关于审核跟单信用证项下的单据的国际标准银行实务(中英文上部分）

INTERNATIONAL STANDARDER BANKING PRACTICE FOR THE EXAMINATION
                OF DOCUMENTS UNDER DOCUMENTARY CREDITS SUBJECT TO UCP 600 (ISBP)
             关于审核跟单信用证项下的单据的国际标准银行实务(ISBP)
 
International Chamber of Commerce   国际商会
 
简介
2000年5月，国际商会银行技术与惯例委员会(以下简称“ICC银行委员会”)设立了一个工作组，负责将适用《跟单信用证统一惯例》(国际商会第500号出版物，以下简称UCP)的跟单信用证项下审核单据的国际标准银行实务做法整理成文。
　　本出版物中体现的国际标准银行实务做法与UCP本身及ICC银行委员会已经做出过的意见和决定相一致。本出版物没有修订UCP，而是解释单据处理人员应如何应用UCP中所反映的实务做法。当然，我们都知道和承认，一些国家的法律可能有不同的强制规定。
　　没有一个出版物能够预想跟单信用证可能使用的全部条款或单据，或者穷尽在UCP下对其所做的解释及UCP所反映的标准做法。但是，起草本文件的工作组已经尽力囊括了跟单信用证的常见条款和经常要求提交的单据。
　　应当注意的是，如果在跟单信用证中订有修改UCP规定或影响其适用性的任何条款，也可能同时影响国际标准银行实务做法。因此，在应用本出版物所述做法时，当事人必须将信用证中明确排除或修改UCP规定的条款考虑在内。无沦是否声明，本出版物始终贯穿此原则，但有时为了强调和说明，该原则又被特别重中。有些地方举出实例，目的仅是为了举例说明，绝非详尽无遗。
　　本出版物反映了跟单信用证项下各方当事人所遵循的国际标准银行实务做法。由于开证申请人的义务、权利和救济取决于开证申请人对开证行的责任、基础交易的履行以及适用的法律和惯例规定的提出异议的时限，开证申请人不应认为可以利用本出版物的规定免除其对开证行的偿付责任。不宜在跟单信用证条款中援引本出版物，因为UCP中本就默示要求遵循公认的惯常做法。
　　由于本出版物反映了国际商会各国家委员会和国际商会个体会员所提供的当前跟单信用证的实务做法，本出版物将很大程度上用于今后UCP的修订。
 
 
目录
一、引言introduction
二、先期问题preliminary considerations（1—5条）
三、一般原则general principles（6—42条）
四、汇票和到期日的计算drafts and calculation of maturity date（43—56条）
五、发票invoices（57—67条）
六、涵盖至少两种不同运输方式的运输单据
transport documents covering at least two different modes of transport（68—90条）
七、提单bill of lading（91—114条）
八、租船合同提单（charter party bill of lading 115—133条）
九、空运单据air transport document（134—156条）
十、公路、铁路或内河运输单据
road,rail or inland waterway transport documents（157—169条）
十一、保险单据和范围insurance document and coverage（170—180条）
十二、原产地证明certificates of origin（181—185条）
 
一、引言（introduction）      
Since the approval of International Standard Banking Practice (ISBP) by the ICC Banking Commission in 2002, ICC Publication 645 has become an invaluable aid to banks, corporates, logistics specialists and insurance companies alike, on a global basis. Participants in ICC 　seminars and workshops have indicated that rejection rates have dropped due to the application of the 200 practices that are detailed in ISBP.
自从ICC银行委员会于2002年批准《国际标准银行实务》（ISBP）以来，ICC第645号出版物就成为全球银行、企业、物流运营商及保险公司的得力助手。ICC研讨会和研习班的参与者表示，由于ISBP中列明的200条惯例的应用，拒付率有所下降。
 
However, there have also been comments that although the ISBP Publication 645 was approved by the Banking Commission its application had no relationship with UCP 500. With the approval of UCP 600 in October 2006, it has become necessary to provide an updated version of the ISBP. It is emphasized that this is an updated version as opposed to a revision of ICC Publication 645. Where it was felt appropriate, paragraphs that appeared in Publication 645 and that have now been covered in effectively the same text in UCP 600 have been removed from this updated version of ISBP.
然而，也有评论认为，虽然ISBP645经银行委员会批准，但是它的应用于UCP500并无清晰地联系。随着UCP600于2006年　10月的通过，更新ISBP就变得有必要了。需要强调的是，这是一个对ICC645号出版物的更新版本而非修订本。在645号出版物中被认为是恰当的段落被以基本相同的措辞纳入到UCP600的正文中，从而不再包含在新版ISBP中。
 
As a means of creating a relationship between the UCP and ISBP, the introduction to UCP 600, states: “During the revision process, notice was taken of the considerable work that had been completed in creating the International Standard Banking Practice for the Examination of Documents under Documentary Credits (ISBP), ICC Publication 645. This publication has evolved into a necessary companion to the UCP for determining compliance of documents with the terms of letters of credit. It is the expectation of the Drafting Group and the Banking Commission that the application of the principles contained in the ISBP, including subsequent revisions thereof, will continue during the time UCP 600 is in force. At the time UCP 600 is implemented, there will be an updated version of the ISBP to bring its contents in line with the substance and style of the new rules.”
作为在UCP和ISBP间建立联系的一种方式，UCP600在引言中写道：“在修订过程中，我们注意到在制定ISBP（ICC645号出版物）过程中所完成的大量工作。ISBP已经发展成为判定单据与信用证是否相符时UCP的必备配套规则。起草小组和银行委员会期望ISBP及其后续修订版本中包含的原则能够在UCP600有效期间继续得到应用。当UCP600正式执行时，将有一个与其主旨和风格保持一致的更新版的ISBP。
 
The international standard banking practices documented in this publication are consistent with UCP 600 and the Opinions and Decisions of 　the ICC Banking Commission. This document does not amend UCP 600. It explains how the practices articulated in UCP 600 are applied by documentary practitioners. This publication and the UCP should be read in their entirety and not in isolation. It is, of course, recognized that the law in some countries may compel a different practice than those stated here.
本出版物中体现的国际标准银行实务与UCP600及ICC银行委员会发布的意见和决定是一致的。本文件并没有修改UCP600，而是解释UCP600中表述的实务惯例如何为从业者所应用。本出版物与UCP600作为整体使用，不应孤立地解读。当然还须认识到某些国家可能会做出不同于本惯例的强制性规定。
 
No single publication can anticipate all the terms or the documents that may be used in connection with documentary credits or their interpretation under UCP 600 and the standard practice it reflects. However, the Task Force that prepared Publication 645 endeavoured to cover terms commonly seen on a day-to-day basis and the documents most often presented under documentary credits. The Drafting Group have reviewed and updated this publication to conform with UCP 600.
没有哪个出版物能够预见跟单信用证项下可能使用的所有条款或单据，或者根据UCP600及其中反映的标准实务对这些条款或单据的解释。然而，指定645号出版物的特别小组努力将跟单信用证日常业务中的常见条款及常见单据涵盖其中。起草小组审核并更新了出版物以使其与UCP600保持一致。
 
