國際貿易實務英文版第三版知識點及模擬題

1、國際貿易實務(下劃線為重點記憶和理解，無的為一般記憶和了解)Chapter one1. 國際貿易概念：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, inter

2、national trade concerns trade operations of both import and export and includes the purchase and sale of both visible and invisible goods.2. 國際貿易產生的原因：（了解）1) Resource reasons (natural resource, human resource and technology)2) Economic reasons (economic benefits, comparative advantage and economies

3、of scale)3) Other reasons (political reasons, differences in tastes, preferences and consumption patterns)3. 國際貿易與國內貿易的不同：In particular, international trade is more subject to:1) Language habits and cultural differences2) Foreign laws, customs and regulations or international rules3) Exchange rate f

4、luctuations and interest rate4) Higher level of political, financial and transportation risks5) More complex business procedures therefore managers need a broader range of management skills4. 國際貿易的分類：1)從貨物流向（direction of cargo flow）分: export trade, import trade and transit trade(過境貿易)2)從參與的貿易方（the n

5、umber of participants ）分：direct trade, indirect trade and entrepot trade(轉口貿易)轉口貿易：entrepot trade refers to the transaction which involves importing goods from overseas for further processing or assembling and the re-exporting the goods abroad. 轉口貿易又稱中轉貿易或再輸出貿易，是指國際貿易中進出口貨物的買賣，不是在生產國和消費國之間直接進行，而是通過第

6、三國轉手進行的貿易。對于第三國來說，就是轉口貿易，與過境貿易的最大區(qū)別在于貨物的所有權會發(fā)生轉移，并且只涉及一個貿易方。國際上有很多中轉地，如新加坡，香港，鹿特丹等3）從商品形式（form of goods）分：有形貿易（visible/tangible goods trade）和無形貿易（invisible/intangible goods trade）4) 按結算方式（the settlement instrument）分：易貨貿易（barter trade）和 自由結匯貿易（free-liquidation trade）5. 進出口貿易的程序：Export and import proc

7、edures: General speaking, from the beginning to the end of a transaction, the whole operation undergoes four stages:1) the preparation of a transaction2) the negotiation of the contract3) the performance of the contract 4) the settlement of disputes其中第二個環(huán)節(jié)： Negotiation can be conducted in two forms:

8、 In words (face-to-face negotiation or negotiation through telephone)In writing (business correspondence which includes letters, faxes, e-mails)Four main steps: 詢盤(enquiry), 發(fā)盤(offer), 還盤(counter-offer),接受(acceptance)Chapter two 國際貿易術語1.三種貿易術語的解釋規(guī)則（three sets of rules）1) 1932年華沙牛津規(guī)則（Warsaw-Oxford Ru

9、les 1932）2) 美國對外貿易修正案1941（Revised American Foreign Trade Definitions 1941）3) 2000年國際貿易術語解釋通則（International Rules for the Interpretation of Trade Terms 2000）2. incoterms2000 的具體內容（ E、F、C、D組的劃分，重點在F、C類）（這個不知道怎么寫，看書本P34-42）3. 裝運合同術語和到貨合同術語區(qū)別Shipment contract: 起運前交付（the delivery will happen at the time

10、or before the time of shipment）如：E F C 類Arrival contract: 到達目的地后交付（deliver at the time of arrival）5. 象征性交接合實際交接Symbolic delivery: 買方并沒有實質性的接受到貨物，而是通過一系列運輸單據證明其交接。（ the buyer does not physically receive the goods, the delivery is proved by the submission of transport document by the seller to the buy

11、er）只意味著買方同意了買方交貨的事實，并不代表買方接受了該批貨物就是與合同一致的貨物。Actual delivery: the buyer (or his agent) physically receives the goods upon the time of deliveryChapter three 出口商品的價格1.出口商品價格的表達（ expression of export price）The standard format of a price in international trade has four components通常一個標準出口價格包括四個部分：貨幣（a cod

12、e of currency）金額（a number indicating the price）數量單位（a unit for measuring quantity）貿易術語（a certain trade term）例如： USD22.5/Piece CIF New York這是一種出口價格的表現形式，在紐約市用CIF貿易術語進行交易，每件貨為22.5美元2. 價格的計算FOB價格： 以出口國貨幣計算FOB= total cost + profit 以外國貨幣計算 FOB= (Total cost + profit)/ Exchange rateCFR價格： CFR= FOB + Ocean

