关于审核跟单信用证项下的单据的国际标准银行实务(中英文上部分）
&&&&&&&&&&&&&&&&
INTERNATIONAL STANDARDER BANKING
PRACTICE FOR THE EXAMINATION
&&&&&&&&&&&&&&&&OF
DOCUMENTS UNDER DOCUMENTARY CREDITS SUBJECT TO UCP 600
International
Chamber of Commerce&&
20005(ICC)(500UCP)
UCPICCUCPUCP
introduction
preliminary
considerations15
principles642
drafts and
calculation of maturity date4356
invoices5767
transport documents
covering at least two different modes of
transport6890
lading91114
charter party
bill of lading 115133
air transport
document134156
road,rail or inland
waterway transport documents157169
document and coverage170180
certificates of
origin181185
introduction&&&&&&&
approval of International Standard Banking Practice (ISBP) by the
ICC Banking Commission in 2002, ICC Publication 645 has become an
invaluable aid to banks, corporates, logistics specialists and
insurance companies alike, on a global basis. Participants in
ICC seminars and workshops
have indicated that rejection rates have dropped due to the
application of the 200 practices that are detailed in
ICC2002ISBPICC645ICCISBP200
there have also been comments that although the ISBP Publication
645 was approved by the Banking Commission its application had no
relationship with UCP 500. With the approval of UCP 600 in October
2006, it has become necessary to provide an updated version of the
ISBP. It is emphasized that this is an updated version as opposed
to a revision of ICC Publication 645. Where it was felt
appropriate, paragraphs that appeared in Publication 645 and that
have now been covered in effectively the same text in UCP 600 have
been removed from this updated version of ISBP.
ISBP645UCP500UCP600200610ISBPICC645645UCP600ISBP
As a means
of creating a relationship between the UCP and ISBP, the
introduction to UCP 600, states: “During the revision process,
notice was taken of the considerable work that had been completed
in creating the International Standard Banking Practice for the
Examination of Documents under Documentary Credits (ISBP), ICC
Publication 645. This publication has 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 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 the ISBP to bring its contents in line with the
substance and style of the new rules.”
UCPISBPUCP600ISBPICC645ISBPUCPISBPUCP600UCP600ISBP
international standard banking practices documented in this
publication are consistent with UCP 600 and the Opinions and
Decisions of the ICC Banking
Commission. This document does not amend UCP 600. It explains how
the practices articulated in UCP 600 are applied by documentary
practitioners. This publication and the UCP should be read in their
entirety and not in isolation. It is, of course, recognized that
the law in some countries may compel a different practice than
those stated here.
UCP600ICCUCP600UCP600UCP600
publication can anticipate all the terms or the documents that may
be used in connection with documentary credits or their
interpretation under UCP 600 and the standard practice it reflects.
However, the Task Force that prepared Publication 645 endeavoured
to cover terms commonly seen on a day-to-day basis and the
documents most often presented under documentary credits. The
Drafting Group have reviewed and updated this publication to
conform with UCP 600.
UCP600645UCP600
be noted that any term in a documentary credit which modifies or
excludes the applicability of a provision of UCP 600 may
also have an impact on
international standard banking practice. Therefore, in considering
the practices described in this publication, parties must take into
account any term in a documentary credit that expressly modifies or
excludes a rule contained in UCP 600. This principle is implicit
throughout this publication. Where examples are given, these are
solely for the purpose of illustration and are not
exhaustive.
UCPUCP600ISBP
publication reflects international standard banking practice for
all parties to a documentary credit. Since applicants’ obligations,
rights and remedies depend upon their undertaking with the issuing
bank, the performance of the underlying transaction and the
timeliness of any objection under applicable law and practice,
applicants should not assume that they may rely on these provisions
in order to excuse their obligations to reimburse the issuing bank.
The incorporation of this publication into the terms of a
documentary credit should be discouraged, as UCP600 incorporates
international standard banking practice,which includes the
practices described in this publication.
preliminary considerations
application and issuance of the credit
The terms of a credit are
independent of the underlying transaction even if a credit
expressly refers to that transaction. To avoid unnecessary costs,
delays, and disputes in the examination of documents, however, the
applicant and beneficiary should carefully consider which documents
should be required, by whom they should be produced and the time
frame for presentation.
