INTERNATIONAL STANDARDER BANKING PRACTICE FOR THE EXAMINATION
                OF DOCUMENTS UNDER DOCUMENTARY CREDITS SUBJECT TO UCP 600 (ISBP)
             關于審核跟單信用證項下的單據(jù)的國際標準銀行實務(ISBP)
 
International Chamber of Commerce   國際商會
 
簡介
2000年5月，國際商會銀行技術與慣例委員會(以下簡稱“ICC銀行委員會”)設立了一個工作組，負責將適用《跟單信用證統(tǒng)一慣例》(國際商會第500號出版物，以下簡稱UCP)的跟單信用證項下審核單據(jù)的國際標準銀行實務做法整理成文。
　　本出版物中體現(xiàn)的國際標準銀行實務做法與UCP本身及ICC銀行委員會已經(jīng)做出過的意見和決定相一致。本出版物沒有修訂UCP，而是解釋單據(jù)處理人員應如何應用UCP中所反映的實務做法。當然，我們都知道和承認，一些國家的法律可能有不同的強制規(guī)定。
　　沒有一個出版物能夠預想跟單信用證可能使用的全部條款或單據(jù)，或者窮盡在UCP下對其所做的解釋及UCP所反映的標準做法。但是，起草本文件的工作組已經(jīng)盡力囊括了跟單信用證的常見條款和經(jīng)常要求提交的單據(jù)。
　　應當注意的是，如果在跟單信用證中訂有修改UCP規(guī)定或影響其適用性的任何條款，也可能同時影響國際標準銀行實務做法。因此，在應用本出版物所述做法時，當事人必須將信用證中明確排除或修改UCP規(guī)定的條款考慮在內(nèi)。無淪是否聲明，本出版物始終貫穿此原則，但有時為了強調(diào)和說明，該原則又被特別重中。有些地方舉出實例，目的僅是為了舉例說明，絕非詳盡無遺。
　　本出版物反映了跟單信用證項下各方當事人所遵循的國際標準銀行實務做法。由于開證申請人的義務、權(quán)利和救濟取決于開證申請人對開證行的責任、基礎交易的履行以及適用的法律和慣例規(guī)定的提出異議的時限，開證申請人不應認為可以利用本出版物的規(guī)定免除其對開證行的償付責任。不宜在跟單信用證條款中援引本出版物，因為UCP中本就默示要求遵循公認的慣常做法。
　　由于本出版物反映了國際商會各國家委員會和國際商會個體會員所提供的當前跟單信用證的實務做法，本出版物將很大程度上用于今后UCP的修訂。
 
 
目錄
一、引言introduction
二、先期問題preliminary considerations（1—5條）
三、一般原則general principles（6—42條）
四、匯票和到期日的計算drafts and calculation of maturity date（43—56條）
五、發(fā)票invoices（57—67條）
六、涵蓋至少兩種不同運輸方式的運輸單據(jù)
transport documents covering at least two different modes of transport（68—90條）
七、提單bill of lading（91—114條）
八、租船合同提單（charter party bill of lading 115—133條）
九、空運單據(jù)air transport document（134—156條）
十、公路、鐵路或內(nèi)河運輸單據(jù)
road,rail or inland waterway transport documents（157—169條）
十一、保險單據(jù)和范圍insurance document and coverage（170—180條）
十二、原產(chǎn)地證明certificates of origin（181—185條）
 
一、引言（introduction）      
Since the 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 ISBP.
自從ICC銀行委員會于2002年批準《國際標準銀行實務》（ISBP）以來，ICC第645號出版物就成為全球銀行、企業(yè)、物流運營商及保險公司的得力助手。ICC研討會和研習班的參與者表示，由于ISBP中列明的200條慣例的應用，拒付率有所下降。
 
However, 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.
然而，也有評論認為，雖然ISBP645經(jīng)銀行委員會批準，但是它的應用于UCP500并無清晰地聯(lián)系。隨著UCP600于2006年　10月的通過，更新ISBP就變得有必要了。需要強調(diào)的是，這是一個對ICC645號出版物的更新版本而非修訂本。在645號出版物中被認為是恰當?shù)亩温浔灰曰�本相同的措辭納入到UCP600的正文中，從而不再包含在新版ISBP中。
 
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.”
作為在UCP和ISBP間建立聯(lián)系的一種方式，UCP600在引言中寫道：“在修訂過程中，我們注意到在制定ISBP（ICC645號出版物）過程中所完成的大量工作。ISBP已經(jīng)發(fā)展成為判定單據(jù)與信用證是否相符時UCP的必備配套規(guī)則。起草小組和銀行委員會期望ISBP及其后續(xù)修訂版本中包含的原則能夠在UCP600有效期間繼續(xù)得到應用。當UCP600正式執(zhí)行時，將有一個與其主旨和風格保持一致的更新版的ISBP。
 
The 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.
本出版物中體現(xiàn)的國際標準銀行實務與UCP600及ICC銀行委員會發(fā)布的意見和決定是一致的。本文件并沒有修改UCP600，而是解釋UCP600中表述的實務慣例如何為從業(yè)者所應用。本出版物與UCP600作為整體使用，不應孤立地解讀。當然還須認識到某些國家可能會做出不同于本慣例的強制性規(guī)定。
 
No single 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.
沒有哪個出版物能夠預見跟單信用證項下可能使用的所有條款或單據(jù)，或者根據(jù)UCP600及其中反映的標準實務對這些條款或單據(jù)的解釋。然而，指定645號出版物的特別小組努力將跟單信用證日常業(yè)務中的常見條款及常見單據(jù)涵蓋其中。起草小組審核并更新了出版物以使其與UCP600保持一致。
 
