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1、,ICC UNIFORM CUSTOMS AND PRACTICE FOR DOCUMENTARY CREDITSUCP 600 英文英文 中中文文FOREWORD.2INTRODUCTION.4ARTICLE 1 APPLICATION OF UCP.10ARTICLE 2 DEFINITIONS.11ARTICLE 3 INTERPRETATIONS.13ARTICLE 4 CREDITS V. CONTRACTS.14ARTICLE 5 DOCUMENTS V. GOODS, SERVICES OR PERFORMANCE.15ARTICLE 6 AVAILABILITY, EXPIRY
2、 DATE AND PLACE FOR PRESENTATION.15ARTICLE 7 ISSUING BANK UNDERTAKING.16ARTICLE 8 CONFIRMING BANK UNDERTAKING.17ARTICLE 9 ADVISING OF CREDITS AND AMENDMENTS .19ARTICLE 10 AMENDMENTS .20ARTICLE 11 TELETRANSMITTED AND PRE-ADVISED CREDITS AND AMENDMENTS.22ARTICLE 12 NOMINATION .22ARTICLE 13 BANK-TO-BAN
3、K REIMBURSEMENT ARRANGEMENTS .23ARTICLE 14 STANDARD FOR EXAMINATION OF DOCUMENTS.24ARTICLE 15 COMPLYING PRESENTATION.27ARTICLE 16 DISCREPANT DOCUMENTS, WAIVER AND NOTICE .27ARTICLE 17 ORIGINAL DOCUMENTS AND COPIES .29ARTICLE 18 COMMERCIAL INVOICE.30ARTICLE 19 TRANSPORT DOCUMENT COVERING AT LEAST TWO
4、 DIFFERENT MODES OF TRANSPORT.31ARTICLE 20 BILL OF LADING.33ARTICLE 21 NON-NEGOTIABLE SEA WAYBILL .36,ARTICLE 22 CHARTER PARTY BILL OF LADING.38ARTICLE 23 AIR TRANSPORT DOCUMENT.40ARTICLE 24 ROAD, RAIL OR INLAND WATERWAY TRANSPORT DOCUMENTS.41ARTICLE 25 COURIER RECEIPT, POST RECEIPT OR CERTIFICATE O
5、F POSTING .44ARTICLE 26 ON DECK, SHIPPERS LOAD AND COUNT, “SAID BY SHIPPER TO CONTAIN”AND CHARGES ADDITIONAL TO FREIGHT .44ARTICLE 27 CLEAN TRANSPORT DOCUMENT.45ARTICLE 28 INSURANCE DOCUMENT AND COVERAGE .45ARTICLE 29 EXTENSION OF EXPIRY DATE OR LAST DAY FOR PRESENTATION.47ARTICLE 30 TOLERANCE IN CR
6、EDIT AMOUNT, QUANTITY AND UNIT PRICES.48ARTICLE 31 PARTIAL DRAWINGS OR SHIPMENTS.49ARTICLE 32 INSTALMENT DRAWINGS OR SHIPMENTS.50ARTICLE 33 HOURS OF PRESENTATION .50ARTICLE 34 DISCLAIMER ON EFFECTIVENESS OF DOCUMENTS.50ARTICLE 35 DISCLAIMER ON TRANSMISSION AND TRANSLATION.51ARTICLE 36 FORCE MAJEURE.