The applicant bears the risk of
any ambiguity in its instructions to issue or amend a credit.
Unless expressly stated otherwise, a request to issue or amend a
credit authorizes an issuing bank to supplement or develop the
terms in a manner necessary or desirable to permit the use of the
3The applicant should be aware that UCP 600
contains articles such as 3, 14, 19, 20, 21, 23, 24, 28(i), 30 and
31 that define terms in a manner that may produce
unexpected results unless the applicant fully acquaints itself with
these provisions. For example, a credit requiring presentation of a
bill of lading and containing a prohibition against transhipment
will, in most cases, have to exclude UCP 600 sub-article 20(c) to
make the prohibition against transhipment effective.
UCP600314192021232428i3031UCP60020c
4A credit should not require presentation of
documents that are to be issued or countersigned by the applicant.
If a credit is issued including such terms, the beneficiary must
either seek amendment or comply with them and bear the risk of
failure to do so.
5Many of the problems that arise at the examination
stage could be avoided or resolved by careful attention to detail
in the underlying transaction, the credit application, and issuance
of the credit as discussed
general principles
abbreviations
6The use of generally accepted abbreviations, for
example Ltd.
instead of Limited, Intl
instead of International, Co.
instead of Company, kgs
instead of kilos, Ind
instead of Industry, mfr
instead of manufacturer
instead of “metric tons” & or
vice versa & does not make a document discrepant.
LTD.LIMITEDINTLINTERNATIONALCO.COMPANYKGSKOS.KILOSINDINDUSTRYMFRMANUFACTURERMTMETRIC TONGS
7Virgules (slash marks /) may have different meanings, and unless apparent
in the context used, should not be used as a substitute for a
certificate and
declarations
8A certification, declaration or the like may
either be a separate document or contained within another document
as required by the credit. If the certification or
declaration appears in another document which is signed and dated,
any certification or declaration appearing on that document does
not require a separate signature or date if the certification or
declaration appears to have been given by the same entity that
issued and signed the document.
corrections and
alterations
9Corrections and alterations of information or data
in documents, other than documents created by the beneficiary, must
appear to be authenticated by the party who issued the document or
by a party authorized by the issuer to do so. Corrections and
alterations in documents which have been legalized, visaed,
certified or similar, must appear to be authenticated by the party
who legalized, visaed, certified etc., the document. The
authentication must show by whom the authentication has been made
and include the signature or initials of that party. If the
authentication appears to have been made by a party other than the
issuer of the document, the authentication must clearly show in
which capacity that party has authenticated the correction or
alteration.
10Corrections and alterations in documents issued by
the beneficiary itself, except drafts, which have not been
legalized, visaed, certified or similar, need not be authenticated.
See also Drafts and calculation
of maturity date.
11The use of multiple type styles or font sizes or
handwriting in the same document does not, by itself, signify a
correction or alteration.
12Where a document contains more than one correction
or alteration, either each correction must be authenticated
separately or one authentication must be linked to all corrections
in an appropriate way. For example, if the document shows three
corrections numbered 1, 2 and 3, one statement
such as Correction numbers 1, 2
and 3 above authorized by XXX
or similar, will satisfy the
requirement for authentication.
1,2,31,2,3XXX
13Drafts, transport documents and insurance
documents must be dated even if a credit does not expressly so
require. A requirement that a document, other than those mentioned
above, be dated, may be satisfied by reference in the document to
the date of another document forming part of the same presentation
(e.g., where a shipping certificate is issued which states “date as
per bill of lading number xxx” or similar terms). Although it is
expected that a required certificate or declaration in a separate
document be dated, its compliance will depend on the type of
certification or declaration that has been requested, its required
wording and the wording that appears within it. Whether other
documents require dating will depend on the nature and content of
the document in question
14Any document, including a certificate of analysis,
inspection certificate and pre-shipment inspection certificate, may
be dated after the date of shipment. However, if a credit requires
a document evidencing a pre-shipment event (e.g., pre-shipment
inspection certificate), the document must, either by its title or
content, indicate that the event (e.g., inspection) took place
prior to or on the date of shipment. A requirement for an
“inspection certificate” does not constitute a requirement to
evidence a pre-shipment event. Documents must not indicate that
they were issued after the date they are presented.