It should 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.
應當指出，跟單信用證中任何修改或排除UCP某一規(guī)定的適用性可條款可能也會對國際標準銀行實務的適用產(chǎn)生影響。因此，在考慮本出版物所描述的慣例時，當事人必須考慮到跟單信用證中任何明確修改或排除UCP600規(guī)則的條款。這一原則暗含并貫穿于整部ISBP中。本實務中的舉例僅為就事論事的說明，而不是全面詳盡的闡述。
 
This 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.
本實務中所反映的國際標準銀行實務針對跟單信用證的所有當事方。由于開證申請人的義務、權(quán)利和救濟取決于其與開證行之間的承諾、基礎交易的履行情況以及可適用的法律和慣例下有關異議失效方面的規(guī)定，申請人不應認為其可以本實務為依據(jù)免除其　償付開證行的義務。將本實務納入跟單信用證的條款實無必要，因為UCP600已包含了國際標準銀行實務，而本實務所描述的慣例均被包括其中。
 
二、先期問題（preliminary considerations）
信用證的申請和開立（The application and issuance of the credit）
1． 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.
信用證條款獨立于基礎交易，即使信用證明確提及了該基礎交易。但是，為避免在審單時發(fā)生不必要的費用、延誤和爭議，開證申請人和受益人應當仔細考慮要求何種單據(jù)、單據(jù)由誰出具和提交單據(jù)的期限
 
2． 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 credit.
開證申請人承擔其有關開立或修改信用證的指示不明確所導致的風險。除非另有明確規(guī)定，開立或修改信用證的申請即意味著授權(quán)開證行以必要或適當?shù)姆绞窖a充或細化信用證的條款，以使信用證得以使用。
 
3．The 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.
開證申請人應當注意，UCP600的許多條文，諸如第3條、第14條、第19條、第20條、第21條、第23條、第24條、第28條i款、第30條和第31條，其對術語的界定可能導致出乎意料的結(jié)果，除非開證申請人對這些條款充分了解。例如，在多數(shù)情況下，要求提交提單而且禁止轉(zhuǎn)運的信用證必須排除UCP600第20條c款的適用，才能使禁止裝運發(fā)生效力。
 
4．A 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.
信用證不應規(guī)定提交由開證申請人出具或副簽的單據(jù)。如果信用證含有此類條款，則受益人必須要求修改信用證，或者遵守該條款并承擔無法滿足這一要求的風險。
　
5．Many 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
如果對基礎交易、開證申請和信用證開立的上述細節(jié)多加注意，在審單過程中出現(xiàn)的許多問題都能得以避免或解決。
 
三、一般原則（general principles）
（一）    縮略語（abbreviations）
6．The use of generally accepted abbreviations, for example “Ltd.” instead of “Limited”, “Int’l” instead of “International”, “Co.” instead of “Company”, “kgs” or “kos.” instead of “kilos”, “Ind” instead of “Industry”, “mfr” instead of “manufacturer” or “mt” instead of “metric tons” – or vice versa – does not make a document discrepant.
適用普通認可的縮略語不導致單據(jù)不符，例如，用“LTD.”代替“LIMITED”（有限），用“INT’L”代替“INTERNATIONAL”（國　際），用“CO.”代替“COMPANY”（公司），用“KGS”或“KOS.”代替“KILOS”（千克），用“IND”代替“INDUSTRY”（工業(yè)），用“MFR”代替“MANUFACTURER”（制造商），用“MT”代替“METRIC TONGS”（公噸）。反之，用全稱代替縮略語也不導致單據(jù)不符。
 
7．Virgules (slash marks “/”) may have different meanings, and unless apparent in the context used, should not be used as a substitute for a word.
斜線（“/”）可能有不同的含義，不應用來替代詞語，除非在上下文中可以明了其含義。
 
（二）    證明和聲明（certificate and declarations）
8．A 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.
證明、聲明或類似文據(jù)既可以是單獨的單據(jù)，也可以包含在信用證要求的其他單據(jù)內(nèi)。如果證明或聲明載于另一份有簽字并注明日期的單據(jù)里，只要該證明或聲明表面看來系由出具和簽署該單據(jù)的同一人作出，則該證明或聲明無須另行簽字或加注日期。
 
（三）    單據(jù)的修正和變更（corrections and alterations）
9．Corrections 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.
除了由受益人制作的單據(jù)外，對單據(jù)內(nèi)容的修正和變更必須在表面上看來經(jīng)單據(jù)出具人或其授權(quán)人證實。對履行過法定手續(xù)或載有　簽證、證明之類的單據(jù)的修正和變更必須在表面上看來經(jīng)該法定手續(xù)實施人、簽證人或證明人證實。證實必須表明該證實由誰作出，并包括證實人的簽字或小簽。如果證實從表面看來并非由單據(jù)出具人所為，則該證實必須清楚地表明證實人以何身份證實單據(jù)的修正和變更。
 
10．Corrections 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”.
對未經(jīng)履行法定手續(xù)、簽證或證明之類的由受益人自己出具的單據(jù)（匯票除外）的修正和變更無需證實。參見“匯票和到期日的計算”。
 
11．The use of multiple type styles or font sizes or handwriting in the same document does not, by itself, signify a correction or alteration.
同一份單據(jù)內(nèi)使用多種字體、字號或手寫，其本身并不意味著修正或變更。
 
12．Where 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.
當一份單據(jù)包含不止一處修改或變更時，必須對每一處修正作出單獨證實，或者以一種恰當?shù)姆绞绞挂豁椬C實與所有修正相關聯(lián)。例如，如果一份單據(jù)顯示出有標為1,2,3的三處修正，則使用類似“上述編號為1,2,3的修正經(jīng)XXX授權(quán)”的聲明即滿足證實的要求。
 
