加拿大外贸
International Standard Banking Practicefor the Examination of Documents
under Documentary Credits subject to UCP 600 (ISBP)
CONTENTS
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INTRODUCTION
PRELIMINARY CONSIDERATIONS
The application and issuance of the credit
GENERAL PRINCIPLES
Abbreviations
Certifications and declarations
Corrections and alterations
Dates
Documents for which the UCP 600 Transport Articles do not apply
Expressions not defined in UCP 600
Conflicting data in the documents
Issuer of documents
Language
Mathematical calculations
Misspellings or typing errors
Multiple pages and attachments or riders
Originals and copies
Shipping marks
Signatures
Title of documents and combined documents
DRAFTS AND CALCULATION OF MATURITY DATE
Tenor
Maturity date
Banking days, grace days, delays in remittance
Endorsement
Amounts
How the draft is drawn
Drafts on the applicant
Corrections and alterations
INVOICES
Definition of invoice
Name and address
Description of the goods and other general issues related to invoices
TRANSPORT DOCUMENT COVERING AT LEAST TWO DIFFERENT MODES OF TRANSPORT
Application of UCP 600 article 19
Full set of originals
Signing of multimodal transport documents
On board notations
Place of taking in charge, dispatch, loading on board and destination
Consignee, order party, shipper and endorsement, notify party
Transhipment and partial shipment
Clean multimodal transport documents
Goods description
Corrections and alterations
Freight and additional costs
Goods covered by more than one multimodal transport document
BILL OF LADING
Application of UCP 600 article 20
Full set of originals
Signing of bills of lading
On board notations
Ports of loading and ports of discharge
Consignee, order party, shipper and endorsement, notify party
Transhipment and partial shipment
Clean bills of lading
Goods description
Corrections and alterations
Freight and additional costs
Goods covered by more than one bill of lading
CHARTER PARTY BILL OF LADING
Application of UCP 600 article 22
Full set of originals
Signing of charter party bills of lading
On board notations
Ports of loading and ports of discharge
Consignee, order party, shipper and endorsement, notify party
Partial shipment
Clean charter party bills of lading
Goods description
Corrections and alterations
Freight and additional costs
AIR TRANSPORT DOCUMENT
Application of UCP 600 article 23
Original air transport documents
Signing of air transport documents
Goods accepted for carriage, date of shipment, and requirement for an actual date of dispatch
Airports of departure and destination
Consignee, order party and notify party
Transhipment and partial shipment
Clean air transport documents
Goods description
Corrections and alterations
Freight and additional costs
ROAD, RAIL OR INLAND WATERWAY TRANSPORT DOCUMENTS
Application of UCP 600 article 24
Original and duplicate of road, rail or inland waterway transport documents
Carrier and signing of road, rail or inland waterway transport documents
Order party and notify party
Partial shipment
Goods description
Corrections and alterations
Freight and additional costs
INSURANCE DOCUMENT AND COVERAGE
Application of UCP 600 article 28
Issuers of insurance documents
Risks to be covered
Dates
Currency and amount
Insured party and endorsement
CERTIFICATES OF ORIGIN
Basic requirements
Issuers of certificates of origin
Contents of certificates of origin
INTRODUCTION [to be drafted]
PRELIMINARY CONSIDERATIONS
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.
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.
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.
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.
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.
GENERAL PRINCIPLES
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.
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.
Certifications 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.
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.
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”.
[ 本帖最后由 junior0919 于 2006-10-11 10:22 编辑 ]
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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.
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.
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.
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.
15) A document indicating a date of preparation and a later date of signing is deemed to be issued on the date of signing.
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 an event 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.
17) The term “within” when used in connection with a date excludes that date in the calculation of the period.
18) Dates may be expressed in different formats, e.g. the 12th of November 2006 could be expressed as 12 Nov 06, 12Nov06, 12.11.2006, 12.11.06, 2006.11.12, 11.12.06, 121106, 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.
Documents for which the UCP 600 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.
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.
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Expressions not defined in UCP 600
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:
a) “shipping documents” – all documents (not only transport documents), except drafts, required by the credit.
b) “stale documents acceptable” – documents presented later than 21 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.
