关于审核跟单信用证项下的单据的国际标准银行实务(中英文）
2013-10-16 08:01阅读：
七、提单（bill of lading）
（一）
UCP600第20条的适用（application
of UCP600 Article 20）
91．If a credit requires
presentation of a bill of lading
(“marine”,
“ocean” or
“port-to-port” or
similar) covering sea shipment only, UCP 600 article 20 is
applicable.
如果信用证要求提交只覆盖海洋运输的提单（“
海洋”或“港至港”之类表示），则使用UCP600第29条。
92．To comply with UCP 600 article
20, a bill of lading must appear to cover a port-to-port shipment
but need not be titled “marine bill of
lading”, “ocean
bill of lading”,
“port-to-port bill of
lading” or similar.
要符合UCP600第20条的要求，提单在表面看来必须覆盖港至港运输，但不一定要使用“海洋提单”、“港至港提单”之类的名称。
（二） 全套正本（full set of
originals）
93．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 and copies
and remains valid under UCP 600. The content of the Policy
Statement appears in the Appendix of this publication, for
reference purposes.
适用UCP600第20条的运输单据必须注明所出具的正本份数。注明“第一正本”、“第二正本”、“第三正本”、“正本”、“第二联”、“第三联”等字样的运输单据均为正本。提单不一定非要注明“正本”字样才可能被接受为正本。除UCP600第17条外，ICC银行委员会政策声明[文件470/871（修订）]，即“在UCP500第20条b款项下如何确定正本单据”，可对正本和副本问题提供进一步指引，并在UCP600下仍然有效。该政策声明的内容作为本出版物的附录，以供参考。
（三） 提单的签署（signing of bills of
lading）
94．Original bills of lading must be
signed in the form described in UCP 600 sub-article 20(a)(i) and
indicate the name of the carrier, identified as 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 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.
正本提单必须按UCP600第20条a款i项规定的方式签署，并表面承运人的名称及其承运人的身份。
a)
如果由代理人代表承运人签署提单，则必须表明其代理人身份，并且必须表明所代理的承运人，除非提单的其他地方已经表明了承运人。
b)
如果由船长签署提单，则船长的签字必须表明“船长”身份。在此情况下，不必注明船长姓名。
c)
如果由代理人代表船长签署提单，则必须表明其代理人身份。在此情况下，不必注明船长姓名。
95．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.
如果信用证规定“货运代理提单可接受”或使用了类似用语，则提单可由货运代理人以货运代理人的身份签署，而无须表面其为承运人或具名承运人的代理。在此情况下，不必显示承运人名称。
（四） 已装船批注（on board
notations）
96．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.
如果提交的是预先印就“已装运上船”字样的提单，提单的出具日期即视为装运日期，除非提单上另有单独的注明日期的已装船批注，在此情况下，该已装船批注的日期即被视为装运日期，而不论该已装船批注日期是早于还是迟于提单出具日期。
97．“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”.
“已装运且表面状况良好”（“shipped in apparent good
order”）、“已载于船”（“laden on
board”）、“清洁已装船”（“clean on
board”）或其他包含“已装运”（“shipped”）或“已装船”（“on
board”）之类字样的用语与“已装运上船”（“shipped on
board”）具有同样效力。
（五） 装货港和卸货港（ports of loading and
ports of discharge）
98．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.
信用证要求的指名装货港应显示在提单的装货港栏位。如果单据清楚地表明货物是由船只从收货地运输，且有已装船批注表明货物在“收货地”或类似栏位显示的港口装上该船只，则也可显示在“收货地”或类似栏位。
99．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.
信用证要求的指名卸货港应显示在提单的卸货港栏位。如果单据清楚地表明货物将由船只运送到最终目的地，且有批注表明卸货港就是“最终目的地”或类似栏位显示的港口，则也可显示在“最终目的地”或类似栏位。
100．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 stated in the credit.
如果信用证规定了装货港或卸货港的地理区域或范围（如“任一欧洲港口”），则提单必须注明实际的装货港或卸货港，且该港口 必须位于信用证规定的地理区域或范围内。
（六）收货人、指示方、托运人和背书、被通知人（consignee,order
party,shipper and endorsement,notify
party）
101．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” bill of
lading), 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.
如果信用证要求提单显示货物以某具名人为收货人，如“收货人为X银行”（即记名式抬头），而不是“凭指示”或“凭X银行指示”，则提单不得在该具名人的名称前出现“凭指示”或“凭……指示”的字样，无论该字样是打印的还是预先印就的。同样，如 果信用证要求提单抬头为“凭指示”或“凭某具名人指示”，则提单不得做成以该具名人为收货人的记名式抬头。
102．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.
如果提单做成凭指示式抬头或做成凭托运人指示式抬头，则该提单必须经托运人背书。表明代表托运人所做的背书可以接受。
103．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.