（四）    日期（dates）
13．Drafts, 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
即使信用證沒有明確要求，匯票、運輸單據(jù)和保險單據(jù)也必須注明日期。如果信用證要求上述單據(jù)以外的單據(jù)注明日期，只要該單據(jù)援引了同時提交的其他單據(jù)的日期，即滿足信用證的要求（例如，裝運證明可使用“日期參見XXX號提單”或類似用語）。雖然要求的證明或聲明在作為單獨單據(jù)時宜注明日期，但其是否符合信用證要求取決于所要求的證明或聲明的種類、所要求的措辭以及證明或聲明中的實際措辭。至于其他單據(jù)是否要求注明日期則取決于單據(jù)的內(nèi)容和性質(zhì)。
 
　14．Any 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.
任何單據(jù)，包括分析證明、檢驗證明和裝運前檢驗證明注明的日期都可以晚于裝運日期。但是，如果信用證要求一份單據(jù)證明裝運前發(fā)生的事件（例如裝運前檢驗證明），則該單據(jù)必須通過標題或內(nèi)容來表明該事件（例如檢驗）發(fā)生在裝運日之前或裝運日當天。要求提交“檢驗證明”并不表明要求證明一件裝運前發(fā)生的事件。任何單據(jù)都不得顯示晚于交單日的出具日期。
 
15．A document indicating a date of preparation and a later date of signing is deemed to be issued on the date of signing.
載明單據(jù)準備日期和隨后的簽署日期的單據(jù)應視為在簽署之日出具。
 
16．Phrases 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.
 c) “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 of” indicates a period 2 days prior to the event until 2 days after the event.
經(jīng)常用來表示在某日期或事件之前或之后時間的用語：
a)“在……后的2日內(nèi)”（within 2 days after）表明從事件發(fā)生之日起至事件發(fā)生后兩日的這一段時間。
b)“不遲于……之后2日”（not later than 2 days after）表明的不是一段時間，而是最遲日期。如果通知日期不能早于某個特定日期，則信用證必須明確就此作出規(guī)定。
 c)“至少在……之前2日”（at least 2 days before）表明某一事項不得晚于某一事件兩日發(fā)生。該事項最早何時可以發(fā)生則沒有限制。
d)“在……的2日內(nèi)”（within 2 days of）表明某一事件發(fā)生之前的兩日至發(fā)生之后的兩日之間的一段時間。
 
17．The term “within” when used in connection with a date excludes that date in the calculation of the period.
當“在……之內(nèi)”（within）與日期連用時，在計算期間時該日期不包括在內(nèi)。
 
18．Dates may be expressed in different formats, e.g., the 12th of November 2007 could be expressed as 12 Nov 07, 12Nov07, 12.11.2007, 12.11.07, 2007.11.12, 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.
日期可以用不同的格式表示，例如2007年11月12日可以表示為 12 Nov 07，12Nov07，12.11.2007，12.11.07，2007.11.12，11.12.07，121107等。只要試圖表明的日期能夠從該單據(jù)或提交的其他單據(jù)中確定，上述任何格式均可接受。為避免混淆，建議使用月份的名稱而不要使用數(shù)字。
 
（五）    UCP600運輸條款不適用的單據(jù)（documents for which the UCP600 transport articles do not apply）
　19．Some documents commonly used in relation to the transportation of goods, e.g., Delivery Order, Forwarder’s Certificate of Receipt, Forwarder’s Certificate of Shipment, Forwarder’s Certificate of Transport, Forwarder’s Cargo Receipt and Mate’s 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.
與貨物運輸有關的一些常見單據(jù)，例如交貨單、貨運代理收據(jù)證明、貨運代理裝運證明、貨運代理運輸證明、貨運代理貨物收據(jù)和大副收據(jù)均不反映運輸合同，不是UCP600第19條到第25條規(guī)定的運輸單據(jù)。因此UCP600第14條c款不適用于這些單據(jù)，而應以審核UCP600未作規(guī)定的其他單據(jù)的相同方式審核這些單據(jù)，也即適用UCP600第14條f款。在任何情況下，單據(jù)不得遲于信用證規(guī)定的截止日提交。
 
20．Copies 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.
運輸單據(jù)的副本并不是UCP600第19條至第25條及第14條c款所指的運輸單據(jù)。UCP600關于運輸單據(jù)的條款僅適用于有正本運　輸單據(jù)提交時。如果信用證允許提交副本而不是正本運輸單據(jù)，則信用證必須明確規(guī)定應當顯示的細節(jié)。當提交副本（不可轉(zhuǎn)讓的）單據(jù)時，無須顯示簽字、日期等。
 
（六）    UCP600未定義的用語（expressions not defined in UCP600）
21．Expressions such as “shipping documents”, “stale documents acceptable”, “third party documents acceptable”, and “exporting country” 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:
由于UCP600對諸如“裝運單據(jù)”、“過期單據(jù)可接受”、“第三方單據(jù)可接受”及“出口國”等用語未作定義，因此，不應使用此類　用語。如果信用證使用了此類用語，則應明確其含義。否則，根據(jù)國際標準銀行實務，其含義如下：
 
 a) shipping documents” – all documents (not only transport documents), except drafts, required by the credit.
“裝運單據(jù)”（shipping documents）——指信用證要求的除匯票以外的所有單據(jù)（不限于運輸單據(jù)）
 
 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 credit.
“過期單據(jù)可接受”——指晚于裝運日后21個日歷日提交的單據(jù)可以接受，只要其不遲于信用證規(guī)定的交單截止日。
 
 c) “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).
“第三方單據(jù)可接受”——指所有單據(jù)，包括發(fā)票，但不包括匯票，均可由受益人之外的一方出具。如果開證行意在表示運輸單據(jù)或其他單據(jù)可顯示受益人之外的人為托運人，則無須這一條款，因為UCP600第14條k款已經(jīng)對此予以認可。
 
 d) “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.
 “出口國”——指受益人所在國，或貨物原產(chǎn)地國，或承運人接收貨物地所在國，或裝運地或發(fā)貨地所在國。
 
（七）    單據(jù)的出具人（issuer of documents）
22．If 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.
如果信用證要求單據(jù)由某具名個人或?qū)嶓w出具，只要單據(jù)從表面看來是由該具名個人或?qū)嶓w出具，即符合信用證要求。單據(jù)使用該　具名個人或?qū)嶓w的信箋抬頭，或如果未使用其信箋抬頭，但表明看來是由該具名個人或?qū)嶓w或其代理人完成或簽署，即為表面看來由該具名個人或?qū)嶓w出具。
 
（八）    語言（language）
23．Under 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.
在國際標準銀行實務下，受益人出具的單據(jù)應使用信用證所使用的語言。如果信用證規(guī)定可以接受使用兩種或兩種以上語言的單據(jù)，指定銀行在通知該信用證時，可限制單據(jù)使用語種的數(shù)量，作為對該信用證承擔責任的條件。
 
（九）    數(shù)學計算（mathematical calculations）
24．Detailed 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.
銀行不檢查單據(jù)中的數(shù)學計算細節(jié)，而只負責將總量與信用證及其他要求的單據(jù)相核對。
 
（十）    拼寫或打字錯誤（misspellings or typing errors）
25．A 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 pen” 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.
如果拼寫或打字錯誤并不影響單詞或其所在句子的含義，則不構(gòu)成單據(jù)不符。例如，在貨物描述中用“mashine”表示“machine”（機器），用“fountan pen”表示“fountain pen”（鋼筆），或用“modle”表示“model”（型號）均不導致單據(jù)不符。但是，將“model 321”（型號321）寫成“model 123”（型號123）則不被視為打字錯誤，而是構(gòu)成不符點。
 
（十一） 多頁單據(jù)和附件或附文（multiple pages and attachments or riders）
26．Unless 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.
除非信用證或單據(jù)另有規(guī)定，否則被裝訂在一起、按序編號或內(nèi)部交叉援引的多頁單據(jù)，無論其名稱或標題如何，都應被作為一份單據(jù)來審核，即使有些頁張被視為附件。當一份單據(jù)包括不止一頁時，必須能夠確定這些不同頁張同屬一份單據(jù)。
 
27．If 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.
如果要求一份多頁的單據(jù)載有簽字或背書，簽字通常在單據(jù)的第一頁或最后一頁，但是除非信用證或單據(jù)自身規(guī)定簽字或背書應在何處，簽字或背書可以出現(xiàn)在單據(jù)的任何位置。
 
（十二） 正本和副本（original and copies）
28．Documents 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.
單據(jù)的多份正本可標注為“正本”（original）、“第二聯(lián)”（duplicate）、“第三聯(lián)”（triplicate）、“第一正本”（first original）、“第二正本”（second original）等。上述任一標注均不使其喪失正本地位。
 
29．The 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.
提交單據(jù)的正本數(shù)量必須至少為信用證或UCP600要求的數(shù)量，或當單據(jù)自身表明了已出具的正本數(shù)量時，至少為該單據(jù)表明的數(shù)　量。
 
30．It 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:
 a) “Invoice”, “One Invoice” or “Invoice in 1 copy”, it will be understood to be a requirement for an original invoice.
b) “Invoice in 4 copies”, it will be satisfied by the presentation of at least one original and the remaining number as copies of an invoice.
c) “One copy of Invoice”, it will be satisfied by presentation of either a copy or an original of an invoice.
有時從信用證的措辭難以確定信用證要求提交正本單據(jù)還是副本單據(jù)，以及確定該要求是以正本還是副本予以滿足。
例如，當信用證要求：
a)“發(fā)票”、“一份發(fā)票”（one invoice）或“發(fā)票一份”（invoice in 1 copy），應被理解為一份正本發(fā)票。
b)“發(fā)票四份”（invoice in 4 copies），則提交至少一份正本發(fā)票，其余用副本發(fā)票即滿足要求。
c)“發(fā)票的一份”（one copy of invoice），則提交一份副本發(fā)票或一份正本發(fā)票均符合要求。
 
31．Where an original would not be accepted in lieu of a copy, the credit must prohibit an original, e.g., “photocopy of invoice – 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.
當不接受正本代替副本時，信用證必須規(guī)定禁止提交正本，例如，應標明“發(fā)票復印件——不接受用正本代替復印件”，或類似措辭。當信用證要求提交運輸單據(jù)副本并且表明對正本的處理指示時，提交正本運輸單據(jù)將不被接受。
 
32．Copies of documents need not be signed.
單據(jù)副本無須簽字
 
33．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.
除UCP600第17條外，ICC銀行委員會政策聲明【文件470/871（修訂）】，即“在UCP500第20條b款項下如何確定正本單據(jù)”，可對正本和副本問題提供進一步指引，并在UCP600下仍然有效。該政策聲明的內(nèi)容作為本出版物的附錄，以供參考。
 
（十三）  嘜頭（shipping marks）
34．The 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.
使用嘜頭的目的在于能夠識別箱、袋或包裝。如果信用證對嘜頭的細節(jié)作了規(guī)定，則載有嘜頭的單據(jù)必須顯示這些細節(jié)，但額外的信息可以接受，只要其與信用證的條款不矛盾。
　35．Shipping 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.
某些單據(jù)中嘜頭所包含的信息常常超出通常意義上的嘜頭所包含的內(nèi)容，可能包括諸如貨物種類、易碎貨物的警告、貨物凈重及/或毛重等。在一些單據(jù)里顯示了此類額外信息而其他單據(jù)沒有顯示，不構(gòu)成不符點。
 
36．Transport 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 reason.
集裝箱貨物的運輸單據(jù)有時在“嘜頭”欄中僅僅顯示集裝箱號，其他單據(jù)則顯示詳細嘜頭，如此并不視為矛盾。
 
（十四） 簽字（signatures）
37．Even 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.
即使信用證未作規(guī)定，匯票、證明和聲明就其性質(zhì)而言應有簽字。運輸單據(jù)和保險單據(jù)必須按照UCP600的規(guī)定予以簽署。
 