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).
d) “exporting country” – the country where the beneficiary is domiciled, and/or the country of origin of the goods, and/or the country of receipt by the carrier and/or the country from which shipment or dispatch is made.
Conflicting data in the documents
22) Documents presented under a credit must not appear to contain data that could be considered as conflicting with each other. The requirement is not that the data content be identical, merely that the data appearing on documents not conflict.
Issuer of documents
23) 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 and/or signed by, or on behalf of, the named person or entity.
Language
24) 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 or confirming bank may, in its advice of the credit, limit the number of acceptable languages as a condition of its engagement in the credit or confirmation.
Mathematical calculations
25) 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.
Misspellings or typing errors
26) Misspellings or typing errors that do not affect the meaning of a word or the sentence in which it occurs, do 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.
Multiple pages and attachments or riders
27) 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.
28) 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.
Originals and copies
29) 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.
30) 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.
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31) 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 a copy of an invoice. However, it is standard banking practice to accept an original instead of a copy in this construction.
32) 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.
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 versus copies and remains valid under UCP 600.
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 document(s) mentioning the marks must show these details, but additional information is acceptable provided it is not inconsistent with the credit terms.
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.
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 inconsistent for that reason.
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.
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.
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.
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.
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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.
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.
DRAFTS AND CALCULATION OF MATURITY DATE
Tenor
43) The tenor must be in accordance with the terms of the credit.
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.
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:
i. “60 days after bill of lading date 12 July 2007”, or
ii. “60 days after 12 July 2007”, or
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
iv. “60 days date” on a draft dated the same day as the date of the bill of lading, or
v. “10 September 2007”, i.e. 60 days after the bill of lading date.
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.
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.
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.
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 are presented under one draft, the date of the last bill of lading will be used for the calculation of the maturity date.
44) While the examples refer to bill of lading dates, the same principles apply to all transport documents.
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.
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 refusal of documents, 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 of documents 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. Where the issuing bank provides a notice of refusal but subsequently decided to accept the documents, the date of the notice of refusal will be taken as the date from which acceptance is to occur. .
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.
Banking days, grace days, 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 unless the credit states otherwise. 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
49) The draft must be endorsed, if necessary.
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.
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51) The amount must agree with that of the invoice, unless otherwise stated in the credit or as a result of UCP 600 sub-article 18(b).
How the draft is drawn
52) The draft must be drawn on the party stated in the credit.
53) The draft must be drawn by the beneficiary.
Drafts on the applicant
54) Credits may be issued requiring a draft drawn on the applicant, but must not be issued available by drafts drawn on the applicant.
Corrections and alterations
55) Corrections and alterations on a draft, if any, must appear to have been authenticated by the drawer.
56) In some countries draft(s) showing corrections and alterations are not 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(s).
INVOICES
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 unless specifically authorized in the credit. When a credit requires presentation of a commercial invoice, a document titled “invoice” will be acceptable.
Name and address
58) An invoice must appear to have been issued by the beneficiary named in the credit. The address of the beneficiary, where shown, need not be the same as that stated in the credit or in any other stipulated document, but must be within the same country as the address mentioned in the credit. Telex or fax numbers, etc., forming part of the address, need not be present or, if stated, need not be identical to that in the credit.
59) An invoice must be made out in the name of the applicant. The address of the applicant, where shown, need not be the same as that stated in the credit or in any other stipulated document, but must be within the same country as the address mentioned in the credit. Telex or fax numbers, etc., forming part of the address, need not be present, or, if stated, need not be identical to that in the credit.
Description of the goods, services or performance and other general issues related to invoices
60) 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.
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61) 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.
62) 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.
63) 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.
64) Unless required by the credit, an invoice need not be signed or dated.
65) The quantity of merchandise, weights, and measurements shown on the invoice must not conflict with the same quantities appearing on other documents.
66) 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.
67) 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.
68) 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.
69) The required number of originals and copies must be presented.
70) If a credit calls for instalment shipments, each shipment must be in accordance with the instalment schedule.
