新版UCP600的中英文版下載

ICCUNIFORMCUSTOMSANDPRACTICEFORDOCUMENTARYCREDITSUCP600英文HYPERLINK\h\zFOREWORD 2INTRODUCTION 4Article1ApplicationofUCP 10Article2Definitions 11Article3Interpretations 13Article4Creditsv.Contracts 14Article5Documentsv.Goods,ServicesorPerformance 15Article6Availability,ExpiryDateandPlaceforPresentation 15Article7IssuingBankUndertaking 16Article8ConfirmingBankUndertaking 17Article9AdvisingofCreditsandAmendments 19Article10Amendments 20Article11TeletransmittedandPre-AdvisedCreditsandAmendments 22Article12Nomination 22Article13Bank-to-BankReimbursementArrangements 23Article14StandardforExaminationofDocuments 24Article15ComplyingPresentation 27Article16DiscrepantDocuments,WaiverandNotice 27Article17OriginalDocumentsandCopies 29Article18CommercialInvoice 30Article19TransportDocumentCoveringatLeastTwoDifferentModesofTransport 31Article20BillofLading 33Article21Non-NegotiableSeaWaybill 36Article22CharterPartyBillofLading 38Article23AirTransportDocument 40Article24Road,RailorInlandWaterwayTransportDocuments 41Article25CourierReceipt,PostReceiptorCertificateofPosting 44Article26"OnDeck","Shipper'sLoadandCount",“SaidbyShippertoContain〞andChargesAdditionaltoFreight 44Article27CleanTransportDocument 45Article28InsuranceDocumentandCoverage 45Article29ExtensionofExpiryDateorLastDayforPresentation 47Article30ToleranceinCreditAmount,QuantityandUnitPrices 48Article31PartialDrawingsorShipments 49Article32InstalmentDrawingsorShipments 50Article33HoursofPresentation 50Article34DisclaimeronEffectivenessofDocuments 50Article35DisclaimeronTransmissionandTranslation 51Article36ForceMajeure 52Article37DisclaimerforActsofanInstructedParty 52Article38TransferableCredits 53Article39AssignmentofProceeds 56UCP600中文版UCP600第一條UCP的適用范圍 59第二條定義 59第三條解釋 60第四條信用證與合同 61第五條單據(jù)與貨物、效勞或履約行為 61第六條兌用方式、截止日和交單地點 61第七條開證行責任 62第八條保兌行責任 62第九條信用證及其修改的通知 63第十條修改 63第十一條電訊傳輸?shù)暮皖A先通知的信用證和修改 64第十二條指定 64第十三條銀行之間的償付安排 64第十四條單據(jù)審核標準 64第十五條相符交單 65第十六條不符單據(jù)、放棄及通知 66第十七條正本單據(jù)及副本 66第十八條商業(yè)發(fā)票 67第十九條涵蓋至少兩種不同運輸方式的運輸單據(jù) 67第二十條提單 68第二十一條不可轉(zhuǎn)讓的海運單 69第二十二條租船合同提單 70第二十三條空運單據(jù) 70第二十四條公路、鐵路或內(nèi)陸水運單據(jù) 71第二十五條快遞收據(jù)、郵政收據(jù)或投郵證明 72第二十六條“貨裝艙面〞、“托運人裝載和計數(shù)〞、“內(nèi)容據(jù)托運人報稱〞及運費之外的費用。 72第二十七條清潔運輸單據(jù) 72第二十八條保險單據(jù)及保險范圍 72第二十九條截止日或最遲交單日的順延 73第三十條信用證金額、數(shù)量與單價的伸縮度 73第三十一條局部支款或局部發(fā)運 73第三十二條分期支款或分期發(fā)運 74第三十三條交單時間 74第三十四條關(guān)于單據(jù)有效性的免責 74第三十五條關(guān)于信息傳遞和翻譯的免責 74第三十六條不可抗力 74第三十七條關(guān)于被指示方行為的免責 75第三十八條可轉(zhuǎn)讓信用證 75第三十九條款項讓渡 76FOREWORDThisrevisionoftheUniformCustomsandPracticeforDocumentaryCredits(commonlycalled“UCP〞)isthesixthrevisionoftherulessincetheywerefirstpromulgatedin1933.ItisthefruitofmorethanthreeyearsofworkbytheInternationalChamberofCommerce’s(ICC)CommissiononBankingTechniqueandPractice.ICC,whichwasestablishedin1919,hadasitsprimaryobjectivefacilitatingtheflowofinternationaltradeatatimewhennationalismandprotectionismposedseriousthreatstotheworldtradingsystem.ItwasinthatspiritthattheUCPwerefirstintroduced–toalleviatetheconfusioncausedbyindividualcountries’promotingtheirownnationalrulesonletterofcreditpractice.Theobjective,sinceattained,wastocreateasetofcontractualrulesthatwouldestablishuniformityinthatpractice,sothatpractitionerswouldnothavetocopewithaplethoraofoftenconflictingnationalregulations.TheuniversalacceptanceoftheUCPbypractitionersincountrieswithwidelydivergenteconomicandjudicialsystemsisatestamenttotherules’success.ItisimportanttorecallthattheUCPrepresenttheworkofaprivateinternationalorganization,notagovernmentalbody.Sinceitsinception,ICChasinsistedonthecentralroleofself-regulationinbusinesspractice.Theserules,formulatedentirelybyexpertsintheprivatesector,havevalidatedthatapproach.TheUCPremainthemostsuccessfulsetofprivaterulesfortradeeverdeveloped.Arangeofindividualsandgroupscontributedtothecurrentrevision,whichisentitledUCP600.TheseincludetheUCPDraftingGroup,whichsiftedthroughmorethan5000individualcommentsbeforearrivingatthisconsensustext;theUCPConsultingGroup,consistingofmembersfrommorethan25countries,whichservedastheadvisorybodyreactingtoandproposingchangestothevariousdrafts;themorethan400membersoftheICCCommissiononBankingTechniqueandPracticewhomadeertinentsuggestionsforchangesinthetext;andICCnationalcommitteesworldwidewhichtookanactiveroleinconsolidatingcommentsfromtheirmembers.ICCalsoexpressesitsgratitudetopractitionersinthetransportandInsuranceindustries,whoseperceptivesuggestionshonedthefinaldraft.GuySebbanSecretaryGeneralInternationalChamberofCommerceINTRODUCTIONInMay2023,theInternationalChamberofCommerceauthorizedtheICCCommissiononBankingTechniqueandPractice(BankingCommission)tobeginarevisionoftheUniformCustomsandPracticeforDocumentaryCredits,ICCPublication500.Aswithotherrevisions,thegeneralobjectivewastoaddressdevelopmentsinthebanking,transportandinsuranceindustries.Additionally,therewasaneedtolookatthelanguageandstyleusedintheUCPtoremovewordingthatcouldleadtoinconsistentapplicationandinterpretation.Whenworkontherevisionstarted,anumberofglobalsurveysindicatedthat,becauseofdiscrepancies,approximately70%ofdocumentspresentedunderlettersofcreditwerebeingrejectedonfirstpresentation.Thisobviouslyhad,andcontinuestohave,anegativeeffectontheletterofcreditbeingseenasameansofpaymentand,ifunchecked,couldhaveseriousimplicationsformaintainingorincreasingitsmarketshareasarecognizedmeansofsettlementininternationaltrade.Theintroductionbybanksofadiscrepancyfeehashighlightedtheimportanceofthisissue,especiallywhentheunderlyingdiscrepancieshavebeenfoundtobedubiousorunsound.WhilstthenumberofcasesinvolvinglitigationhasnotgrownduringthelifetimeofUCP500,theintroductionoftheICC’sDocumentaryCreditDisputeResolutionExpertiseRules(DOCDEX)inOctober1997(subsequentlyrevisedinMarch2023)hasresultedinmorethan60casesbeingdecided.Toaddresstheseandotherconcerns,theBankingCommissionestablishedaDraftingGrouptoreviseUCP500.Itwasalsodecidedtocreateasecondgroup,knownastheConsultingGroup,toreviewandadviseonearlydraftssubmittedbytheDraftingGroup.TheConsultingGroup,madeupofover40individualsfrom26countries,consistedofbankingandtransportindustryexperts.Ablyco-chairedbyJohnTurnbull,DeputyGeneralManager,SumitomoMitsuiBankingCorporationEuropeLtd,LondonandCarloDiNinni,Adviser,ItalianBankersAssociation,Rome,theConsultingGroupprovidedvaluableinputtotheDraftingGrouppriortoreleaseofdrafttextstoICCnationalcommittees.TheDraftingGroupbeganthereviewprocessbyanalyzingthecontentoftheofficialOpinionsissuedbytheBankingCommissionunderUCP500.Some500Opinionswerereviewedtoassesswhethertheissuesinvolvedwarrantedachangein,anadditiontooradeletionofanyUCParticle.Inaddition,considerationwasgiventothecontentofthefourPositionPapersissuedbytheCommissioninSeptember1994,thetwoDecisionsissuedbytheCommission(concerningtheintroductionoftheeuroandthedeterminationofwhatconstitutedanoriginaldocumentunderUCP500sub-article20(b)andthedecisionsissuedinDOCDEXcases.Duringtherevisionprocess,noticewastakenoftheconsiderableworkthathadbeencompletedincreatingtheInternationalStandardBankingPracticefortheExaminationofDocumentsunderDocumentaryCredits(ISBP),ICCPublication645.ThispublicationhasevolvedintoanecessarycompaniontotheUCPfordeterminingcomplianceofdocumentswiththetermsoflettersofcredit.ItistheexpectationoftheDraftingGroupandtheBankingCommissionthattheapplicationoftheprinciplescontainedintheISBP,includingsubsequentrevisionsthereof,willcontinueduringthetimeUCP600isinforce.AtthetimeUCP600isimplemented,therewillbeanupdatedversionoftheISBPtobringitscontentsinlinewiththesubstanceandstyleofthenewrules.ThefourPositionPapersissuedinSeptember1994wereissuedsubjecttotheirapplicationunderUCP500;therefore,theywillnotbeapplicableunderUCP600.TheessenceoftheDecisioncoveringthedeterminationofanoriginaldocumenthasbeenincorporatedintothetextofUCP600.TheoutcomeoftheDOCDEXcaseswereinvariablybasedonexistingICCBankingCommissionOpinionsandthereforecontainednospecificissuesthatrequiredaddressingintheserules.OneofthestructuralchangestotheUCPistheintroductionofarticlescoveringdefinitions(article2)andinterpretations(article3).Inprovidingdefinitionsofrolesplayedbybanksandthemeaningofspecifictermsandevents,UCP600avoidsthenecessityofrepetitivetexttoexplaintheirinterpretationandapplication.Similarly,thearticlecoveringinterpretationsaimstotaketheambiguityoutofvagueorunclearlanguagethatappearsinlettersofcreditandtoprovideadefinitiveelucidationofothercharacteristicsoftheUCPorthecredit.Duringthecourseofthelastthreeyears,ICCnationalcommitteeswerecanvassedonarangeofissuestodeterminetheirpreferencesonalternativetextssubmittedbytheDraftingGroup.TheresultsofthisexerciseandtheconsiderableinputfromnationalcommitteesonindividualitemsinthetextisreflectedinthecontentofUCP600.TheDraftingGroupconsidered,notonlythecurrentpracticerelativetothedocumentarycredit,butalsotriedtoenvisagethefutureevolutionofthatpractice.ThisrevisionoftheUCPrepresentstheculminationofoverthreeyearsofextensiveanalysis,review,debateandcompromiseamongstthevariousmembersoftheDraftingGroup,themembersoftheBankingCommissionandtherespectiveICCnationalcommittees.ValuablecommenthasalsobeenreceivedfromtheICCCommissiononTransportandLogistics,theCommissiononCommercialLawandPracticeandtheCommitteeonInsurance.Itisnotappropriateforthispublicationtoprovideanexplanationastowhyanarticlehasbeenwordedinsuchawayorwhatisintendedbyitsincorporationintotherules.ForthoseinterestedinunderstandingtherationaleandinterpretationofthearticlesofUCP600,thisinformationwillbefoundintheCommentarytotherules,ICCPublication601,whichrepresentstheDraftingGroup’sviews.OnbehalfoftheDraftingGroupIwouldliketoextendourdeepappreciationtothemembersoftheConsultingGroup,ICCnationalcommitteesandmembersoftheBankingCommissionfortheirprofessionalcommentsandtheirconstructiveparticipationinthisprocess.SpecialthanksareduetothemembersoftheDraftingGroupandtheirinstitutions,whoarelistedbelowinalphabeticalorder.NicoleKeller–VicePresident,ServiceInternationalProducts,DresdnerBankAG,Frankfurt,Germany;RepresentativetotheICCCommissiononBankingTechniqueandPractice;LaurenceKooy–LegalAdviser,BNPParibas,Paris,France;RepresentativetotheICCCommissiononBankingTechniqueandPractice.KatjaLehr–BusinessManager,TradeServicesStandards,SWIFT,LaHulpe,Belgium,thenVicePresident,MembershipRepresentation,InternationalFinancialServicesAssociation,NewJersey,USA;RepresentativetotheICCCommissiononBankingTechniqueandPractice;OleMalmqvist–VicePresident,DanskeBank,Copenhagen,PaulMiserez–HeadofTradeFinanceStandards,SWIFT,LaHulpe,Belgium;RepresentativetotheICCCommissiononBankingTechniqueandPractice;RenéMueller–Director,CreditSuisse,Zurich,CommissiononBankingTechniqueandPractice;CheeSengSoh–Consultant,AssociationofBanksinSingapore,Singapore;RepresentativetotheICCCommissiononBankingTechniqueandPractice;DanTaylor–PresidentandCEO,InternationalFinancialServicesAssociation.,NewJerseyUSA;ViceChairman,ICCCommissiononBankingTechniqueandPractice;AlexanderZelenov–Director,Vnesheconombank,Moscow,Russia;ViceChairman,ICCCommissiononBankingTechniqueandPractice;RonKatz–PolicyManager,ICCCommissiononBankingTechniqueandPractice,InternationalChamberofCommerce,Paris,France.TheundersignedhadthepleasureofchairingtheDraftingGroup.Itwasthroughthegenerousgivingoftheirknowledge,timeandenergythatthisrevisionwasaccomplishedsosuccessfully.AsChairoftheDraftingGroup,Iwouldliketoextendtothemandtotheirinstitutionsmygratitudefortheircontribution,forajobwelldoneandfortheirfriendship.IwouldalsoliketoextendmysincerethankstothemanagementofABNAMROBankN.V.,fortheirunderstanding,patienceandsupportduringthecourseofthisrevisionprocess.GaryCollyerCorporateDirector,ABNAMROBankN.V.,London,Article1ApplicationofUCPTheUniformCustomsandPracticeforDocumentaryCredits,2023Revision,ICCPublicationno.600(“UCP〞)arerulesthatapplytoanydocumentarycredit(“credit〞)(including,totheextenttowhichtheymaybeapplicable,anystandbyletterofcredit)whenthetextofthecreditexpresslyindicatesthatitissubjecttotheserules.Theyarebindingonallpartiestheretounlessexpresslymodifiedorexcludedbythecredit.Article2DefinitionsForthepurposeoftheserules:Advisingbankmeansthebankthatadvisesthecreditattherequestoftheissuingbank.Applicantmeansthepartyonwhoserequestthecreditisissued.Bankingdaymeansadayonwhichabankisregularlyopenattheplaceatwhichanactsubjecttotheserulesistobeperformed.Beneficiarymeansthepartyinwhosefavouracreditisissued.Complyingpresentationmeansapresentationthatisinaccordancewiththetermsandconditionsofthecredit,theapplicableprovisionsoftheserulesandinternationalstandardbankingpractice.Confirmationmeansadefiniteundertakingoftheconfirmingbank,inadditiontothatoftheissuingbank,tohonourornegotiateacomplyingpresentation.Confirmingbankmeansthebankthataddsitsconfirmationtoacreditupontheissuingbank’sauthorizationorrequest.Creditmeansanyarrangement,howevernamedordescribed,thatisirrevocableandtherebyconstitutesadefiniteundertakingoftheissuingbanktohonouracomplyingpresentation.Honourmeans