It should be noted that any term in a documentary credit which modifies or excludes the applicability of a provision of UCP 600 may also 　have an impact on international standard banking practice. Therefore, in considering the practices described in this publication, parties must take into account any term in a documentary credit that expressly modifies or excludes a rule contained in UCP 600. This principle is implicit throughout this publication. Where examples are given, these are solely for the purpose of illustration and are not exhaustive.
应当指出，跟单信用证中任何修改或排除UCP某一规定的适用性可条款可能也会对国际标准银行实务的适用产生影响。因此，在考虑本出版物所描述的惯例时，当事人必须考虑到跟单信用证中任何明确修改或排除UCP600规则的条款。这一原则暗含并贯穿于整部ISBP中。本实务中的举例仅为就事论事的说明，而不是全面详尽的阐述。
 
This publication reflects international standard banking practice for all parties to a documentary credit. Since applicants’ obligations, rights and remedies depend upon their undertaking with the issuing bank, the performance of the underlying transaction and the timeliness of any objection under applicable law and practice, applicants should not assume that they may rely on these provisions in order to excuse their obligations to reimburse the issuing bank. The incorporation of this publication into the terms of a documentary credit should be discouraged, as UCP600 incorporates international standard banking practice,which includes the practices described in this publication.
本实务中所反映的国际标准银行实务针对跟单信用证的所有当事方。由于开证申请人的义务、权利和救济取决于其与开证行之间的承诺、基础交易的履行情况以及可适用的法律和惯例下有关异议失效方面的规定，申请人不应认为其可以本实务为依据免除其　偿付开证行的义务。将本实务纳入跟单信用证的条款实无必要，因为UCP600已包含了国际标准银行实务，而本实务所描述的惯例均被包括其中。
 
二、先期问题（preliminary considerations）
信用证的申请和开立（The application and issuance of the credit）
1． The terms of a credit are independent of the underlying transaction even if a credit expressly refers to that transaction. To avoid unnecessary costs, delays, and disputes in the examination of documents, however, the applicant and beneficiary should carefully consider which documents should be required, by whom they should be produced and the time frame for presentation.
信用证条款独立于基础交易，即使信用证明确提及了该基础交易。但是，为避免在审单时发生不必要的费用、延误和争议，开证申请人和受益人应当仔细考虑要求何种单据、单据由谁出具和提交单据的期限
 
2． The applicant bears the risk of any ambiguity in its instructions to issue or amend a credit. Unless expressly stated otherwise, a request to issue or amend a credit authorizes an issuing bank to supplement or develop the terms in a manner necessary or desirable to permit the use of the credit.
开证申请人承担其有关开立或修改信用证的指示不明确所导致的风险。除非另有明确规定，开立或修改信用证的申请即意味着授权开证行以必要或适当的方式补充或细化信用证的条款，以使信用证得以使用。
 
3．The applicant should be aware that UCP 600 contains articles such as 3, 14, 19, 20, 21, 23, 24, 28(i), 30 and 31 that define terms in a 　manner that may produce unexpected results unless the applicant fully acquaints itself with these provisions. For example, a credit requiring presentation of a bill of lading and containing a prohibition against transhipment will, in most cases, have to exclude UCP 600 sub-article 20(c) to make the prohibition against transhipment effective.
开证申请人应当注意，UCP600的许多条文，诸如第3条、第14条、第19条、第20条、第21条、第23条、第24条、第28条i款、第30条和第31条，其对术语的界定可能导致出乎意料的结果，除非开证申请人对这些条款充分了解。例如，在多数情况下，要求提交提单而且禁止转运的信用证必须排除UCP600第20条c款的适用，才能使禁止装运发生效力。
 
4．A credit should not require presentation of documents that are to be issued or countersigned by the applicant. If a credit is issued including such terms, the beneficiary must either seek amendment or comply with them and bear the risk of failure to do so.
信用证不应规定提交由开证申请人出具或副签的单据。如果信用证含有此类条款，则受益人必须要求修改信用证，或者遵守该条款并承担无法满足这一要求的风险。
　
5．Many of the problems that arise at the examination stage could be avoided or resolved by careful attention to detail in the underlying transaction, the credit application, and issuance of the credit as discussed
如果对基础交易、开证申请和信用证开立的上述细节多加注意，在审单过程中出现的许多问题都能得以避免或解决。
 
三、一般原则（general principles）
（一）    缩略语（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.
适用普通认可的缩略语不导致单据不符，例如，用“LTD.”代替“LIMITED”（有限），用“INT’L”代替“INTERNATIONAL”（国　际），用“CO.”代替“COMPANY”（公司），用“KGS”或“KOS.”代替“KILOS”（千克），用“IND”代替“INDUSTRY”（工业），用“MFR”代替“MANUFACTURER”（制造商），用“MT”代替“METRIC TONGS”（公吨）。反之，用全称代替缩略语也不导致单据不符。
 
7．Virgules (slash marks “/”) may have different meanings, and unless apparent in the context used, should not be used as a substitute for a word.
斜线（“/”）可能有不同的含义，不应用来替代词语，除非在上下文中可以明了其含义。
 
（二）    证明和声明（certificate and declarations）
8．A certification, declaration or the like may either be a separate document or contained within another document as required by the credit. If 　the certification or declaration appears in another document which is signed and dated, any certification or declaration appearing on that document does not require a separate signature or date if the certification or declaration appears to have been given by the same entity that issued and signed the document.
证明、声明或类似文据既可以是单独的单据，也可以包含在信用证要求的其他单据内。如果证明或声明载于另一份有签字并注明日期的单据里，只要该证明或声明表面看来系由出具和签署该单据的同一人作出，则该证明或声明无须另行签字或加注日期。
 
（三）    单据的修正和变更（corrections and alterations）
9．Corrections and alterations of information or data in documents, other than documents created by the beneficiary, must appear to be authenticated by the party who issued the document or by a party authorized by the issuer to do so. Corrections and alterations in documents which have been legalized, visaed, certified or similar, must appear to be authenticated by the party who legalized, visaed, certified etc., the document. The authentication must show by whom the authentication has been made and include the signature or initials of that party. If the authentication appears to have been made by a party other than the issuer of the document, the authentication must clearly show in which capacity that party has authenticated the correction or alteration.
除了由受益人制作的单据外，对单据内容的修正和变更必须在表面上看来经单据出具人或其授权人证实。对履行过法定手续或载有　签证、证明之类的单据的修正和变更必须在表面上看来经该法定手续实施人、签证人或证明人证实。证实必须表明该证实由谁作出，并包括证实人的签字或小签。如果证实从表面看来并非由单据出具人所为，则该证实必须清楚地表明证实人以何身份证实单据的修正和变更。
 
10．Corrections and alterations in documents issued by the beneficiary itself, except drafts, which have not been legalized, visaed, certified or similar, need not be authenticated. See also “Drafts and calculation of maturity date”.
对未经履行法定手续、签证或证明之类的由受益人自己出具的单据（汇票除外）的修正和变更无需证实。参见“汇票和到期日的计算”。
 
11．The use of multiple type styles or font sizes or handwriting in the same document does not, by itself, signify a correction or alteration.
同一份单据内使用多种字体、字号或手写，其本身并不意味着修正或变更。
 
