlled. 是指对特定质量指标在一定幅度内可以机动。
2）品质公差（Quality tolerance）: refers to the quality deviation recognized, which allows the quality of the goods delivered to have certain difference within a range.是指允许交付货物的特定质量指标在公认的一定范围内的差异。
3）保障条款（Safeguard Clause）: 保护卖方避免受到因工业产权和知识产权而受到不应该的控告
3.计量方法（measuring quantity）
国际贸易中主要使用的度量衡制度有四种：公制(metric system), 美制(U.S. system)，英制(British system)和国际单位制(International system of units).
主要单位有：
重量（weight）: ton, gram, kilogram, pound, ounce . 注意：ton有metric ton(1000KG), long ton( 1016KG) 和 short ton(907KG) 之分，合同中如果未注明，很容易产生纠纷。
容积（capacity）: gallon, liter, bushel ….
个数（number）: piece, package, pair, set, gross, dozen, head, case, barrel, drum, bag ….
长度（length）: yard, meter, foot, centimeter…..
面积（area）: square yard, square meter, square foot, square inch….
体积（volume）: cubic yard, cubit meter…..
4. 重量的计算方法：
1)毛重Gross weight: 商品连同包装的重量
2)净重Net weight: 商品本身重量
3)条件重量Conditioned weight：The dry weight of commodity plus the standard moisture content涉及含水分问题
标准回潮率（standard regain rate）: the ratio between the water content and the dry weight of the goods, which is accepted in the world market or agreed upon by the seller and the buyer
实际回潮率（actual regain rate）: the ratio between the actual regaining water content in the goods and the actual dry weight
Conditioned weight = dried net weight *(1 + standard regain rate)
actual weight*（ 1+standard regain weight）
1+ actual regain weight

=
4)理论重量(Theoretical weight)：when the total weight of the product is calculated by multiplying the total quantity and the unit weight, rather than measured actually. 适用于固定规格和体积的商品。
5)法定重量(Legal weight)：The weight of goods including the immediate, inner, or direct packing of the goods. 通常法定重量是征收关税的依据。
5. 包装的类型
1)包括裸装货（nude cargo）, 散装货(bulk cargo)，包装货(packed cargo)
2)运输包装（transport packing）又称 shipping packing, outer packing, big packing, is mainly adopted to facilitate cargo transportation.
包装容器(container): case, drums, bags, bales, crate…..
包装方法（method of packing）: 单位包装（unit packing）和集中包装(collective packing). 其中集中包装主要由托盘(pallet), 集装包(flexible container)和集装箱(container).

Chapter five 国际货物运输
1. 班轮和租船运输
1）班轮运输（liner transportation）:是在一定航线上，在一定的停靠港口，定期开航的船舶运输。
⑴班轮运输的特点：班轮四固定
船期固定（regular scheduled departure）, 航线固定（specified route）, 停靠港口固定（routes with fixed base ports）和 运费率相对固定（comparatively fixed freight rates）
⑵班轮的种类：工会同盟班轮（conference liners）和非工会同盟班轮（non-conference liners）
⑶ 货物由承运人负责配载装卸并承担费用（包括如速遣费和滞期费等额外费用）
⑷运费的构成（composition of liner freight）: 基本运费（basic freight）和附加费（surcharges and additionals）
Total Freight = Total Quantity x Basic Rate x (1+Surcharge / Additional Rates)
⑸基本运费的计算标准
①重量吨W (weight ton)
②体积吨M (measurement ton)
③W/M –重量和体积，取高者 (Note: 1WT=1MT)
④基于商品价值A.V.–根据商品FOB价值的百分比收费
⑤W/M or A.V. –重量、体积、价值比较，取最高费率者，要先将W、M换算成basic rate再比较。注意单位
⑥Unit/Head
⑦最低费率Minimum Rate –对于数量太小的货物设定最低费率
⑧临时议定运价Open Rate – 对于大宗价值低无包装的货物
参考书本P121页例题
⑹附加费和附属费（了解）
Surcharge 附加费 – beyond our control
¡ Bunker Surcharge (bunker adjustment factor / BAF)
燃油附加费 (15% of the cost)
¡ Currency Surcharge (currency adjustment factor / CAF)
货币贬值附加费
¡ Port Congestion Surcharge 港口拥挤附加费
¡ Transshipment Surcharge 转船附加费
¡ Deviation Surcharge 绕道附加费
¡ Port Surcharge 港口附加费
Additionals 附属费 – under our control
¡ Heavy lift additional / Extra charges on heavy lifts 超重费 (over 5 M/T)
¡ Lengthy cargo additional / Extra charges on over lengths 超长费 (over 9m)
¡ Bulky cargo additional 超大费 (over 6cbm)
¡ Additional on direct 直行附属费
¡ Not at basic port, volume over 1000 M/T
¡ Additional on optional discharging port 选卸港附属费
¡ Additional for alternation of destination 变更卸港附属费
2）租船运输（charter transportation）:
定程租船（voyage charter）
定期租船（time charter）
光船租船（bare boat charter/demise charter）
定程和定期租船的区别（了解）p121
F.I.O (free in and out): the ship-owner does not bear loading and unloading cost
2. 其他运输方式
1）航空运输Air transportation: 运费计算与海洋运输中的一样，只是单位不同(Note: 6000cm3=1kg)
2）铁路和公路运输Rail(way) transportation and Road transportation
3）国际多式联运I.M. T (International multimodal transportation): means the carriage of cargo from the place of sellers in one country to the site of the buyer’s in another country by at least two modes of transportation on the basis of a multi-modal transportation contract.