38．The 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 signed.
單據(jù)上留有專供簽字的方框或空格并不必然意味著該方框或空格處必須由簽字。例如，在運輸單據(jù)如航空運單或公路運輸單據(jù)中經(jīng)常會標明“托運人或其代理人簽字”或類似用語的區(qū)域，但銀行并不要求在該處有簽字。如果單據(jù)內(nèi)容表明須經(jīng)簽字才能生效（例如，“單據(jù)非經(jīng)簽署無效”，或類似用語），則必須簽字。
 
39．A 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.
簽字不必一定手寫。使用摹樣簽字、打孔簽字、印章、符號（例如戳記）或任何用以證實身份的任何電子或機械方法均可。但是，已簽單據(jù)的復印件不能視為已簽正本單據(jù)，通過傳真發(fā)送的已簽單據(jù)如果不另外加具原始簽字的話，也不視為已簽正本。如果要求單據(jù)“簽字并蓋章”或類似要求，則單據(jù)只要載有簽字及簽字人的名稱，無論該名稱是打印、蓋章或手寫，均滿足該項要求。
 
　40．A 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.
除非另有規(guī)定，在帶有公司抬頭的信箋上的簽字將被視為該公司的簽字。無須在簽字旁重復公司的名稱。
 
（十五）  單據(jù)名稱及聯(lián)合單據(jù)（title of documents and combined documents）
41．Documents may be titled as called for in the credit, bear a similar title, or be untitled. For example, a credit requirement for a “Packing List” may also be satisfied by a document containing packing details whether titled “Packing Note”, “Packing and Weight List”, etc., or an untitled document. The content of a document must appear to fulfil the function of the required document.
單據(jù)可以使用信用證要求的名稱或相似名稱，或無名稱。例如，信用證要求“裝箱單”，無論該單據(jù)名稱為“裝箱記錄”還是“裝箱和重量單”還是無名稱，只要單據(jù)包含了裝箱細節(jié)，即為滿足信用證要求。單據(jù)內(nèi)容在表面看來必須符合所要求單據(jù)的功能。
 
42．Documents 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.
信用證列明的單據(jù)應作為單獨單據(jù)提交。如果信用證要求裝箱單和重量單，可以提交兩份獨立的單據(jù)，或提交兩份正本的裝箱單和重量單聯(lián)合單據(jù)，只要該聯(lián)合單據(jù)同時表明裝箱和重量細節(jié)，即視為符合信用證要求。
 
四、匯票和到期日的計算（drafts and calculation of maturity date）
（一） 票期（tenor）
　43．The tenor must be in accordance with the terms of the credit.
票期必須與信用證條款一致。
 
a)If a 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.
如果匯票不是見票即付或見票后定期付款，則必須能夠從匯票本身內(nèi)容確定到期日
 
b)    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:
以下是通過匯票內(nèi)容確定匯票到期日的示例。如果信用證要求匯票的票期為提單日后60天，而提單日為2007年7月12 日，則匯票票期可用下列任一方式表明：
 
i.“60 days after bill of lading date 12 July 2007”, or “提單日2007年7月12日后60日”；或，
 
ii.     “60 days after 12 July 2007”, or “2007年7月12日后60日”；或
iii.    “60 days after bill of lading date” and elsewhere on the face of the draft state “bill of lading date 12 July 2007”, or
“提單日后60日”，并且匯票表面的其他地方表明“提單日2007年7月12日”，或
 
iv.    “60 days date” on a draft dated the same day as the date of the bill of lading, or
在出票日期與提單日期相同的匯票上標注“出票日后60日”；或
 
v.     “10 September 2007”, i.e. 60 days after the bill of lading date.
“2007年9月10日”，即提單日后60日。
 
 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 lading.
如果用提單日后XXX天表示票期，則以裝船日為提單日，即使裝船日早于或晚于提單簽發(fā)日。
 
d)    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.
根據(jù)UCP600第三條的指引，當使用“從…...起”（from）和“在……之后”（after）來確定匯票到期日時，到期日的計算從單據(jù)日期、裝運日期或其他事件的次日起起算，也就是說，從3月1日起10日或3月1日后10日均為3月11日。
 
e)    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.
如果信用證要求匯票票期為，例如，提單日后60日或從提單日起60日，而提單上有多個裝船批注，且所有裝船批注均顯示貨物從信用證允許的地理區(qū)域或地區(qū)的港口裝運，則使用最早的裝船批注日期計算匯票到期日。例如，信用證要求從歐洲港口裝運，提單顯示貨物于8月16日在都柏林裝上A船，于8月18日在鹿特丹裝上B船，則匯票到期日應為在歐洲港口的最早裝船日，即8月16日起的60天。
 
f)     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 date.
如果信用證要求匯票票期為，例如，提單日后60日或提單日起60日，而一張匯票項下提交了多套提單，則最晚的提單日將被　用來計算匯票的到期日。
 
44．While the examples refer to bill of lading dates, the same principles apply to all transport documents.
上述例子中提及的盡管是提單日，但相同原則適用于所有運輸單據(jù)。
 
（二） 到期日（maturity date）
45．If 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.
如果匯票使用實際日期表示到期日，則該日期必須按信用證的要求計算。
 
46．For drafts drawn “at XXX days sight”, the maturity date is established as follows:
a)    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.
b)    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.
如果匯票是“見票XXX日后”付款，則到期日按如下方法確定：
a) 對于相符單據(jù)，或雖不相符但付款銀行未曾發(fā)出拒付通知的單據(jù)，到期日為付款銀行收到單據(jù)后的第XXX日。
b) 對于付款銀行已發(fā)出拒付通知但隨后又同意接受的不符單據(jù)，到期日最遲為付款銀行承兌匯票的第XXX日。匯票承兌日不得晚　于開證行接受申請人對不符點的放棄的日期。
 