12．Where a document contains more than one correction or alteration, either each correction must be authenticated separately or one authentication must be linked to all corrections in an appropriate way. For example, if the document shows three corrections numbered 1, 2 　and 3, one statement such as “Correction numbers 1, 2 and 3 above authorized by XXX” or similar, will satisfy the requirement for authentication.
当一份单据包含不止一处修改或变更时，必须对每一处修正作出单独证实，或者以一种恰当的方式使一项证实与所有修正相关联。例如，如果一份单据显示出有标为1,2,3的三处修正，则使用类似“上述编号为1,2,3的修正经XXX授权”的声明即满足证实的要求。
 
（四）    日期（dates）
13．Drafts, transport documents and insurance documents must be dated even if a credit does not expressly so require. A requirement that a document, other than those mentioned above, be dated, may be satisfied by reference in the document to the date of another document forming part of the same presentation (e.g., where a shipping certificate is issued which states “date as per bill of lading number xxx” or similar terms). Although it is expected that a required certificate or declaration in a separate document be dated, its compliance will depend on the type of certification or declaration that has been requested, its required wording and the wording that appears within it. Whether other documents require dating will depend on the nature and content of the document in question
即使信用证没有明确要求，汇票、运输单据和保险单据也必须注明日期。如果信用证要求上述单据以外的单据注明日期，只要该单据援引了同时提交的其他单据的日期，即满足信用证的要求（例如，装运证明可使用“日期参见XXX号提单”或类似用语）。虽然要求的证明或声明在作为单独单据时宜注明日期，但其是否符合信用证要求取决于所要求的证明或声明的种类、所要求的措辞以及证明或声明中的实际措辞。至于其他单据是否要求注明日期则取决于单据的内容和性质。
 
　14．Any document, including a certificate of analysis, inspection certificate and pre-shipment inspection certificate, may be dated after the date of shipment. However, if a credit requires a document evidencing a pre-shipment event (e.g., pre-shipment inspection certificate), the document must, either by its title or content, indicate that the event (e.g., inspection) took place prior to or on the date of shipment. A requirement for an “inspection certificate” does not constitute a requirement to evidence a pre-shipment event. Documents must not indicate that they were issued after the date they are presented.
任何单据，包括分析证明、检验证明和装运前检验证明注明的日期都可以晚于装运日期。但是，如果信用证要求一份单据证明装运前发生的事件（例如装运前检验证明），则该单据必须通过标题或内容来表明该事件（例如检验）发生在装运日之前或装运日当天。要求提交“检验证明”并不表明要求证明一件装运前发生的事件。任何单据都不得显示晚于交单日的出具日期。
 
15．A document indicating a date of preparation and a later date of signing is deemed to be issued on the date of signing.
载明单据准备日期和随后的签署日期的单据应视为在签署之日出具。
 
16．Phrases often used to signify time on either side of a date or event:
a) “within 2 days after” indicates a period from the date of the event until 2 days after the event.
  b) “not later than 2 days after” does not indicate a period, only a latest date. If an advice must not be dated prior to a specific date, the credit must so state.
 c) “at least 2 days before” indicates that something must take place not later than 2 days before an event. There is no limit as to how early it may take place.
　 d) “within 2 days of” indicates a period 2 days prior to the event until 2 days after the event.
经常用来表示在某日期或事件之前或之后时间的用语：
a)“在……后的2日内”（within 2 days after）表明从事件发生之日起至事件发生后两日的这一段时间。
b)“不迟于……之后2日”（not later than 2 days after）表明的不是一段时间，而是最迟日期。如果通知日期不能早于某个特定日期，则信用证必须明确就此作出规定。
 c)“至少在……之前2日”（at least 2 days before）表明某一事项不得晚于某一事件两日发生。该事项最早何时可以发生则没有限制。
d)“在……的2日内”（within 2 days of）表明某一事件发生之前的两日至发生之后的两日之间的一段时间。
 
17．The term “within” when used in connection with a date excludes that date in the calculation of the period.
当“在……之内”（within）与日期连用时，在计算期间时该日期不包括在内。
 
18．Dates may be expressed in different formats, e.g., the 12th of November 2007 could be expressed as 12 Nov 07, 12Nov07, 12.11.2007, 12.11.07, 2007.11.12, 11.12.07, 121107, etc. Provided that the date intended can be determined from the document or from other documents included in the presentation, any of these formats are acceptable. To avoid confusion it is recommended that the name of the month should be used instead of the number.
日期可以用不同的格式表示，例如2007年11月12日可以表示为 12 Nov 07，12Nov07，12.11.2007，12.11.07，2007.11.12，11.12.07，121107等。只要试图表明的日期能够从该单据或提交的其他单据中确定，上述任何格式均可接受。为避免混淆，建议使用月份的名称而不要使用数字。
 
（五）    UCP600运输条款不适用的单据（documents for which the UCP600 transport articles do not apply）
　19．Some documents commonly used in relation to the transportation of goods, e.g., Delivery Order, Forwarder’s Certificate of Receipt, Forwarder’s Certificate of Shipment, Forwarder’s Certificate of Transport, Forwarder’s Cargo Receipt and Mate’s Receipt do not reflect a contract of carriage and are not transport documents as defined in UCP 600 articles 19 -25. As such, UCP 600 sub-article 14(c) would not apply to these documents. Therefore, these documents will be examined in the same manner as other documents for which there are no specific provisions in UCP 600, i.e., under sub-article 14(f). In any event, documents must be presented not later than the expiry date for presentation as stated in the credit.
与货物运输有关的一些常见单据，例如交货单、货运代理收据证明、货运代理装运证明、货运代理运输证明、货运代理货物收据和大副收据均不反映运输合同，不是UCP600第19条到第25条规定的运输单据。因此UCP600第14条c款不适用于这些单据，而应以审核UCP600未作规定的其他单据的相同方式审核这些单据，也即适用UCP600第14条f款。在任何情况下，单据不得迟于信用证规定的截止日提交。
 
20．Copies of transport documents are not transport documents for the purpose of UCP 600 articles 19-25 and sub-article 14(c). The UCP 600 transport articles apply where there are original transport documents presented. Where a credit allows for the presentation of a copy transport document rather than an original, the credit must explicitly state the details to be shown. Where copies (non-negotiable) are presented, they need not evidence signature, dates, etc.
运输单据的副本并不是UCP600第19条至第25条及第14条c款所指的运输单据。UCP600关于运输单据的条款仅适用于有正本运　输单据提交时。如果信用证允许提交副本而不是正本运输单据，则信用证必须明确规定应当显示的细节。当提交副本（不可转让的）单据时，无须显示签字、日期等。
 