7、52ARTICLE 37 DISCLAIMER FOR ACTS OF AN INSTRUCTED PARTY.52ARTICLE 38 TRANSFERABLE CREDITS .53ARTICLE 39 ASSIGNMENT OF PROCEEDS .56UCP600中文版UCP600第一条第一条 UCP 的适用范的适用范围围.59第二条第二条 定定义义.59第三条第三条 解解释释.60第四条第四条 信用信用证证与合同与合同.61第五条第五条 单单据与据与货货物、服物、服务务或履或履约约行行为为.61第六条第六条 兑兑用方式、截止日和交用方式、截止日和交单单地点地点.61第七条第七条 开开
8、证证行行责责任任.62第八条第八条 保保兑兑行行责责任任.62第九条第九条 信用信用证证及其修改的通知及其修改的通知.63第十条第十条 修改修改.63,第十一条第十一条 电讯传输电讯传输的和的和预预先通知的信用先通知的信用证证和修改和修改.64第十二条第十二条 指定指定.64第十三条第十三条 银银行之行之间间的的偿偿付安排付安排.64第十四条第十四条 单单据据审审核核标标准准.64第十五条第十五条 相符交相符交单单.65第十六条第十六条 不符不符单单据据、 、放弃及通知放弃及通知.66第十七条第十七条 正本正本单单据及副本据及副本.66第十八条第十八条 商商业发业发票票.67第十九条第十九条
9、涵盖至少两种不同运涵盖至少两种不同运输输方式的运方式的运输单输单据据.67第二十条第二十条 提提单单.68第二十一条第二十一条 不可不可转让转让的海运的海运单单.69第二十二条第二十二条 租船合同提租船合同提单单.70第二十三条第二十三条 空运空运单单据据.70第二十四条第二十四条 公路、公路、铁铁路或内路或内陆陆水运水运单单据据.71第二十五条第二十五条 快快递递收据、收据、邮邮政收据或投政收据或投邮证邮证明明.72第二十六条第二十六条 “货货装装舱舱面面”、 、 “托运人装托运人装载载和和计计数数”、 、 “内容据托运人内容据托运人报报称称”及运及运费费之外的之外的费费用。用。.72第二十
10、七条第二十七条 清清洁洁运运输单输单据据.72第二十八条第二十八条 保保险单险单据及保据及保险险范范围围.72第二十九条第二十九条 截止日或最截止日或最迟迟交交单单日的日的顺顺延延.73第三十条第三十条 信用信用证证金金额额、数量与、数量与单单价的伸价的伸缩缩度度.73第三十一条第三十一条 部分支款或部分部分支款或部分发发运运.73第三十二条第三十二条 分期支款或分期分期支款或分期发发运运.74第三十三条第三十三条 交交单时间单时间.74第三十四条第三十四条 关于关于单单据有效性的免据有效性的免责责.74第三十五条第三十五条 关于信息关于信息传递传递和翻和翻译译的免的免责责.74第三十六条第三
11、十六条 不可抗力不可抗力.74第三十七条第三十七条 关于被指示方行关于被指示方行为为的免的免责责.75第三十八条第三十八条 可可转让转让信用信用证证.75第三十九条第三十九条 款款项让项让渡渡.76,FOREWORDThis revision of the Uniform Customs and Practice for Documentary Credits (commonly called “UCP”) is the sixth revision of the rules since they were first promulgated in 1933.It is the fruit o
12、f more than three years of work by the International Chamber of Commerces (ICC) Commission 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 threat
13、s to the world trading system. It was in that spirit that 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 establ
14、ish uniformity in that practice, so that practitioners 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 imp
15、ortant to recall that the UCP represent the work of a 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 tha
16、t approach. The UCP remain the most successful set of private 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 comments before arriving
17、 at this consensus text; the UCP Consulting Group,consisting 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 Commission on Banking Technique and Practice who made ertinentsuggestion
18、s for changes in the text; and ICC national committees worldwide which took an active role in consolidating comments 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 Secretar
19、y GeneralInternational Chamber of Commerce,INTRODUCTIONIn May 2003, the International Chamber of Commerce authorized the ICC Commission on Banking Technique and Practice (Banking Commission) to begin a revision of the Uniform Customs and Practice for Documentary Credits, ICC Publication 500.As with
20、other revisions, the general objective was to address developments in the banking, 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 re
21、vision started, a number of global surveys indicated that, because of discrepancies, 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
22、of payment and, if unchecked, could have serious implications for maintaining or 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 discrep
23、ancies have been found to be dubious or unsound. Whilst the number of cases involving 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 resulte
24、d in more than 60 cases being decided.To address these and other concerns, the Banking Commission 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 Cons
25、ulting Group, made up of over 40 individuals from 26 countries, consisted of banking 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 Con
26、sulting Group provided valuable input to the Drafting Group prior to release of draft texts to ICC national committees.The Drafting Group began the review process by analyzing the content of the official Opinions issued by the Banking Commission under UCP 500. Some 500 Opinions were reviewed to asse
27、ss whether the issues involved warranted a change in, an addition to or a deletion of any UCP article. In addition, consideration was given to the content of thefour Position Papers issued by the Commission in September 1994, the two Decisions issued by the Commission (concerning the introduction of
28、 the euro and the determination of what constituted an original document under UCP 500 sub-article 20(b) and the decisions issued ,in DOCDEX cases. During the revision process, notice was taken of the considerable work that had been completed in creating the International Standard Banking Practice f
29、or the Examination of Documents under Documentary Credits (ISBP), ICC Publication 645. This publicationhas evolved into a necessary companion to the UCP for determining compliance of documents with the terms of letters of credit. It is the expectation of the Drafting Group and the Banking Commission
30、 that the application of the principles contained in the ISBP, including subsequent revisions thereof, will continue 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