如果信用证未规定到货被通知人，则提单上的相关栏位可以空白，或以任何方式填写。
（七） 转运和分批装运（transhipment and
partial shipment）
104．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.
转运是指信用证规定的装货港和卸货港之间的运输过程中，将货物从一船卸下再装上另一船的行为。如果卸货和再装船不是发生在装货港和卸货港之间，则不视为转运。
105．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 the geographical area or range
stated 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.
如果信用证禁止分批装运，而提交的正本提单不止一套，覆盖从一个或多个装货港（信用证特别允许的地点或在信用证规定的地理区域或范围内）的装运，只要单据覆盖的货物运输是由同一船只经同一航程前往同一卸货港的运输，则此类提单可以接受。如果提交了多套提单，而提单包含不同的装运日期，则以最迟者计算任何交单期，且该日期不得晚于信用证规定的最迟装运日期。以多艘船只进行的运输即为分批装运，即使这些船只在同日出发并驶向同一目的地。
（八） 清洁提单（clean bill of
lading）
106．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.
载有明确声明货物或包装状况有缺陷的条款或批注的提单不可接受。未明确声明货物或包装状况有缺陷的条款或批注（如“包装状况可能无法满足海运航程）不构成不符点。声明包装“无法满足海运航程”的条款则不可接受。
107．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.
如果提单上显示有“清洁”字样，但又被删除，并不视为有不清洁条款或不清洁，除非提单载有明确声明货物或包装有缺陷的条款或批注。
（九） 货物描述（goods
description）
108．A goods description in the bill
of lading may be shown in general terms not in conflict with that
stated in the credit.
提单上的货物描述可以使用与信用证所载不矛盾的货物统称。
（十）
修正和变更（corrections and
alterations）
109．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).
提单上的修正和变更必须经过证实。证实从表明看必须是由承运人、船长，或其任一代理人所为（该代理人可以与出具或签署提单的代理人不同），只要表明其作为承运人或船长的代理人身份。
110．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.
对于正本提单上可能作过的任何变更或修正，其不可转让的副本无须加具任何签字或证实。
（十一）运费和额外费用（freight and additional
costs）
111．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.
如果信用证要求提单注明运费已付或到目的地支付，则提单必须有相应标注。
112．Applicants and issuing banks
should be specific in stating the requirements of documents to show
whether freight is to be prepaid or
collected.
开证申请人和开证行应明确要求单据是注明运费预付还是到付。
113．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.
如果信用证规定运费以外的额外费用不可接受，则提单不得表示运费之外的其他费用已产生或将要产生。此类表示可以通过明确提及额外费用或使用提及货物装卸费用的装运术语表示，例如“船方不负担装货费用”（Free
in（FI））,“船方不负担卸货费用”（Free
out（FO））,“船方不负担装卸费用”（Free
In and
Out（FIO））及“船方不负担装卸及积载费用”（Free
In and Out
Stowed（FIOS））。运输单据上提到由于延迟卸货或卸货后的延误可能产生的费用，如迟还集装箱的费用，不属于此处所指的额外费用。
（十二）由多套提单涵盖的货物（goods covered by more than one
bill of lading）
114．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.
如果提单声明某一集装箱内的货物由该提单和另外一套或多套提单一起涵盖，并声明所有提单均须提交，或有类似表述，则意味着该集装箱有关的所有提单必须一并提交后才能领取该集装箱的货物。此类提单不可接受，除非同一信用证项下的所有此类提单在同一交单时一并提交。
八、租船合同提单（charter party bill of
lading）
（一）
UCP600第22条的适用（application
of UCP600 Article 22）
115．If a credit requires
presentation of a charter party bill of lading or if a credit
allows presentation of a charter party bill of lading and a charter
party bill of lading is presented UCP 600 article 22 is
applicable.
如果信用证要求提交租船合同提单，或者允许提交租船合同提单且实际也提交了租船合同提单，则适用UCP600第22条。
116．A transport document containing
any indication that it is subject to a charter party is a charter
party bill of lading under UCP 600 article 22.
含有受租船合同约束的任何表示的运输单据即为UCP600第22条所指的租船合同提单。
（二） 全套正本（full set of
originals）
117．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
and copies and remains valid under UCP 600. The content of the
Policy Statement appears in the Appendix of this publication, for
reference purposes.
适用UCP600第22条的运输单据必须注明所出具的正本份数。注明“第一正本”、“第二正本”、“第三正本”、“正本”、“第二联”、“第三联”等字样的运输单据均为正本。信用证项下，租船合同提单不一定非要注明“正本”字样才可被接受。除UCP600第17条外，ICC银行委员会政策声明[文件470/871（修订）]，即“在UCP500第20条b款项下如何确定正本单据”，可对正本和副本问题提供进一步指引，并在UCP600下仍然有效。该政策声明的内容作为本出版物的附录，以供参考。
（三） 租船合同提单的签署（signing of charter
party bills of lading）
118．Original charter party bills of
lading must be signed 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.