47．In 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.
在所有情況下付款銀行均須向交單人通知匯票到期日。上述票期和到期日的計算也適用于延期付款信用證，即也適用于不要求收益人提交匯票的情形。
 
（三） 銀行工作日、寬限期、匯款遲延（banking days,grace day,delays in remittance）
48．Payment 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.
付款應于到期日在匯票或單據(jù)的付款地以立即能夠使用的資金支付，只要到期日是付款地的銀行工作日。如果到期日不是銀行工作　日，則付款日為到期日后的第一個銀行工作日。匯款遲延，例如寬限期、匯款過程需要時間等不能在匯票或單據(jù)所載明或約定的到期日之外。
 
（四） 背書（endorsement）
49．The draft must be endorsed, if necessary.
如果必要，匯票必須背書。
 
（五） 金額（amounts）
50．The amount in words must accurately reflect the amount in figures if both are shown, and indicate the currency, as stated in the credit.
如果同時有大寫和小寫金額，則大寫金額必須準確反映小寫表示的金額，同時顯示信用證規(guī)定的幣重。
 
51．The amount must agree with that of the invoice, unless as a result of UCP 600 sub-article 18(b).
金額必須與發(fā)票一致，除非出現(xiàn)UCP600第18條b款規(guī)定的情況。
 
（六） 出票（how the draft is drawn）
52．The draft must be drawn on the party stated in the credit.
匯票必須以信用證規(guī)定的人為付款人。
 
53．The draft must be drawn by the beneficiary.
　匯票必須由受益人出票。
 
（七） 以申請人為付款人的匯票（drafts on the applicant）
54．A 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.
信用證可以要求提交以開證申請人為付款人的匯票作為所需單據(jù)之一，但是不得開立成憑以開證申請人為付款人的匯票兌用。
 
（八） 修正和變更（corrections and alterations）
55．Corrections and alterations on a draft, if any, must appear to have been authenticated by the drawer.
匯票如有修正或變更，必須在表面看來經(jīng)出票人證實。
 
56．In some countries a draft showing corrections or alterations will not be acceptable even with the drawer’s 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.
有些國家不接受帶有修正或變更的匯票，即使有出票人的證實。此類國家的開證行應在信用證中聲明匯票中不得出現(xiàn)修改或變更。
 
　五、發(fā)票（invoices）
（一） 發(fā)票的界定（definition of invoice）
57．A 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.
如信用證要求“發(fā)票”而未做進一步界定，則提交任何形式的發(fā)票均可（如商業(yè)發(fā)票、海關發(fā)票、稅務發(fā)票、最終發(fā)票、領事發(fā)票等）。但是，“臨時發(fā)票”、“預開發(fā)票”或類似發(fā)票則不可接受。當信用證要求提交商業(yè)發(fā)票時，標為“發(fā)票”的單據(jù)可以接受。
 
（二） 貨物、服務或履約行為的描述及其他有關發(fā)票的一般事項（description of the goods,services or performance and other general issue related to invoice）
58．The 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 credit.
發(fā)票中的貨物、服務或履約行為的描述必須與信用證中的一致，但并不要求如鏡像般一致。例如，貨物細節(jié)可以在發(fā)票中的若干處表示，當并在一起時與信用證中的一致即可。
 
59．The 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.
　發(fā)票中的貨物、服務或履約行為的描述必須反映實際裝運或提供的貨物、服務或履約行為。例如，信用證中的貨物描述顯示兩種貨物，如10輛卡車和5輛拖拉機，如果信用證不禁止分批裝運，則發(fā)票只顯示裝運4輛卡車是可以接受的。列明信用證規(guī)定的全部貨物描述，然后注明實際裝運貨物的發(fā)票也可接受。
 
60．An 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 credit.
發(fā)票必須表明裝運貨物或提供的服務或履約行為的價值。發(fā)票中顯示的單價（如有的話）和幣種必須與信用證中的一致。發(fā)票必須顯示信用證要求的折扣或扣減。發(fā)票還可顯示信用證未規(guī)定的預付款或折扣等的扣減額。
 
61．If 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.
　如果某貿(mào)易術語是信用證中貨物描述的一部分，或與金額聯(lián)系在一起表示，則發(fā)票必須顯示信用證指明的貿(mào)易術語，而且如果貨物描述提供了貿(mào)易術語的出處，則發(fā)票必須表明相同的出處（如信用證條款規(guī)定“CIF新加坡Incoterms 2000”，則 “CIF新加坡Incoterms”就不符合信用證的要求）。費用和成本必須包括在信用證和發(fā)票中標明的貿(mào)易術語所顯示的金額內(nèi)，不允許任何超出該金額的費用和成本。
 
62．Unless required by the credit, an invoice need not be signed or dated
除非信用證要求，發(fā)票無須簽字或注明日期。
 
63．The quantity of merchandise, weights and measurements shown on the invoice must not conflict with the same quantities appearing on other documents.
發(fā)票顯示的貨物數(shù)量、重量和尺寸不得與其他單據(jù)顯示的相應數(shù)值相矛盾。
　
64．An invoice must not show:
a)    over-shipment (except as provided in UCP 600 sub-article 30(b)), or
b)    merchandise not called for in the credit (including samples, advertising materials, etc.) even if stated to be free of charge.
發(fā)票不得表明：
a) 溢狀（UCP600第30條b款規(guī)定的除外），或
b) 信用證未要求的貨物（包括樣品、廣告材料等），及時注明免費
 
65．The 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.
　信用證要求的貨物數(shù)量可以有5%的溢短裝幅度。但如果信用證規(guī)定貨物數(shù)量不得超量或減少，或信用證規(guī)定的貨物數(shù)量是以包裝單位或商品件數(shù)計算時，此規(guī)定不適用。貨物數(shù)量在5%幅度內(nèi)的溢裝并不意味著允許支取的金額超過信用證金額。
 