（六）    UCP600未定义的用语（expressions not defined in UCP600）
21．Expressions such as “shipping documents”, “stale documents acceptable”, “third party documents acceptable”, and “exporting country” should not be used as they are not defined in UCP 600. If used in a credit, their meaning should be made apparent. If not, they have the following meaning under international standard banking practice:
由于UCP600对诸如“装运单据”、“过期单据可接受”、“第三方单据可接受”及“出口国”等用语未作定义，因此，不应使用此类　用语。如果信用证使用了此类用语，则应明确其含义。否则，根据国际标准银行实务，其含义如下：
 
 a) shipping documents” – all documents (not only transport documents), except drafts, required by the credit.
“装运单据”（shipping documents）——指信用证要求的除汇票以外的所有单据（不限于运输单据）
 
 b)“stale documents acceptable” – documents presented later than 21 calendar days after the date of shipment are acceptable as long as they are presented no later than the expiry date for presentation as stated in the credit.
“过期单据可接受”——指晚于装运日后21个日历日提交的单据可以接受，只要其不迟于信用证规定的交单截止日。
 
 c) “third party documents acceptable” – all documents, excluding drafts but including invoices, may be issued by a party other than the beneficiary. If it is the intention of the issuing bank that the transport or other documents may show a shipper other than the beneficiary, the clause is not necessary because it is already permitted by sub-article 14(k).
“第三方单据可接受”——指所有单据，包括发票，但不包括汇票，均可由受益人之外的一方出具。如果开证行意在表示运输单据或其他单据可显示受益人之外的人为托运人，则无须这一条款，因为UCP600第14条k款已经对此予以认可。
 
 d) “exporting country” – the country where the beneficiary is domiciled, or the country of origin of the goods, or the country of receipt by the carrier or the country from which shipment or dispatch is made.
 “出口国”——指受益人所在国，或货物原产地国，或承运人接收货物地所在国，或装运地或发货地所在国。
 
（七）    单据的出具人（issuer of documents）
22．If a credit indicates that a document is to be issued by a named person or entity, this condition is satisfied if the document appears to be issued by the named person or entity. It may appear to be issued by a named person or entity by use of its letterhead, or, if there is no letterhead, the document appears to have been completed or signed by, or on behalf of, the named person or entity.
如果信用证要求单据由某具名个人或实体出具，只要单据从表面看来是由该具名个人或实体出具，即符合信用证要求。单据使用该　具名个人或实体的信笺抬头，或如果未使用其信笺抬头，但表明看来是由该具名个人或实体或其代理人完成或签署，即为表面看来由该具名个人或实体出具。
 
（八）    语言（language）
23．Under international standard banking practice, it is expected that documents issued by the beneficiary will be in the language of the credit. When a credit states that documents in two or more languages are acceptable, a nominated bank may, in its advice of the credit, limit the number of acceptable languages as a condition of its engagement in the credit.
在国际标准银行实务下，受益人出具的单据应使用信用证所使用的语言。如果信用证规定可以接受使用两种或两种以上语言的单据，指定银行在通知该信用证时，可限制单据使用语种的数量，作为对该信用证承担责任的条件。
 
（九）    数学计算（mathematical calculations）
24．Detailed mathematical calculations in documents will not be checked by banks. Banks are only obliged to check total values against the credit and other required documents.
银行不检查单据中的数学计算细节，而只负责将总量与信用证及其他要求的单据相核对。
 
（十）    拼写或打字错误（misspellings or typing errors）
25．A misspelling or typing error that does not affect the meaning of a word or the sentence in which it occurs, does not make a document 　discrepant. For example, a description of the merchandise as “mashine” instead of “machine”, “fountan pen” instead of “fountain pen” or “modle” instead of “model” would not make the document discrepant. However, a description as “model 123” instead of “model 321” would not be regarded as a typing error and would constitute a discrepancy.
如果拼写或打字错误并不影响单词或其所在句子的含义，则不构成单据不符。例如，在货物描述中用“mashine”表示“machine”（机器），用“fountan pen”表示“fountain pen”（钢笔），或用“modle”表示“model”（型号）均不导致单据不符。但是，将“model 321”（型号321）写成“model 123”（型号123）则不被视为打字错误，而是构成不符点。
 
（十一） 多页单据和附件或附文（multiple pages and attachments or riders）
26．Unless the credit or a document provides otherwise, pages which are physically bound together, sequentially numbered or contain internal cross references, however named or entitled, are to be examined as one document, even if some of the pages are regarded as an attachment. Where a document consists of more than one page, it must be possible to determine that the pages are part of the same document.
除非信用证或单据另有规定，否则被装订在一起、按序编号或内部交叉援引的多页单据，无论其名称或标题如何，都应被作为一份单据来审核，即使有些页张被视为附件。当一份单据包括不止一页时，必须能够确定这些不同页张同属一份单据。
 
27．If a signature or endorsement is required to be on a document consisting of more than one page, the signature is normally placed on the first or last page of the document, but unless the credit or the document itself indicates where a signature or endorsement is to appear, the 　signature or endorsement may appear anywhere on the document.
如果要求一份多页的单据载有签字或背书，签字通常在单据的第一页或最后一页，但是除非信用证或单据自身规定签字或背书应在何处，签字或背书可以出现在单据的任何位置。
 
（十二） 正本和副本（original and copies）
28．Documents issued in more than one original may be marked “Original”, “Duplicate”, “Triplicate”, “First Original”, “Second Original”, etc. None of these markings will disqualify a document as an original.
单据的多份正本可标注为“正本”（original）、“第二联”（duplicate）、“第三联”（triplicate）、“第一正本”（first original）、“第二正本”（second original）等。上述任一标注均不使其丧失正本地位。
 
29．The number of originals to be presented must be at least the number required by the credit, the UCP 600, or, where the document itself states how many originals have been issued, the number stated on the document.
提交单据的正本数量必须至少为信用证或UCP600要求的数量，或当单据自身表明了已出具的正本数量时，至少为该单据表明的数　量。
 
30．It can sometimes be difficult to determine from the wording of a credit whether it requires an original or a copy,and to determine whether that requirement is satisfied by an original or a copy.
 For example,where the credit requires:
 a) “Invoice”, “One Invoice” or “Invoice in 1 copy”, it will be understood to be a requirement for an original invoice.
b) “Invoice in 4 copies”, it will be satisfied by the presentation of at least one original and the remaining number as copies of an invoice.
c) “One copy of Invoice”, it will be satisfied by presentation of either a copy or an original of an invoice.
有时从信用证的措辞难以确定信用证要求提交正本单据还是副本单据，以及确定该要求是以正本还是副本予以满足。
例如，当信用证要求：
a)“发票”、“一份发票”（one invoice）或“发票一份”（invoice in 1 copy），应被理解为一份正本发票。
b)“发票四份”（invoice in 4 copies），则提交至少一份正本发票，其余用副本发票即满足要求。
c)“发票的一份”（one copy of invoice），则提交一份副本发票或一份正本发票均符合要求。
 
31．Where an original would not be accepted in lieu of a copy, the credit must prohibit an original, e.g., “photocopy of invoice – original document not acceptable in lieu of photocopy”, or the like. Where a credit calls for a copy of a transport document and indicates the disposal 　instructions for the original of that transport document, an original transport document will not be acceptable.
当不接受正本代替副本时，信用证必须规定禁止提交正本，例如，应标明“发票复印件——不接受用正本代替复印件”，或类似措辞。当信用证要求提交运输单据副本并且表明对正本的处理指示时，提交正本运输单据将不被接受。
 
32．Copies of documents need not be signed.
单据副本无须签字
 
33．In addition to UCP 600 article 17, the ICC Banking Commission Policy Statement, document 470/871(Rev), titled “The determination of an “Original” document in the context of UCP 500 sub-Article 20(b)” is recommended for further guidance on originals and copies and remains valid under UCP 600. The content of the Policy Statement appears in the Appendix of this publication, for reference purposes.
除UCP600第17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。
 