正本租船合同提单必须按UCP600第22条a款i项规定的方式签署。
a)
如果由船长、租船人或船东签署租船合同提单，则船长、租船人或船东的签字必须表明“船长”、“租船人”或“船东”的身份。
b)
如果由代理人代表船长、租船人或船东签署租船合同提单，则必须表明其作为船长、租船人或船东的代理人身份。在此情况下，无须注明船长姓名，但必须显示租船人或船东的名称。
（四） 已装船批注（on board
notations）
119．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.
如果提交的是预先印就“已装运上船”字样的租船合同提单，其出具日期即视为装运日期，除非其上另有已装船批注，在此情况下，该已装船批注的日期即被视为已装运日期，而不论该已装船批注日期是早于还是迟于提单出具日期。
120．“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”.
“已装运且表面状况良好”（“shipped in apparent good
order”）、“已载于船”（“laden on
board”）、“清洁已装船”（“clean on
board”）或其他包含“已装运”（“shipped”）或“已装船”（“on
board”）之类字样的用语与“已装运上船”（“shipped on
board”）具有同样效力。
（五） 装货港和卸货港（ports of loading and
ports of discharge）
121．If a credit gives a
geographical area or range of ports of loading or discharge
(e.g., “Any European
Port”), the charter party bill of lading
must indicate the actual port or ports of loading, which must be
within the geographical area or range stated in the credit but may
show the geographical area or range of
ports as the port of discharge.
如果信用证规定了装货港或卸货港的地理区域或范围（如“任一欧洲港口”），则租船合同提单必须注明实际的装货港且该装货港必须位于信用证规定的地理区域或范围内，但可用地理区域或范围表示卸货港。
（六）收货人、指示方、托运人和背书、被通知人（consignee,order
party,shipper and endorsement,notify
party）
122．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” bill of
lading), 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.
如果信用证要求租船合同提单显示货物以某具名人为收货人，如“收货人为X银行”（即记名式抬头），而不是“凭指示”或“凭X银行指示”，则租船合同提单不得在该具名人的名称前出现“凭指示”或“凭……指示”的字样，无论该字样是打印的还是预先印就的。同样，如果信用证要求租船合同提单抬头为“凭指示”或“凭某具名人指示”，则租船合同提单不得做成以该具名人为收货人的记名式抬头。
123．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.
如果租船合同提单做成凭指示式抬头或做成凭托运人指示式抬头，则该提单必须经托运人背书。表明代表托运人所做的背书可以接受。
124．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.
如果信用证未规定到货通知人，则租船合同提单上的相关栏位可以空白，或以任何方式填写。
（七） 分批装运（partial
shipment）
125．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 the geographical area
or range stated 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.
如果信用证禁止分批装运，而提交的正本租船合同提单不止一套，覆盖从一个或多个装货港（信用证特别允许的地点或在信用证规定的地理区域或范围内）的装运，只要单据覆盖的货物运输是由同一船只经同一航程前往同一卸货港、同一港口范围或地理区域的运输，则此类提单可以接受。如果提交了多套租船合同提单，而提单包含不同的装运日期，则以最迟者计算任何交单期，且该日期不得晚于信用证规定的最迟装运日期。以多艘船只进行的运输即为分批装运，即使这些船只在同日出发并驶向同一目的地。
（八） 清洁租船合同提单（clean charter party
bill of lading）
126．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.
载有明确声明货物或包装状况有缺陷的条款或批注的租船合同提单不可接受。未明确声明货物或包装状况有缺陷的条款或批注（如“包装状况可能无法满足海运航程）不构成不符点。声明包装“无法满足海运航程”的条款则不可接受。
127．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.
如果租船合同提单上显示有“清洁”字样，但又被删除，并不视为有不清洁条款或不清洁，除非提单载有明确声明货物或包装有缺陷的条款或批注。
（九） 货物描述（goods
description）
128．A goods description in charter
party bills of lading may be shown in general terms not in conflict
with that stated in the credit.
租船合同提单上的货物描述可以使用与信用证规定所载不矛盾的货物统称。
(十）
修正和变更（corrections
and alterations）
129．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, charterer or the master (captain).
租船合同提单上的修正和变更必须经过证实。证实从表明看必须由船东、租船人、船长，或其任一代理人所为（该代理人可以与出具或签署租船合同提单的代理人不同），只要表明其作为船东、租船人或船长的代理人身份。
130．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.
对于正本租船合同提单上可能作过的任何变更或修正，其不可转让的副本无须加具任何签字或证实。
(十一)
运费和额外费用（freight and additional
costs）
131．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.
如果信用证要求租船合同提单注明运费已付或到目的地支付，则租船合同提单必须有相应标注。
132．Applicants and issuing banks
should be specific in stating the requirements of documents to show
whether freight is to be prepaid or collected.