13、freightCIF價格： CIF=FOB + Ocean freight +Insurance Premium Insurance premium =CIF *(1+markup) *Premium rate(R) CIF=CFR / (1-markup*R)包含傭金（commission）的價格： Commission (C) = contract value * commission rate Price including C = net price / (1 C rates) Net price = price including C (1- C rates) Price inclu

14、ding C 指的是FOB 或 FCA 條件下的價格折扣價： Discount = contract price * discount rate Actual price = contract price discount = contract price * (1- discount rate)3. 價格評估的兩個指標：出口利潤率（ Export profit margin）: Export profit margin = export revenue (FOB) export cost (FOB) Export revenue (FOB)公式中用的是FOB價格，即不包含運費保險費的價格，并

15、且使用的是出口國貨幣。反映的是一單位的銷售額能賺取多少的利潤，越大越好出口換匯成本 （Export Cost for Foreign Exchange ）:Export cost for foreign exchange = export cost in local currency Export revenue in foreign currency該指標反映的是要賺取一單位的外國貨幣需要花費的本國貨幣成本，越小越好4. 定價的四個步驟：（要求能夠知道概念和判斷）詢盤：A potential client asks for information from the counterpart t

16、o his intention in buying or selling of a certain commodity.發(fā)盤：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.還盤：A reply to an offer which contains additions,

17、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.參考書上67-72頁的幾個exampleChapter four 商品條款1. 品質條款：注：CISG規(guī)定，如果一項商品交易既憑描述性買賣又憑樣品實物買賣，那么賣方必須使交貨的商品同時符合這兩個條件1）商品質量用文字說明表示（ sale by descriptio

18、n）憑規(guī)格買賣（sale by specification ）: 用商品質量的若干指標，如大小、容量、成分等憑等級買賣 （sale by grade ）: 如一級二級，大中小號等憑標準買賣 （sale by standard ）: 采用一些組織如ISO制定公布的標準。有兩種主要的標準：良好平均品質F.A.Q （多適用于農產品銷售）和上好可銷品質G.M.Q（多適用于木材，冷凍類產品）憑品牌和商標買賣（sale by brand name or trade mark）憑產地買賣（sale by origin）憑說明書和圖樣買賣（sale by descriptions or illustratio

19、ns）2）商品質量用實物樣品表示（sale by sample）憑賣方樣品買賣（sale by sellers sample）: 賣方提供原樣，買方選擇，賣方需留樣（duplicate）憑買方樣品買賣：又叫來樣制作，但容易產生工業(yè)產權糾紛憑對等樣品買賣（sale by counter sample）:對等樣品又叫回樣 a returned sample 或確認樣 a confirmed sample, 是賣方根據買方來樣仿制的樣品。為避免糾紛，需由第三方或公證機關進行“封樣”（ sealed sample）A counter sample is a replica made by the se

20、ller of the sample provided, normally by the buyer. It is also called a returned sample or a confirmed sample.2. 品質條款的注意事項（必須在合同中注明）1）品質機動（ Quality latitude）: means the permissible range within which the quality of the goods delivered by the seller may be flexibly controlled. 是指對特定質量指標在一定幅度內可以機動。2）品

21、質公差（Quality tolerance）: refers to the quality deviation recognized, which allows the quality of the goods delivered to have certain difference within a range.是指允許交付貨物的特定質量指標在公認的一定范圍內的差異。3）保障條款（Safeguard Clause）: 保護賣方避免受到因工業(yè)產權和知識產權而受到不應該的控告3.計量方法（measuring quantity）國際貿易中主要使用的度量衡制度有四種：公制(metric system

22、), 美制(U.S. system)，英制(British system)和國際單位制(International system of units).主要單位有： 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，很容易產生糾紛。容積（capacity）: gallon, liter, bushel .個數（number）: piece, package, pair, set, gross, doz

23、en, head, case, barrel, drum, bag .長度（length）: yard, meter, foot, centimeter.面積（area）: square yard, square meter, square foot, square inch.體積（volume）: cubic yard, cubit meter.4. 重量的計算方法：1)毛重Gross weight: 商品連同包裝的重量2)凈重Net weight: 商品本身重量3)條件重量Conditioned weight：The dry weight of commodity plus the sta