:a.topayatsightifthecreditisavailablebysightpayment.b.toincuradeferredpaymentundertakingandpayatmaturityifthecreditisavailablebydeferredpayment.c.toacceptabillofexchange(“draft〞)drawnbythebeneficiaryandpayatmaturityifthecreditisavailablebyacceptance.Issuingbankmeansthebankthatissuesacreditattherequestofanapplicantoronitsownbehalf.Negotiationmeansthepurchasebythenominatedbankofdrafts(drawnonabankotherthanthenominatedbank)and/ordocumentsunderacomplyingpresentation,byadvancingoragreeingtoadvancefundstothebeneficiaryonorbeforethebankingdayonwhichreimbursementisduetothenominatedbank.Nominatedbankmeansthebankwithwhichthecreditisavailableoranybankinthecaseofacreditavailablewithanybank.Presentationmeanseitherthedeliveryofdocumentsunderacredittotheissuingbankornominatedbankorthedocumentssodelivered.Presentermeansabeneficiary,bankorotherpartythatmakesapresentation.Article3InterpretationsForthepurposeoftheserules:Whereapplicable,wordsinthesingularincludethepluralandinthepluralincludethesingular.Acreditisirrevocableevenifthereisnoindicationtothateffect.Adocumentmaybesignedbyhandwriting,facsimilesignature,perforatedsignature,stamp,symboloranyothermechanicalorelectronicmethodofauthentication.Arequirementforadocumenttobelegalized,visaed,certifiedorsimilarwillbesatisfiedbyanysignature,mark,stamporlabelonthedocumentwhichappearstosatisfythatrequirement.Branchesofabankindifferentcountriesareconsideredtobeseparatebanks.Termssuchas"firstclass","wellknown","qualified","independent","official","competent"or"local"usedtodescribetheissuerofadocumentallowanyissuerexceptthebeneficiarytoissuethatdocument.Unlessrequiredtobeusedinadocument,wordssuchas"prompt","immediately"or"assoonaspossible"willbedisregarded.Theexpression"onorabout"orsimilarwillbeinterpretedasastipulationthataneventistooccurduringaperiodoffivecalendardaysbeforeuntilfivecalendardaysafterthespecifieddate,bothstartandenddatesincluded.Thewords"to","until","till",“from〞and“between〞whenusedtodetermineaperiodofshipmentincludethedateordatesmentioned,andthewords“before〞and"after"excludethedatementioned.Thewords“from〞and"after"whenusedtodetermineamaturitydateexcludethedatementioned.Theterms"firsthalf"and"secondhalf"ofamonthshallbeconstruedrespectivelyasthe1sttothe15thandthe16thtothelastdayofthemonth,alldatesinclusive.Theterms"beginning","middle"and"end"ofamonthshallbeconstruedrespectivelyasthe1sttothe10th,the11thtothe20thandthe21sttothelastdayofthemonth,alldatesinclusive.Article4Creditsv.Contractsa.Acreditbyitsnatureisaseparatetransactionfromthesaleorothercontractonwhichitmaybebased.Banksareinnowayconcernedwithorboundbysuchcontract,evenifanyreferencewhatsoevertoitisincludedinthecredit.Consequently,theundertakingofabanktohonour,tonegotiateortofulfilanyotherobligationunderthecreditisnotsubjecttoclaimsordefencesbytheapplicantresultingfromitsrelationshipswiththeissuingbankorthebeneficiary.Abeneficiarycaninnocaseavailitselfofthecontractualrelationshipsexistingbetweenbanksorbetweentheapplicantandtheissuingbank.b.Anissuingbankshoulddiscourageanyattemptbytheapplicanttoinclude,asanintegralpartofthecredit,copiesoftheunderlyingcontract,proformainvoiceandthelike.Article5Documentsv.Goods,ServicesorPerformanceBanksdealwithdocumentsandnotwithgoods,servicesorperformancetowhichthedocumentsmayrelate.Article6Availability,ExpiryDateandPlaceforPresentationa.Acreditmuststatethebankwithwhichitisavailableorwhetheritisavailablewithanybank.Acreditavailablewithanominatedbankisalsoavailablewiththeissuingbank.b.Acreditmuststatewhetheritisavailablebysightpayment,deferredpayment,acceptanceornegotiation.c.Acreditmustnotbeissuedavailablebyadraftdrawnontheapplicant.d.i.Acreditmuststateanexpirydateforpresentation.Anexpirydatestatedforhonourornegotiationwillbedeemedtobeanexpirydateforpresentation.ii.Theplaceofthebankwithwhichthecreditisavailableistheplaceforpresentation.Theplaceforpresentationunderacreditavailablewithanybankisthatofanybank.Aplaceforpresentationotherthanthatoftheissuingbankisinadditiontotheplaceoftheissuingbank.e.Exceptasprovidedinsub-article29(a),apresentationbyoronbehalfofthebeneficiarymustbemadeonorbeforetheexpirydate.Article7IssuingBankUndertakinga.Providedthatthestipulateddocumentsarepresentedtothenominatedbankortotheissuingbankandthattheyconstituteacomplyingpresentation,theissuingbankmusthonourifthecreditisavailableby:i.sightpayment,deferredpaymentoracceptancewiththeissuingbank;ii.sightpaymentwithanominatedbankandthatnominatedbankdoesnotpay;iii.deferredpaymentwithanominatedbankandthatnominatedbankdoesnotincuritsdeferredpaymentundertakingor,havingincurreditsdeferredpaymentundertaking,doesnotpayatmaturity;iv.acceptancewithanominatedbankandthatnominatedbankdoesnotacceptadraftdrawnonitor,havingacceptedadraftdrawnonit,doesnotpayatmaturity;v.negotiationwithanominatedbankandthatnominatedbankdoesnotnegotiate.b.Anissuingbankisirrevocablyboundtohonourasofthetimeitissuesthecredit.c.Anissuingbankundertakestoreimburseanominatedbankthathashonouredornegotiatedacomplyingpresentationandforwardedthedocumentstotheissuingbank.Reimbursementfortheamountofacomplyingpresentationunderacreditavailablebyacceptanceordeferredpaymentisdueatmaturity,whetherornotthenominatedbankprepaidorpurchasedbeforematurity.Anissuingbank'sundertakingtoreimburseanominatedbankisindependentoftheissuingbank’sundertakingtothebeneficiary.Article8ConfirmingBankUndertakinga.Providedthatthestipulateddocumentsarepresentedtotheconfirmingbankortoanyothernominatedbankandthattheyconstituteacomplyingpresentation,theconfirmingbankmust:i.honour,ifthecreditisavailablebya.sightpayment,deferredpaymentoracceptancewiththeconfirmingbank;b.sightpaymentwithanothernominatedbankandthatnominatedbankdoesnotpay;c.deferredpaymentwithanothernominatedbankandthatnominatedbankdoesnotincuritsdeferredpaymentundertakingor,havingincurreditsdeferredpaymentundertaking,doesnotpayatmaturity;d.acceptancewithanothernominatedbankandthatnominatedbankdoesnotacceptadraftdrawnonitor,havingacceptedadraftdrawnonit,doesnotpayatmaturity;e.negotiationwithanothernominatedbankandthatnominatedbankdoesnotnegotiate.ii.negotiate,withoutrecourse,ifthecreditisavailablebynegotiationwiththeconfirmingbank.b.Aconfirmingbankisirrevocablyboundtohonourornegotiateasofthetimeitaddsitsconfirmationtothecredit.c.Aconfirmingbankundertakestoreimburseanothernominatedbankthathashonouredornegotiatedacomplyingpresentationandforwardedthedocumentstotheconfirmingbank.Reimbursementfortheamountofacomplyin