15A document indicating a date of preparation and a
later date of signing is deemed to be issued on the date of
16Phrases often used to signify time on either side
of a date or event:
a) “within
2 days after” indicates a period from the date of the event until 2
days after the event.
b) “not later than 2 days after” does not indicate a period, only a
latest date. If an advice must not be dated prior to a specific
date, the credit must so state.
“at least 2 days before” indicates that something must take place
not later than 2 days before an event. There is no limit as to how
early it may take place.
d) within 2 days
indicates a period 2 days prior
to the event until 2 days after the event.
a)2within 2 days after
b)2not later than 2 days after
&c)2at least 2 days before
d)2within 2 days of
17The term within
when used in connection with a
date excludes that date in the calculation of the
18Dates may be expressed in different formats, e.g.,
the 12th of November 2007 could be expressed as 12 Nov 07, 12Nov07,
12.11..07, , 11.12.07, 121107, etc. Provided
that the date intended can be determined from the document or from
other documents included in the presentation, any of these formats
are acceptable. To avoid confusion it is recommended that the name
of the month should be used instead of the number.
12 Nov 0712Nov0712.11.200712.11.0711.12.07121107
UCP600documents for which the UCP600
transport articles do not apply
19Some documents commonly used in relation to the
transportation of goods, e.g., Delivery Order,
Forwarders Certificate of Receipt,
Forwarders Certificate of Shipment,
Forwarders Certificate of Transport,
Forwarders Cargo Receipt and Mates Receipt do not reflect a contract of carriage
and are not transport documents as defined in UCP 600 articles 19
-25. As such, UCP 600 sub-article 14(c) would not apply to these
documents. Therefore, these documents will be examined in the same
manner as other documents for which there are no specific
provisions in UCP 600, i.e., under sub-article 14(f). In any event,
documents must be presented not later than the expiry date for
presentation as stated in the credit.
UCP6001925UCP60014cUCP600UCP60014f
20Copies of transport documents are not transport
documents for the purpose of UCP 600 articles 19-25 and sub-article
14(c). The UCP 600 transport articles apply where there are
original transport documents presented. Where a credit allows for
the presentation of a copy transport document rather than an
original, the credit must explicitly state the details to be shown.
Where copies (non-negotiable) are presented, they need not evidence
signature, dates, etc.
UCP600192514cUCP600
UCP600expressions not defined in
21Expressions such as shipping
documents, stale documents
acceptable, third party documents
acceptable, and exporting
should not be used as they are
not defined in UCP 600. If used in a credit, their meaning should
be made apparent. If not, they have the following meaning under
international standard banking practice:
shipping documents” & all documents (not only transport documents),
except drafts, required by the credit.
&b)“stale documents
acceptable” & documents presented later than 21 calendar days after
the date of shipment are acceptable as long as they are presented
no later than the expiry date for presentation as stated in the
“third party documents acceptable” & all documents, excluding
drafts but including invoices, may be issued by a party other than
the beneficiary. If it is the intention of the issuing bank that
the transport or other documents may show a shipper other than the
beneficiary, the clause is not necessary because it is already
permitted by sub-article 14(k).
“exporting country” & the country where the beneficiary is
domiciled, or the country of origin of the goods, or the country of
receipt by the carrier or the country from which shipment or
dispatch is made.
22If a credit indicates that a document is to be
issued by a named person or entity, this condition is satisfied if
the document appears to be issued by the named person or entity. It
may appear to be issued by a named person or entity by use of its
letterhead, or, if there is no letterhead, the document appears to
have been completed or signed by, or on behalf of, the named person
or entity.
