跟单信用证统一惯例UCP600中英文

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1、wordICC UNIFORM CUSTOMS AND PRACTICE FOR DOCUMENTARY CREDITSUCP 600英文中文FOREWORD2INTRODUCTION4ARTICLE 1 APPLICATION OF UCP10ARTICLE 2 DEFINITIONS11ARTICLE 3 INTERPRETATIONS13ARTICLE 4 CREDITS V. CONTRACTS14ARTICLE 5 DOCUMENTS V. GOODS, SERVICES OR PERFORMANCE15ARTICLE 6 AVAILABILITY, EXPIRY DATE AND

2、PLACE FOR PRESENTATION15ARTICLE 7 ISSUING BANK UNDERTAKING16ARTICLE 8 CONFIRMING BANK UNDERTAKING17ARTICLE 9 ADVISING OF CREDITS AND AMENDMENTS19ARTICLE 10 AMENDMENTS20ARTICLE 11 TELETRANSMITTED AND PRE-ADVISED CREDITS AND AMENDMENTS22ARTICLE 12 NOMINATION22ARTICLE 13 BANK-TO-BANK REIMBURSEMENT ARRA

3、NGEMENTS23ARTICLE 14 STANDARD FOR EXAMINATION OF DOCUMENTS24ARTICLE 15 PLYING PRESENTATION27ARTICLE 16 DISCREPANT DOCUMENTS, WAIVER AND NOTICE27ARTICLE 17 ORIGINAL DOCUMENTS AND COPIES29ARTICLE 18 MERCIAL INVOICE30ARTICLE 19 TRANSPORT DOCUMENT COVERING AT LEAST TWO DIFFERENT MODES OF TRANSPORT31ARTI

4、CLE 20 BILL OF LADING33ARTICLE 21 NON-NEGOTIABLE SEA WAYBILL36ARTICLE 22 CHARTER PARTY BILL OF LADING38ARTICLE 23 AIR TRANSPORT DOCUMENT40ARTICLE 24 ROAD, RAIL OR INLAND WATERWAY TRANSPORT DOCUMENTS41ARTICLE 25 COURIER RECEIPT, POST RECEIPT OR CERTIFICATE OF POSTING44ARTICLE 26 ON DECK, SHIPPERS LOA

5、D AND COUNT, “SAID BY SHIPPER TO CONTAINAND CHARGES ADDITIONAL TO FREIGHT44ARTICLE 27 CLEAN TRANSPORT DOCUMENT45ARTICLE 28 INSURANCE DOCUMENT AND COVERAGE45ARTICLE 29 EXTENSION OF EXPIRY DATE OR LAST DAY FOR PRESENTATION47ARTICLE 30 TOLERANCE IN CREDIT AMOUNT, QUANTITY AND UNIT PRICES48ARTICLE 31 PA

6、RTIAL DRAWINGS OR SHIPMENTS49ARTICLE 32 INSTALMENT DRAWINGS OR SHIPMENTS50ARTICLE 33 HOURS OF PRESENTATION50ARTICLE 34 DISCLAIMER ON EFFECTIVENESS OF DOCUMENTS50ARTICLE 35 DISCLAIMER ON TRANSMISSION AND TRANSLATION51ARTICLE 36 FORCE MAJEURE52ARTICLE 37 DISCLAIMER FOR ACTS OF AN INSTRUCTED PARTY52ART

7、ICLE 38 TRANSFERABLE CREDITS53ARTICLE 39 ASSIGNMENT OF PROCEEDS56UCP600中文版UCP600第一条 UCP的适用X围59第二条定义59第三条解释60第四条信用证与合同61第五条单据与货物、服务或履约行为61第六条兑用方式、截止日和交单地点61第七条开证行责任62第八条保兑行责任62第九条信用证与其修改的通知63第十条修改63第十一条电讯传输的和预先通知的信用证和修改64第十二条指定64第十三条银行之间的偿付安排64第十四条单据审核标准64第十五条相符交单65第十六条不符单据、放弃与通知66第十七条正本单据与副本66第十八条商业

8、发票67第十九条涵盖至少两种不同运输方式的运输单据67第二十条提单68第二十一条不可转让的海运单69第二十二条租船合同提单70第二十三条空运单据70第二十四条公路、铁路或内陆水运单据71第二十五条快递收据、邮政收据或投邮证明72第二十六条“货装舱面、“托运人装载和计数、“内容据托运人报称与运费之外的费用。72第二十七条清洁运输单据72第二十八条保险单据与保险X围72第二十九条截止日或最迟交单日的顺延73第三十条信用证金额、数量与单价的伸缩度73第三十一条局部支款或局部发运73第三十二条分期支款或分期发运74第三十三条交单时间74第三十四条关于单据有效性的免责74第三十五条关于信息传递和翻译的免

