HC VIN NGN HNG

KHOA SAU I HC

TIU LUN MN HC
TI CHNH V NGN HNG QUC T

ti:

NHNG LU KHI S DNG

VN N NG BIN TRONG
THNG MI V THANH TON QUC T

Nhm : 01

Lp : CH.16.01.G

Ngnh : Ti chnh Ngn hng

H Ni, thng 10 nm 2016

 DANH SCH NHM

Hon
STT H v tn M SV Cng vic c giao
thnh
- Nhng tranh chp trong 100%
thc t lin quan n B/L
1 Bi Tin Lm 16K4010268
v bi hc kinh nghim
- Thuyt trnh
- Cc loi B/L trong 100%
thng mi v thanh ton
2 L Ngc Qunh 16K4010282
quc t
- Thuyt trnh
- Tnh cp thit 100%
3 Thi Th Hng Sn 16K4010283 - Khi nim, chc nng
ca B/L
- Tng hp word v lm 100%
4 Hong Th Tm 16K4010284
slide
- Nhng lu khi lp v 100%
5 Lng Huyn Tho 16K4010286
s dng B/L
- Cc loi B/L trong 100%
6 L Th Thy 16K4010289 thng mi v thanh ton
quc t
- Nhng lu khi kim 100%
7 Phm oan Trang 16K4010293 tra B/L
- Thuyt trnh

1
 LI M U
Vn ti ng bin ng vai tr ht sc quan trng trong bun bn quc t.
Hn 80% khi lng hng ha trn th trng th gii do vn ti ng bin m
nhn. i vi Vit Nam, vn ti ng bin cng c ngha hn. Hng ha xut
nhp khu ra vo Vit Nam ch yu qua cc cng bin v ngy cng gia tng theo
thi gian.
Trong vn ti ng bin, vn n ng bin c ngha c bit i vi bun
bn quc t. Vn n ng bin l bng chng ca hp ng chuyn ch k kt,
l bin lai nhn hng ca ngi chuyn ch, l chng t xc nhn quyn s hu
hng ha. Vn n ng bin lien quan ti nhiu lnh vc nh: vn ti, giao nhn,
thanh ton, bo him, khiu ni, kin tng
Vn n ng bin l chng t c s dng ph bin rng ri trong thng
mi v hng hi quc t. Mc d ra i lu vi nhiu chc nng c tha nhn,
song cho n nay trn th gii vn cha c c mt mu vn n chung, thng
nht cho vic chuyn ch hng ha bng ng bin. Thc t trong kinh doanh, cc
hng tu khc nhau u t mnh pht hnh mu vn n ring s dng. Chnh v
vy, vn n c dng trong vn ti bin rt a dng v phong ph c v hinh thc
cng nh ni dung. Do tnh a dng vn n nh vy nn rt kh thng nht trong
cch hiu v suy din, dn n rt nhiu tranh chp pht sinh trong qu trnh s dng
gia nhng ngi c lin quan.
Xut pht t thc tin trn, nhm em la chn ch : Nhng lu khi s
dng vn n ng bin trong thng mi v thanh ton quc t lm ch tho
lun.
1. KHI QUT V VN N NG BIN (B/L)
1.1. Khi nim v c im ca B/L:
Vn n ng bin l chng t chuyn ch hng ha bng ng bin do
ngi c chc nng pht hnh cho ngi gi hng sau khi hng ha c bc ln
tu hoc c nhn ch.
c im ca B/L:
- Trong B/L, vic chuyn ch hng ha bng ng bin bt buc phi xy ra.
- B/L l loi chng t s hu hng ha v c tn gi Bill of Lading.
- Ngi pht hnh vn n phi l ngi c chc nng chuyn ch, tc l phi
c giy php kinh doanh theo lut nh.
- Thi im cp vn n c th l:
+ Sau khi hng ha c bc xong ln tu (Shipped on Board).
+ Sau khi hng ha c nhn ch (Received for Shipment).
1.2. Chc nng ca B/L:
- B/L l bin lai nhn hng ca ngi chuyn ch pht hnh cho ngi gi
hng lm bng chng l nhn hng t ngi gi hng vi chng loi, s lng v
tnh trng hng ha nh ghi trn vn n;
- B/L l bng chng v hp ng chuyn ch hng ha gia ngi gi hng v
ngi chuyn ch; c gi tr y nh mt hp ng, l c s php l gii
quyt mi tranh chp pht sinh gia ngi chuyn ch vi ngi s hu vn n.
- B/L l chng t s hu hng ha ghi trn vn n; ngi no nm gi vn
n gc hp php l ngi c quyn s hu hng ha ghi trn vn n, c quyn
yu cu ngi chuyn ch phi giao hng cho mnh ti cng ch khi xut trnh mt
vn n gc; Do l chng t hng ha m hng ha li c gi tr mua bn, nn c th
tin hnh mua bn hng ha ngay c khi hng ha cha cp cng bng cch chuyn
nhng vn n. c nhn hng, ngi nhn hng phi xut trnh mt bn vn
n gc cho ngi vn chuyn. Khi c mt bn vn n gc c xut trnh th
cc bn gc cn li s khng cn gi tr nhn hng.
Vi ba chc nng nh trn, vn n l mt chng t khng th thiu c
trong bun bn quc t. N l chng t quan trng trong thanh ton quc t, bo
him v khiu ni i bi thng tn tht, mt mt ca hng ha.
2. NHNG LOI VN N NG BIN C S DNG TRONG
THNG MI QUC T
Vn n ng bin l chng t c s dng ph bin v rng ri trong
thng mi v hng hi quc t. y l chng t rt a dng, phong ph, c nhiu
chc nng v lin quan n rt nhiu lnh vc trong bun bn quc t. Vic nhn
bit cc loi vn n v ngha ca n trong thng mi quc t l vn v cng
quan trng i vi ngi s dng vn n. C nhiu cch phn loi vn n nh:
2.1. Cn c vo tnh trng bc xp hng ha:
- Vn n xp hng ( Shipped on board): y l loi vn n c pht
hnh sau khi hng ha c xp ln tu. Trn vn n xp hng, thng c
ngi chuyn ch, i l hoc thuyn trng ng du cc ch nh: Shipped on
board, Shipped, on board.
Khi giao hng bng ng bin, vn n bc hng l chng c c gi tr rt
ln, n l bng chng chng minh hng c xp ln tu v ngi bn hon
thnh trch nhim giao hng cho ngi mua theo ng hp ng mua bn.
- Vn n nhn hng xp (Received for shipment): Vn n ny c pht
hnh sau khi ngi chuyn ch nhn hng v cam kt s xp hng v vn chuyn
hng ha bng con tu ghi trn vn n.
Khc vi vn n xp hng, vn n nhn hng xp c pht hnh khi
hng ha cha c xp ln tu m c th vn cn cu cng, kho bi cng i
vi loi vn n ny, nu khng c quy nh g khc trong hp ng mua bn cng
nh tn dng chng t th ngi bn c th b t chi thanh ton. L do l v theo
cc iu kin c s giao hng thng thng bng ng bin nh: FOB, CIF hay
CFR th trch nhim ca ngi bn l phi a hng ln trn tu. Trong trng hp
ny, hng vn cn ang cu cng, kho bi cngngha l ngi bn vn cha
hon thnh trch nhim giao hng theo quy nh. Do vy, khi giao hng, nu trng
hp ngi chuyn ch pht hnh vn n nhn hng xp th phi ch khi hng
c xp xong ln tu s yu cu thuyn trng k xc nhn trn vn n hng
c xp ln tu ngythngnm. C k xc nhn nh vy th vn n nhn
hng xp s tr thnh vn n xp hng.
2.2. Cn c vo nhn xt, ghi ch trn B/L:
 - Vn n sch/hon ho (Clean B/L): l vn n m trn khng c nhng
iu khon ni mt cch r rng rng hng ha hoc bao b c khuyt im. Hay ni
mt cch khc, trn vn n khng c nhng ghi ch, nhn xt xu hoc nhng bo
lu v tnh trng bn ngoi ca hng ha.
Nhng iu ghi chung chung nh ngi gi hng xp v m, nim phong v
kp ch, khng bit v s lng, phm cht, ni dung bn trong, bao b dng li,
thng c,.. khng lm mt tnh hon ho ca vn n. Mt vn n m ngi
chuyn ch hay i din ca h khng ghi ch g th cng coi l vn n hon ho.
Ly c vn n hon ho c ngha quan trng trong thng mi quc t.
Ngi mua cng nh ngn hng u yu cu phi c vn n hon ho, v vn n
hon ho l bng chng hin nhin (Prima Facie Evidence) ca vic xp hng tt.