23Under international standard banking practice, it
is expected that documents issued by the beneficiary will be in the
language of the credit. When a credit states that documents in two
or more languages are acceptable, a nominated bank may, in its
advice of the credit, limit the number of acceptable languages as a
condition of its engagement in the credit.
mathematical
calculations
24Detailed mathematical calculations in documents
will not be checked by banks. Banks are only obliged to check total
values against the credit and other required documents.
misspellings or
typing errors
25A misspelling or typing error that does not affect
the meaning of a word or the sentence in which it occurs, does not
make a document discrepant. For
example, a description of the merchandise as mashine
instead of machine, fountan
instead of fountain pen” or
“modle” instead of “model” would not make the document discrepant.
However, a description as “model 123” instead of “model 321” would
not be regarded as a typing error and would constitute a
discrepancy.
mashinemachinefountan penfountain penmodlemodelmodel 321321model 123123
pages and attachments or riders
26Unless the credit or a document provides
otherwise, pages which are physically bound together, sequentially
numbered or contain internal cross references, however named or
entitled, are to be examined as one document, even if some of the
pages are regarded as an attachment. Where a document consists of
more than one page, it must be possible to determine that the pages
are part of the same document.
27If a signature or endorsement is required to be on
a document consisting of more than one page, the signature is
normally placed on the first or last page of the document, but
unless the credit or the document itself indicates where a
signature or endorsement is to appear, the signature or
endorsement may appear anywhere on the document.
original and
28Documents issued in more than one original may be
marked Original, Duplicate, Triplicate, First
Original, Second
Original, etc. None of these markings will disqualify a
document as an original.
originalduplicatetriplicatefirst originalsecond original
29The number of originals to be presented must be at
least the number required by the credit, the UCP 600, or, where the
document itself states how many originals have been issued, the
number stated on the document.
30It can sometimes be difficult to determine from
the wording of a credit whether it requires an original or a
copy,and to determine whether that requirement is satisfied by an
original or a copy.
&For example,where the
credit requires:
“Invoice”, “One Invoice” or “Invoice in 1 copy”, it will be
understood to be a requirement for an original invoice.
“Invoice in 4 copies”, it will be satisfied by the presentation of
at least one original and the remaining number as copies of an
copy of Invoice”, it will be satisfied by presentation of either a
copy or an original of an invoice.
a)one invoiceinvoice in 1 copy
b)invoice in 4 copies
c)one copy of invoice
31Where an original would not be accepted in lieu of
a copy, the credit must prohibit an original, e.g.,
photocopy of
original document not
acceptable in lieu of photocopy, or the like. Where a credit calls for a copy of
a transport document and indicates the disposal instructions for the
original of that transport document, an original transport document
will not be acceptable.
32Copies of documents need not be signed.
33In addition to UCP 600 article 17, the ICC Banking
Commission Policy Statement, document 470/871(Rev), titled
The determination of
an Original
document in the context of UCP
500 sub-Article 20(b)
is recommended for further
guidance on originals and copies and remains valid under UCP 600.
The content of the Policy Statement appears in the Appendix of this
publication, for reference purposes.
UCP60017ICC470/871UCP50020bUCP600
& shipping
34The purpose of a shipping mark is to enable
identification of a box, bag or package. If a credit specifies the
details of a shipping mark, the documents mentioning the marks must
show these details, but additional information is acceptable
provided it is not in conflict with the credit terms.
35Shipping marks contained in some documents often
include information in excess of what would normally be
considered shipping
marks, and could include information such as the type
of goods, warnings as to the handling of fragile goods, net and/or
gross weight of the goods, etc. The fact that some documents show
such additional information, while others do not, is not a
discrepancy.
36Transport documents covering containerized goods
will sometimes only show a container number under the
heading Shipping
marks. Other documents that show a detailed marking
will not be considered to be in conflict for that
signatures
37Even if not stated in the credit, drafts,
certificates and declarations by their nature require a signature.
Transport documents and insurance documents must be signed in
accordance with the provisions of UCP 600.