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TRANSPORT DOCUMENT COVERING AT LEAST TWO DIFFERENT MODES OF TRANSPORT
Application of UCP 600 article 19
71) 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 and/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, a multimodal 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.
72) 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.
Full set of originals
73) 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 versus copies and remains valid under UCP 600.
Signing of multimodal transport documents
74) Original multimodal transport documents must bear a signature in the form described in UCP 600 sub-article 19(a)(i) and indicate the name of 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.
75) 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.
On board notations
76) The issuance date of a multimodal transport document will be deemed to be the date of dispatch, taking in charge or loading on board unless it bears a separate dated notation evidencing dispatch, taking in charge or loading 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.
77) “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”.
Place of taking in charge, dispatch, loading on board and destination
78) 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, loading on board and destination, which must be within the geographical area or range quoted.
Consignee, order party, shipper and endorsement, notify party
79) 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” and “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.
80) 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.
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81) 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.
Transhipment and partial shipment
82) In a multimodal transport or combined shipment, 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.
83) Even if the credit prohibits transhipment, banks will accept a multimodal transport document evidencing that transhipment has occurred provided the entire journey is covered by one and the same multimodal transport document
84) 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 a given range 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 must fall on or before any latest date of shipment, dispatch or taking in charge specified in the credit.
85) 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.
Clean multimodal transport documents
86) 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.
87) The word “clean” need not appear on a multimodal transport document even though the credit may require a “clean on board multimodal transport document” or one marked “clean on board”.
88) 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.
Goods description
89) A goods description in the multimodal transport document may be shown in general terms not inconsistent with that stated in the credit.
Corrections and alterations
90) 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).
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91) 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.
Freight and additional costs
92) 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.
93) Applicants and issuing banks should be specific in stating the requirements of documents to show whether freight is to be prepaid or collected.
94) 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.
Goods covered by more than one multimodal transport document
95) 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.
BILL OF LADING
Application of UCP 600 Article 20
96) If a credit requires presentation of a bill of lading or a “marine”, “ocean” or “port-to-port” bill of lading covering sea shipment only, UCP 600 article 20 is applicable.
97) A transport document need not use the term “marine” or “ocean” in order to comply with UCP 600 article 20 provided that it covers a port-to-port shipment.
Full set of originals
98) A UCP 600 article 20 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. Bills of lading need not be marked “original” to be acceptable as an original bill of lading. 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 versus copies and remains valid under UCP 600.
Signing of bills of lading
99) Original bills of lading must bear a signature in the form described in UCP 600 sub-article 20(a)(i) and indicate the name of the carrier.
a. If an agent signs a bill of lading 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 face of the bill of lading.
b. If the master (captain) signs the bill of lading, 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 bill of lading 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.
100) If a credit states “Freight Forwarder’s Bill of Lading is acceptable” or uses a similar phrase, then the bill of lading 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.
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On board notations
101) If a pre-printed “Shipped on board” bill of lading is presented, its issuance date will be deemed to be the date of shipment unless it bears a separate dated on board notation, in which event the date of the on board notation will be deemed to be the date of shipment whether or not the on board date is before or after the issuance date of the bill of lading.
102) “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”.
Ports of loading and ports of discharge
103) While the named port of loading, as required by the credit, should appear in the port of loading field within the bill of lading, it may instead be stated in the field headed “Place of receipt” or the like, if it is clear that the goods were transported from that place of receipt by vessel, and provided there is an on board notation evidencing that the goods were loaded on that vessel at the port stated under “Place of receipt” or like term.
104) While the named port of discharge, as required by the credit, should appear in the port of discharge field within the bill of lading, it may be stated in the field headed “Place of final destination” or the like if it is clear that the goods were to be transported to that place of final destination by vessel, and provided there is a notation evidencing that the port of discharge is that stated under “Place of final destination” or like term.
105) If a Container Yard (CY) or Container Freight Station (CFS) is stated as the place of receipt and that place is the same as the stated port of loading (e.g., Place of Receipt: Hong Kong CY; Port of Loading: Hong Kong), these places are deemed to be the same, and therefore the specification of the port of loading and the name of the vessel in the “on board” notation are not necessary.