开证申请人和开证行应明确要求单据是注明运费预付还是到付。
133．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.
如果信用证规定运费以外的额外费用不可接受，则租船合同提单不得表示运费之外的其他费用已产生或将要产生。此类表示可以通过明确提及额外费用或使用提及货物装卸费用的装运术语表示，例如“船方不负担装货费用”（Free
in（FI））,“船方不负担卸货费用”（Free
out（FO））,“船方不负担装卸费用”（Free
In and
Out（FIO））及“船方不负担装卸及积载费用”（Free
In and Out
Stowed（FIOS））。运输单据上提到由于延迟卸货或卸货后的延误可能产生的费用不属于此处所指的额外费用。
九、空运单据（air transport
document）
(一)
UCP600第23条的适用（application
of UCP600 article 23）
134．If a credit requires
presentation of an air transport document covering an
airport-to-airport shipment, UCP 600 article 23 is
applicable.
如果信用证要求提交覆盖机场到机场运输的空运单据，则适用UCP600第23条。
135．If a credit requires
presentation of an “air
waybill”, “air
consignment note” or similar, UCP 600
article 23 applies. To comply with UCP 600 article 23, an air
transport document must appear to cover an airport-to-airport
shipment but need not be titled “air waybill”, “air consignment
note” or similar.
如果信用证要求提交“航空运单”或“航空托运单”等类似单据，则适用UCP600第23条。要符合UCP600第23条的要求，空运单据在表明看来必须覆盖机场到机场的运输，但不一定要使用“航空运单”、“航空托运单”之类的名称。
（二）正本空运单据（original air transport
documents）
136．The air transport document must
appear to be the original for consignor or 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 or
shipper.
空运单据在表面看来必须是签发给发货人或托运人的正本。如果要求提交全套正本单据，提交注明为签发给发货人或托运人的正本的单据即可满足要求。
（三）空运单据的签署（signing of air transport
documents）
137．An original air transport
document must be signed in the form described in UCP 600
sub-article 23(a)(i) and indicate the name of the carrier,
identified as 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.
正本空运单据必须按UCP600第23条a款i项规定的方式签署，并表明承运人的名称及其承运人身份。如果由代理人代表承运人签署空运单据，则必须表明其代理人身份，并且必须表明所代理的承运人，除非空运单据的其他地方已经表明了承运人。
138．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.
如果信用证规定“航空分运单可接受”或“货运代理航空运单可接受”或使用了类似用语，则空运单据可由货运代理人以货运代理人的身份签署，而无须表面其为承运人或具名承运人的代理人。在此情况下，不必显示承运人名称。
（四） 货物收妥待运、装运日期与对实际发运日期的要求（goods
accepted for carriage,date of shipment,and requirement for an
actual date of dispatch）
139．An air transport document must
indicate that the goods have been accepted for
carriage.
空运单据必须表明货物已收妥待运。
140．The date of issuance of an air
transport document is deemed to be the date of shipment unless the
document shows a separate notation of the flight date, in which
case this will be deemed to be the date of shipment. Any other
information appearing on the air transport document relative to the
flight number and date will not be considered in determining the
date of shipment.
空运单据的出具日期即视为装运日期，除非单据上显示了关于航班日期的单独批注，在此种情况下，该批注日期即被视为装运日期。 空运单据上显示的其他任何有关航班号和日期的信息不被用以确定装运日期。
（五） 出发地机场和目的地机场（airports of
departure and destination）
141．An air transport document must
indicate the airport of departure and airport of destination as
stated in the credit. The identification of airports by the use of
IATA codes instead of writing out the name in full (e.g., LHR
instead of London Heathrow) is not a discrepancy.
空运单据必须标明信用证规定的出发地机场和目的地机场。用IATA代码而非机场全称表明机场名称（例如用LHR来代替伦敦希思罗机场）不构成不符点。
142．If a credit gives a
geographical area or range of airports of departure or destination
(e.g., ”Any European
Airport”), the air transport document
must indicate the actual airport of departure or destination, which
must be within the geographical area or range stated in the
credit.
如果信用证规定了出发地机场或目的地机场的地理区域或范围（如“任一欧洲机场”），则空运单据必须注明实际的出发地机场或目的地机场，且该机场必须位于信用证规定的地理区域或范围内。
（六） 收货人、指示方和被通知人（consignee,order
party and notify party）
143．An air transport document
should not be issued “to
order” or “to
order of” a named party, because it is
not a document of title. Even if a credit calls for an air
transport document made out “to
order” or “to
order of” a named party, a document
presented showing goods consigned to that party, without mention of
“to order” or “to order of”, is acceptable.
