跟单信用证统一惯例UCP600中英文文档格式.docx

跟单信用证统一惯例UCP600中英文文档格式.docx

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UCP600中文版UCP600

FOREWORD

ThisrevisionoftheUniformCustomsandPracticeforDocumentaryCredits（commonlycalled“UCP”）isthesixthrevisionoftherulessincetheywerefirstpromulgatedin1933.ItisthefruitofmorethanthreeyearsofworkbytheInternationalChamberofCommerce’s（ICC）CommissiononBankingTechniqueandPractice.

ICC,whichwasestablishedin1919,hadasitsprimaryobjectivefacilitatingtheflowofinternationaltradeatatimewhennationalismandprotectionismposedseriousthreatstotheworldtradingsystem.ItwasinthatspiritthattheUCPwerefirstintroduced–toalleviatetheconfusioncausedbyindividualcountries’promotingtheirownnationalrulesonletterofcreditpractice.Theobjective,sinceattained,wastocreateasetofcontractualrulesthatwouldestablishuniformityinthatpractice,sothatpractitionerswouldnothavetocopewithaplethoraofoftenconflictingnationalregulations.TheuniversalacceptanceoftheUCPbypractitionersincountrieswithwidelydivergenteconomicandjudicialsystemsisatestamenttotherules’success.

ItisimportanttorecallthattheUCPrepresenttheworkofaprivateinternationalorganization,notagovernmentalbody.Sinceitsinception,ICChasinsistedonthecentralroleofself-regulationinbusinesspractice.Theserules,formulatedentirelybyexpertsintheprivatesector,havevalidatedthatapproach.TheUCPremainthemostsuccessfulsetofprivaterulesfortradeeverdeveloped.

Arangeofindividualsandgroupscontributedtothecurrentrevision,whichisentitledUCP600.TheseincludetheUCPDraftingGroup,whichsiftedthroughmorethan5000individualcommentsbeforearrivingatthisconsensustext;

theUCPConsultingGroup,consistingofmembersfrommorethan25countries,whichservedastheadvisorybodyreactingtoandproposingchangestothevariousdrafts;

themorethan400membersof

theICCCommissiononBankingTechniqueandPracticewhomadeertinent

suggestionsforchangesinthetext;

andICCnationalcommitteesworldwidewhichtookanactiveroleinconsolidatingcommentsfromtheirmembers.ICCalsoexpressesitsgratitudetopractitionersinthetransportand

Insuranceindustries,whoseperceptivesuggestionshonedthefinaldraft.

GuySebban

SecretaryGeneral

InternationalChamberofCommerce

INTRODUCTION

InMay2003,theInternationalChamberofCommerceauthorizedtheICCCommissiononBankingTechniqueandPractice（BankingCommission）tobeginarevisionoftheUniformCustomsandPracticeforDocumentaryCredits,ICCPublication500.

Aswithotherrevisions,thegeneralobjectivewastoaddressdevelopmentsinthebanking,transportandinsuranceindustries.Additionally,therewasaneedtolookatthelanguageandstyleusedintheUCPtoremovewordingthatcouldleadtoinconsistentapplicationandinterpretation.

Whenworkontherevisionstarted,anumberofglobalsurveysindicatedthat,becauseofdiscrepancies,approximately70%ofdocumentspresentedunderlettersofcreditwerebeingrejectedonfirstpresentation.Thisobviouslyhad,andcontinuestohave,anegativeeffectontheletterofcreditbeingseenasameansofpaymentand,ifunchecked,couldhaveseriousimplicationsformaintainingorincreasingitsmarketshareasarecognizedmeansofsettlementininternationaltrade.Theintroductionbybanksofadiscrepancyfeehashighlightedtheimportanceofthisissue,especiallywhentheunderlyingdiscrepancieshavebeenfoundtobedubiousorunsound.WhilstthenumberofcasesinvolvinglitigationhasnotgrownduringthelifetimeofUCP500,theintroductionoftheICC’sDocumentaryCreditDisputeResolutionExpertiseRules（DOCDEX）inOctober1997（subsequentlyrevisedinMarch2002）hasresultedinmorethan60casesbeingdecided.

Toaddresstheseandotherconcerns,theBankingCommissionestablishedaDraftingGrouptoreviseUCP500.Itwasalsodecidedtocreateasecondgroup,knownastheConsultingGroup,toreviewandadviseonearlydraftssubmittedbytheDraftingGroup.TheConsultingGroup,madeupofover40individualsfrom26countries,consistedofbankingandtransportindustryexperts.Ablyco-chairedbyJohnTurnbull,DeputyGeneralManager,SumitomoMitsuiBankingCorporationEuropeLtd,LondonandCarlo