106) If a credit gives a geographical area or range of ports of loading or discharge (e.g., “Any European Port”), the bill of lading must indicate the actual port of loading or discharge, which must be within the geographical area or range quoted.
Consignee, order party, shipper and endorsement, notify party
107) If a credit requires a bill of lading 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 bill of lading 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 bill of lading must not show that the goods are consigned straight to the named party.
108) If a bill of lading 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.
109) If a credit does not state a notify party, the respective field on the bill of lading may be left blank or completed in any manner.
Transhipment and partial shipment
110) Transhipment is the unloading from one vessel and reloading to another vessel during the carriage from the port of loading to the port of discharge stated in the credit. If it does not occur between these two ports, unloading and reloading is not considered to be transhipment.
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111) Even if the credit prohibits transhipment, UCP 600 sub-article 20(c) nonetheless permits transhipment under certain circumstances. If, however, a credit prohibits transhipment and excludes UCP 600 sub-articles 20(c)(i) and (ii), a bill of lading that indicates on its face that transhipment will or may take place will be considered discrepant.
112) If a credit prohibits partial shipments and more than one set of original bills of lading are presented covering shipment from one or more ports of loading (as specifically allowed, or within a given range in the credit), such documents are acceptable provided that they cover the shipment of goods on the same vessel and same journey and are destined for the same port of discharge. In the event that more than one set of bills of lading are presented and incorporate different dates of shipment, the latest of these dates of shipment will be taken for the calculation of any presentation period and must fall on or before the latest shipment date specified in the credit. Shipment on more than one vessel is a partial shipment, even if the vessels leave on the same day for the same destination.
Clean bills of lading
113) Clauses or notations on bills of lading which expressly declare a defective condition of the goods or packaging are not acceptable. Clauses or notations which do not expressly declare a defective condition of the goods or packaging (e.g., “packaging may not be sufficient for the sea journey”) do not constitute a discrepancy. A statement that the packaging “is not sufficient for the sea journey” would not be acceptable.
114) The word “clean” need not appear on a bill of lading even though the credit may require a “clean on board bill of lading” or one marked “clean on board”.
115) If the word “clean” appears on a bill of lading and has been deleted, the bill of lading 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.
Goods description
116) A goods description in the bill of lading may be shown in general terms not inconsistent with that stated in the credit.
Corrections and alterations
117) Corrections and alterations on a bill of lading must be authenticated. Such authentication must appear to have been made by the carrier, master (captain) or any 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 the master (captain).
118) Non-negotiable copies of bills of lading 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
119) If a credit requires that a bill of lading show that freight has been paid or is payable at destination, the bill of lading must be marked accordingly.
120) Applicants and issuing banks should be specific in stating the requirements of documents to show whether freight is to be prepaid or collected.
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121) If a credit states that costs additional to freight are not acceptable, a bill of lading 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.
Goods covered by more than one bill of lading
122) If a bill of lading states that the goods in a container are covered by that bill of lading plus one or more other bills of lading, and the bill of lading states that all bills of lading must be surrendered, or words of similar effect, this means that all bills of lading related to that container must be presented in order for the container to be released. Such a bill of lading is not acceptable unless all the bills of lading form part of the same presentation under the same credit.
CHARTER PARTY BILL OF LADING
Application of UCP 600 article 22
123) If a credit requires or allows presentation of a charter party bill of lading, UCP article 22 is applicable. A transport document containing any indication that it is subject to a charter party is a charter party bill of lading under article 22.
124) If a credit requires presentation of a charter party bill of lading, then a marine transport document presented containing an indication that it is subject to a charter party must fulfil the requirements of UCP 600 article 22.
Full set of originals
125) A UCP 600 article 22 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. Charter party bills of lading 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 versus copies and remains valid under UCP 600.
Signing of charter party bills of lading
126) Original charter party bills of lading must bear a signature in the form described in UCP 600 sub-article 22(a)(i).
a. If the master (captain), charterer or owner signs the charter party bill of lading, the signature of the master (captain), charterer or owner must be identified as “master” (“captain”), charterer or “owner”.
b. If an agent signs the charter party bill of lading on behalf of the master (captain), charterer or owner, the agent must be identified as agent of the master (captain), charterer or owner. In this event, the name of the master (captain) need not be stated, but the name of the charterer or owner must appear.