空运单据不是物权凭证，因此不应做成“凭指示”式或“凭某具名人指示”式抬头。即使信用证要求空运单据做成“凭指示”式或“凭某具名人指示”式抬头，如果提交的单据显示以该具名人为收货人，则即使该单据没有“凭指示”或“凭……指示”的字样，也可接受。
144．If a credit does not state a
notify party, the respective field on the air transport document
may be left blank or completed in any manner.
如果信用证未规定到货被通知人，则空运单据上的相关栏位可以空白，或以任何方式填写。
（七） 转运和分批装运（transhipment and
partial shipment）
145．Transhipment is the unloading
from one aircraft and reloading to another aircraft during the
carriage from the airport of departure to the airport of
destination stated in the credit. If it does not occur between
these two airports, unloading and reloading is not considered to be
transhipment.
转运是指在信用证规定的出发地机场到目的地机场之间的运输过程中，将货物从一架飞机上卸下再装上另一架飞机的行为。如果卸货和再装货不是发生在出发地机场和目的地机场之间，则不视为转运。
146．If a credit prohibits partial
shipments and more than one air transport document is presented
covering dispatch from one or more airports of departure (as
specifically allowed, or within the geographical area or range
stated in the credit), such documents are acceptable, provided that
they cover the dispatch of goods on the same aircraft and same
flight and are destined for the same airport of destination. In the
event that more than one air transport document is presented
incorporating 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.
如果信用证禁止分批装运，而提交的空运单据不止一套，覆盖从一个货多个出发地机场（信用证特别允许的地点或信用证规定的地理区域或范围内）的发运，只要单据覆盖的货物运输是由同一飞机经同一航程前往同一目的地机场的运输，则此类单据可以接受。如果提交了多套空运单据，而单据包含不同的装运日期，则以最迟者计算任何交单期，且该日期不得晚于信用证规定的最迟装运日期。
147．Shipment on more than one
aircraft is a partial shipment, even if the aircraft leave on the
same day for the same destination.
以多架飞机进行的运输即为分批装运，即使这些飞机在同日出发飞往同一目的地。
（八） 清洁空运单据（clean ari transport
documents）
148．Clauses or notations on an air
transport document which expressly declare a defective condition of
the goods or packaging are not acceptable. Clauses or notations on
the air transport document which do not expressly declare a
defective condition of the goods or packaging
(e.g., “packaging may
not be sufficient for the air journey”)
do not constitute a discrepancy. A statement that the
packaging “is not sufficient for the air
journey” would not be
acceptable.
载有明确声明货物或包装状况有缺陷的条款或批注的空运单据不可接受。未明确声明货物或包装状况有缺陷的条款或批注（如“包装状况可能无法满足空运航程”）不构成不符点。声明包装“无法满足空运航程”的条款则不可接受。
149．If the word
“clean” appears on an
air transport document and has been deleted, the air 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.
如果空运单据上显示有“清洁”字样，但又被删除，并不视为有不清洁条款或不清洁，除非其上载有明确声明货物或包装有缺陷的条款或批注。
（九） 货物描述（goods
description）
150．A goods description in an air
transport document may be shown in general terms not in conflict
with that stated in the credit.
空运单据上的货物描述可以使用与信用证所载不矛盾的货物统称。
（十） 修正和变更（corrections and
alterations）
151．Corrections and alterations on
air transport documents must be authenticated. Such authentication
must appear to have been made by the carrier or any of its agents
(who may be different from the agent that may have issued or signed
it), provided it is identified as an agent of the
carrier.
空运单据上的修正和变更必须经过证实。证实从表面看必须是由承运人或其任一代理人所为（该代理人可以与出具或签署空运单据的代理人不同），只要表明其作为承运人的代理人身份。
152．Copies of air transport
documents do not need to include any signature of the carrier or
agent (or shipper, even if required by the credit to appear on the
original air transport document), nor any authentication of any
alterations or corrections that may have been made on the
original.
空运单据的副本无须承运人或代理人的签字（或托运人的签字，即使信用证要求正本空运单据上有其签字），也不要求带有对正本单据上可能作过的任何变更或修正的任何证实。
（十一） 运费和额外费用（freight and additional
costs）
153．If a credit requires that an
air transport document show that freight has been paid or is
payable at destination, the air transport document must be marked
accordingly.
如果信用证要求空运单据注明运费已付或到目的地支付，则空运单据必须由相应标注。
154．Applicants and issuing banks
should be specific in stating the requirements of documents to show
whether freight is to be prepaid or collected.
开证申请人和开证行应明确要求单据时注明运费预付还是到付。
155．If a credit states that costs
additional to freight are not acceptable, an air 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 that refer to
costs associated with the loading or unloading of goods. 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 an indication of additional costs
in this context.