9、责74第三十六条不可抗力74第三十七条关于被指示方行为的免责75第三十八条可转让信用证75第三十九条款项让渡76FOREWORDThis revision of the Uniform Customs and Practice for Documentary Credits (monly called “UCP) is the sixth revision of the rules since they were first promulgated in 1933.It is the fruit of more than three years of work by the Internati

10、onal Chamber of merces (ICC) mission on Banking Technique and Practice.ICC, which was established in 1919, had as its primary objective facilitating the flow of international trade at a time when nationalism and protectionism posed serious threats to the world trading system. It was in that spirit t

11、hat the UCP were first introduced to alleviate the confusion caused by individual countries promoting their own national rules on letter of credit practice. The objective, since attained, was to create a set of contractual rules that would establish uniformity in that practice, so that practitioners

12、 would not have to cope with a plethora of often conflicting national regulations. The universal acceptance of the UCP by practitioners in countries with widely divergent economic and judicial systems is a testament to the rules success.It is important to recall that the UCP represent the work of a

13、private international organization, not a governmental body. Since its inception, ICC has insisted on the central role of self-regulation in business practice. These rules, formulated entirely by experts in the private sector, have validated that approach. The UCP remain the most successful set of p

14、rivate rules for trade ever developed.A range of individuals and groups contributed to the current revision, which is entitled UCP 600. These include the UCP Drafting Group, which sifted through more than 5000 individual ments before arriving at this consensus text; the UCP Consulting Group,consisti

15、ng of members from more than 25 countries, which served as the advisory body reacting to and proposing changes to the various drafts; the more than 400 members ofthe ICC mission on Banking Technique and Practice who made ertinentsuggestions for changes in the text; and ICC national mittees worldwide

16、 which took an active role in consolidating ments from their members. ICC also expresses its gratitude to practitioners in the transport and Insurance industries, whose perceptive suggestions honed the final draft.Guy Sebban Secretary GeneralInternational Chamber of merceINTRODUCTIONIn May 2003, the

17、 International Chamber of merce authorized the ICC mission on Banking Technique and Practice (Banking mission) to begin a revision of the Uniform Customs and Practice for Documentary Credits, ICC Publication 500.As with other revisions, the general objective was to address developments in the bankin

18、g, transport and insurance industries. Additionally, there was a need to look at the language and style used in the UCP to remove wording that could lead to inconsistent application and interpretation.When work on the revision started, a number of global surveys indicated that, because of discrepanc

19、ies, approximately 70% of documents presented under letters of credit were being rejected on first presentation. This obviously had, and continues to have, a negative effect on the letter of credit being seen as a means of payment and, if unchecked, could have serious implications for maintaining or

20、 increasing its market share as a recognized means of settlement in international trade. The introduction by banks of a discrepancy fee has highlighted the importance of this issue, especially when the underlying discrepancies have been found to be dubious or unsound. Whilst the number of cases invo

21、lving litigation has not grown during the lifetime of UCP 500, the introduction of the ICCs Documentary Credit Dispute Resolution Expertise Rules (DOCDEX) in October 1997 (subsequently revised in March 2002) has resulted in more than 60 cases being decided.To address these and other concerns, the Ba

22、nking mission established a Drafting Group to revise UCP 500. It was also decided to create a second group, known as the Consulting Group, to review and advise on early drafts submitted by the Drafting Group.The Consulting Group, made up of over 40 individuals from 26 countries, consisted of banking

23、 and transport industry experts. Ably co-chaired by John Turnbull, Deputy General Manager, Sumitomo Mitsui Banking Corporation Europe Ltd, London and CarloDi Ninni, Adviser, Italian Bankers Association, Rome, the Consulting Group provided valuable input to the Drafting Group prior to release of draf

24、t texts to ICC national mittees.The Drafting Group began the review process by analyzing the content of the official Opinions issued by the Banking mission under UCP 500. Some 500 Opinions were reviewed to assess whether the issues involved warranted a change in, an addition to or a deletion of any

25、UCP article. In addition, consideration was given to the content of thefour Position Papers issued by the mission in September 1994, the two Decisions issued by the mission (concerning the introduction of the euro and the determination of what constituted an original document under UCP 500 sub-artic

26、le 20(b) and the decisions issued in DOCDEX cases. During the revision process, notice was taken of the considerable work that had been pleted in creating the International Standard Banking Practice for the Examination of Documents under Documentary Credits (ISBP), ICC Publication 645. This publicat

27、ionhas evolved into a necessary panion to the UCP for determining pliance of documents with the terms of letters of credit. It is the expectation of the Drafting Group and the Banking mission that the application of the principles contained in the ISBP, including subsequent revisions thereof, will c