①Only one multi-modal transportation operator
②Only one multi-modal transportation contract
③Only one freight rate
4） 集装箱运输 :Containerization is a method of distributing merchandise in a unitized form adopting an inter-modal system which provides a possible combination of sea, road and other modes of transportation.
⑴特点：高效率，安全，节约成本
¡ Variety in service
¡ Involving one operator
¡ Use of special equipment
¡ Low risk of damage and pilferage
¡ Substantial cost savings
⑵集装箱种类
¡ Dry cargo container 干货集装箱
¡ Refrigerated/reefer container 冷冻集装箱
¡ Tanker container 油罐集装箱
¡ Car container 车辆集装箱
⑶集装箱运输服务
① 整箱装（FCL）和拼箱装（LCL）服务
② CY to CY service, CFS to CFS service, DR to DR service, DR to CFS service and CFS to DR service（集装箱场CY, 集装箱货站CFS, 自有集装箱DR） P127
⑷运费计算
FCL: by the capacity（根据集装箱容积）
LCL: similar to liner service（与班轮运输相似）
3. 海运提单Bill of lading
1) 提单的作用和功能functions
①A receipt of the goods 承运人签发给托运人的货物收据
②Evidence of the contract of carriage 货物运输合同的证明
③A document title to the goods 货物所有权凭证
2）提单的种类
⑴装运提单(shipped B/L)和备运提单（received B/L）: 两者之间的区别可能考简答
装运提单是指承运人在货物已经装上指定船舶后所签发的提单。必须注明装船日期和具体船只名称。①Issued by the shipping company after goods shipped on board the designated vessel. ②Indicating date of shipment and name of the vessel
备运提单是指承运人已收到托运货物等待装运期间所签发的提单。没有具体的装船时间和船舶名称。①Goods being received but not yet loaded ，is a confirmation of goods handed over to ship owner ②Absence of date of shipment and name of the vessel, difficult to anticipate date of arrival, hence not favorable by buyer
联系：③When Words such as “Goods shipped on board S/S Red Star on May 10, 2008” added and signed by the carrier or the agent on the received B/L, it becomes a shipped B/L
⑵ 清洁提单（clean B/L）和不清洁提单（unclean B/L）
清洁提单是指货物在装船时表面状况良好，承运人在提单上不带有明显宣称货物或包装有缺陷状况的文字或批注的提单。A clean B/L refers to one which does not declare a defective condition of the exterior packing of goods.
不清洁提单是指承运人在签发的提单上带有明显宣称货物或包装有缺陷状况的文字或批注的提单。An unclean B/L is the one that contains unfavorable notation about the apparent condition of the cargo.
⑶记名提单（straight B/L）, 不记名提单（bearer B/L）,指示提单（order B/L）
记名提单是指提单上的收货人栏内填明特定收货人名称的提单。①Made out to a designated consignee ②Only the named consignee is entitled to the cargo ③Not transferable
不记名提单（open or blank B/L）: 指提单上的收货人栏内不写明特定收货人名称的提单。①The consignee box left blank or open, or bearing the wording “To bearer” (至持有人) ②Can be transferred without endorsement therefore with high risk ，unfavorable in international trade
指示提单是指提单上的收货人栏内填写“凭指示”或“凭某某人指示”字样的提单。①Made out to the order of a named person，No definite consignee, “To order” “To order of the shipper” or “To order of the consignee” instead ②Negotiable and transferable，but need endorsement ，Widely used in international trade
⑷直运提单（direct B/L）和转船提单(transshipment B/L)
直运提单是指货物装上船后，中途不再换船而直接驶往目的港卸货所签发的提单。
转船提单①Involving additional charges, longer time and higher risks in transit, therefore unfavorable to the buyer ②Acceptable only when there is no direct service
⑸正本提单（ original B/L）和副本提单（copy B/L）
正本提单是指提单上有承运人或其代理人签名盖章并注明签发日期的提单
① Valid only after being singed by the shipping company or its agent
② Showing “Original” and the number of the signed originals
③ Normally made out in a set of three originals
④ An evidence showing the ownership of goods
⑤ Presented for taking the delivery of the goods at destination, one is used, the others becomes void automatically
副本提单仅供参考和记录之用，注明副本字样。Normally only used for reference or for records.
⑹全式提单（Long form B/L） 和略式提单（ short form B/L）
⑺运费付讫提单（freight prepaid）和运费托收提单(freight to be collected)
⑻其他不规范提单
到付提单（stale B/L）: 指提单签发后超过信用证规定期限才交到银行的提单，或者收货人不能在船到目的港前收到的提单。
倒签提单（ante-dated B/L）: 提单上签发的日期早于实际起运时间的提单。（晚起运）
预签提单（advanced B/L）: 在货物还未实际装载前签发的提单。（不知何时起运）
甲板提单（on-deck B/L）: 承运人签发的表明货物装于船舶甲板上的提单。
3其他运输单证
海上运单（sea waybill）：附于提单后，详细解释提单内容，与运输合同一致,不具有所有权作用
航空运单（air waybill）: 与海运提单作用几乎一致，理论上不是货物所有权证书
铁路运输单据Consignment note (rail waybill)
公路承运货物收据Road consignment note
多式联运单据Multimodal transportation document (MTD)
4. 装船期(time of shipment)和交货期的区别(time of delivery)
1) Under shipment contracts, the symbolic delivery takes place, so time of shipment is equal to time of delivery. The time is the one limited for loading the goods on board vessel or in the hand of the carrier at the port or place of shipment.
2) Under arrival contracts, the actual delivery takes place, thus, time of shipme