38The fact that a document has a box or space for a
signature does not necessarily mean that such box or space must be
completed with a signature. For example,
banks do not require a signature in the area titled
Signature of shipper or
their agent
or similar phrases, commonly
found on transport documents such as air waybills or road transport
documents. If the content of a document indicates that it requires
a signature to establish its validity (e.g., “This document is not
valid unless signed” or similar terms), it must be
39A signature need not be handwritten. Facsimile
signatures, perforated signatures, stamps, symbols (such as chops)
or any electronic or mechanical means of authentication are
sufficient. However, a photocopy of a signed document does not
qualify as a signed original document, nor does a signed document
transmitted through a fax machine, absent an original signature. A
requirement for a document to be “signed and stamped”, or a similar
requirement, is also fulfilled by a signature and the name of the
party typed, or stamped, or handwritten, etc.
40A signature on a company letterhead paper will be
taken to be the signature of that company, unless otherwise stated.
The company name need not be repeated next to the
signature.
& title of
documents and combined documents
41Documents may be titled as called for in the
credit, bear a similar title, or be untitled. For example, a credit
requirement for a Packing
may also be satisfied by a
document containing packing details whether titled
Note, Packing and Weight
List”, etc., or an untitled document. The content of a document
must appear to fulfil the function of the required
42Documents listed in a credit should be presented
as separate documents. If a credit requires a packing list and a
weight list, such requirement will be satisfied by presentation of
two separate documents, or by presentation of two original copies
of a combined packing and weight list, provided such document
states both packing and weight details.
drafts and calculation of maturity date
43The tenor must be in accordance with the terms of
the credit.
draft is drawn at a tenor other than sight, or other than a certain
period after sight, it must be possible to establish the maturity
date from the data in the draft itself.
As an example of where it is possible to establish a maturity date
from the data in the draft, if a credit calls for drafts at a tenor
60 days after the bill of lading date, where the date of the bill
of lading is 12 July 2007, the tenor could be indicated on the
draft in one of the following ways:
i.“60 days
after bill of lading date 12 July 2007”, or 200771260
“60 days after 12 July 2007”, or 200771260
“60 days after bill of lading date” and elsewhere on the face of
the draft state “bill of lading date 12 July 2007”, or
“60 days date” on a draft dated the same day as the date of the
bill of lading, or
“10 September 2007”, i.e. 60 days after the bill of lading
&c)& If the tenor refers to
xxx days after the bill of lading date, the on board date is deemed
to be the bill of lading date even if the on board date is prior to
or later than the date of issuance of the bill of
UCP 600 article 3 provides guidance that where the words “from” and
“after” are used to determine maturity dates of drafts, the
calculation of the maturity commences the day following the date of
the document, shipment, or other event, i.e., 10 days after or from
March 1 is March 11.
UCP600...fromafter31103110311
If a bill of lading showing more than one on board notation is
presented under a credit which requires drafts to be drawn, for
example, at 60 days after or from bill of lading date, and the
goods according to both or all on board notations were shipped from
ports within a permitted geographical area or region, the earliest
of these on board dates will be used for calculation of the
maturity date. Example: the credit requires shipment from European
port, and the bill of lading evidences on board vessel
A” from Dublin August
16 and on board vessel “B” from Rotterdam August 18. The draft
should reflect 60 days from the earliest on board date in a
European port, i.e., August 16.
6060816A818B81660
If a credit requires drafts to be drawn, for example, at 60 days
after or from bill of lading date, and more than one set of bills
of lading is presented under one draft, the date of the last bill
of lading will be used for the calculation of the maturity
44While the examples refer to bill of lading dates,
the same principles apply to all transport documents.
45If a draft states a maturity date by using an
actual date, the date must have been calculated in accordance with
the requirements of the credit.
46For drafts drawn at XXX days
sight, the maturity date is established as
in the case of complying documents, or in the case of non-complying
documents where the drawee bank has not provided a notice of
refusal, the maturity date will be XXX days after the date of
receipt of documents by the drawee bank.
in the case of non-complying documents where the drawee bank has
provided a notice of refusal and subsequent approval, at the latest
XXX days after the date of acceptance of the draft by the drawee
bank. The date of acceptance of the draft must be no later than the
date the issuing bank accepts the waiver of the
applicant.