66．Even 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.
即使信用證禁止分批裝運，當貨物數(shù)量全部裝運，且單價（如信用證有規(guī)定的話）沒有降低時，支取金額有5%的減幅也可以接受。如果信用證未規(guī)定貨物數(shù)量，發(fā)票的貨物數(shù)量即可視為全部貨物數(shù)量。
 
67．If a credit calls for instalment shipments, each shipment must be in accordance with the instalment schedule.
如果信用證要求分期裝運，則每期裝運必須與分期裝運計劃一致。
　
 
六、涵蓋至少兩種不同運輸方式的運輸單據(jù)（transport documents covering at least two different modes of transport）
（一）UCP600第19條的適用（application of UCP600 article 19）
68．If 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.
如果信用證要求提交涵蓋至少兩種運輸方式的運輸單據(jù)（多式聯(lián)運單據(jù)或聯(lián)合運輸單據(jù)），并且運輸單據(jù)明確表明其覆蓋自信用證規(guī)定的貨物接管地或裝運港、裝貨機場或裝貨地點至最終目的地的運輸，則適用UCP600第19條之規(guī)定。在此情況下，運輸單據(jù)不能表明運輸僅由一種運輸方式完成，但就采用何種運輸方式可不予說明。
 
69．In all places where the term “multimodal transport document” is used within this document, it also includes the term combined transport document. A document need not be titled “Multimodal transport document” or “Combined transport document” to be acceptable under UCP 600 article 19, even if such expressions are used in the credit.
本文件中使用的“多式聯(lián)運單據(jù)”一詞也包括聯(lián)合運輸單據(jù)。單據(jù)不一定非使用“多式聯(lián)運單據(jù)”或“聯(lián)合運輸單據(jù)”的名稱才符　合UCP600第19條的要求，即使信用證使用了上述名稱。
 
（二） 全套正本（full set of originals）
70．A 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.
適用UCP600第19條的運輸單據(jù)必須注明說出具的正本份數(shù)。注明“第一正本”、“第二正本”、“第三正本”、“正本”、“第二聯(lián)“、“第三聯(lián)”等類似字樣的運輸單據(jù)均為正本。信用證項下多式聯(lián)運單據(jù)不必非要注明“正本”字樣才可被接受。除UCP600第17條外，ICC銀行委員會政策聲明[文件470/871（修訂）]，即“在UCP500第20條b款項下如何確定正本單據(jù)”，可對正本和副本問題提供進一步指引，并在UCP600下仍然有效。該政策聲明的內(nèi)容作為本出版物的附錄，以供參考。
　
（三） 多式聯(lián)運單據(jù)的簽署（signing of multimodal transport documents）
71．Original 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 carrier.
 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 stated.
c).If an 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 stated.
正本多式聯(lián)運單據(jù)必須按UCP600第19條a款i項規(guī)定的方式簽署，并表明承運的名稱及其承運人身份。
a) 如果由代理人代表承運人簽署多式聯(lián)運單據(jù)，則必須表明其代理人身份，并且必須表明所代理的承運人，除非多式聯(lián)運單據(jù)的其　他地方已經(jīng)表明了承運人。
b) 如果由船長簽署多式聯(lián)運單據(jù)，則船長的簽字必須表明“船長”身份。在此情況下，不必注明船長姓名。
c) 如果由代理人代表船長簽署多式聯(lián)運單據(jù)，則必須表明其代理人身份。在此情況下，不必注明船長姓名。
 
72．If a credit states “Freight Forwarder’s 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 carrier.
如果信用證規(guī)定“貨運代理多式聯(lián)運單據(jù)可接受”或使用了類似用語，則多式聯(lián)運單據(jù)可由貨運代理人以貨運代理人的身份簽署，而無須表明其為承運人或具名承運人的代理人。在此情況下，不必顯示承運人名稱。
 
（四） 已裝船批注（on board notation）
73．The 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 document.
多式聯(lián)運單據(jù)的出具日期應視為發(fā)運、接管或裝船的日期，除非單據(jù)上另有單獨的注明日期的批注，表明貨物已在信用證規(guī)定的地點發(fā)運、接管或裝船，在此情況下，該批注日期即被視為裝運日期，而不論該日期是早于還是遲于單據(jù)的出具日期。
 
　74．“Shipped in apparent good order”, “Laden on board”, “clean on board” or other phrases incorporating words such as “shipped” or “on board” have the same effect as “Shipped on board”.
“已裝運且表面狀況良好”（“shipped in apparent good order”）、“已載于船”（“laden on board”）、“清潔已裝船”（“clean on board”）或其他包含“已裝運”（“shipped”）或“已裝船”（“on board”）之類字樣的用語與“已裝運上船”（“shipped on board”）具有同樣效力。
 
（五） 接管地、發(fā)運地、裝貨地和目的地（place of taking in charge,dispatch,loading on board and destination）
75．If 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.
如果信用證規(guī)定了接管地、發(fā)運地、裝貨地和目的地的地理范圍（如“任一歐洲港口”），則多式聯(lián)運單據(jù)必須注明實際的接管地、發(fā)運地、裝貨地和目的地，且該地點必須位于信用證規(guī)定的地理區(qū)域或范圍內(nèi)。
 