Mun ly c vn n hon ho th khi xp hng ln tu phi m bo hng
khng b h hng, v, bao b khng rch, khng b t v trng bn ngoi rt
tt, ngha l phi c mt bin lai thuyn ph (Mates Receipt) sch. Trong trng
hp, Bin li Thuyn ph khng sch, ngi gi hng c th xut trnh Th bo
m (Letter of Indemnity) cam kt chu mi hu qu xy ra, u yu cu Thuyn
trng cp vn n hon ho. Tuy nhin, th m bo khng c gi tr php l,
khng c cc ta n tha nhn nn cc thuyn trng khn ngoan thng khng
chp nhn.
- Vn n khng hon ho (Unclean B/L Faul B/L Claused B/L): l vn
n trn c nhng ghi ch, nhn xt xu hoc nhng bo lu v hng ha v bao
b. V d, vn n b thuyn trng ghi ch: k m hiu khng r, mt s bao b b
rch, thng chy, nhiu hm tng b t.Vn n khng hon ho khng c
ngn hng chp nhn thanh ton tin hng.
2.3. Cn c vo quyn chuyn nhng, s hu hng ha ghi trn B/L:
Vn n ch danh(Straight Bill of Lading/ Bill of Lading ? a named
person): L vn n m trn ngi ta ghi r tn v a im ngi nhn. Ngi
chuyn ch ch giao hng cho ai l ngi c tn trn vn n.
Loi ny t dng v n khng c chuyn nhng bng phng php thng
thng.Thng ch c s dng trong trng hp hng ca c nhn gi c nhn,
hng l qu biu, hng trin lm hay hng ca cng ty m gi cho cng ty con.
 Vn n ch danh mun chuyn nhng c phi tun theo lut hoc tp
qun ni din ra hnh ng chuyn nhng.
Vn n theo lnh (B/L to order of): L loi vn n m trn khng
ghi tn ngi nhn hng m ghi: theo lnh ca hoc theo lnh- to order. Nh
vy vi loi vn n ny, s khng c tn ca ngi nhn hng m phn theo lnh
ca c th in: shipper, banker, consignee hoc c trng hp trng.
Hng ha ghi trong vn n s c giao theo lnh ca mt ngi no bng cch
k hu ln mt sau ca vn n.
Cc loi vn n theo lnh: Theo cch ai l ngi k hu vn n th c 3 loi:
- Theo lnh ca mt ngi ch danh no (To order of a named person): Vi
vn n ny hng s c giao theo lnh ca ngi, cng ty hay t chc no
c ghi trong ct "Consignee" hoc "To order of " ca vn n bng cch ngi
s k hu vo mt sau ca vn n v ghi tn ngi nhn hng vo . V d: To
order of consignee: Theo lnh ca ngi nhn hng.
- Theo lnh ca ngn hng pht hnh (To order of a issuing bank) :hng s
c giao theo lnh ca ngn hng c ghi trn vn n, ngn hng s k hu
vo mt sau ca vn n.
- Theo lnh ca ngi gi hng (To order of shipper) : Vi vn n ny th
hng s c giao cho ngi c ch nh ca ngi k hu chnh l gi hng
(shipper). i khi theo vn n c vit "To order"v trng.i vi trng
hp ny, theo tp qun thng mi quc t th c hiu rng l theo lnh ca
ngi gi hng. Nhng theo quan im ca y ban Kinh t v X hi chu -
Thi Bnh Dng (ESCAP), nu vn n c pht hnh theo lnh m khng ghi
tn ngi nhn hng hoc pht hnh theo lnh ca ngi th hng v ngi th
hng k hu nhng b trng khng ghi tn ngi th hng tip theo th gi l
vn n v danh.
Vn n theo lnh c dng thng dng trong bun bn v vn ti quc tv
c th lu thng c nn rt thun tin cho vic chuyn nhng quyn s hu hng
ha, chuyn nhng bng phng php thng thng v rt nhiu thun li do n
mang li m bo quyn li cho c ngi mua v ngi bn.
 Vn n theo lnh c th chuyn nhng c nh phng php k hu thng
thng. K hu l mt th tc chuyn nhng quyn s hu hng ha ghi trn vn
n t ngi hng li ny sang ngi hng li khc. Ngi k hu phi k tn,
ng du vo mt sau ca vn n v trao vn n cho ngi c chuyn nhng
(ngi c hng li). Ngi k hu trn vn n khng phi trnh by l do chuyn
nhng v cng khng phi thng bo trc cho ngi bn cng nh ngi chuyn
ch bit v vic chuyn nhng quyn s hu i vi hng ha ghi trn vn n.
Cc loi k hu vn n thng c dng trong bun bn quc t:
- K hu ch danh: To order of(named person):
mt sau vn n ng bin gc ngi k hu s r tn c th ca ngi
hng li t vn n. Khi vn n theo lnh s tr thnh vn n ch danh (Bill
of Lading to a named person) v v vy ch c ngi hng li c tn trn vn n
mi c quyn s hu hng ha v c nhn hng khi hng ti cng ch. Sau
ngi chuyn nhng s ghi tn ca mnh , k tn v ng du xc nhn.
- K hu chuyn nhng theo lnh: To order of:
mt sau vn n ng bin gc, ngi k hu s theo lnh ca mt
ngi no hoc l theo lnh. Nh vy, nu l theo lnh ca mt ngi no
c ngha l ngi l ngi s hu vn n ng bin, tuy nhin cha chc
l ngi hng li cui cng hng ha ghi trn vn n , v vn c th tip tc
chuyn nhng c bng cch tip tc k hu. Qu trnh k hu li c th tip tc
xy ra nh trn cho n ngi hng li cui cng.
- K hu min truy i: To order of without recouse:
Thng thng th ngi k hu vn phi chu trch nhim lin i cho vic
giao hng n ngi hng th cui cng trong trng hp ngi hng th cm
vn n k hu m khng nhn c hng hoc hng khng ph hp vi vn n.
Tuy nhin trnh rng buc trch nhim vi ngi hng th ngy, ngi k hu
c th thm cu " Without recourse endorsement - Min truy i" bn cnh ch k
ca mnh. Khi nu ngi nhn hng pht hin thy hng ha mt mt, hng hc
so vi s lng, cht lng ghi trn vn n, th s khng c truy i ngi k
hu cho mnh m phi i ch hng.
 - K hu chuyn nhng theo lnh ca ngi cm vn n: To order of bearer
B/L:
i vi hnh thc k hu ny, ngi k hu s k chuyn nhng theo lnh
ca ngi cm vn n. Vn n lc ny s tr thnh vn n v danh, bt c ai
cm vn n u c quyn yu cu ngi chuyn ch giao hng cho mnh.
- K hu trng hay k hu v danh: To order of:
Ngi k hu vn n ch tn mnh, k tn, ng du xc nhn ch khng
chuyn nhng quyn s hu t vn n cho ai hoc l chuyn nhng vn n
theo lnh ca ai (tn ca ngi hng li k tip). Phng php ny thng c s
dng trong mua bn trao tay i vi hng ha v c s gip ca h thng ngn
hng.
V d: Nu thanh ton bng phng thc tn dng chng t, sau khi giao hng
xong v ly c B/L gc, ngi bn s k hu trng trn t vn n v a
vo b chng t gc xut trnh cho ngn hng v nh ngn hng thu h tin.
Ngn hng s khng ch t vn n ng bin, ch sau khi ngi mua tr ht tin
hng th ngn hng mi k hu vo vn n giao cho ngi mua i ly hng.
Vn n v danh(To bearer Bill of Lading): L vn n trn khng ghi
tn ngi nhn hng v cng khng ghi theo lnh. Ngi chuyn ch s giao hng
cho ngi no cm vn n (B/L holder) v xut trnh cho h.
Loi vn n ny t c s dng hn do loi vn n ny c nhiu ri ro i
vi ngi giao hng (ngi gi hng) v bt k ngi no c vn n trong tay u
c th nhn c hng.
Vn n ny c chuyn nhng bng cch trao tay v ai cm vn n u c
th nhn c hng.
2.4. Cn c vo phng thc thu tu:
- Vn n tu ch (Liner B/L): L loi vn n c dng khi hng ha c
gi theo tu ch. vn n ny ngoi gi tr l chng t s hu hng ho m cn c
gi tr php l nh mt hp ng chuyn ch.
Thng p dng loi vn n thng thng conline bill
Mi iu khon iu chnh mi quan h gia ngi nhn hng v ngi
chuyn ch nh : phm vi trch nhim, min trch , thi hiu t tng, ni gii quyt
tranh chp v lut p dng,. u c in sn trn vn n v ch do 1 bn, ngi
chuyn ch k tn. y l c im phn bit vi vn n theo hp ng thu tu.
Nu c tranh chp xy ra dng vn n gii quyt bng nhng iu khon
quy nh sn hoc dng cng c quc t v hng hi gii quyt.
- Vn n tu chuyn / vn n theo hp ng thu tu: l vn n c cp
trong trng hp c hp ng thu tu, ch xy ra vi tu chuyn v tu hn nh.