如果信用证规定运费以外的额外费用不可接受，则空运单据不得表示运费之外的其他费用已产生或将要产生。此类表示可以通过明确提及额外费用或使用提及货物装卸费用的装运术语表示。运输单据上提到由于延迟卸货或卸货后的延误可能产生的费用不属于此处所指的额外费用。
156．Air transport documents often
have separate boxes which, by their pre-printed headings, indicate
that they are for freight charges
“prepaid” and for
freight charges “to
collect”, respectively. A requirement in
a credit for an air transport document to show that freight has
been prepaid will be fulfilled by a statement of the freight
charges under the heading “Freight Prepaid” or a similar expression
or indication, and a requirement that an air transport document
show that freight has to be collected will be fulfilled by a
statement of the freight charges under the heading “Freight to
Collect” or a similar expression or indication.
空运单据常常有单独的栏位，以印就的标题分别标明“预付”运费和“到付”运费。如果信用证要求空运单据表明运费已预付，则在标明“运费预付”或类似表述的栏位内填具运输费用即符合信用证要求。如果信用证要求空运单据表明运费到付，则在标明“到 收运费”或类似表述的栏位内填具运输费用即符合信用证要求。
十、 公路、铁路或内河运输单据（road,rail or inland
waterway transport documents）
（一）
UCP600第24条的适用（application
of UCP600 article 24）
157．If a credit requires
presentation of a transport document covering movement by road,
rail or inland waterway, UCP 600 article 24 is
applicable.
如果信用证要求提交覆盖公路、铁路或内河运输的运输单据，则适用UCP600第24条。
（二）公路、铁路或内河运输单据的正本和第二联（original and duplicate of
road,rail or inland waterway transport
documents）
158．If a credit requires a rail or
inland waterway transport document, the transport document
presented will be accepted as an original whether or not it is
marked as an original. A road transport document must appear to be
the original for consignor or shipper or bear no marking indicating
for whom the document has been prepared. With respect to rail
waybills, the practice of many railway companies is to
provide the shipper or consignor with only a
duplicate (often a carbon copy) duly authenticated by the railway
company’s stamp. Such a duplicate will be accepted as an
original.
如果信用证要求铁路或内河运输单据，则不论提交的运输单据是否注明为正本，都将作为正本接受。公路运输单据在表面看来必须为签发给发货人或托运人的正本，或者对其签发对象不做任何标注。对铁路运单而言，许多铁路运输公司的做法是仅向托运人或发货人提供加盖铁路公司印章的第二联（常常是复写本）。此联将作为正本接受。
（三）公路、铁路或内河运输单据的承运人及其签署（carrier and signing of
road,rail or inland waterway transport
documents）
159．The term
“carrier” need not
appear at the signature line provided the transport document
appears to be signed by the carrier or an agent on behalf of the
carrier, if the carrier is otherwise identified as the
“carrier” on the
transport document. International standard banking practice is to
accept a railway bill evidencing date stamp by the railway company
or railway station of departure without showing the name of
the carrier or a named agent signing for
or on behalf of the carrier.
如果运输单据表面已经以其他方式表明承运人的“承运人”身份，则签字处无须加注“承运人”字样，只要运输单据在表面看来是由承运人或其代理人签署。国际标准银行实务做法接受带有铁路公司或铁路发运站日期章的铁路运输单据，无须注明承运人名称或代表承运人签署的具名代理人的名称。
160．The term
“carrier” used in UCP
600 article 24 includes terms in transport documents such as
“issuing
carrier”,
“actual
carrier”,
“succeeding carrier”
and “contracting
carrier”.
UCP600第24条使用的“承运人”一词包括运输单据中的“制单承运人”、“实际承运人”、“后续承运人”及“订约承运人”等用语。
161．Any signature, stamp or
notation of receipt on the transport document must appear to be
made either by:
a.） the carrier,
identified as the carrier or
b.） a named agent acting or signing
for or on behalf of the carrier and indicating the name and
capacity of the carrier on whose behalf that agent is acting or
signing.
运输单据上的任何收货签字、印戳或批注在表面看来必须是由下列人员之一加具：
a)
承运人，并表明其承运人身份，或
b)
代表承运人行事或签字的具名代理人，并注明其所代表的承运人名称和身份。
（四） 指示方和被通知人（order party and notify
party）
162．Transport documents which are
not documents of title should not be issued
“to order” or
“to order of” a named
party. Even if a credit calls for a transport document which is not
a document of title to be made out “to
order” or “to
order of” a named party, such a document,
showing goods consigned to that party, without mention of “to
order” or “to order of”, is acceptable.
不是物权凭证的运输单据不应做成“凭指示”式或“凭某具名人指示”式抬头。即使信用证要求将不是物权凭证的运输单据做成“凭指示”式或“凭某具名人指示”式抬头，如果提交的单据显示以该具名人为收货人，则即使该单据没有“凭指示”或“凭……指示”字样，也可接受。
163．If a credit does not stipulate
a notify party, the respective field on the transport document may
be left blank or completed in any manner.