47In all cases the drawee bank must advise the
maturity date to the presenter. The calculation of tenor and
maturity dates, as shown above, would also apply to credits
designated as being available by deferred payment, i.e., where
there is no requirement for a draft to be presented by the
beneficiary.
days,grace day,delays in remittance
48Payment must be available in immediately available
funds on the due date at the place where the draft or documents are
payable, provided such due date is a banking day in that place. If
the due date is a non-banking day, payment will be due on the first
banking day following the due date. Delays in the remittance of
funds, such as grace days, the time it takes to remit funds, etc.,
must not be in addition to the stated or agreed due date as defined
by the draft or documents.
endorsement
49The draft must be endorsed, if
necessary.
50The amount in words must accurately reflect the
amount in figures if both are shown, and indicate the currency, as
stated in the credit.
51The amount must agree with that of the invoice,
unless as a result of UCP 600 sub-article 18(b).
how the draft is
52The draft must be drawn on the party stated in the
53The draft must be drawn by the
beneficiary.
the applicant
54A credit may be issued requiring a draft drawn on
the applicant as one of the required documents, but must not be
issued available by drafts drawn on the applicant.
corrections and
alterations
55Corrections and alterations on a draft, if any,
must appear to have been authenticated by the drawer.
56In some countries a draft showing corrections or
alterations will not be acceptable even with the
drawers authentication. Issuing banks in such countries
should make a statement in the credit to the effect that no
correction or alteration must appear in the draft.
definition of
57A credit requiring an invoice
without further definition will
be satisfied by any type of invoice presented (commercial invoice,
customs invoice, tax invoice, final invoice, consular invoice,
etc.). However, invoices identified as provisional, pro-forma” or the like
are not acceptable. When a credit requires presentation of a
commercial invoice, a document titled “invoice” will be
acceptable.
description of the goods,services or performance and other
general issue related to invoice
58The description of the goods, services or
performance in the invoice must correspond with the description in
the credit. There is no requirement for a mirror image. For
example, details of the goods may be stated in a number of areas
within the invoice which, when collated together, represents a
description of the goods corresponding to that in the
59The description of goods, services or performance
in an invoice must reflect what has actually been shipped or
provided. For example, where there are two types of goods shown in
the credit, such as 10 trucks and 5 tractors, an invoice that
reflects only shipment of 4 trucks would be acceptable provided the
credit does not prohibit partial shipment. An invoice showing the
entire goods description as stated in the credit, then stating what
has actually been shipped is also acceptable.
60An invoice must evidence the value of the goods
shipped or services or performance provided. Unit price(s), if any,
and currency shown in the invoice must agree with that shown in the
credit. The invoice must show any discounts or deductions required
in the credit. The invoice may also show a deduction covering
advance payment, discount, etc., not stated in the
61If a trade term is part of the goods description
in the credit, or stated in connection with the amount, the invoice
must state the trade term specified, and if the description
provides the source of the trade term, the same source must be
identified (e.g., a credit term “CIF Singapore Incoterms 2000”
would not be satisfied by “CIF Singapore Incoterms”). Charges and
costs must be included within the value shown against the stated
trade term in the credit and invoice. Any charges and costs shown
beyond this value are not allowed.
CIFIncoterms 2000
CIFIncoterms
62Unless required by the credit, an invoice need not
be signed or dated
63The quantity of merchandise, weights and
measurements shown on the invoice must not conflict with the same
quantities appearing on other documents.
64An invoice must not show:
over-shipment (except as provided in UCP 600 sub-article 30(b)),
merchandise not called for in the credit (including samples,
advertising materials, etc.) even if stated to be free of
65The quantity of the goods required in the credit
may vary within a tolerance of +/-5%. This does not apply if a
credit states that the quantity must not be exceeded or reduced, or
if a credit states the quantity in terms of a stipulated number of
packing units or individual items. A variance of up to +5% in the
goods quantity does not allow the amount of the drawing to exceed
the amount of the credit.