Vn n ny ch c chc nng l mt giy bin nhn ca ngi chuyn ch xc nhn
nhn ln tu s hng ha c thu ch nh ghi trn v l bng chng ca
hp ng giao kt vi cc bn c lin quan.
Thng p dng vn n cp theo hp ng thu tu congen bill.
Ni dung rt ngn gn, ch bao gm mt vi iu khon, cn li dn chiu theo
hp ng thu tu.
Trn b mt vn n ny thng c ghi B/L to be used with Charter Party (
c s dng cng vi hp ng thu tu ).
Ngoi ra trn vn n ny lun lun c 1 iu khon quy nh : ( mi iu
khon, mi quy nh min trch nhim cho ngi chuyn ch ghi trong hp ng
thu tu, k c cc iu khon lut p dng v trng ti phi c p dng cho vn
n ) all terms and conditions, leberties and exceptions of the charter party, dated
as overleaf, including the law and arbitration clause, are herewith incorporated".
Trong trng hp xy ra tranh chp phi s dng c vn n v hp ng thu
tu gii quyt tranh chp( nu l congen bill. y c th xy ra mu thun gia
quy nh ca vn n v quy nh trong hp ng thu tu. Lc ny u tin p dng
nhng quy nh ca vn n gii quyt tranh chp. Trong trng hp c vn n
v hp ng u khng c quy nh g th p dng lut do vn n ch ra trc, lut
do hp ng ch ra sau nhng phi xt n cc mi quan h lin quan.
2.5. Cn c theo hnh trnh chuyn ch:
- Vn n i thng ( Direct B/L): l vn n c cp trong trng hp hng
ha c chuyn ch thng t cng xp hng n cng d hng m khng c chuyn
ti dc ng. Trn vn n ny, transhipment khng c ghi g, nu khng
ngn hng t chi thanh ton (trng hp tn dng th quy nh transhipment not
allowed)
 Khi cp vn n i thng, nu c ng, v nhiu nguyn nhn khc nhau c
th xy ra, v d : tu b hng, hng phi chuyn sang tu khc th ngi chuyn ch
cp vn n i thng phi chu trch nhim i vi nhng h hng, mt mt ca
hng ha do vic chuyn ti gy ra. Sau nhng ngi chuyn ch s xem xt tn
tht ca ai v ai s chu trch nhim khi phn nh li.
- Vn n ch sut (through bill of lading): l vn n c cp trong trng
hp c chuyn ti cng dc ng c thay th ngi chuyn ch v tu chuyn
ch. Vn n ny c iu khon cho php chuyn ti, ghi r cng xp hng, cng d
hng, cng chuyn ti. Thng thng, trong loi hnh vn ti ny mt ngi ng ra
t chc ton b qu trnh chuyn ch v chu trch nhim v hng ha trong sut
qu trnh chuyn ch, ngi c quyn cp vn n ch sut. nhng ngi
chuyn ch khc c cp vn n chng (local bill of lading). Khi c tranh chp
hng ha ngi ch hng ch cn kin ngi cp vn n ch sut. Sau nhng
ngi chuyn ch phi gii quyt vi nhau xem hng b hng chng no v ai l
ngi chu trch nhim cho tnh trng h hng v mt mt ca hng ha .
Nh vy vn n ch sut dng iu chnh mi quan h php l gia ngi
ch hng v ngi chuyn ch cp vn n ch sut, cn vn n chng trong qu
trnh chuyn ch l iu chnh mi quan h ni b nhng ngi chuyn ch vi
nhau.
Hng ha ch c giao nhn vi ngi cp vn n ch sut mt cch hp
php, vic cp vn n ch sut c li cho c nh xut khu v nh nhp khu nu
hng phi vn chuyn qua nhiu chng, v vi nh xut khu c vn n ch sut l
thu c tin hng. Vi nh nhp khu, khi cn khiu ni th ch cn khiu ni vi
ngi cp vn n ch sut.
- Vn n vn ti lin hp (combined transport bill of lading): l vn n c
cp trong trng hp hng c vn chuyn t nht bng hai phng php khc nhau
tr ln. Vn n ny ghi r ni nhn hng vn chuyn v ni tr hng, ghi r ni
c cp php chuyn ti v cc phng thc vn ti tham gia vn chuyn hng
ha. V d: hng ha c chuyn bng ng bin, sau c chuyn bng c
st, ri li vn chuyn bng ng bin. Trong phng thc ny, thng c mt
ngi ng ra t chc ton b qu trnh vn ti lin hp, l CTO (Combined
Transport Operator ngi t chc vn ti lin hp), ngi s cp vn n vn
ti lin hp, ngi ny s chu trch nhim v hng ha trn ton b hnh trnh vn
chuyn. Trong vn ti lin hp c nhiu chng chuyn ch vi nhiu phng tin
vn ti khc nhau, chng c chng t chng (Local Document) dng gii quyt
mi quan h gia nhng ngi vn ti vi nhau.
2.6. Cn c vo gi tr s dng v kh nng lu thng:
- Vn n gc (Original Bill of Lading): l loi vn n c dng nhn
hng, thanh ton, chuyn nhng, khiu ni, kin tngdo ngi chuyn tr pht
hnh theo yu cu ca ngi gi hng.
Vn n ny c pht hnh mt bn hoc mt b gm nhiu bn, song d
c pht hnh thnh nhiu bn vn n gc nhng cc vn n gc u c gi tr
nh nhau. Ngha l mt trong cc vn n c s dng vo vic no th cc
bn cn li t ng ht gi tr. V d: mt vn n gc dng nhn hng th cc
bn gc cn li khng c gi tr nhn hng na. vn n ny c nhiu chc nng
c bit l chc nng lu thng. y l im khc bit quan trng vi vn n copy.
- Vn n copy (Copy Bill of Lading): l vn n khng c gi tr lu thng,
chuyn nhng c bit khng phi l chng t s hu hng ha. Ngi ta dng vn
n copy l th tc hnh chnh, tham kho hoc lu tr h s.vn n copy cng
do ngi chuyn tr pht hnh theo lnh ca ngi gi hng. Cng nh vn n
gc, vn n copy cng c th c pht hnh nhiu bn. v mt hnh thc vn n
copy c ghi trn b mt ch copy hoc non-negotiable. V mt ni dung, ngoi
nhng phn nh a ch ngi gi hng, ngi nhn, cng bc, cng d mt sau
ca vn n trng hoc ghi vn tt cc iu kin chuyn tr tit kim chi ph
in n.
2.7. Mt s loi vn n khc:
- Vn n rt gn ( short B/L): l vn n ch c 1 mt, khng c mt sau. Loi
vn n ny thng c s dng khi thu tu chuyn v ngoi vn n cn c hp
ng thu tu.
- Vn n hi quan: khi hng cha bc thng ln tu m phi nhp kho hi
quan trc th ch hng c cp vn n hi quan. Vn n ny ch s dng khi
lm th tc hi quan.
 - Vn n ca ngi giao nhn: khi hng khng c giao thng ln tu m
giao cho ngi giao nhn chun b bc ln tu. Khi nhn c hng, ngi giao
nhn s cp cho ch hng vn n.
- Vn n xp hng ln boong (Deck B/L): l vn n c cp trong trng
hp hng c xp ln bng chuyn ch.
- Vn n in t: l mt thng ip in t, c ni dung v cu trc thng
nht, c chuyn t ni ny n ni khc bi cc phng tin in t (khng c s
tham gia ca cc phng tin truyn d liu c hc). Loi vn n ny c to ra
thay th vn n truyn thng c in trn giy.
Vn n in t c chia lm ba loi: SEADOCS - Seaborne trade
Documentation System- Systme documentaire du commerce maritime; Vn n
theo quy tc CMI (Comit Maritime International, y ban hng hi quc t); Vn
n BOLERO. Ngy nay, a phn vn n c s dng l vn n Bolero.
u im ca loi vn n ny l: tit kim thi gian v tit kim chi ph, tnh
bo mt cao. Ngoi ra loi vn n ny cn rt ph hp vi xu th pht trin ca
khoa hc k thut hin nay trn th gii.
- Seaway bill giy gi hng ng bin hoc bin lai nhn hng khng c
gi tr lu thng
Nguyn nhn ra i:
Vn n ng bin v ang xut hin nhng hn ch gy tr ngi cho
hot ng lun chuyn hng ha.
Chi ph pht hnh v lu thng vn n ln.
Vic chuyn vn n t ngi bn ti ngi mua cn mang nng tnh th
cng
Ni dung: Mt trc ca seaway bill bao gm cc iu khon ch yu nh tn
hng, cng xp, cng d, ngi chuyn ch, ngi nhn hng,. Mt sau trng
hoc ghi ngn gn
p dng:
Khi thi gian hnh trnh hng ha trn bin ngn hn thi gian gi B/L t
cng xp n cng d.