DiNinni,Adviser,ItalianBankersAssociation,Rome,theConsultingGroupprovidedvaluableinputtotheDraftingGrouppriortoreleaseofdrafttextstoICCnationalcommittees.TheDraftingGroupbeganthereviewprocessbyanalyzingthecontentoftheofficialOpinionsissuedbytheBankingCommissionunderUCP500.Some500Opinionswerereviewedtoassesswhethertheissuesinvolvedwarrantedachangein,anadditiontooradeletionofanyUCParticle.Inaddition,considerationwasgiventothecontentofthefourPositionPapersissuedbytheCommissioninSeptember1994,thetwoDecisionsissuedbytheCommission（concerningtheintroductionoftheeuroandthedeterminationofwhatconstitutedanoriginaldocumentunderUCP500sub-article20（b）andthedecisionsissuedinDOCDEXcases.Duringtherevisionprocess,noticewastakenoftheconsiderableworkthathadbeencompletedincreatingtheInternationalStandardBankingPracticefortheExaminationofDocumentsunderDocumentaryCredits（ISBP）,ICCPublication645.Thispublication

hasevolvedintoanecessarycompaniontotheUCPfordeterminingcomplianceofdocumentswiththetermsoflettersofcredit.ItistheexpectationoftheDraftingGroupandtheBankingCommissionthattheapplicationoftheprinciplescontainedintheISBP,includingsubsequentrevisionsthereof,willcontinueduringthetimeUCP600isinforce.AtthetimeUCP600isimplemented,therewillbeanupdatedversionofthe

ISBPtobringitscontentsinlinewiththesubstanceandstyleofthenewrules.ThefourPositionPapersissuedinSeptember1994wereissuedsubjecttotheirapplicationunderUCP500;

therefore,theywillnotbeapplicableunderUCP600.TheessenceoftheDecisioncoveringthedeterminationofanoriginaldocumenthasbeenincorporatedintothetextofUCP600.TheoutcomeoftheDOCDEXcaseswereinvariablybasedonexistingICCBankingCommissionOpinionsandthereforecontainednospecificissuesthatrequiredaddressingintheserules.OneofthestructuralchangestotheUCPistheintroductionofarticlescoveringdefinitions（article2）andinterpretations（article3）.Inprovidingdefinitionsofroles

playedbybanksandthemeaningofspecifictermsandevents,UCP600avoidsthenecessityofrepetitivetexttoexplaintheirinterpretationandapplication.Similarly,thearticlecoveringinterpretationsaimstotaketheambiguityoutofvagueorunclearlanguagethatappearsinlettersofcreditandtoprovideadefinitiveelucidationofothercharacteristicsoftheUCPorthecredit.Duringthecourseofthelastthreeyears,ICCnationalcommitteeswerecanvassedonarangeofissuestodeterminetheirpreferencesonalternativetextssubmittedbytheDraftingGroup.TheresultsofthisexerciseandtheconsiderableinputfromnationalcommitteesonindividualitemsinthetextisreflectedinthecontentofUCP600.TheDraftingGroupconsidered,notonlythecurrentpracticerelativetothedocumentarycredit,butalsotriedtoenvisagethefutureevolutionofthatpractice.ThisrevisionoftheUCPrepresentstheculminationofoverthreeyearsofextensiveanalysis,review,debateandcompromiseamongstthevariousmembersoftheDraftingGroup,themembersoftheBankingCommissionandtherespectiveICCnationalcommittees.ValuablecommenthasalsobeenreceivedfromtheICCCommissiononTransportandLogistics,theCommissiononCommercialLawandPracticeandtheCommitteeonInsurance.Itisnotappropriateforthispublicationtoprovideanexplanationastowhyanarticlehasbeenwordedinsuchawayorwhatisintendedbyitsincorporationintotherules.ForthoseinterestedinunderstandingtherationaleandinterpretationofthearticlesofUCP600,thisinformationwillbefoundintheCommentarytotherules,ICCPublication601,whichrepresentstheDraftingGroup’sviews.OnbehalfoftheDraftingGroupIwouldliketoextendourdeepappreciationtothemembersoftheConsultingGroup,ICCnationalcommitteesandmembersoftheBankingCommissionfortheirprofessionalcommentsandtheirconstructiveparticipationinthisprocess.SpecialthanksareduetothemembersoftheDraftingGroupandtheirinstitutions,whoarelistedbelowinalphabeticalorder.NicoleKeller–VicePresident,ServiceInternationalProducts,DresdnerBankAG,Frankfurt,Germany;

RepresentativetotheICCCommissiononBankingTechniqueandPractice;

LaurenceKooy–LegalAdviser,BNPParibas,Paris,France;

RepresentativetotheICCCommissiononBankingTechniqueandPractice.

KatjaLehr–BusinessManager,TradeServicesStandards,SWIFT,LaHulpe,Belgium,thenVicePresident,MembershipRepresentation,InternationalFinancialServicesAssociation,NewJersey,USA;

OleMalmqvist–VicePresident,DanskeBank,Copenhagen,Denmark;

PaulMiserez–HeadofTradeFinanceStandards,SWIFT,LaHulpe,Belgium;

RepresentativetotheICCCommissiononBankingTechniqueandPractice;

René

Mueller–Director,CreditSuisse,Zurich,Switzerland;

RepresentativetotheICC

CommissiononBankingTechniqueandPractice;

CheeSengSoh–Consultant,AssociationofBanksinSingapore,Singapore;

DanTaylor–PresidentandCEO,I