On board notations
127) If a pre-printed “Shipped on board” charter party bill of lading is presented, its issuance date will be deemed to be the date of shipment unless it bears an on board notation, in which event the date of the on board notation will be deemed to be the date of shipment whether or not the on board date is before or after the issuance date of the document.
128) “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”.
Ports of loading and ports of discharge
129) If a credit gives a geographical area or range of ports of loading and/or discharge (e.g., “Any European Port”), the charter party bill of lading must indicate the actual port(s) of loading, which must be within the geographical area or range indicated but may show the geographical area or range of ports as the port of discharge.
Consignee, order party, shipper and endorsement, notify party
130) If a credit requires a charter party bill of lading 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 charter party bill of lading 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 charter party bill of lading must not show that the goods are consigned straight to the named party.
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131) If a charter party bill of lading 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.
132) If a credit does not state a notify party, the respective field on the charter party bill of lading may be left blank or completed in any manner.
Partial shipment
133) If a credit prohibits partial shipments, and more than one set of original charter party bills of lading are presented covering shipment from one or more ports of loading (as specifically allowed, or within a given range, in the credit), such documents are acceptable, provided that they cover the shipment of goods on the same vessel and same journey and are destined for the same port of discharge, range of ports or geographical area. In the event that more than one set of charter party bills of lading are presented and incorporate different dates of shipment, the latest of these dates of shipment will be taken for the calculation of any presentation period and must fall on or before the latest shipment date specified in the credit. Shipment on more than one vessel is a partial shipment, even if the vessels leave on the same day for the same destination.
Clean charter party bills of lading
134) Clauses or notations on charter party bills of lading which 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 sea journey”) do not constitute a discrepancy. A statement that the packaging “is not sufficient for the sea journey” would not be acceptable.
135) The word “clean” need not appear on a charter party bill of lading even though the credit may require a “clean on board charter party bill of lading” or one marked “clean on board”.
136) If the word “clean” appears on a charter party bill of lading and has been deleted, the charter party bill of lading 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.
Goods description
137) A goods description in charter party bills of lading may be shown in general terms not inconsistent with that stated in the credit.
Corrections and Alterations
138) Corrections and alterations on charter party bills of lading must be authenticated. Such authentication must appear to have been made by the owner, charterer, master (captain) or any 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 owner or the master (captain).
139) Non-negotiable copies of charter party bills of lading do not need to include any signature on, or authentication of, any alterations or corrections that may have been made on the original.
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Freight and additional costs
140) If a credit requires that a charter party bill of lading show that freight has been paid or is payable at destination, the charter party bill of lading must be marked accordingly.
141) Applicants and issuing banks should be specific in stating the requirements of documents to show whether freight is to be prepaid or collected.
142) If a credit states that costs additional to freight are not acceptable, a charter party bill of lading 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, is not considered to be an indication of additional costs in this context.
AIR TRANSPORT DOCUMENT
Application of UCP600 article 23
143) If a credit requires presentation of an air transport document covering an airport-to-airport shipment, UCP article 23 is applicable.
144) If a credit requires presentation of an “air waybill” or “air consignment note” or similar, UCP article 23 applies. An air transport document need not use these terms in order to comply with UCP article 23 provided that it covers an airport-to-airport shipment.
Original air transport document
145) The air transport document must appear to be the “Original for Consignor/Shipper”. A requirement for a full set of originals is satisfied by the presentation of a document indicating that it is the original for consignor/shipper.
Signing of air transport documents
146) An original air transport document must bear a signature in the form described in UCP 600 sub-article 23(a)(i) and indicate the name of the carrier. If an agent signs an air transport document on behalf of a 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 air transport document.
147) If a credit states “House air waybill is acceptable” or “Freight Forwarder’s air waybill is acceptable” or uses a similar phrase, then the air transport document may be signed by a freight forwarder in the capacity of a freight forwarder without the need to identify itself as a carrier or agent for a named carrier. In this event, it is not necessary to show the name of the carrier.
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