 Thng dng trong trng hp cng ty m v cng ty con, hoc nhn
c tin hng hoc lm rt thn tn,tin cy trong lm n. Ph bin cho n v giao
nhn forwaders, n v gom hng -consolidator.
Seaway bill ch p dng c vi bill ch danh. Cn Bill gc c th l bill
ch danh hoc bill to order.
S khc bit gia B/L v seaway bill:
Seaway bill ch c 2 chc nng trong khi B/L c 3 chc nng. Seaway bill
khng c chc nng lu thng nh B/L.
Trn B/L c in y cc iu kin chuyn ch cn mt sau ca Seaway
bill trng hoc in nhng lu khi s dng.
Seaway bill c gi km theo tu cn B/L c th c hoc khng
Vit nam, vic p dng seaway bill vn cn rt mi m, mc d c c s
php l p dng seaway bill. Mc C - iu 80 B lut Hng hi Vit nam quy
nh. Ngi vn chuyn v ngi giao nhn hng c th tho thun vic thay th
B/L bng giy gi hng hoc chng t vn chuyn hng ho tng ng v tho
thun v ni dung, gi tr ca cc chng t ny theo tp qun Hng hi quc t.
3. NHNG LU KHI LP V KIM TRA VN N NG BIN
3.1. Nhng im lu khi lp v s dng vn n
Do vn n ng bin l chng t quan trng, bi v n l chng t s hu
hng ha, c s dng vo nhiu cng vic khc nhau, c bit trong vic giao
nhn hng ha v thanh ton quc t bng LC.V vy, vic nhn bit cc loi vn
n ng bin v nhng im cn lu khi s dng l rt cn thit i vi nhng
ngi c lin quan.
3.1.1. V ni dung
- Ngi chuyn ch: Bt k vn n ng bin no cng phi th hin tn ca
cng ty vn ti bin hay ngi chuyn ch. iu ny l rt cn thit v bt k ai l
ngi pht hnh vn n, nhng ngi chuyn ch mi thc s l bn i din cho
hp ng chuyn ch , do , ngi chuyn ch l ngi c trch nhim php l
v vn n pht hnh trn danh ngha chnh mnh, v khi c tranh chp v vn ti
hng ha th ngi chuyn ch phi l ngi i din gii quyt.
 - Ngi nhn hng: Ty thuc vo vic giao hng l ch danh, theo lnh hay
v danh in vo ngi nhn hng thch hp.
Nu giao hng ch danh th phi ghi y tn v a ch kinh doanh ca
ngi nhn hng, ngoi ra c th ghi thm cc thng tin nh in thoi, fax, telex.
ng thi phi gch b tt c cc t in sn ng trc tn ngi nhn hng c ni
dung nh Theo lnh to Order, theo lnh ca To Order of hay Hoc theo lnh
Or Order. Tuy nhin hnh thc ny t c s dng trong thc t do s km linh
hot ca n. Do loi vn n ny ch c giao cho ngi c tn trn vn n, m
khng c chuyn nhng, mua bn, cm c hay th chp khi hng cha ti ni.
Nu giao hng theo lnh ca mt ngi ch danh th phi ghi y tn v
a ch kinh doanh ca ngi ny, ngoi ra nu trn vn n khng in sn cc t nh
to Order, To order of hay or Order th phi ghi thm vo trc tn ngi ra
lnh nhn hng cm t Theo lnh ca to Order of. Loi vn n ny kh ph
bin do thun li trong vic lm th tc chuyn giao vn n ho ngi m LC,
ngoi ra n cn linh hot trong vic chuyn nhng, mua bn, cm c, th chp khi
hng cha ti ni.
Trng hp ngi gi hng cha mun giao hng c th cho ai, th ghi vo
ny vi ni dng giao hng theo lnh ca ngi gi hng to order of Shipper.
i vi vn n ny nu ngi gi hng khng k hu th ch c anh ta mi c
quyn nhn hng ti cng ch. Nu ngi gi hng k hu trng th vn n s
tr thnh vn n v danh.
Vn n v danh l vn n b trng ngi nhn hng hoc ghi cu
to the holder. Trong thc t loi vn n v danh t c s dng do n d b lm
dng chim ot hng ha, nn c ngi gi hng, ngn hng pht hnh LC v
ngi m LC u khng chp nhn vn n ny.
- Bn c thng bo: ty theo quy nh ca hp ng thng mi hay LC m
in cho thch hp. Thng thng, ny tn v a ch ca ngi nhp khu hay
ngn hng pht hnh LC v nhng ngi ny cn c thng bo tin tc ca chuyn
ty v hng ha khi cp cng ch. Nu ny trng th phi hiu l thng bo cho
ngi nhn hng.
 - S bn vn n gc pht hnh: vn n ng bin c pht hnh theo yu
cu ca ngi gi hng, thng c pht hnh thnh b gm 3 bn gc v mt s
bn sao. V vn n l chng t s hu hng ha c lu thng v ngi chuyn
ch s giao hng cho ai xut trnh vn n gc hp php u tin ti cng ch, do
, ngi ta cn phi bit c s bn gc vn n c pht hnh l bao nhiu
theo di v kim sot trong qu trnh lu thng. S bn c ghi mt trc t vn
n v c ghi va bng s va bng ch. V d nh: Number of Original Bill of
Lading: three/3 ( s bn vn n gc ba/3 bn)
- K hiu m, s lng, m t hng ha:
K hiu m hng ha (shipping Marks), s container (Container Nos.), s
kp ch (Seal Nos.): L nhng k hiu bng ch, bng s hoc bng hnh v c
ghi bn ngoi hng ha i vi nhng loi hng khng c bao b v in trn cc
bao b i vi loi hng ha c bao b. Cc k m hiu ny nhm nhn dng hng
ha, thng bo nhng chi tit cn thiu cho vic giao nhn, bc d hoc bo qun
hng ha. Cc k hiu ny c ghi trn hng v bao b nh th no th phi ghi trn
vn n nh th.
S lng, s chic hoc trng lng: sau khi hng c xp ln tu, ngi
chuyn ch hoc i l phi in vo vn n cc thng s nh s lng, trng
lng hng ha, s lng container m mnh nhn hoc xp ln tu.
M t hng ha: trn vn n, hng ha c th ch cn m t mt cch
chung chung, min l phn bit c tn, quy cch phm cht, k thut
- Ngy v ni pht hnh vn n: nu khng c ghi ch c bit th thng
thng ngy pht hnh vn n l ngy giao hng. Ni pht hnh vn n c th
ghi a ch ca ngi chuyn ch hay i l ca h, cng xp hay a im do hai
bn tho thun.
- Ni dung v con tu v hnh trnh: trn vn n phi ghi r tn con tu vn
chuyn v s hiu chuyn tu, ni nhn v tr hng, cng bc d hng, cng
chuyn ti.
- V giao nhn hng ha:Trn mt trc ca vn n phi th hin r rang tnh
trng hng ha, ty theo loi vn n: Shipped On Board hay Received for
Shippment.
 - V cc ph, phi lu n n v tnh cc v tng s tin cc. Nu cc
ph tr trc th s ng du: Freight Prepaid hay Freight Paid. Nu cc tr sau
th ghi Freight to Collect hoc Freight Payable at Destination. C khi trn vn
n ghi Freight prepaid as arranged v ngi chuyn ch khng mun tit l mc
cc ph ca mnh.
- K vn n: Ch k vn n c th l trng hng tu, i l ca hng tu.
Khi i l k th phi ghi r hay ng du trn vn n ch l i l (as agent
only).
3.1.2. V hnh thc
Hnh thc ca vn n do cc hng t la chn v pht hnh s dng trong
kinh doanh. V vy, mi hng khc nhau pht hnh vn n c hnh thc khc nhau.
Tuy nhin hnh thc pht hnh khng quyt nh gi tr php l ca vn n.
- V kch thc v mu sc: Vn n thng c kch thc kh giy A4 v
c in sn cc ni dung cn thit. i vi vn n gc, thng c in mu c
mt trc v sau, cn bn sao thng c in bng ch en mt trc, cn mt
sau trng.
- V hnh thc pha trc vn n: cc vn n ca cc hang khc nhau l
khng ging nhau v cch b tr sp xp cc ni dung.
- V tiu ca vn n: do tiu ca vn n khng quyt nh tnh cht v
ni dung ca vn n, nn trong thc t thng gp rts nhiu vn n ng bin
c tiu khc nhau
Cc loi vn n ph bin: Bill of Lading, Ocean Bill of Lading, Marine
Bill of Lading, Sea Bill of Lading,
Loi vn n dng cho c vn ti n phng thc v a phng thc: Trn
vn n ghi bill of lading for combined transport shipment or port shipment. Loi
chng t ny c hiu l vn n ng bin v c th chuyn nhng c tr
khi ngi pht hnh nh du vo Seaway bill, non negotiable.
Vn n a dng: Bill of Lading or Sea Waybill for Combined Transport
Shipment or Port to port Shipment hoc Bill of Lading Not negotiable unless
consigned to order.