28、ontinue during the time UCP 600 is in force. At the time UCP 600 is implemented, there will be an updated version of theISBP to bring its contents in line with the substance and style of the new rules. The four Position Papers issued in September 1994 were issued subject to their application under U

29、CP 500; therefore, they will not be applicable under UCP 600. The essence of the Decision covering the determination of an original document has been incorporated into the text of UCP 600. The oute of the DOCDEX cases were invariably based on existing ICC Banking mission Opinions and therefore conta

30、ined no specific issues that required addressing in these rules.One of the structural changes to the UCP is the introduction of articles covering definitions (article 2) and interpretations (article 3). In providing definitions of rolesplayed by banks and the meaning of specific terms and events, UC

31、P 600 avoids the necessity of repetitive text to explain their interpretation and application. Similarly, the article covering interpretations aims to take the ambiguity out of vague or unclear language that appears in letters of credit and to provide a definitive elucidation of other characteristic

32、s of the UCP or the credit.During the course of the last three years, ICC national mittees were canvassed on a range of issues to determine their preferences on alternative texts submitted by the Drafting Group. The results of this exercise and the considerable input from national mittees on individ

33、ual items in the text is reflected in the content of UCP 600. The Drafting Group considered, not only the current practice relative to the documentary credit, but also tried to envisage the future evolution of that practice.This revision of the UCP represents the culmination of over three years of e

34、xtensive analysis, review, debate and promise amongst the various members of the Drafting Group, the members of the Banking mission and the respective ICC national mittees. Valuable ment has also been received from the ICC mission on Transport and Logistics, the mission on mercial Law and Practice a

35、nd the mittee on Insurance.It is not appropriate for this publication to provide an explanation as to why an article has been worded in such a way or what is intended by its incorporation into the rules.For those interested in understanding the rationale and interpretation of the articles of UCP 600

36、, this information will be found in the mentary to the rules, ICC Publication 601, which represents the Drafting Groups views.On behalf of the Drafting Group I would like to extend our deep appreciation to the members of the Consulting Group, ICC national mittees and members of the Banking mission f

37、or their professional ments and their constructive participation in this process. Special thanks are due to the members of the Drafting Group and their institutions, who are listed below in alphabetical order.Nicole Keller Vice President, Service International Products, Dresdner Bank AG,Frankfurt, G

38、ermany; Representative to the ICC mission on Banking Technique and Practice;Laurence Kooy Legal Adviser, BNP Paribas, Paris, France; Representative to the ICC mission on Banking Technique and Practice.Katja Lehr Business Manager, Trade Services Standards, SWIFT, La Hulpe, Belgium,then Vice President

39、, Membership Representation, International Financial Services Association, New Jersey, USA; Representative to the ICC mission on Banking Technique and Practice;Ole Malmqvist Vice President, Danske Bank, Copenhagen, Denmark; Representative to the ICC mission on Banking Technique and Practice;Paul Mis

40、erez Head of Trade Finance Standards, SWIFT, La Hulpe, Belgium;Representative to the ICC mission on Banking Technique and Practice;Ren Mueller Director, Credit Suisse, Zurich, Switzerland; Representative to the ICCmission on Banking Technique and Practice;Chee Seng Soh Consultant, Association of Ban

41、ks in Singapore, Singapore;Representative to the ICC mission on Banking Technique and Practice;Dan Taylor President and CEO, International Financial Services Association., New Jersey USA; Vice Chairman, ICC mission on Banking Technique and Practice;Alexander Zelenov Director, Vnesheconombank, Moscow

42、, Russia; Vice Chairman,ICC mission on Banking Technique and Practice;Ron Katz Policy Manager, ICC mission on Banking Technique and Practice,International Chamber of merce, Paris, France.The undersigned had the pleasure of chairing the Drafting Group.It was through the generous giving of their knowl

43、edge, time and energy that this revision was acplished so successfully. As Chair of the Drafting Group, I would like to extend to them and to their institutions my gratitude for their contribution, for a job well done and for their friendship. I would also like to extend my sincere thanks to themana

44、gement of ABN AMRO Bank N.V., for their understanding, patience and support during the course of this revision process.Gary CollyerCorporate Director,ABN AMRO Bank N.V., London, England and Technical Adviser to the ICC mission on Banking Technique and PracticeNovember 2006Article 1 Application of UC

45、PThe Uniform Customs and Practice for Documentary Credits, 2007 Revision, ICC Publication no. 600 (“UCP) are rules that apply to any documentary credit (“credit) (including, to the extent to which they may be applicable, any standby letter of credit) when the text of the credit expressly indicates t