（十三）  唛头（shipping marks）
34．The purpose of a shipping mark is to enable identification of a box, bag or package. If a credit specifies the details of a shipping mark, the documents mentioning the marks must show these details, but additional information is acceptable provided it is not in conflict with the credit terms.
使用唛头的目的在于能够识别箱、袋或包装。如果信用证对唛头的细节作了规定，则载有唛头的单据必须显示这些细节，但额外的信息可以接受，只要其与信用证的条款不矛盾。
　35．Shipping marks contained in some documents often include information in excess of what would normally be considered “shipping marks”, and could include information such as the type of goods, warnings as to the handling of fragile goods, net and/or gross weight of the goods, etc. The fact that some documents show such additional information, while others do not, is not a discrepancy.
某些单据中唛头所包含的信息常常超出通常意义上的唛头所包含的内容，可能包括诸如货物种类、易碎货物的警告、货物净重及/或毛重等。在一些单据里显示了此类额外信息而其他单据没有显示，不构成不符点。
 
36．Transport documents covering containerized goods will sometimes only show a container number under the heading “Shipping marks”. Other documents that show a detailed marking will not be considered to be in conflict for that reason.
集装箱货物的运输单据有时在“唛头”栏中仅仅显示集装箱号，其他单据则显示详细唛头，如此并不视为矛盾。
 
（十四） 签字（signatures）
37．Even if not stated in the credit, drafts, certificates and declarations by their nature require a signature. Transport documents and insurance documents must be signed in accordance with the provisions of UCP 600.
即使信用证未作规定，汇票、证明和声明就其性质而言应有签字。运输单据和保险单据必须按照UCP600的规定予以签署。
 
38．The fact that a document has a box or space for a signature does not necessarily mean that such box or space must be completed with a 　signature. For example, banks do not require a signature in the area titled “Signature of shipper or their agent” or similar phrases, commonly found on transport documents such as air waybills or road transport documents. If the content of a document indicates that it requires a signature to establish its validity (e.g., “This document is not valid unless signed” or similar terms), it must be signed.
单据上留有专供签字的方框或空格并不必然意味着该方框或空格处必须由签字。例如，在运输单据如航空运单或公路运输单据中经常会标明“托运人或其代理人签字”或类似用语的区域，但银行并不要求在该处有签字。如果单据内容表明须经签字才能生效（例如，“单据非经签署无效”，或类似用语），则必须签字。
 
39．A signature need not be handwritten. Facsimile signatures, perforated signatures, stamps, symbols (such as chops) or any electronic or mechanical means of authentication are sufficient. However, a photocopy of a signed document does not qualify as a signed original document, nor does a signed document transmitted through a fax machine, absent an original signature. A requirement for a document to be “signed and stamped”, or a similar requirement, is also fulfilled by a signature and the name of the party typed, or stamped, or handwritten, etc.
签字不必一定手写。使用摹样签字、打孔签字、印章、符号（例如戳记）或任何用以证实身份的任何电子或机械方法均可。但是，已签单据的复印件不能视为已签正本单据，通过传真发送的已签单据如果不另外加具原始签字的话，也不视为已签正本。如果要求单据“签字并盖章”或类似要求，则单据只要载有签字及签字人的名称，无论该名称是打印、盖章或手写，均满足该项要求。
 
　40．A signature on a company letterhead paper will be taken to be the signature of that company, unless otherwise stated. The company name need not be repeated next to the signature.
除非另有规定，在带有公司抬头的信笺上的签字将被视为该公司的签字。无须在签字旁重复公司的名称。
 
（十五）  单据名称及联合单据（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.
单据可以使用信用证要求的名称或相似名称，或无名称。例如，信用证要求“装箱单”，无论该单据名称为“装箱记录”还是“装箱和重量单”还是无名称，只要单据包含了装箱细节，即为满足信用证要求。单据内容在表面看来必须符合所要求单据的功能。
 
42．Documents listed in a credit should be presented as separate documents. If a credit requires a packing list and a weight list, such requirement will be satisfied by presentation of two separate documents, or by presentation of two original copies of a combined packing and weight list, provided such document states both packing and weight details.
信用证列明的单据应作为单独单据提交。如果信用证要求装箱单和重量单，可以提交两份独立的单据，或提交两份正本的装箱单和重量单联合单据，只要该联合单据同时表明装箱和重量细节，即视为符合信用证要求。
 
四、汇票和到期日的计算（drafts and calculation of maturity date）
（一） 票期（tenor）
　43．The tenor must be in accordance with the terms of the credit.
票期必须与信用证条款一致。
 
a)If a draft is drawn at a tenor other than sight, or other than a certain period after sight, it must be possible to establish the maturity date from the data in the draft itself.
如果汇票不是见票即付或见票后定期付款，则必须能够从汇票本身内容确定到期日
 
b)    As an example of where it is possible to establish a maturity date from the data in the draft, if a credit calls for drafts at a tenor 60 days after the bill of lading date, where the date of the bill of lading is 12 July 2007, the tenor could be indicated on the draft in one of the following ways:
以下是通过汇票内容确定汇票到期日的示例。如果信用证要求汇票的票期为提单日后60天，而提单日为2007年7月12 日，则汇票票期可用下列任一方式表明：
 
i.“60 days after bill of lading date 12 July 2007”, or “提单日2007年7月12日后60日”；或，
 
ii.     “60 days after 12 July 2007”, or “2007年7月12日后60日”；或
iii.    “60 days after bill of lading date” and elsewhere on the face of the draft state “bill of lading date 12 July 2007”, or
“提单日后60日”，并且汇票表面的其他地方表明“提单日2007年7月12日”，或
 
iv.    “60 days date” on a draft dated the same day as the date of the bill of lading, or
在出票日期与提单日期相同的汇票上标注“出票日后60日”；或
 
v.     “10 September 2007”, i.e. 60 days after the bill of lading date.
“2007年9月10日”，即提单日后60日。
 
 c)  If the tenor refers to xxx days after the bill of lading date, the on board date is deemed to be the bill of lading date even if the on board date is prior to or later than the date of issuance of the bill of lading.
如果用提单日后XXX天表示票期，则以装船日为提单日，即使装船日早于或晚于提单签发日。
 
d)    UCP 600 article 3 provides guidance that where the words “from” and “after” are used to determine maturity dates of drafts, the calculation of the maturity commences the day following the date of the document, shipment, or other event, i.e., 10 days after or from March 1 is March 11.
根据UCP600第三条的指引，当使用“从…...起”（from）和“在……之后”（after）来确定汇票到期日时，到期日的计算从单据日期、装运日期或其他事件的次日起起算，也就是说，从3月1日起10日或3月1日后10日均为3月11日。
 
e)    If a bill of lading showing more than one on board notation is presented under a credit which requires drafts to be drawn, for example, at 60 days after or from bill of lading date, and the goods according to both or all on board notations were shipped from ports within a permitted geographical area or region, the earliest of these on board dates will be used for calculation of the maturity date. Example: the credit requires 　shipment from European port, and the bill of lading evidences on board vessel “A” from Dublin August 16 and on board vessel “B” from Rotterdam August 18. The draft should reflect 60 days from the earliest on board date in a European port, i.e., August 16.
如果信用证要求汇票票期为，例如，提单日后60日或从提单日起60日，而提单上有多个装船批注，且所有装船批注均显示货物从信用证允许的地理区域或地区的港口装运，则使用最早的装船批注日期计算汇票到期日。例如，信用证要求从欧洲港口装运，提单显示货物于8月16日在都柏林装上A船，于8月18日在鹿特丹装上B船，则汇票到期日应为在欧洲港口的最早装船日，即8月16日起的60天。
 
f)     If a credit requires drafts to be drawn, for example, at 60 days after or from bill of lading date, and more than one set of bills of lading is presented under one draft, the date of the last bill of lading will be used for the calculation of the maturity date.
如果信用证要求汇票票期为，例如，提单日后60日或提单日起60日，而一张汇票项下提交了多套提单，则最晚的提单日将被　用来计算汇票的到期日。
 