Vn n ca FIATA: Negotiable FIATA combined Transport Bill of Lading
 3.1.3. V ghi ch bc hng ln tu
Theo quy tc ca UCP600, khi mt LC yu cu mt Vn n ng bin
Bill of Lading th nht thit trn chng t vn ti phi th hin l hng ha thc
s On Board v ch ra cng bc hng v cng d hng ch danh nh quy nh
trong LC.
Trng hp trn t vn n li ghi ch ngy bc hng ln tu ring bit khc
vi ngy pht hnh vn n, th ngy bc hng ln tu vn c coi l ngy giao
hng d cho ngy bc hng ln tu c th trc hoc sau ngy pht hnh vn n.
Vn n c bc ln tu s c ng du ln mt trc cc ch sau y:
Shipped On Board, Shipped, On Board, Laden On Board, Laden.
Quy tc xc nh ngy ln tu
- Quy tc 1: i vi vn n c ghi ch Shipped on Board
Nu khng c ghi ch ln tu, th ngy pht hnh vn n l ngy ln tu.
Nu c ghi ch ln tu, th ngy ghi ch l ngy ln tu, cho d ngy ny c th
trc hoc sau ngy pht hnh.
- Quy tc 2: i vi vn n c ghi sn Received for Shipment khng p
ng c hp ng thng mi hay LC c yu cu vn n xut trnh phi l vn
n xp hng ln tu. Trong trng hp ny, ngi bn cha hon thnh ngha v
ca mnh, do hng ch mi l nhn ch m cha c xp ln tu. Mun tr
thnh vn n xp hng ln tu th ngi bn phi c ghi ch xp v ch ra
ngy thng. Nh vy, ngy ghi ch vn n chnh l ngy xp hng ln tu
Quy tc xc nh ngy giao hng:
- Th nht, LC cm giao hng tng phn v khng c chuyn ti: nu trn B/L
c nhiu ngy On Board hoc c nhiu B/L th hin hng ha c xp ln cng
mt con tu, ti cng c php, cng mt tuyn ng th ngy On Board mun
nht c xem l ngy giao hng cho ln xut .
- Th hai, LC cho php giao hng tng phn: Do c php giao hng tng
phn nn s c nhiu B/L th hin hng ha c xp ln cc con tu khc nhau , ti
cc cng c php, th ngy On Board sm nht c coi nh l ngy giao hng
cho ln xut trnh .
 - Th ba, trn B/L th hin c chuyn ti: do B/L th hin chuyn ti v th
hin cc ngy On Board xp ln tu, th ngy On Board sm nht s c xem
l ngy giao hng cho ln xut trnh .
Trong mi trng hp, ngy giao hng phi trong thi hn hiu lc ca LC v
trong thi hn giao hng theo quy nh ca LC (nu c)
3.2. Nhng lu khi kim tra vn n
3.2.1. Ngy giao hng trn B/L
Tm quan trng ca ngy giao hng: Ngy giao hng l cn c cc bn tham
gia thng mi v thanh ton quc t khng nh ngi bn thc hin ng thi
hn giao hng c quy nh trong Hp ng thng mi hoc L/C.
Cn c xc nh ngy giao hng: Ngy giao hng c cn c vo chng t
vn ti. Tuy nhin, trn B/L, c th c thng tin v ngy thng trong mc ghi ch On
Board. iu ny thng dn n bn khon cho ngn hng l ngy no s c coi
l ngy giao hng.
Kt lun v ngy giao hng:
- Trng hp B/L c ghi ch On Board:Ngy ca ghi ch On Board - OBN (On
Board Notation) s c coi l ngy giao hng cho d ngy On Board trc hoc sau
ngy pht hnh B/L. Nu trn 1 B/L c nhiu hn mt ghi ch On Board, ngy On
Board sm hn s c coi l ngy giao hng. Nu b chng t c xut trnh nhiu
hn mt b B/L th ngy On Board mun hn s c coi l ngy giao hng.
- Trng hp B/L khng ghi ch On Board: phn sau, chng ta cng bn
lun ti vn B/L c cn thit c OBN hay khng v bao gm nhng thng tin g
trong phn OBN. y, chng ta ch xem xt i vi trng hp B/L khng ghi ch
On Board l c php. i vi trng hp ny, ngy pht hnh s c coi l ngy
giao hng.
3.2.2. Ghi ch On Board trn B/L (OBN)
Ghi ch On Board (OBN) l vic xc nhn rng hng ha c xp ln tu.
Vic hng ha c xp ln tu khng ch lin quan n quyn li ca ngi
mua, ngi bn m cn l c s trong vic kim tra chng t bo him, v vy c
tt c cc bn tham gia thng mi v thanh ton quc t c bit quan tm.
 OBN cn c khi nhng ni dung ca B/L khng ch ra mt cch r rng rng hng
ha c xp ln con tu c xut pht ti cng i ng nh quy nh ca L/C.
Ty thuc vo ni dung v loi B/L s dng quyt nh nhng ni dung cn
phi c trong OBN. Vic ghi ch OBN l nhm xc nh hng ha c xp
ln con tu, ti cng i c quy nh trong hp ng thng mi cng nh trong
L/C. Vic c nhng ni dung no trn OBN ty thuc vo nhng yu t sau y:
(1) l B/L xp hng ln tu hay B/L nhn hng ch?
(2) Ni dung trong mc cng i trn B/L c ph hp vi cng i quy nh
trong L/C hay khng?
(3) Trn B/L c chng trc hay khng?
Mc ch ca OBN l xc nh hng ha c xp ln tu ti cng c
quy nh trong L/C, v vy bn thn tng B/L cho thy s cn thit ca OBN l
khc nhau.
Nhng vng mc khi kim tra OBN
Cc bn tham gia thanh ton thng t ra hng lot cc cu hi trong qu
trnh kim tra OBN. l:
(1) C chp nhn B/L khng ghi ch On Board hay khng?
(2) OBN ch ghi ngy thng c hp l hay khng?
(3) OBN c ngy thng, tn tu iu kin thanh ton hay cha?
(4) Mi OBN c phi ch ra ngy thng, tn tu, tn cng i, cng n?
(1) B/L khng cn ch ra OBN:
Cc bn tham gia thanh ton s chp nhn B/L khng c OBN nu ng thi
tha mn cc iu kin sau y:
- Nu B/L l loi xp hng ln tu.
- Cng bc hng ph hp vi quy nh ca L/C.
- Trn B/L khng c chng trc cho d c ni nhn hng ch khc vi
cng bc hng theo L/C.
V d: L/C quy nh hng c xp t Hi Phng ti Oakland (California,
USA). B/L c chp nhn nu B/L khng ch ra chng trc - precarriage v c
in sn dng ch xp hng ln tu - shipped on board.
B/L cn c OBN th hin ngy thng:
 i vi B/L nhn hng ch v khng c chng trc.
V d trn, nu ngi th hng xut trnh vn n nhn hng ch - Receipt
for shipment B/L th cn c OBN, tuy nhin ch cn ch ra ngy thng OBN l ph hp.
B/L cn c OBN th hin ngy thng v tn con tu thc t:
Nu B/L c ghi con tu d nh hoc quy nh tng t lin quan n tn
con tu, th vic ghi ch hng xp ln tu, ghi r ngy giao hng v tn con tu l
cn thit.
V d: B/L th hin Intended vessel: MOONLIGHT III
=> Ngay c khi hng ha thc t c giao trn tu MOONLIGHT III, B/L cn
phi c OBN th hin:
Vessel: MOONLIGHT III
Date: ..
B/L cn c OBN th hin ngy thng, tn tu v cng i:
Th nht, nu trn B/L th hin c chng trc, cho d l shipped on board
B/L hay Receipt for shipment B/L.
V d: L/C quy nh hng c chuyn ch t Nng n Long Beach,
California, USA. Ngi th hng xut trnh shipped on board B/L ch ra ni nhn
hng ch l Hi Phng, tu S1 (precarriage); Port of loading l Nng, tu S2.
c thanh ton, B/L phi ch r ngy thng, tn cng v tn tu trong phn ghi
ch B/L nh sau: On Board on Vessel S2 at Danang Port on (date...)
Th hai, OBN cn y cc thng tin v tn tu, cng i v ngy thng i
vi B/L th hin tn cng i mc Place of receipt thay v Port of Loading.
V d: L/C quy nh Port of loading: Anwept
Trn mc Place of receipt th hin:
Anwept Vessel: MOONLIGHT III Date
=> Trn B/L cn c du On Board th hin:
Port of Loading: Anwept
Vessel: MOONLIGHT III
Date: 25/12/2010
Th ba, OBN cn y cc thng tin v tn tu, cng i v ngy thng i
vi B/L th hin cng xp hng l d nh hoc quy nh tng t lin quan.