46、hat it is subject to these rules. They are binding on all parties thereto unless expressly modified or excluded by the credit.Article 2 DefinitionsFor the purpose of these rules:Advising bank means the bank that advises the credit at the request of the issuing bank.Applicant means the party on whose

47、 request the credit is issued.Banking day means a day on which a bank is regularly open at the place at which an act subject to these rules is to be performed.Beneficiary means the party in whose favour a credit is issued.plying presentation means a presentation that is in accordance with the terms

48、and conditions of the credit, the applicable provisions of these rules and international standard banking practice.Confirmation means a definite undertaking of the confirming bank, in addition to that of the issuing bank, to honour or negotiate a plying presentation.Confirming bank means the bank th

49、at adds its confirmation to a credit upon the issuing banks authorization or request.Credit means any arrangement, however named or described, that is irrevocable and thereby constitutes a definite undertaking of the issuing bank to honour a plying presentation.Honour means:a. to pay at sight if the

50、 credit is available by sight payment.b. to incur a deferred payment undertaking and pay at maturity if the credit is available by deferred payment.c. to accept a bill of exchange (“draft) drawn by the beneficiary and pay atmaturity if the credit is available by acceptance.Issuing bank means the ban

51、k that issues a credit at the request of an applicant or on its own behalf.Negotiation means the purchase by the nominated bank of drafts (drawn on a bank other than the nominated bank) and/or documents under a plying presentation, by advancing or agreeing to advance funds to the beneficiary on or b

52、efore the banking day on which reimbursement is due to the nominated bank.Nominated bank means the bank with which the credit is available or any bank in the case of a credit available with any bank.Presentation means either the delivery of documents under a credit to the issuing bank or nominated b

53、ank or the documents so delivered.Presenter means a beneficiary, bank or other party that makes a presentation.Article 3 InterpretationsFor the purpose of these rules:Where applicable, words in the singular include the plural and in the plural include the singular.A credit is irrevocable even if the

54、re is no indication to that effect.A document may be signed by handwriting, facsimile signature, perforated signature,stamp, symbol or any other mechanical or electronic method of authentication.A requirement for a document to be legalized, visaed, certified or similar will be satisfied by any signa

55、ture, mark, stamp or label on the document which appears to satisfy that requirement.Branches of a bank in different countries are considered to be separate banks.Terms such as first class, well known, qualified, independent, official,petent or local used to describe the issuer of a document allow a

56、ny issuer except the beneficiary to issue that document.Unless required to be used in a document, words such as prompt, immediately or as soon as possible will be disregarded.The expression on or about or similar will be interpreted as a stipulation that an event is to occur during a period of five

57、calendar days before until five calendar days after the specified date, both start and end dates included.The words to, until, till, “from and “between when used to determine a period of shipment include the date or dates mentioned, and the words “before and afterexclude the date mentioned.The words

58、 “from and after when used to determine a maturity date exclude the date mentioned.The terms first half and second half of a month shall be construed respectively as the 1st to the 15th and the 16th to the last day of the month, all dates inclusive.The terms beginning, middle and end of a month shal

59、l be construed respectively as the 1st to the 10th, the 11th to the 20th and the 21st to the last day of the month, all dates inclusive.Article 4 Credits v. Contractsa. A credit by its nature is a separate transaction from the sale or other contract on which it may be based. Banks are in no way conc

60、erned with or bound by such contract, even if any reference whatsoever to it is included in the credit.Consequently, the undertaking of a bank to honour, to negotiate or to fulfil any other obligation under the credit is not subject to claims or defences by the applicant resulting from its relations

61、hips with the issuing bank or the beneficiary.A beneficiary can in no case avail itself of the contractual relationships existing between banks or between the applicant and the issuing bank.b. An issuing bank should discourage any attempt by the applicant to include, as an integral part of the credi

62、t, copies of the underlying contract, proforma invoice and the like.Article 5 Documents v. Goods, Services or PerformanceBanks deal with documents and not with goods, services or performance to which the documents may relate.Article 6 Availability, Expiry Date and Place for Presentationa. A credit m

63、ust state the bank with which it is available or whether it is available with any bank. A credit available with a nominated bank is also available with the issuing bank.b. A credit must state whether it is available by sight payment, deferred payment,acceptance or negotiation.c. A credit must not be

64、 issued available by a draft drawn on the applicant.d. i. A credit must state an expiry date for presentation. An expiry datestated for honour or negotiation will be deemed to be an expiry date forpresentation.ii. The place of the bank with which the credit is available is the place forpresentation.

65、 The place for presentation under a credit available with anybank is that of any bank. A place for presentation other than that of theissuing bank is in addition to the place of the issuing bank.e. Except as provided in sub-article 29 (a), a presentation by or on behalf of the beneficiary must be made on or before the expiry date.Ar