新版UCP600的中英文版下载

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第一条UCP的适用范围 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、效劳或履约行为 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第九条信用证及其修改的通知 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、放弃及通知 66第十七条正本单据及副本 66第十八条商业发票 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〞及运费之外的费用。 72第二十七条清洁运输单据 72第二十八条保险单据及保险范围 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 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