如果信用证未规定到货被通知人，则运输单据上的相关栏位可以空白，或以任何方式填写。
（五） 分批装运（partial
shipment）
164．Shipment on more than one means
of conveyance (more than one truck (lorry), train, vessel, etc.) is
a partial shipment, even if such means of conveyance leave on the
same day for the same destination.
有多件运输工具（多辆卡车、多列火车、多艘轮船等）进行的运输即为分批装运，即使这些运输工具在同日出发并驶向同一目的地。
（六） 货物描述（goods
description）
165．A goods description in the
transport document may be shown in general terms not in conflict
with that stated in the credit.
运输单据上的货物描述可以使用与信用证所载不矛盾的货物统称。
（七） 修正和变更（corrections and
alterations）
166．Corrections and alterations on
a UCP 600 article 24 transport document must be authenticated. Such
authentication must appear to have been made by the carrier or any
one of their named 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.
UCP600第24条所规定的运输单据上的修正和变更必须经过证实。证实从表面看必须是由承运人或其任一具名代理人所为。该代理人可以与出具或签署运输单据的代理人不同，只要表明其作为承运人的代理人身份。
167．Copies of UCP 600
article 24 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.
对于UCP600第24条所规定的正本运输单据上可能作过的任何变更或修正，其副本无须加具任何签字或证实。
（八） 运费和额外费用（freight and additional
costs）
168．If a credit requires that a UCP
600 article 24 transport document show that freight has been paid
or is payable at destination, the transport document must be marked
accordingly.
如果信用证要求UCP600第24条所规定的运输单据注明运费已付或到目的地支付，则运输单据必须有相应标注。
169．Applicants and issuing banks
should be specific in stating the requirements of documents to show
whether freight is to be prepaid or collected.
开证申请人和开证行应明确要求单据是注明运费预付还是到付。
十一、保险单据和范围（insurance document and
coverage）
（一）
UCP600第28条的适用（application
of UCP600 article 28）
170．If a credit requires
presentation of an insurance document such as an insurance policy,
insurance certificate or declaration under an open cover, UCP 600
article 28 is applicable.
如果信用证要求提交保险单据，如保险单或预约保险下的保险证明书或声明书，则适用UCP600第28条。
（二）
保险单据的出具人（issuers of insurance
documents）
171．Insurance documents must appear
to have been issued and signed by insurance companies or
underwriters or their agents or proxies. If required by the
insurance document or in accordance with the credit terms, all
originals must appear to have been countersigned.
保险单据在表面看来必须是由保险公司或承保人或其代理人或代表出具并签署。如保险单据或信用证条款要求，所有正本从表面看必须已被副签。
172．An insurance document is
acceptable if issued on an insurance
broker’s stationery, provided the
insurance document has been signed by an insurance company or its
agent or proxy, or by an underwriter or its agent or proxy. A
broker may sign as agent for the named insurance company or named
underwriter.
如果保险单据在保险经纪人的信笺上出具，只要该保险单据是由保险公司或其代理人或代表，或由承保人或其代理人或代表签署，该保险单据可以接受。保险经纪人可以作为具名保险公司或具名承保人的代理人进行签署。
（三）
投保风险（risks to be
covered）
173．An insurance document must
cover the risks defined in the credit. Even though a credit may be
explicit with regard to risks to be covered,
there may be reference to exclusion clauses in
the document. If a credit requires “all
risks” coverage, this is satisfied by the
presentation of an insurance document evidencing any “all risks”
clause or notation, even if it is stated that certain risks are
excluded. An insurance document indicating that it covers Institute
Cargo Clauses (A) satisfies a condition in a credit calling for an
“all risks” clause or notation.
保险单据必须投保信用证规定的风险。即使信用证明确列明应投保的风险，保险单据中也可援引除外条款。如果信用证要求投保“一切险”，则提交载有任何“一切险”条款或批注的保险单据即符合信用证要求，即使该单据声明某些风险除外。如果保险单据标明投保（伦敦保险）协会货物保险条款（A）,也符合信用证关于“一切险”条款或批注的要求。
174．Insurance covering the same
risk for the same shipment must be covered under one document
unless the insurance documents for partial cover each clearly
reflect, by percentage or otherwise, the value of each
insurer’s cover and that each insurer
will bear its share of the liability severally and without
pre-conditions relating to any other insurance cover that may have
been effected for that shipment.
对同一运输的同一风险的保险必须由同一保险单据涵盖，除非每一份涵盖部分保险的保险单据以百分比或其他方式明确反映每一保险人的保险价值，并且每一保险人将各自承担自己的责任份额，不受其他保险人可能已承保的该次运输的保险责任的影响。
（四）
日期（dates）
175．An insurance document that
incorporates an expiry date must clearly indicate that such expiry
date relates to the latest date that loading on board or dispatch
or taking in charge of the goods (as applicable) is to occur, as
opposed to an expiry date for the presentation of any claims
thereunder.