 V d: Port of Loading: intended Kobe port
=> Cn phi c OBN th hin cc thng tin:
Port of Loading: Kobe
Vessel: Date: ..
3.2.3. Cng i, cng n
Cng i v cng n trn B/L i hi phi ph hp vi quy nh ca L/C. Tuy
nhin, do nhiu hng chuyn ch mun phn nh y cc thng tin trn b mt
B/L t ni nhn hng ch cho n ni chuyn ti, cng d nhng phn ln trn
B/L khng c mc in sn chuyn ti, v vy, ngi pht hnh B/L khng cc mc
in sn in thng tin vo thch hp, dn n tnh trng in thng tin vo B/L
khng ng v tr. Nhng trng hp thng gp, l: tn cng d c in vo
Destination hoc tn cng bc hng c in vo mc Place of receipt hoc tn
cng chuyn ti c in vo mc Port of unloading...
i vi nhng trng hp ny, i hi c s ghi ch ch ra ng cng c
quy nh trong L/C.
V d: L/C quy nh: Port of loading: Marseilles Port of discharge: Thi Nghe
Thc t c xy ra chuyn ti ti Port of Anwept nn B/L th hin nh sau:
Place of receipt: Marseilles
Port of loading: Anwept
Port of discharge: Thi Nghe
=> trn B/L cn phi c du On Board th hin:
Port of loading: Marseilles
Vessel:
Date:
3.2.4. Ngi chuyn ch
Ngi chuyn ch cn c th hin r trn B/L. Mt vn t ra i vi
vic pht hnh B/L l ngi chuyn ch, ngi k pht B/L v letter head ca B/L
c th khc nhau. V vy, cn th hin r tn ca ngi chuyn ch trn b mt B/L.
Tn ca ngi chuyn ch c th th hin theo nhng cch chnh sau y:
Th nht, ngi k pht ch r l i l cho ngi chuyn ch.
V d: signature ca B/L PT.Sudameris Indonesia Tbk as agent for Titanic Line
 Cch ghi ny s ph hp (c chp nhn) nu trn B/L th hin:
Received by the carrier, Titanic Line
Th hai, ngi k pht B/L ch r l i l ca ngi chuyn ch m tn ca
ngi chuyn ch c xc nh r trong B/L
V d: signature ca B/L: As agent for the carrier
Trong B/L th hin: Received by the carrier, Titanic Line
3.2.5. K hu vn n
a) K hu c cn phi ng du?
Hin nay, th trng Trung ng, chu Phi hoc mt s quc gia Nam
M v chu nh Trung Quc, khi k hu cn phi ng du th hin tn ca
doanh nghip. c trng hp, b chng t gi n mt ngn hng ca Trung
Quc b bt li do con du ng lc k hu th hin y tn doanh nghip l
ABC Limited thay v theo yu cu ca L/C l ABC Ltd. Ngn hng pht hnh vn
cho rng y l mt li nn t chi thanh ton. iu cho thy, cc th trng
ny, kim tra vic ng du v ni dung con du l nghip v rt c quan tm.
T phn va nu trn, ta thy c mt s th trng rt ch trng kim tra vic
ng du khi k hu trong khi , mt s th trng khc th khng. T t ra
mt vn , liu rng vic ng du khi k hu l bt buc?
Vn ny c nu ra trong ICC Official Opinion R531/TA526 -
Unpublished Opinion 2004 v vic gii quyt tranh chp gia ngn hng pht hnh v
ngn hng xc nhn, trong , ngn hng pht hnh bt li v t chi thanh ton i
vi b chng t c vn n c k hu nhng khng c ng du. Theo kt lun
ca ICC, cch thc k hu vn n khng thuc v phm vi iu chnh ca UCP. Tuy
nhin, theo tp qun, k hu c th c thc hin bng cch (i) nh my v k; (ii)
ng du c tn ca cng ty v k hoc; (iii) ton b c thc hin bng tay. b
chng t nu trn, vic k hu c thc hin hon ton bng tay, nn y khng c
s sai bit. Tuy nhin, quan im ny ca ICC c ban hnh trc khi c UCP 600.
i vi phin bn mi nht UCP 600, tng ng vi ISBP 681.
Phin bn ISBP 681 khng c quy nh ring v cch thc k hu, nhng c
mt quy nh chung v nghip v k cc chng t m theo quan im ca tc gi,
c th p dng vo k hu vn n.
 Ngay c khi th tn dng yu cu k hu cn phi c k v ng du
(document to be signed and stamped), th yu cu ny c th c p ng bng
vic th hin ch k v tn gi ca ch th c thc hin bng nh my, ng du
hoc hon ton bng tay. (iu 39 ISBP 681).
b) Ch th k hu - Endorser
- Trng hp 1: Khi k hu c cn phi nu r tn ca doanh nghip i km?
Trong v n gia Hilditch Pty Ltd v Dorval Kaiun (No 2) [2007] FCA 2014,
L/C yu cu xut trnh trn b B/L theo lnh ca ngi gi hng v k hu
trng, ngi th hng xut trnh b vn n th hin mt sau ch c duy nht
ch k, khng c cc thng tin v tn cng ty, chc danh ca ngi k. Liu rng
ch k nh vy cu thnh nn nghip v k hu hon chnh?
Kim tra li b chng t, cc chuyn gia thy rng, ch k mt sau ca vn
n ging vi ch k trn ha n thng mi do ngi th hng (trng tn vi
ngi gi hng) k pht. Nn dn ti kt lun l ch k trn mt sau ca vn n l
hp l.
Tuy nhin, nu nh trong b chng t (ngoi B/L) khng c ch k ca ngi
th hng th sao. Gi thuyt ny hon ton c th xy ra v theo iu 18 UCP 600,
khi L/C khng yu cu, th ha n thng mi khng cn phi k. gii quyt
thc mc ny, chng ta vin dn ti iu 34 UCP 600 - Min trch v tnh hiu lc
ca chng t v iu 14d UCP 600 - V tnh ph hp v thng tin trn chng t vi
L/C, UCP, cc chng t khc v chnh bn thn chng t . Nu nh cc chng
t khc c ch k km theo tn gi ca ngi th hng (ngi gi hng), th ngn
hng cn kim tra m bo rng chng ph hp. Tuy nhin, nu nh cc chng
t khc khng th hin ch k ca ngi th hng, th ngn hng khng c trch
nhim phi xc minh liu rng ch k ny c phi l ca ngi th hng. Hay ni
cch khc, ch mt ch k trn mt sau ca vn n cng cu thnh nn nghip
v k hu (p dng trong trng hp L/C yu cu k hu trng, cn trong trng
hp k hu theo lnh hoc ch danh, cn phi c cc thng tin ny).
- Trng hp 2: T cch ngi k hu - Ngi k hu c cn phi nu r chc
danh ca mnh nm gi ti cng ty? Ngn hng c cn kim tra xem ngi k c
thm quyn k hu?
 Cc ngn hng thng yu cu ch k hu phi c thc hin bi ch th c
t cch l gim c cng ty, nhng thnh thong, khi kim tra B/L li c k hu
bi ph gim c hoc trng phng ca cng ty xut khu (bn gi hng). Vy
trong trng hp ny, y c phi l mt sai bit (li) trong b chng t xut trnh.
i vi vn ny, tr khi L/C quy nh r v chc danh ca ngi k hu l
gim c v phi c th hin r khi k, nu khng, ngi k hu khng cn phi
nu r chc danh ca mnh v ngay c khi cp chc danh m khng phi l gim
c, v d, ph gim c hoc trng phng th ngn hng cng khng c quyn
bt li i vi B/L. V trong trng hp, cng theo iu 34 UCP 600, ngn hng
khng c trch nhim phi kim tra thm quyn ca ngi k hu, ngc li, ngn
hng cng khng c quyn bt li nu thng tin v ngi k hu c th hin
mt trong cc cch sau: (i) Nguyn Vn A (Gim c cng ty X) hoc (ii) Nguyn
Vn A (Gim c cng ty hoc trng phng X) hoc (iii) Nguyn Vn A.
Tuy nhin, khi L/C c yu cu r rng v thm quyn ca ngi k hu phi l
gim c, th khi k hu, ng gim c phi ghi r chc danh ca mnh. Trong
trng hp ph gim c hoc trng phng k thay, th trong b chng t xut
trnh cn phi c Giy y nhim v vn k hu.
- Trng hp 3: K hu c th c thc hin bi i l ca ngi gi hng?
Vn ny c t ra da trn thc tin nh xut khu thng y quyn cho
ngi giao nhn hng ha (forwarder) thc hin vic giao hng. Do , trong mc
consignee (ngi nhn hng) c th hin l:
ABC Logistics on behalf of (name of exporter) (Cng ty logistics ABC i
din cho nh xut khu) thay v th hin tn v a ch ca ngi gi hng thc t.
(Lu : trong trng hp ny ABC Logistics c gi l ngi gi hng danh ngha).