44．While the examples refer to bill of lading dates, the same principles apply to all transport documents.
上述例子中提及的尽管是提单日，但相同原则适用于所有运输单据。
 
（二） 到期日（maturity date）
45．If a draft states a maturity date by using an actual date, the date must have been calculated in accordance with the requirements of the credit.
如果汇票使用实际日期表示到期日，则该日期必须按信用证的要求计算。
 
46．For drafts drawn “at XXX days sight”, the maturity date is established as follows:
a)    in the case of complying documents, or in the case of non-complying documents where the drawee bank has not provided a notice of refusal, the maturity date will be XXX days after the date of receipt of documents by the drawee bank.
b)    in the case of non-complying documents where the drawee bank has provided a notice of refusal and subsequent approval, at the latest XXX days after the date of acceptance of the draft by the drawee bank. The date of acceptance of the draft must be no later than the date the issuing bank accepts the waiver of the applicant.
如果汇票是“见票XXX日后”付款，则到期日按如下方法确定：
a) 对于相符单据，或虽不相符但付款银行未曾发出拒付通知的单据，到期日为付款银行收到单据后的第XXX日。
b) 对于付款银行已发出拒付通知但随后又同意接受的不符单据，到期日最迟为付款银行承兑汇票的第XXX日。汇票承兑日不得晚　于开证行接受申请人对不符点的放弃的日期。
 
47．In all cases the drawee bank must advise the maturity date to the presenter. The calculation of tenor and maturity dates, as shown above, would also apply to credits designated as being available by deferred payment, i.e., where there is no requirement for a draft to be presented by the beneficiary.
在所有情况下付款银行均须向交单人通知汇票到期日。上述票期和到期日的计算也适用于延期付款信用证，即也适用于不要求收益人提交汇票的情形。
 
（三） 银行工作日、宽限期、汇款迟延（banking days,grace day,delays in remittance）
48．Payment must be available in immediately available funds on the due date at the place where the draft or documents are payable, provided such due date is a banking day in that place. If the due date is a non-banking day, payment will be due on the first banking day following the due date. Delays in the remittance of funds, such as grace days, the time it takes to remit funds, etc., must not be in addition to the stated or agreed due date as defined by the draft or documents.
付款应于到期日在汇票或单据的付款地以立即能够使用的资金支付，只要到期日是付款地的银行工作日。如果到期日不是银行工作　日，则付款日为到期日后的第一个银行工作日。汇款迟延，例如宽限期、汇款过程需要时间等不能在汇票或单据所载明或约定的到期日之外。
 
（四） 背书（endorsement）
49．The draft must be endorsed, if necessary.
如果必要，汇票必须背书。
 
（五） 金额（amounts）
50．The amount in words must accurately reflect the amount in figures if both are shown, and indicate the currency, as stated in the credit.
如果同时有大写和小写金额，则大写金额必须准确反映小写表示的金额，同时显示信用证规定的币重。
 
51．The amount must agree with that of the invoice, unless as a result of UCP 600 sub-article 18(b).
金额必须与发票一致，除非出现UCP600第18条b款规定的情况。
 
（六） 出票（how the draft is drawn）
52．The draft must be drawn on the party stated in the credit.
汇票必须以信用证规定的人为付款人。
 
53．The draft must be drawn by the beneficiary.
　汇票必须由受益人出票。
 
（七） 以申请人为付款人的汇票（drafts on the applicant）
54．A credit may be issued requiring a draft drawn on the applicant as one of the required documents, but must not be issued available by drafts drawn on the applicant.
信用证可以要求提交以开证申请人为付款人的汇票作为所需单据之一，但是不得开立成凭以开证申请人为付款人的汇票兑用。
 
（八） 修正和变更（corrections and alterations）
55．Corrections and alterations on a draft, if any, must appear to have been authenticated by the drawer.
汇票如有修正或变更，必须在表面看来经出票人证实。
 
56．In some countries a draft showing corrections or alterations will not be acceptable even with the drawer’s authentication. Issuing banks in such countries should make a statement in the credit to the effect that no correction or alteration must appear in the draft.
有些国家不接受带有修正或变更的汇票，即使有出票人的证实。此类国家的开证行应在信用证中声明汇票中不得出现修改或变更。
 
　五、发票（invoices）
（一） 发票的界定（definition of invoice）
57．A credit requiring an “invoice” without further definition will be satisfied by any type of invoice presented (commercial invoice, customs invoice, tax invoice, final invoice, consular invoice, etc.). However, invoices identified as “provisional”, “pro-forma” or the like are not acceptable. When a credit requires presentation of a commercial invoice, a document titled “invoice” will be acceptable.
如信用证要求“发票”而未做进一步界定，则提交任何形式的发票均可（如商业发票、海关发票、税务发票、最终发票、领事发票等）。但是，“临时发票”、“预开发票”或类似发票则不可接受。当信用证要求提交商业发票时，标为“发票”的单据可以接受。
 
（二） 货物、服务或履约行为的描述及其他有关发票的一般事项（description of the goods,services or performance and other general issue related to invoice）
58．The description of the goods, services or performance in the invoice must correspond with the description in the credit. There is no requirement for a mirror image. For example, details of the goods may be stated in a number of areas within the invoice which, when collated together, represents a description of the goods corresponding to that in the credit.
发票中的货物、服务或履约行为的描述必须与信用证中的一致，但并不要求如镜像般一致。例如，货物细节可以在发票中的若干处表示，当并在一起时与信用证中的一致即可。
 
59．The description of goods, services or performance in an invoice must reflect what has actually been shipped or provided. For example, where there are two types of goods shown in the credit, such as 10 trucks and 5 tractors, an invoice that reflects only shipment of 4 trucks would be acceptable provided the credit does not prohibit partial shipment. An invoice showing the entire goods description as stated in the credit, then stating what has actually been shipped is also acceptable.
　发票中的货物、服务或履约行为的描述必须反映实际装运或提供的货物、服务或履约行为。例如，信用证中的货物描述显示两种货物，如10辆卡车和5辆拖拉机，如果信用证不禁止分批装运，则发票只显示装运4辆卡车是可以接受的。列明信用证规定的全部货物描述，然后注明实际装运货物的发票也可接受。
 
60．An invoice must evidence the value of the goods shipped or services or performance provided. Unit price(s), if any, and currency shown in the invoice must agree with that shown in the credit. The invoice must show any discounts or deductions required in the credit. The invoice may also show a deduction covering advance payment, discount, etc., not stated in the credit.
发票必须表明装运货物或提供的服务或履约行为的价值。发票中显示的单价（如有的话）和币种必须与信用证中的一致。发票必须显示信用证要求的折扣或扣减。发票还可显示信用证未规定的预付款或折扣等的扣减额。
 