载有有效期的保险单据必须清楚地表明该有效期是指货物装船、发运或接管（视情形适用）的最迟日期，而不是保险单据项下提出索赔的期限。
（五）
比例和金额（percentage and
amount）
176．An insurance document must be
issued in the currency of and, as a minimum, for the amount
required by the credit. The UCP does not provide for any maximum
percentage of insurance coverage.
保险单据必须以信用证的币种，并至少按信用证要求的金额出具。UCP未规定任何投保的最高比例。
177．If a credit requires the
insurance cover to be irrespective of percentage, the insurance
document must not contain a clause stating that the insurance cover
is subject to a franchise or an excess deductible.
如果信用证要求保险责任不计比例，则保险单据不得含有表明保险责任受免赔率或免赔额约束的条款。
178． f it is apparent from the
credit or from the documents that the final invoice amount only
represents a certain part of the gross value of the goods (e.g.,
due to discounts, pre-payments or the like, or because part of the
value of the goods is to be paid at a later date), the calculation
of insurance cover must be based on the full gross value of the
goods.
如果从信用证或单据可以得知最后的发票金额仅仅是货物总价值的一部分（例如由于折扣、预付货类似情况，或由于货物的部分价款将晚些支付），也必须以货物的总价值为基础来计算保险金额。
（六）
被保险人和背书（insured party and
endorsement）
179．An insurance document must be
in the form as required by the credit and, where necessary, be
endorsed by the party to whose order claims are payable. A document
issued to bearer is acceptable where the credit requires an
insurance document endorsed in blank and vice
versa.
保险单据必须按信用证要求的形式出具，并且在必要时经赔付指示人背书。如果信用证要求空白背书式的保险单据，则保险单据也可开立成来人式，反之亦然。
180．If a credit is silent as to the
insured party, an insurance document evidencing that claims are
payable to the order of the shipper or beneficiary would not be
acceptable unless endorsed. An insurance document should be issued
or endorsed so that the right to receive payment under it passes
upon, or prior to, the release of the documents.
如果信用证对被保险人未做规定，则表明按托运人或受益人指示赔付的保险单据不可接受，除非经过背书。保险单据应出具或背书成使保险单据项下的获赔权利在放单之时或之前得以转让。
十二、原产地证明（certificates of
origin）
（一）
基本要求（basic
requirement）
181．A requirement for a certificate
of origin will be satisfied by the presentation of a signed, dated
document that certifies to the origin of the
goods.
如果信用证要求原产地证明，则提交经过签署，注明日期的证明货物原产地的单据即满足要求。
（二）
原产地证明的出具人（issuers of certificates of
origin）
182．A certificate of origin must be
issued by the party stated in the credit. However, if a credit
requires a certificate of origin to be issued by the beneficiary,
the exporter or the manufacturer, a document issued by a chamber of
commerce will be deemed acceptable, provided it clearly identifies
the beneficiary, the exporter or the manufacturer as the case may
be. If a credit does not state who is to issue the certificate,
then a document issued by any party, including the beneficiary, is
acceptable.
原产地证明必须由信用证规定的人出具。但是，如果信用证要求原产地证明由受益人、出口商或制造商出具，则由商会出具的单据可以接受，只要该单据根据不同情形相应地注明受益人、出口商或制造商。如果信用证没有规定由何人出具原产地证明，则由任何人包括受益人出具的单据均可接受。
（三）
原产地证明的内容（contents of certificates of
origin）
183．The certificate of origin must
appear to relate to the invoiced goods. The goods description in
the certificate of origin may be shown in general terms not in
conflict with that stated in the credit or by any other reference
indicating a relation to the goods in a required
document.
原产地证明从表面看必须与发票所指货物相关联。原产地证明中的货物描述可以使用与信用证所载不相矛盾的货物统称，或通过其 他援引表明其与要求的单据中的货物相关联。
184．Consignee information, if
shown, must not be in conflict with the consignee information in
the transport document. However, if a credit requires a transport
document to be issued “to
order”, “to the
order of shipper”,
“to order of the issuing
bank” or
“consigned to the issuing bank”, the certificate
of origin may show the applicant of the credit, or another party
named therein, as consignee. If a credit has been transferred, the
name of the first beneficiary as consignee would also be
acceptable.
如果显示有收货人的信息，则不得与运输单据中的收货人信息相矛盾。但是，如果信用证要求运输单据做成“凭指示”、“凭托运人指示”、“凭开证行指示”或“以开证行为收货人”式抬头，则原产地证明可以显示信用证的申请人或信用证中指名的另外一人作为收货人。如果信用证已经转让，则以第一受益人作为收货人也可接受。
185．The certificate of origin may
show the consignor or exporter as a party other than the
beneficiary of the credit or the shipper on the transport
document.
原产地证明可显示信用证受益人或运输单据上的托运人之外的另外一人为发货人或出口方。