（六） 收貨人、指示方、托運人和背書、被通知人（consignee,order party,shipper and endorsement,notify party）
76．If a credit requires a multimodal transport document to show that the goods are consigned to a named party, e.g., “consigned to Bank X” (a “straight” consignment), rather than “to order” or “to order of Bank X”, the multimodal transport document must not contain words such as 　“to order” or “to order of” that precede the name of that named party, whether typed or pre-printed. Likewise, if a credit requires the goods to be consigned “to order” or “to order of” a named party, the multimodal transport document must not show that the goods are consigned straight to the named party.
如果信用證要求多式聯(lián)運單據(jù)顯示貨物以某具名人為收貨人，如“收貨人為X銀行”（即記名式抬頭），而不是“憑指示”或“憑X銀行的指示”，則多式聯(lián)運單據(jù)不得在該具名人的名稱前出現(xiàn)“憑指示”或“憑……指示”的字樣，不論該字樣是打印的還是預先印就的。同樣，如果信用證要求多式聯(lián)運單據(jù)抬頭為“憑指示”或“憑某具名人指示”，則多式聯(lián)運單據(jù)不得做成以該具名人為收貨人的記名式抬頭。
 
77．If 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.
如果多式聯(lián)運單據(jù)做成憑指示式抬頭或做成憑托運人指示式抬頭，則該單據(jù)必須經(jīng)托運人背書。表明代表托運人所做的背書可以接　受。
 
78．If 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.
如果信用證未規(guī)定到貨被通知人，則多式聯(lián)運單據(jù)上的相關欄位可以空白，或以任何方式填寫。
 
（七） 轉(zhuǎn)運和分批裝運（transhipment and partial shipment）
79．In 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.
在多式聯(lián)運方式下，將會發(fā)生轉(zhuǎn)運，自信用證規(guī)定的發(fā)貨地、接管地或裝運地至最終目的地之間的運輸過程中，將貨物從一種運輸工具上卸下，再裝上另一種運輸工具（不論是否為不同的運輸方式。
 
80．If 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 credit.
如果信用證禁止分批裝運，而提交的正本多式聯(lián)運單據(jù)不止一套，覆蓋從一個或多個始發(fā)地點（信用證特別允許的地點或在信用證規(guī)定的地理區(qū)域或范圍內(nèi)）的裝運、發(fā)運或接管，只要單據(jù)覆蓋的貨物運輸是由同一運輸工具經(jīng)同一運程前往同一目的地的運輸，則此類單據(jù)可以接受。如果提交了多套多式聯(lián)運單據(jù)，而單據(jù)包含不同的裝運、發(fā)運或接管日期，則以最遲者計算任何交單期，且該日期不得晚于信用證規(guī)定的最遲裝運、發(fā)運或接管的日期。
 
81．Shipment 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.
由多件運輸工具（多輛卡車、多艘輪船、多架飛機等）進行的運輸即為分批裝運，即使這些運輸工具在同日出發(fā)并前往同一目的地。
 
�。ò耍� 清潔多式聯(lián)運單據(jù)（clean multimodal transport documents）
82．Clauses 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.
載有明確聲明貨物或包裝狀況有缺陷的條款或批注的多式聯(lián)運單據(jù)不可接受。未明確聲明貨物或包裝狀況有缺陷的條款或批注（如“包裝狀況可能無法滿足運程”）不構(gòu)成不符點。聲明包裝“無法滿足運程”的條款則不可接受。
 
83．If 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.
如果多式聯(lián)運單據(jù)上顯示有“清潔”字樣，但又被刪除，并不視為有不清潔條款或不清潔，除非其上載有明確聲明貨物或包裝有缺陷的條款或批注。
 
�。ň牛� 貨物描述（goods description）
84．A goods description in the multimodal transport document may be shown in general terms not in conflict with that stated in the credit.
多式聯(lián)運單據(jù)上的貨物描述可以使用與信用證所載不矛盾的貨物統(tǒng)稱。
 
（十） 修正和變更（corrections and alterations）
85．Corrections 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).
多式聯(lián)運單據(jù)上的修正和變更必須經(jīng)過證實。證實從表明看必須是由承運人或船長或其任一代理人所為。該代理人可以與出具或簽署多式聯(lián)運單據(jù)的代理人不同，只要表明其作為承運人或船長的代理人身份。
 
　86．Non-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.
對于正本多式聯(lián)運單據(jù)上可能作過的任何變更或修正，其不可轉(zhuǎn)讓的副本無須加具任何簽字或證實。
 
（十一） 運費和額外費用（freight and additional costs）
87．If 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.
如果信用證要求多式聯(lián)運單據(jù)注明運費已付或到目的地支付，則多式聯(lián)運單據(jù)必須由相應標注。
 
88．Applicants and issuing banks should be specific in stating the requirements of documents to show whether freight is to be prepaid or collected.
開證申請人和開證行應明確要求單據(jù)時注明運費預付還是到付。
　
89．If 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.
如果信用證規(guī)定運費之外的額外費用不可接受，則多式聯(lián)運單據(jù)不得表示運費之外的其他費用已產(chǎn)生或?qū)⒁�產(chǎn)生。此類表示可以通過明確提及額外費用或使用提及貨物裝卸費用的裝運術語表示，例如“船方不負擔裝貨費用”（Free in（FI））,“船方不負擔卸貨費用”（Free out（FO））,“船方不負擔裝卸費用”（Free In and Out（FIO））及“船方不負擔裝卸及積載費用”（Free In and Out Stowed（FIOS））。運輸單據(jù)上提到由于延遲卸貨或卸貨后的延誤可能產(chǎn)生的費用，如遲還集裝箱的費用，不屬于此處所指的額外費用。
 
（十二） 由多套多式聯(lián)運單據(jù)涵蓋的貨物（goods covered by more than one multimodal transport document）
90．If 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.
如果多式聯(lián)運單據(jù)聲明某一集裝箱內(nèi)的貨物由該運輸單據(jù)和另外一套或多套多式聯(lián)運單據(jù)一起涵蓋，并聲明所有多式聯(lián)運單據(jù)均須　提交，或有類似表述，則意味著該集裝箱有關的所有多式聯(lián)運單據(jù)必須一并提交后才能領取該集裝箱的貨物。此類多式聯(lián)運單據(jù)不可接受，除非同一信用證項下的所有此類多式聯(lián)運單據(jù)在同一交單時一并提交。