24、ndard moisture content涉及含水分問題標準回潮率（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實際回潮率（actual regain rate）: the ratio between the actual regaining water content in the goods

25、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)理論重量(Theoretical weight)：when the total weight of the product is calculated by multiplying the total quantity and the unit weight, rather than

26、 measured actually. 適用于固定規(guī)格和體積的商品。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關稅的依據。5. 包裝的類型1)包括裸裝貨（nude cargo）, 散裝貨(bulk cargo)，包裝貨(packed cargo)2)運輸包裝（transport packing）又稱 shipping packing, outer packing, big packing, is mainly

27、adopted to facilitate cargo transportation.包裝容器(container): case, drums, bags, bales, crate.包裝方法（method of packing）: 單位包裝（unit packing）和集中包裝(collective packing). 其中集中包裝主要由托盤(pallet), 集裝包(flexible container)和集裝箱(container).Chapter five 國際貨物運輸1. 班輪和租船運輸1）班輪運輸（liner transportation）:是在一定航線上，在一定的?？扛劭冢ㄆ陂_

28、航的船舶運輸。班輪運輸的特點：班輪四固定船期固定（regular scheduled departure）, 航線固定（specified route）, ?？扛劭诠潭ǎ╮outes with fixed base ports）和 運費率相對固定（comparatively fixed freight rates）班輪的種類：工會同盟班輪（conference liners）和非工會同盟班輪（non-conference liners） 貨物由承運人負責配載裝卸并承擔費用（包括如速遣費和滯期費等額外費用）運費的構成（composition of liner freight）: 基本運費（bas

29、ic freight）和附加費（surcharges and additionals）Total Freight = Total Quantity x Basic Rate x (1+Surcharge / Additional Rates) 基本運費的計算標準重量噸W (weight ton) 體積噸M (measurement ton)W/M 重量和體積，取高者 (Note: 1WT=1MT)基于商品價值A.V.根據商品FOB價值的百分比收費W/M or A.V. 重量、體積、價值比較，取最高費率者，要先將W、M換算成basic rate再比較。注意單位Unit/Head 最低費率Mini

30、mum Rate 對于數量太小的貨物設定最低費率臨時議定運價Open Rate 對于大宗價值低無包裝的貨物參考書本P121頁例題附加費和附屬費（了解）Surcharge 附加費 beyond our control¡ Bunker Surcharge (bunker adjustment factor / BAF) 燃油附加費 (15% of the cost) ¡ Currency Surcharge (currency adjustment factor / CAF) 貨幣貶值附加費¡ Port Congestion Surcharge 港口擁擠附加費

31、1; Transshipment Surcharge 轉船附加費¡ Deviation Surcharge 繞道附加費¡ Port Surcharge 港口附加費Additionals 附屬費 under our control¡ Heavy lift additional / Extra charges on heavy lifts 超重費 (over 5 M/T)¡ Lengthy cargo additional / Extra charges on over lengths 超長費 (over 9m)¡ Bulky cargo addi

32、tional 超大費 (over 6cbm)¡ Additional on direct 直行附屬費¡ Not at basic port, volume over 1000 M/T¡ Additional on optional discharging port 選卸港附屬費¡ Additional for alternation of destination 變更卸港附屬費2）租船運輸（charter transportation）:定程租船（voyage charter）定期租船（time charter）光船租船（bare boat charte

33、r/demise charter）定程和定期租船的區(qū)別（了解）p121F.I.O (free in and out): the ship-owner does not bear loading and unloading cost2. 其他運輸方式1）航空運輸Air transportation: 運費計算與海洋運輸中的一樣，只是單位不同(Note: 6000cm3=1kg)2）鐵路和公路運輸Rail(way) transportation and Road transportation3）國際多式聯(lián)運I.M. T (International multimodal transportatio

34、n): means the carriage of cargo from the place of sellers in one country to the site of the buyers in another country by at least two modes of transportation on the basis of a multi-modal transportation contract.Only one multi-modal transportation operatorOnly one multi-modal transportation contract

35、 Only one freight rate4） 集裝箱運輸 :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.特點：高效率，安全，節(jié)約成本¡ Variety in service¡ Involving one operator¡ U

36、se of special equipment¡ Low risk of damage and pilferage¡ Substantial cost savings集裝箱種類¡ Dry cargo container 干貨集裝箱¡ Refrigerated/reefer container 冷凍集裝箱¡ Tanker container 油罐集裝箱¡ Car container 車輛集裝箱集裝箱運輸服務 整箱裝（FCL）和拼箱裝（LCL）服務 CY to CY service, CFS to CFS service, DR to D