61．If a trade term is part of the goods description in the credit, or stated in connection with the amount, the invoice must state the trade term specified, and if the description provides the source of the trade term, the same source must be identified (e.g., a credit term “CIF Singapore Incoterms 2000” would not be satisfied by “CIF Singapore Incoterms”). Charges and costs must be included within the value shown against the stated trade term in the credit and invoice. Any charges and costs shown beyond this value are not allowed.
　如果某贸易术语是信用证中货物描述的一部分，或与金额联系在一起表示，则发票必须显示信用证指明的贸易术语，而且如果货物描述提供了贸易术语的出处，则发票必须表明相同的出处（如信用证条款规定“CIF新加坡Incoterms 2000”，则 “CIF新加坡Incoterms”就不符合信用证的要求）。费用和成本必须包括在信用证和发票中标明的贸易术语所显示的金额内，不允许任何超出该金额的费用和成本。
 
62．Unless required by the credit, an invoice need not be signed or dated
除非信用证要求，发票无须签字或注明日期。
 
63．The quantity of merchandise, weights and measurements shown on the invoice must not conflict with the same quantities appearing on other documents.
发票显示的货物数量、重量和尺寸不得与其他单据显示的相应数值相矛盾。
　
64．An invoice must not show:
a)    over-shipment (except as provided in UCP 600 sub-article 30(b)), or
b)    merchandise not called for in the credit (including samples, advertising materials, etc.) even if stated to be free of charge.
发票不得表明：
a) 溢状（UCP600第30条b款规定的除外），或
b) 信用证未要求的货物（包括样品、广告材料等），及时注明免费
 
65．The quantity of the goods required in the credit may vary within a tolerance of +/-5%. This does not apply if a credit states that the quantity must not be exceeded or reduced, or if a credit states the quantity in terms of a stipulated number of packing units or individual items. A variance of up to +5% in the goods quantity does not allow the amount of the drawing to exceed the amount of the credit.
　信用证要求的货物数量可以有5%的溢短装幅度。但如果信用证规定货物数量不得超量或减少，或信用证规定的货物数量是以包装单位或商品件数计算时，此规定不适用。货物数量在5%幅度内的溢装并不意味着允许支取的金额超过信用证金额。
 
66．Even when partial shipments are prohibited, a tolerance of 5% less in the credit amount is acceptable, provided that the quantity is shipped in full and that any unit price, if stated in the credit, has not been reduced. If no quantity is stated in the credit, the invoice will be considered to cover the full quantity.
即使信用证禁止分批装运，当货物数量全部装运，且单价（如信用证有规定的话）没有降低时，支取金额有5%的减幅也可以接受。如果信用证未规定货物数量，发票的货物数量即可视为全部货物数量。
 
67．If a credit calls for instalment shipments, each shipment must be in accordance with the instalment schedule.
如果信用证要求分期装运，则每期装运必须与分期装运计划一致。
　
 
六、涵盖至少两种不同运输方式的运输单据（transport documents covering at least two different modes of transport）
（一）UCP600第19条的适用（application of UCP600 article 19）
68．If a credit requires presentation of a transport document covering transportation utilizing at least two modes of transport (multimodal or combined transport document), and if the transport document clearly shows that it covers a shipment from the place of taking in charge or port, airport or place of loading to the place of final destination mentioned in the credit, UCP 600 article 19 is applicable. In such circumstances, the transport document must not indicate that shipment or dispatch has been effected by only one mode of transport, but it may be silent regarding the modes of transport utilized.
如果信用证要求提交涵盖至少两种运输方式的运输单据（多式联运单据或联合运输单据），并且运输单据明确表明其覆盖自信用证规定的货物接管地或装运港、装货机场或装货地点至最终目的地的运输，则适用UCP600第19条之规定。在此情况下，运输单据不能表明运输仅由一种运输方式完成，但就采用何种运输方式可不予说明。
 
69．In all places where the term “multimodal transport document” is used within this document, it also includes the term combined transport document. A document need not be titled “Multimodal transport document” or “Combined transport document” to be acceptable under UCP 600 article 19, even if such expressions are used in the credit.
本文件中使用的“多式联运单据”一词也包括联合运输单据。单据不一定非使用“多式联运单据”或“联合运输单据”的名称才符　合UCP600第19条的要求，即使信用证使用了上述名称。
 
（二） 全套正本（full set of originals）
70．A UCP 600 article 19 transport document must indicate the number of originals that have been issued. Transport documents marked “First Original”, “Second Original”, “Third Original”, “Original”, “Duplicate”, “Triplicate”, etc., or similar expressions are all originals. Multimodal transport documents need not be marked “original” to be acceptable under a credit. In addition to UCP 600 article 17, the ICC Banking Commission Policy Statement, document 470/871(Rev), titled “The determination of an ‘Original’ document in the context of UCP 500 sub-Article 20(b)” is recommended for further guidance on originals and copies and remains valid under UCP 600. The content of the Policy Statement appears in the Appendix of this publication, for reference purposes.
适用UCP600第19条的运输单据必须注明说出具的正本份数。注明“第一正本”、“第二正本”、“第三正本”、“正本”、“第二联“、“第三联”等类似字样的运输单据均为正本。信用证项下多式联运单据不必非要注明“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） 多式联运单据的签署（signing of multimodal transport documents）
71．Original multimodal transport documents must be signed in the form described in UCP 600 sub-article 19(a)(i) and indicate the name of the carrier, identified as the carrier.
 a).If an agent signs a multimodal transport document on behalf of the carrier, the agent must be identified as agent, and must identify on whose behalf it is signing, unless the carrier has been identified elsewhere on the multimodal transport document.
 
 b).If the master (captain) signs the multimodal transport document, the signature of the master (captain) must be identified as “master” (“captain”). In this event, the name of the master (captain) need not be stated.
c).If an agent signs the multimodal transport document on behalf of the master (captain), the agent must be identified as agent. In this event, the name of the master (captain) need not be stated.
正本多式联运单据必须按UCP600第19条a款i项规定的方式签署，并表明承运的名称及其承运人身份。
a) 如果由代理人代表承运人签署多式联运单据，则必须表明其代理人身份，并且必须表明所代理的承运人，除非多式联运单据的其　他地方已经表明了承运人。
b) 如果由船长签署多式联运单据，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多式联运单据，则必须表明其代理人身份。在此情况下，不必注明船长姓名。
 
72．If a credit states “Freight Forwarder’s Multimodal transport document is acceptable” or uses a similar phrase, then the multimodal transport document may be signed by a freight forwarder in the capacity of a freight forwarder, without the need to identify itself as carrier or agent for the named carrier. In this event, it is not necessary to show the name of the carrier.
如果信用证规定“货运代理多式联运单据可接受”或使用了类似用语，则多式联运单据可由货运代理人以货运代理人的身份签署，而无须表明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） 已装船批注（on board notation）
73．The issuance date of a multimodal transport document will be deemed to be the date of dispatch, taking in charge or shipped on board unless it bears a separate dated notation evidencing dispatch, taking in charge or shipped on board from the location required by the credit, in which event the date of the notation will be deemed to be the date of shipment whether or not the date is before or after the issuance date of the document.
多式联运单据的出具日期应视为发运、接管或装船的日期，除非单据上另有单独的注明日期的批注，表明货物已在信用证规定的地点发运、接管或装船，在此情况下，该批注日期即被视为装运日期，而不论该日期是早于还是迟于单据的出具日期。
 