Cu hi c t ra y l, ai s l ngi thc hin k hu - nh xut khu
hay ngi giao nhn hng ha?
Thc t l ngi giao nhn hng ha thng ch c y quyn giao hng ha
v chun b b chng t gi hng xut trnh cho ngn hng i thanh ton. Trong
cc mu th y quyn hoc hp ng i vi ngi giao nhn hng ha thng
khng km theo s y quyn k hu vn n.
 Theo lut php ca quc t cng nh ca cc quc gia lin quan ti B/L, ch
ngi gi hng thc t (nh xut khu) mi l ngi c thm quyn k hu.
Do , trong trng hp ny, nu ngi giao nhn hng ha thc hin k hu th
trong b chng t xut trnh ti ngn hng cn c th y quyn (Power of attorney
hoc Letter of authorization) lin quan ti vic k hu nh km vi vn n.
c) Ch th nhn k hu - Endorsee
C nhng trng hp, tn ca ngi nhn k hu li c th hin sai hoc do
bn thn ngi gi hng li mun giao hng cho ch th khc. Chnh v th, sau khi
k hu, tn gi ngi nhn hng trn vn n khc vi tn ngi nhn hng thc t
c yu cu trong B/L.
i vi b vn n th hin nh vy, ngn hng hon ton c quyn bt li.
Tuy nhin, nu ngi nhp khu thc t mun nhn hng, ngn hng c th x l
vn ny bng cch yu cu ch th k hu pht hnh th xc nhn (Letter of
confirmation) th hin: (i) anh ta sai khi nu tn ca ngi nhn k hu; (ii) nu
tn ca ngi nhn k hu thc t; v m bo an ton cho mnh, ngn hng cn
yu cu (iii) ngi k hu cn phi cam kt chu trch nhim v nhng vn lin
quan c th xy ra sau ny.
3.2.6. Mt s im mi lin quan n cc chng t vn ti c quy
nh ti cc iu 19-25 UCP 600
Pht hnh, nh chuyn ch, nhn din nh chuyn ch v k vn n
- Vn n c th c k bi bt k n v no khng phi l nh chuyn ch
hay thuyn trng
Ghi ch bc hng ln tu, ngy giao hng, phng tin chuyn ch chng u,
ni nhn hng v cng bc hng
ISBP 681 ch hng dn v ghi ch on board, trong khi hng dn y v
Ghi ch bc hng ln tu, ngy giao hng, phng tin chuyn chchng u, ni
nhn hng v cng bc hng. cbit, ISBP 745 hng dn v ghi ch bc hng
lntu (on board notation) rt chi tit ph hp vi xutca y ban Ngn hng lin
quan n cc yu cu ivi ghi ch bc hng ti Vn bn s 470/1128revfinal
22/4/2010 (Document No.470/1128rev final 22 April 2010 Recommendations of
the Banking Commission in respect of theRequirements for an On Board Notation).
 V cc ngy ghi trn chng t, ISBP 745 quy nh r rng hn ISBP 681. Theo
, cc chng t vn ti gc, ty theo loi, phi ghi ngy pht hnh(a date of
issuance), ghi ch bc hng c ghi ngy (a dated onboard notation), ngy giao hng
(a date of shipment), ngy nhn hng giao hng (a date of receipt for shipment),
ngy gihng hoc chuyn ch (a date of dispatch or carriage) hoc l ngy nhn
hng (a date of taking in charge or a date of pick upor receipt).
Tn quc gia, tn cng trn vn n
Theo ISBP 745 tn quc gia khng cn phi xut hin trn chng t vn ti cho
d L/Cc quy nh tn quc gia km theo ni gi hng, ni nhnhng hoc cng bc
hng, cng d hng, ni n cui cng.
i vi vn n hng khng, ISBP 745 cho php ghi tn cng i v cng n
bng cch s dng m IATA (International Air Traffic Association) thay vs dng
tn y ca cng hng khng (v du, LAX thay v Los Angles).
Ngi nhn hng, bn thng bo
Lin quan n thng tin v ngi nhn hng (consignee) v bn thng bo
(notify party) trn cc chng t vn ti, ngoi hng dn tng t nh ISBP 681,
ISBP 745 hng dn b sung nh sau:
Khi L/C quy nh chi tit ca mt hay nhiu bn thng bo (notify party), chng
t vn ti cng c th th hin chi tit ca mt hoc nhiu bn thng bo b sung.
Khi L/C khng c yu cu mt bn thng bo th hin trn chng t vn ti
nhng chi tit v ngi yu cu pht hnh L/C th hin l bn thng bo, v nhng
chi tit ny bao gm cc chi tit v a ch v cc chi tit lin h, th chng khng
c mu thun vi cc chi tit c nu trong L/C.
Khi L/C yu cu chng t vn ti th hin hng ha c gi cho hoc theo
lnh ca NHPH hay ngi yu cu pht hnh L/C hoc thng bo cho ngi
yu cu pht hnh L/C hocNHPH, th chng t phi th hin tn NHPH hoc
ngi yu cu pht hnh L/C nhng khng cn phi th hin chi tit v a ch v chi
tit lin lc ca NHPH hoc ngi yu cu pht hnh L/C .
Khi cc chi tit v a ch v chi tit lin lc ca ngi yu cu th hin l mt
phn ca cc chi tit v ngi nhn hng hoc bn thng bo, th chng khng c
mu thun vi cc chi tit c nu trong L/C.
 iu 19 UCP 600
Lin quan n iu 19 UCP 600, ISBP 745 cho rng khi LC yu cu xut trnh
mt chng t vn ti khng phi l chng t vn ti a phng thc, nhng LC cho
thy hnh trnh s dng nhiu hn mt phng thc, v d, khi ni nhn hng hoc
nin cui cng l mt ni trong ni a, hoc khi trng ghi cng bc hng hoc
cng d hng thc t l mt ni trong ni a ch khng phi l mt cng th iu
19 UCP 600 c s dng kim tra chng t .
Lu rng hng dn ca ISBP 745 v vn ny hon ton tri ngc vi
quan im ca ICC trc y.
4. NHNG TRANH CHP THC T LIN QUAN N VN N
NG BIN V BI HC KINH NGHIM
4.1. Tranh chp v tiu ca vn n v cng xp hng khng c
xc nh c th trn vn n:
Ngy 15/9/2012, mt ngn hng ca nh nhp khu Thi Lan (ngn hng M)
pht hng 1 L/C cho ngi th hng (nh nhp khu) Nht Bn qua ngn hng
thng bo v cng l ngn hng chit khu (ngn hng B). Trong L/C c iu khon:
Shipment from Japan to Bangkok (Thailand) fullset 3/3 original Ocean B/L
showing consignee to order of issuing bank
Sau khi hon tt vic giao hng, ngi hng xut trnh b chng t thanh
ton tin hng. Trong chng t c B/L vi tiu : Negotiable FIATA Multimodal
Transport Bill of Lading v trn vn n c ghi:
Port of loading:Japan
Port of discharging:Bangkok (Thailand)
Consignee: to order of Bank M
Ngn hng B kim tra chng t v chp thun chit khu ng thi gi b
chng t cho ngn hng M vi xc nhn ca mnh chng t ph hp v chit
khu theo ng qui nh ca L/C
Nhn c chng t, sau khi kim tra, ngn hng M cho rng b chng t
khng hp l v in cho ngn hng B nhng ni dung khng hp l ca chng t
nh sau:
Multimodal Transport Bill of Lading I/O Ocean Bill of Lading
 Port of Loading was not specially indicated
Nhn c thng bo ca ngn hng M, ngn hng B xem xt li b chng t
v cho rng nhng bt hp l m ngn hng M a ra v khng ng. Ngn hng B
in gii thch nh sau:
Multimodal Transport Bill of Lading hay Ocean Bill of Lading ch l tiu
ca vn n nn khng th coi l bt hp l. Thc t hng ch c ch trn mt
con tu c bc t cng n cng.
L/C yu cu hng giao ti Nht Bn th trn B/L th hin ng l cng Nht
Bn.
Ngn hng M tranh lun vi Ngn hng B v gi nguyn kin ca mnh
Tiu ca vn n khng th mu thun vi ni dung ca n v phi ph
hp vi thc t hnh trnh con tu
Th tn dng cho php giao hng ti Nht Bn nhng ngi hng li phi
xc nh cng thc t trn B/L.
Cuc tranh ci gia 2 ngn hng cha ng ng th ngn hng M chuyn tr b
chng t thanh ton cho Ngn hng B v tuyn b chm dt mi ngha v i vi
L/C pht hnh.
Qua v d trn y, ta khng bnh lun s ng sai ca hai ngn hng m ch
rt ra 2 bi hc kinh nghim lin quan n tiu v ghi cng bc hng trn B/L:
Th nht, tiu ca vn n ghi nh th no khng quan trng. Nu ch dng
li tiu ca vn n ta cha th kt lun vn n thuc loi no, m quan
trng hn l phi xem xt trn vn n ghi nhng ni dung g?