37、R service, DR to CFS service and CFS to DR service（集裝箱場CY, 集裝箱貨站CFS, 自有集裝箱DR）P127運費計算FCL: by the capacity（根據集裝箱容積）LCL: similar to liner service（與班輪運輸相似）3. 海運提單Bill of lading1) 提單的作用和功能functionsA receipt of the goods 承運人簽發(fā)給托運人的貨物收據Evidence of the contract of carriage 貨物運輸合同的證明A document title to the

38、goods 貨物所有權憑證2）提單的種類裝運提單(shipped B/L)和備運提單（received B/L）: 兩者之間的區(qū)別可能考簡答裝運提單是指承運人在貨物已經裝上指定船舶后所簽發(fā)的提單。必須注明裝船日期和具體船只名稱。Issued by the shipping company after goods shipped on board the designated vessel. Indicating date of shipment and name of the vessel 備運提單是指承運人已收到托運貨物等待裝運期間所簽發(fā)的提單。沒有具體的裝船時間和船舶名稱。Goods be

39、ing received but not yet loaded ，is a confirmation of goods handed over to ship owner Absence of date of shipment and name of the vessel, difficult to anticipate date of arrival, hence not favorable by buyer聯(lián)系：When Words such as “Goods shipped on board S/S Red Star on May 10, 2008” added and signed

40、by the carrier or the agent on the received B/L, it becomes a shipped B/L 清潔提單（clean B/L）和不清潔提單（unclean B/L）清潔提單是指貨物在裝船時表面狀況良好，承運人在提單上不帶有明顯宣稱貨物或包裝有缺陷狀況的文字或批注的提單。A clean B/L refers to one which does not declare a defective condition of the exterior packing of goods. 不清潔提單是指承運人在簽發(fā)的提單上帶有明顯宣稱貨物或包裝有缺陷狀況的

41、文字或批注的提單。An unclean B/L is the one that contains unfavorable notation about the apparent condition of the cargo.記名提單（straight B/L）, 不記名提單（bearer B/L）,指示提單（order B/L）記名提單是指提單上的收貨人欄內填明特定收貨人名稱的提單。Made out to a designated consignee Only the named consignee is entitled to the cargo Not transferable 不記名提單

42、（open or blank B/L）: 指提單上的收貨人欄內不寫明特定收貨人名稱的提單。The consignee box left blank or open, or bearing the wording “To bearer” (至持有人) Can be transferred without endorsement therefore with high risk ，unfavorable in international trade指示提單是指提單上的收貨人欄內填寫“憑指示”或“憑某某人指示”字樣的提單。Made out to the order of a named person

43、，No definite consignee, “To order” “To order of the shipper” or “To order of the consignee” instead Negotiable and transferable，but need endorsement ，Widely used in international trade直運提單（direct B/L）和轉船提單(transshipment B/L)直運提單是指貨物裝上船后，中途不再換船而直接駛往目的港卸貨所簽發(fā)的提單。轉船提單Involving additional charges, longer

44、 time and higher risks in transit, therefore unfavorable to the buyer Acceptable only when there is no direct service正本提單（ original B/L）和副本提單（copy B/L）正本提單是指提單上有承運人或其代理人簽名蓋章并注明簽發(fā)日期的提單 Valid only after being singed by the shipping company or its agent Showing “Original” and the number of the signed o

45、riginals Normally made out in a set of three originals An evidence showing the ownership of goods Presented for taking the delivery of the goods at destination, one is used, the others becomes void automatically副本提單僅供參考和記錄之用，注明副本字樣。Normally only used for reference or for records.全式提單（Long form B/L）

46、和略式提單（ short form B/L）運費付訖提單（freight prepaid）和運費托收提單(freight to be collected)其他不規(guī)范提單到付提單（stale B/L）: 指提單簽發(fā)后超過信用證規(guī)定期限才交到銀行的提單，或者收貨人不能在船到目的港前收到的提單。倒簽提單（ante-dated B/L）: 提單上簽發(fā)的日期早于實際起運時間的提單。（晚起運）預簽提單（advanced B/L）: 在貨物還未實際裝載前簽發(fā)的提單。（不知何時起運）甲板提單（on-deck B/L）: 承運人簽發(fā)的表明貨物裝于船舶甲板上的提單。3）其他運輸單證海上運單（sea waybill