　74．“Shipped in apparent good order”, “Laden on board”, “clean on board” or other phrases incorporating words such as “shipped” or “on board” have the same effect as “Shipped on board”.
“已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） 接管地、发运地、装货地和目的地（place of taking in charge,dispatch,loading on board and destination）
75．If a credit gives a geographical range for the place of taking in charge, dispatch, loading on board and destination (e.g., “Any European Port”), the multimodal transport document must indicate the actual place of taking in charge, dispatch, shipped on board and destination, which must be within the geographical area or range stated in the credit.
如果信用证规定了接管地、发运地、装货地和目的地的地理范围（如“任一欧洲港口”），则多式联运单据必须注明实际的接管地、发运地、装货地和目的地，且该地点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）
76．If a credit requires a multimodal transport document to show that the goods are consigned to a named party, e.g., “consigned to Bank X” (a “straight” consignment), rather than “to order” or “to order of Bank X”, the multimodal transport document must not contain words such as 　“to order” or “to order of” that precede the name of that named party, whether typed or pre-printed. Likewise, if a credit requires the goods to be consigned “to order” or “to order of” a named party, the multimodal transport document must not show that the goods are consigned straight to the named party.
如果信用证要求多式联运单据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银行的指示”，则多式联运单据不得在该具名人的名称前出现“凭指示”或“凭……指示”的字样，不论该字样是打印的还是预先印就的。同样，如果信用证要求多式联运单据抬头为“凭指示”或“凭某具名人指示”，则多式联运单据不得做成以该具名人为收货人的记名式抬头。
 
77．If a multimodal transport document is issued to order or to order of the shipper, it must be endorsed by the shipper. An endorsement indicating that it is made for or on behalf of the shipper is acceptable.
如果多式联运单据做成凭指示式抬头或做成凭托运人指示式抬头，则该单据必须经托运人背书。表明代表托运人所做的背书可以接　受。
 
78．If a credit does not stipulate a notify party, the respective field on the multimodal transport document may be left blank or completed in any manner.
如果信用证未规定到货被通知人，则多式联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）
79．In a multimodal transport, transhipment will occur, i.e., unloading from one means of conveyance and reloading to another means of conveyance (whether or not in different modes of transport) during the carriage from the place of dispatch, taking in charge or shipment to the place of final destination stated in the credit.
在多式联运方式下，将会发生转运，自信用证规定的发货地、接管地或装运地至最终目的地之间的运输过程中，将货物从一种运输工具上卸下，再装上另一种运输工具（不论是否为不同的运输方式。
 
80．If a credit prohibits partial shipments and more than one set of original multimodal transport documents are presented covering shipment, dispatch or taking in charge from one or more points of origin (as specifically allowed, or within the geographical area or range stated in the credit), such documents are acceptable, provided that they cover the movement of goods on the same means of conveyance and same journey and are destined for the same destination. In the event that more than one set of multimodal transport documents are presented and if they 　incorporate different dates of shipment, dispatch or taking in charge, the latest of these dates will be taken for the calculation of any presentation period and such date must fall on or before any latest date of shipment, dispatch or taking in charge specified in the credit.
如果信用证禁止分批装运，而提交的正本多式联运单据不止一套，覆盖从一个或多个始发地点（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、发运或接管，只要单据覆盖的货物运输是由同一运输工具经同一运程前往同一目的地的运输，则此类单据可以接受。如果提交了多套多式联运单据，而单据包含不同的装运、发运或接管日期，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、发运或接管的日期。
 
81．Shipment on more than one means of conveyance (more than one truck (lorry), vessel, aircraft, etc.) is a partial shipment, even if such means of conveyance leave on the same day for the same destination.
由多件运输工具（多辆卡车、多艘轮船、多架飞机等）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前往同一目的地。
 
　（八） 清洁多式联运单据（clean multimodal transport documents）
82．Clauses or notations on multimodal transport documents that expressly declare a defective condition of the goods or packaging are not acceptable. Clauses or notations that do not expressly declare a defective condition of the goods or packaging (e.g., “packaging may not be sufficient for the journey”) do not constitute a discrepancy. A statement that the packaging “is not sufficient for the journey” would not be acceptable.
载有明确声明货物或包装状况有缺陷的条款或批注的多式联运单据不可接受。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运程”）不构成不符点。声明包装“无法满足运程”的条款则不可接受。
 
83．If the word “clean” appears on a multimodal transport document and has been deleted, the multimodal transport document will not be deemed to be claused or unclean unless it specifically bears a clause or notation declaring that the goods or packaging are defective.
如果多式联运单据上显示有“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）
84．A goods description in the multimodal transport document may be shown in general terms not in conflict with that stated in the credit.
多式联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）
85．Corrections and alterations on a multimodal transport document must be authenticated. Such authentication must appear to have been made by the carrier or master (captain) or any one of their agents who may be different from the agent that may have issued or signed it, provided they are identified as an agent of the carrier or master (captain).
多式联运单据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或船长或其任一代理人所为。该代理人可以与出具或签署多式联运单据的代理人不同，只要表明其作为承运人或船长的代理人身份。
 
　86．Non-negotiable copies of multimodal transport documents do not need to include any signature on, or authentication of, any alterations or corrections that may have been made on the original.
对于正本多式联运单据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）
87．If a credit requires that a multimodal transport document show that freight has been paid or is payable at destination, the multimodal transport document must be marked accordingly.
如果信用证要求多式联运单据注明运费已付或到目的地支付，则多式联运单据必须由相应标注。
 
88．Applicants and issuing banks should be specific in stating the requirements of documents to show whether freight is to be prepaid or collected.
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。
　
89．If a credit states that costs additional to freight are not acceptable, a multimodal transport document must not indicate that costs additional to the freight have been or will be incurred. Such indication may be by express reference to additional costs or by the use of shipment terms which refer to costs associated with the loading or unloading of goods, such as Free In (FI), Free Out (FO), Free In and Out (FIO) and Free In and Out Stowed (FIOS). A reference in the transport document to costs which may be levied as a result of a delay in unloading the goods or after the goods have been unloaded e.g., costs covering the late return of containers, is not considered to be an indication of additional costs in this context.
如果信用证规定运费之外的额外费用不可接受，则多式联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，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） 由多套多式联运单据涵盖的货物（goods covered by more than one multimodal transport document）
90．If a multimodal transport document states that the goods in a container are covered by that multimodal transport document plus one or more other multimodal transport documents, and the document states that all multimodal transport documents must be surrendered or words of similar effect, this means that all multimodal transport documents related to that container must be presented in order for the container to be released. Such a multimodal transport document is not acceptable unless all the multimodal transport documents form part of the same presentation under the same credit.
如果多式联运单据声明某一集装箱内的货物由该运输单据和另外一套或多套多式联运单据一起涵盖，并声明所有多式联运单据均须　提交，或有类似表述，则意味着该集装箱有关的所有多式联运单据必须一并提交后才能领取该集装箱的货物。此类多式联运单据不可接受，除非同一信用证项下的所有此类多式联运单据在同一交单时一并提交。