31、new rules. The four Position Papers issued in September 1994 were issued subject to their application under UCP 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. Th
32、e outcome of the DOCDEX cases were invariably based on existing ICC Banking Commission Opinions and therefore contained 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 interpretat
33、ions (article 3). In providing definitions of roles,played by banks and the meaning of specific terms and events, UCP 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 o
34、r unclear language that appears in letters of credit and to provide a definitive elucidation of other characteristics of the UCP or the credit. During the course of the last three years, ICC national committees were canvassed on a range of issues to determine their preferences on alternative texts s
35、ubmitted by the Drafting Group. The results of this exercise and the considerable input from national committees on individual 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
36、envisage the future evolution of that practice.This revision of the UCP represents the culmination of over three years of extensive analysis, review, debate and compromise amongst the various members of the Drafting Group, the members of the Banking Commission and the respective ICC national committ
37、ees. Valuable comment has also been received from the ICC Commission on Transport and Logistics, the Commission on Commercial Law and Practice and the Committee 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 wha
38、t is intended by its ,incorporation into the rules.For those interested in understanding the rationale and interpretation of the articles of UCP 600, this information will be found in the Commentary to the rules, ICC Publication 601, which represents the Drafting Groups views.On behalf of the Drafti
39、ng Group I would like to extend our deep appreciation to the members of the Consulting Group, ICC national committees and members of the Banking Commission for their professional comments and their constructive participation in this process. Special thanks are due to the members of the Drafting Grou
40、p and their institutions, who are listed below in alphabetical order.Nicole Keller Vice President, Service International Products, Dresdner Bank AG,Frankfurt, Germany; Representative to the ICC Commission on Banking Technique and Practice;Laurence Kooy Legal Adviser, BNP Paribas, Paris, France; Repr
41、esentative to the ICC Commission on Banking Technique and Practice.Katja Lehr Business Manager, Trade Services Standards, SWIFT, La Hulpe, Belgium,then Vice President, Membership Representation, International Financial Services Association, New Jersey, USA; Representative to the ICC Commission on Ba
42、nking Technique and Practice;Ole Malmqvist Vice President, Danske Bank, Copenhagen, Denmark; Representative to the ICC Commission on Banking Technique and Practice;Paul Miserez Head of Trade Finance Standards, SWIFT, La Hulpe, ,Belgium;Representative to the ICC Commission on Banking Technique and Pr
43、actice;Ren Mueller Director, Credit Suisse, Zurich, Switzerland; Representative to the ICCCommission on Banking Technique and Practice;Chee Seng Soh Consultant, Association of Banks in Singapore, Singapore;Representative to the ICC Commission on Banking Technique and Practice;Dan Taylor President an
44、d CEO, International Financial Services Association., New Jersey USA; Vice Chairman, ICC Commission on Banking Technique and Practice;Alexander Zelenov Director, Vnesheconombank, Moscow, Russia; Vice Chairman,ICC Commission on Banking Technique and Practice;Ron Katz Policy Manager, ICC Commission on
45、 Banking Technique and Practice,International Chamber of Commerce, Paris, France.The undersigned had the pleasure of chairing the Drafting Group.It was through the generous giving of their knowledge, time and energy that this revision was accomplished so successfully. As Chair of the Drafting Group,
46、 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 themanagement of ABN AMRO Bank N.V., for their understanding, patience and support during the course of this r
47、evision process.Gary Collyer,Corporate Director,ABN AMRO Bank N.V., London, England and Technical Adviser to the ICC Commission on Banking Technique and PracticeNovember 2006Article 1 Application of UCPThe Uniform Customs and Practice for Documentary Credits, 2007 Revision, ICC Publication no. 600 (
48、“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 that it is subject to these rules. They are binding on all parties thereto unless expressly modifi
49、ed 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 request the credit is issued.Banking day means a day on which a bank is regularly open at the pl
50、ace at which an act subject to these rules is to be performed.Beneficiary means the party in whose favour a credit is issued.,Complying presentation means a presentation that is in accordance with the terms and conditions of the credit, the applicable provisions of these rules and international stan