47、）：附于提單后，詳細解釋提單內容，與運輸合同一致,不具有所有權作用航空運單（air waybill）: 與海運提單作用幾乎一致，理論上不是貨物所有權證書鐵路運輸單據Consignment note (rail waybill)公路承運貨物收據Road consignment note多式聯(lián)運單據Multimodal transportation document (MTD)4. 裝船期(time of shipment)和交貨期的區(qū)別(time of delivery)1) Under shipment contracts, the symbolic delivery takes place,

48、 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 shipment is different from time of delivery.

49、Time of shipment refers to the time limit for loading the goods on board vessel at the port or place of shipment; time of delivery refers to the time limit during which the seller shall deliver the goods to the buyer at the agreed place.5. 分批運（partial shipment）和轉運(transshipment)的區(qū)別Partial shipment m

50、eans the goods under a contract are to be shipped in more than one lot.分批裝運是指一個合同下的貨物先后分若干批裝運。Transshipment means unloading and reloading from one vessel to another during the course of ocean carriage from the port of loading to the port of discharge stipulated.轉運是指從裝運港至卸貨港過程中，進行轉裝或重裝，包括從一運輸工具移至另一運輸

51、工具的行為。6. 滯期費（demurrage）和速遣費(dispatch)滯期費是指在規(guī)定的裝卸期限內，如果租船人未能完成裝卸作業(yè)，為了彌補船方的損失，對超過的實踐租船人應向船方支付一定的罰款。Demurrage is the amount of money paid as a penalty at an agreed rate by charterer to compensate the ship-owner for his losses in case the charterer fails to have loading and unloading completed within th

52、e lay time.速遣費是指租船人在規(guī)定的期限呢，提前完成裝卸作業(yè)，則所節(jié)省的時間船方要向租船人支付一定的獎金。Dispatch is the amount of money paid as a bonus by the ship-owner to the charterer if they get loading and unloading done ahead of schedule.Chapter six 貨物運輸保險1. 保險的四大基本原則（fundamental principles of cargo insurance）：1) 可保利益原則（the insurable inte

53、rest principle）可保利益指的是投保人對保險標的具有法律上承認的利益。Insurable interest is the interest on insurance subject matter held by the insurant and recognized by law, indicating that the insurant will suffer some financial losses if any maritime risks materialize.投保人對保險標的不具有可保利益的，保險合同無效，這就是可保利益原則。通常的可保利益形式有貨物的所有權、保費、運

54、費等2) 最大誠信原則（the utmost good faith principle）是指投保人和保險人在簽訂保險合同以及在合同有效期內，必須保持最大限度的誠意。Both parties be faithful and honest in entering into the insurance contract.Insurant shall expose all important facts influencing the judgment and evaluation by the insurer to the perils.3) 補償原則（the indemnity principle

55、）是指當保險標的遭受保險責任范圍內的損失時，保險人應當依照保險合同的約定履行賠償義務。In the event of loss of or damage to the subject matter resulting from an insured peril, the insurer shall compensate the claimant exactly what the latter has lost in the occurrence of the peril.補償的范圍不能超過:（total indemnification be limited to）：a) 保險金額The ins

56、urance amount: 110% of the insured valueb) 實際損失The actual loss sufferedc) 可保利益The insurable interest of the claimant4）近因原則（the proximate cause principle）:指保險人只對承保風險和保險標的損失之間有直接因果關系的損失負賠償責任。The insurer shall only responsible for the loss which has a direct link to the risks covered.如果有兩個以上原因造成損失，則如果前

57、因在保險范圍內，后因不在，前因導致后因，保險人要賠付；如果前因不在保險范圍內，后因在，前因導致后因，保險人不賠2. 海上運輸風險自然災害Natural calamities: Caused by force majeure events such as heavy weather , lightening, Tsunami, earthquake, volcanic eruption, thunderbolt (雷劈), etc.意外事故Unexpected accidents/fortuitous accidents:Caused by accidents such as fire, explosion, vessel stranding（擱淺）, grounded（觸礁）, sunk or capsized （傾覆）, collision（碰撞）, missing, etc. 一般外來風險General risks :Caused by common factors such as theft, fresh water rain雨淋, shortag