66Even when partial shipments are prohibited, a
tolerance of 5% less in the credit amount is acceptable, provided
that the quantity is shipped in full and that any unit price, if
stated in the credit, has not been reduced. If no quantity is
stated in the credit, the invoice will be considered to cover the
full quantity.
67If a credit calls for instalment shipments, each
shipment must be in accordance with the instalment
transport documents covering at least two
different modes of transport
UCP60019application of UCP600 article
68If a credit requires presentation of a transport
document covering transportation utilizing at least two modes of
transport (multimodal or combined transport document), and if the
transport document clearly shows that it covers a shipment from the
place of taking in charge or port, airport or place of loading to
the place of final destination mentioned in the credit, UCP 600
article 19 is applicable. In such circumstances, the transport
document must not indicate that shipment or dispatch has been
effected by only one mode of transport, but it may be silent
regarding the modes of transport utilized.
69In all places where the term multimodal transport
is used within this document,
it also includes the term combined transport document. A document
need not be titled Multimodal transport
or Combined transport
to be acceptable under UCP 600
article 19, even if such expressions are used in the
full set of
70A UCP 600 article 19 transport document must
indicate the number of originals that have been issued. Transport
documents marked First
Original, Second
Original, Third
Original, Original, Duplicate, Triplicate, etc., or similar expressions are all originals.
Multimodal transport documents need not be marked “original” to be
acceptable under a credit. In addition to UCP 600 article 17, the
ICC Banking Commission Policy Statement, document 470/871(Rev),
titled “The determination of an ‘Original’ document in the context
of UCP 500 sub-Article 20(b)” is recommended for further guidance
on originals and copies and remains valid under UCP 600. The
content of the Policy Statement appears in the Appendix of this
publication, for reference purposes.
UCP60019UCP60017ICC[470/871]UCP50020bUCP600
signing of
multimodal transport documents
71Original multimodal transport documents must be
signed in the form described in UCP 600 sub-article 19(a)(i) and
indicate the name of the carrier, identified as the
&a).If an agent signs a
multimodal transport document on behalf of the carrier, the agent
must be identified as agent, and must identify on whose behalf it
is signing, unless the carrier has been identified elsewhere on the
multimodal transport document.
&b).If the master
(captain) signs the multimodal transport document, the signature of
the master (captain) must be identified as “master” (“captain”). In
this event, the name of the master (captain) need not be
agent signs the multimodal transport document on behalf of the
master (captain), the agent must be identified as agent. In this
event, the name of the master (captain) need not be
UCP60019ai
72If a credit states Freight
Forwarders Multimodal transport document is
acceptable
or uses a similar phrase, then
the multimodal transport document may be signed by a freight
forwarder in the capacity of a freight forwarder, without the need
to identify itself as carrier or agent for the named carrier. In
this event, it is not necessary to show the name of the
73The issuance date of a multimodal transport
document will be deemed to be the date of dispatch, taking in
charge or shipped on board unless it bears a separate dated
notation evidencing dispatch, taking in charge or shipped on board
from the location required by the credit, in which event the date
of the notation will be deemed to be the date of shipment whether
or not the date is before or after the issuance date of the
74Shipped in apparent good order, Laden on
board, clean on
or other phrases incorporating
words such as shipped
have the same effect as
Shipped on
shipped in
apparent good orderladen on boardclean on boardshippedon boardshipped on board
taking in charge,dispatch,loading on board and
destination
75If a credit gives a geographical range for the
place of taking in charge, dispatch, loading on board and
destination (e.g., Any European
Port), the multimodal transport document must indicate
the actual place of taking in charge, dispatch, shipped on board
and destination, which must be within the geographical area or
range stated in the credit.
consignee,order party,shipper and endorsement,notify
76If a credit requires a multimodal transport
document to show that the goods are consigned to a named party,
e.g., consigned to Bank
(a straight
consignment), rather
or to order of Bank
X, the multimodal transport document must not
contain words such as to
or to order
that precede the name of that
named party, whether typed or pre-printed. Likewise, if a credit
requires the goods to be consigned to
or to order
a named party, the multimodal
transport document must not show that the goods are consigned
straight to the named party.