Th hai, trong nhiu trng hp, ngi mua khng quan tm n cng bc hng
min l hng ha c bc ln tu ti quc gia ngi nhp khu hoc cng c th
ngi bn cha xc nh c c th cng bc hng l cng no nn yu cu ngi
mua m 1 L/C nh vy. Nhng khi giao hng, hin nhin ngi bn phi thc hin
mt hay nhiu cng c th no v cng ny phi c th hin c th trn B/L ch
khng th c lp li ht sc my mc ghi chung chung nh trn L/C c.
4.2. Tranh chp v thanh ton v giao hng khng xut trnh vn n
ng bin gc:
 Theo yu cu ca mt cng ty ti HongKong , ngy 12/03/2013, mt ngn
hng M pht hnh mt L/C tr gi 1,000,000 cho ngi th hng l mt cng ty
ti Malaysia, Ngn hng B phc v ngi bn ng vai tr l ngn hng thng bo
v cng l ngn hng chit khu. Trong L/C qui nh: fullset (3/3) port to port bill
of lading, shipped on board, port of loading must be indicated specially made to the
order of, notify party: consignee
Sau khi hng v n cng d, cng ty Hong kong gi cng vn km theo
B/L bn copy s 100HK v ha dn tr gi 1,000,000 USD, cng vn yu cu ngn
hng M pht hnh bo lnh vi l do hng d ln b nhng cha c B/L nhn
hng. ng thi cng ty ny cng cho php ngn hng trch ti khon ca h
thanh ton bt k chng t giao hng nh th no.
Do c y quyn thanh ton v iu kin ca ngi mua v nm gi ton
b s tin ca L/C ngn hng M pht hnh bo lnh nhn hng vi cam kt s
hon tr ton b vn n gc cho ngi chuyn ch qua nh nhp khu v n b
bt c thit hi no pht sinh t bo lnh ny nu c cho ngi chuyn ch.
Ngy 14/7/2013, ngn hng M nhn c b chng t thanh ton c gi
t ngn hng B, tr gi 1,000,000USD km theo in thng bo ghi r: b chng t
c gi n qu ngn hng thanh ton trn c s UCP600 c bt hp l sau:Vn
n gc khng c xut trnh theo qui nh ca L/C
Do c y quyn thanh ton ngay bt k b chng t nh th no nn ngn
hng M chp thun thanh ton b chng t nh xut trnh v chuyn tr 1,000,000
USD cho cng ty ti Malaysia
Thng v tng nh kt thc nhng ngy 22/7/2013 ngn hng M li nhn
c yu cu nh thu t mt ngn hng C cng b chng t gm:
Hi phiu tr ngay tr gi 1,060,000 do chnh cng ty Malaysia kia k pht
Ha n thng mi, cc giy chng nhn
Cng b vn n ng bin (3/3) s 100 HK, ngi phi tr tin l cng ty
ti Hongkong
Sau khi kim tra chng t, ngn hng M nhn thy vn n ca chng t nh
thu chnh l vn n ng bin theo yu cu ca L/C m h pht hnh vi tr gi
1,000,000 USD thanh ton trc y t ngy. Ngn hng M yu cu cng ty nhp
khu n gii trnh nhng rt tic cng ty ny ngng hot ng. Ngn hng M
in bo cho ngn hng C nh sau:
Ngi tr tin ngng hot ng trn thc t khng cn tn ti
Vn n s 100 HK ca b chng t nh thu c xut trnh theo L/C
ca ngn hng M
Chng t b t chi thanh ton.
Sau ngn hng M chuyn tr ton b chng t cho ngn hng C v tuyn b
khng cn bt c dnh lu no n nh thu na.
Ngy 25/7/2013, Cng ty Malaysia xut trnh B/L s 100 HK cho hng vn ti
v yu cu nhn li hng ha. Hng vn ti gii trnh hng ha theo vn n s 100
HK c giao cho nh nhp khu trn c s bo lnh nhn hng ca ngn hng
M. Nh xut khu bc b lp lun ny v cho rng hng phi chu trch nhim v
giao hng khng trn c s vn n gc v kin hng vn ti ra ta n ti
Singapore.
Sau khi c ta triu tp, hng vn ti gi cng vn chnh thc yu cu ngn
hng M hon tr vn n gc nh cam kt trong bo lnh. Hng vn ti chng
minh vn n s 100 HK cha c xut trnh nhn hng m vic nhn hng l
da trn bo lnh nhn hng ca ngn hng M.
Ngn hng M khng nh trc ta rng h b la bi s dn xp gia 2
cng ty xut khu v nhp khu nhm thu 2 ln tin t 1 l hng. Cng ty nhp khu
khng cn, ngn hng M phi gnh chu ton b trch nhim i vi gi tr l hng
theo vn n s 100 HK nh cam kt trong th bo lnh i vi ngi chuyn ch.
Bi hc rt ra i vi ngn hng pht hnh:
- Ch chp nhn thanh ton b chng t cho khch hng khi b chng t p
ng y mi yu cu ca L/C. K c trong trng hp c lnh ca ngi m
L/C cho php chp nhn thanh ton v iu kin. Ngn hng phi c bit quan tm
ti vic kim sot B/L gc.
- Trng hp pht hnh bo lnh nhn hng cho ngi chuyn ch theo yu
cu ca khch hng phi yu cu hch hng k qu theo gi tr ca l hng. Khi nhn
c vn n gc phi nhanh chng gi cho hng vn ti thu hi bo lnh v.
4.3. Tranh chp lin quan ti ngy k vn n:
 Vn k li vn n vn thng xuyn din ra trong lnh vc thu tu chuyn
ch hng ha xut nhp khu. N xut pht t nhng i hi no ca ngi gi
hng. V d, thi hn giao hng ca hp ng hay L/C ht hay do nhng nguyn
nhan vt cht khc m ngi gi hng yu cu ngi chuyn ch cp pht vn n
li ngy so vi thc t xp hng. y l vic lm khng hp php v tri vi
thong l quc t. Nu ngi mua pht hin thy c du hiu la o v vi phm hp
ng, ng thi tm ti liu chng minh vic vi pham nu trn th h c quyn t
chi nhn hng, t chi thanh ton, khi hu qu s rt nghim trng.
Sau y l mt n l v vic sai ngy xp hng tn vn n dn n tranh
chp kin tng ko di.
Thng 10/2011 cng ty P&G Philipine Manufacturing Co., ltd k hp ng bn
cho cng ty Bocher GMBH 500 tn ci da ng bnh ca Philipine theo iu kin
CIF Rotterdam hamburg Incoterm 2010 vi gi 199.5 USD/tn. Thi hn giao hng
vo thng 1/2012, thi hn ny sau c ko di ti cui thng 2/2012 vi iu
kin gim 3.5% gi hp ng.
Kt qu l mt b vn n hon ho ngy 31/01/2012 c gi ti cho
ngi mua. Ri sau ngi ta thy rng n ngy 06 hoc 10/02/2012 hng mi
c xp xung tu. Tuy nhin khng c du hiu g cho thy ngi bn tham gia
vo vic lui ngy vn n. Sau khi d hng cng ch, hng c em bn
nhng gi ch c khong 57% gi hp ng. Ngi mua i ngi bn phi bi
thng khon chnh lch ny vi l do hng b giao chm.
Ta th k v kin ny cho rng:Vic qui dnh c th thi gian giao hng l
mt iu khon c tnh quyt nh ca hp ng. Tuy nhin khi ngi mua chp
nhn chng t th h khng c quyn gii quyt khiu ni nh vic vi phm
hp ng m ch c th coi l vic vi phm iu khon tha thun trc.
Trong trng hp ny, ngi bn giao hng vo thng 2 s phi bt gi bn theo
tha thun.
Ngi mua lp lun, nu h bit c rng vn n b sai ngy th h
khng nhn hng. Vn khng phi ch ngi mua lm th no bit c
s tht m cn bit quyn li ca h th no nu ngi bn khng vi phm iu
khon ca hp ng. Nu ngi bn bn khng gian ln th trn vn n c th ghi
ngy 06 hoc 10 thng 2 trong trng hp ngi mua khng c quyn t chi
thanh ton tin hng. H ch c quyn khu tr mc gi tha thun do ngi bn
giao hng sai thi hn cho php.Nu nh chnh xc ngi bn lin can ti vic c
tnh sai ngy bc hng th anh tai c th b truy cu v ti la o.
Qua n l trn chng ta rt ra bi hc sau:
- Khi ngi bn theo hp ng c qui nh iu kin CIF xut trnh b
chng t cho ngn hng c ngha l anh ta cam kt v bo m ni dung chn tht
ca cc ti liu trn mi phng din
- Nu ngi mua c nhng bng chng chng minh nhng ti liu sai vi
thc t th h c th t chi nhn hng v t chi tr tin