77If a multimodal transport document is issued to
order or to order of the shipper, it must be endorsed by the
shipper. An endorsement indicating that it is made for or on behalf
of the shipper is acceptable.
78If a credit does not stipulate a notify party, the
respective field on the multimodal transport document may be left
blank or completed in any manner.
transhipment and
partial shipment
79In a multimodal transport, transhipment will
occur, i.e., unloading from one means of conveyance and reloading
to another means of conveyance (whether or not in different modes
of transport) during the carriage from the place of dispatch,
taking in charge or shipment to the place of final destination
stated in the credit.
80If a credit prohibits partial shipments and more
than one set of original multimodal transport documents are
presented covering shipment, dispatch or taking in charge from one
or more points of origin (as specifically allowed, or within the
geographical area or range stated in the credit), such documents
are acceptable, provided that they cover the movement of goods on
the same means of conveyance and same journey and are destined for
the same destination. In the event that more than one set of
multimodal transport documents are presented and if they
incorporate different
dates of shipment, dispatch or taking in charge, the latest of
these dates will be taken for the calculation of any presentation
period and such date must fall on or before any latest date of
shipment, dispatch or taking in charge specified in the
81Shipment on more than one means of conveyance
(more than one truck (lorry), vessel, aircraft, etc.) is a partial
shipment, even if such means of conveyance leave on the same day
for the same destination.
multimodal transport documents
82Clauses or notations on multimodal transport
documents that expressly declare a defective condition of the goods
or packaging are not acceptable. Clauses or notations that do not
expressly declare a defective condition of the goods or packaging
(e.g., packaging may not be
sufficient for the journey”) do not constitute a discrepancy. A
statement that the packaging “is not sufficient for the journey”
would not be acceptable.
83If the word clean
appears on a multimodal
transport document and has been deleted, the multimodal transport
document will not be deemed to be claused or unclean unless it
specifically bears a clause or notation declaring that the goods or
packaging are defective.
description
84A goods description in the multimodal transport
document may be shown in general terms not in conflict with that
stated in the credit.
corrections and
alterations
85Corrections and alterations on a multimodal
transport document must be authenticated. Such authentication must
appear to have been made by the carrier or master (captain) or any
one of their agents who may be different from the agent that may
have issued or signed it, provided they are identified as an agent
of the carrier or master (captain).
86Non-negotiable copies of multimodal transport
documents do not need to include any signature on, or
authentication of, any alterations or corrections that may have
been made on the original.
freight and
additional costs
87If a credit requires that a multimodal transport
document show that freight has been paid or is payable at
destination, the multimodal transport document must be marked
accordingly.
88Applicants and issuing banks should be specific in
stating the requirements of documents to show whether freight is to
be prepaid or collected.
89If a credit states that costs additional to
freight are not acceptable, a multimodal transport document must
not indicate that costs additional to the freight have been or will
be incurred. Such indication may be by express reference to
additional costs or by the use of shipment terms which refer to
costs associated with the loading or unloading of goods, such as
Free In (FI), Free Out (FO), Free In and Out (FIO) and Free In and
Out Stowed (FIOS). A reference in the transport document to costs
which may be levied as a result of a delay in unloading the goods
or after the goods have been unloaded e.g., costs covering the late
return of containers, is not considered to be an indication of
additional costs in this context.
Free inFI,Free outFO,Free In and OutFIOFree In and Out StowedFIOS
covered by more than one multimodal transport
90If a multimodal transport document states that the
goods in a container are covered by that multimodal transport
document plus one or more other multimodal transport documents, and
the document states that all multimodal transport documents must be
surrendered or words of similar effect, this means that all
multimodal transport documents related to that container must be
presented in order for the container to be released. Such a
multimodal transport document is not acceptable unless all the
multimodal transport documents form part of the same presentation
under the same credit.
已投稿到：
以上网友发言只代表其个人观点，不代表新浪网的观点或立场。}