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Nguyn Hu c1 ISBP 745 (Tp qun Ngn hng Tiu chun Quc t v Kim tra Chng t theo L/C) c y ban Ngn hng ICC (ICC) thng qua ti Lisbon (B o Nha) vo ngy 17/4/2013, d kin s chnh thc pht hnh v c hiu lc p dng trong thng 6/2013. Hu ht ni dung ca ISBP 745 ph hp vi cc kin chnh thc m ICC tng tr li cc vng mc lin quan n UCP 600. Tuy nhin, n bn mi ny c mt s ni dung hng dn lin quan n UCP 600 iu 19 (Chng t vn ti a phng thc), iu 20 (Vn n ng bin), iu 28 (Chng t bo him) v iu 32 (Thanh ton hoc giao hng nhiu ln theo nh k) hon ton ngc li vi mt s kin tr li trc y ca ICC, c th l, cc kin R751 (TA735rev), R766 (TA709rev) v R313. Chc chn khi ISBP 745 chnh thc c hiu lc p dng, ICC cng s thng bo rt li cc kin nu. Nhm gip cc bn c l nhng ngi thc hnh tn dng chng t (LC) cp nht thng tin trnh nhng sai st khng ng c khi kim tra chng t xut trnh theo LC, ngi vit bi ny xin c trnh by chi tit cc vn . CHNG T VN TI A PHNG THC HAY VN N NG BIN? IU 19 HAY IU 20 UCP 600? Vn ny lin quan n s khc nhau gia kin R751 (TA735rev) v cc on D1(c) v E1(a) ISBP 745. Trong cun ICC Banking Commission Opinions 2009 - 2011, n bn s 732, ti kin R751 (TA735rev) ICC tr li cc cu hi lin quan n tnh hung sau: - LC pht hnh th hin thng tin: + 44A: South Korea + 44E: Any port in Korea + 44F: Peru Callao Port + 44B: Lima - Chng t yu cu xut trnh: Clean on board ocean BL - Chng t vn ti xut trnh th hin: + Place of Receipt: ( trng) + Port of Loading: Ulsan, Korea + Port of Discharge: Peru Callao Port + Final Destination: Lima - Cu hi: 1) Cn c theo yu cu ca LC, th chng t vn ti xut trnh l chng t vn ti a phng thc hay vn n ng bin? 2) iu 19 hay iu 20 UCP 600 c s dng kim tra chng t? 3) Trng hp LC yu cu l chng t vn ti a phng thc, th c th chp nhn vn n ng bin c xut trnh th hin cc thng tin nu trn? ICC phn tch v tr li nh sau: V rng, l trnh ca vic giao hng c th hin cc trng 44A, E, F v B, l ra LC nn yu cu xut trnh mt chng t vn ti a phng thc (c thit k s dng khi c t nht hai phng thc vn ti tham gia), ch khng nn yu cu mt vn n ng bin (giao hng t cng n cng). Mc d, ngi th hng xut trnh mt chng t c tiu l Vn n ng bin (Ocean Bill of Lading) nhng n th hin vic giao hng t cng Ulsan (South Korea) n Lima, do vy, chng t vn ti phi c kim tra theo iu 20.
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T , ICC tr li 3 cu hi trn nh sau: 1) Mt chng t, d c gi tn nh th no (however named), u c chp nhn nu tha mn cc iu kin ca LC. 2) p dng iu 20. 3) Chp nhn. C th hiu t kin tr li ca ICC rng, nu l trnh giao hng th hin cc trng 44A, E, F hoc B, th LC nn yu cu xut trnh chng t vn ti a phng thc, ch khng phi vn n ng bin. Mt chng t, d c gi tn nh th no (however named), s c chp nhn nu p ng c cc yu cu ca LC. Theo , nu LC yu cu xut trnh chng t vn ti a phng thc, th c th chp nhn mt vn n ng bin th hin thng tin giao hng ph hp vi quy nh ca LC, v iu 20 UCP 600 s c p dng kim tra chng t. Tuy nhin, hng dn ca ISBP 745 ti cc on D1 (c) v E1 (a) cho thy iu ngc li. on D1 (c) ISBP 745 hng dn v vic p dng iu 19 UCP 600 nh sau: Khi LC yu cu xut trnh mt chng t vn ti khc vi chng t vn ti a phng thc, v th hin l trnh hng ha nu trong LC s s dng nhiu hn mt phng thc vn ti, v d, khi ni nhn hng hoc ni n cui cng trong ni a c th hin, hoc trng cng bc hng hoc d hng c ghi nhng thc t l mt ni trong ni a ch khng phi l mt cng, th iu 19 UCP 600 c s dng kim tra chng t . ( When a credit requires the presentation of a transport document other than a multimodal or combined transport document, and it is clear from the routing of the goods stated in the credit that more than one mode of transport is to be utilized, for example, when an inland place of receipt or final destination are indicated, or the port of loading or discharge field is completed but with a place which is in fact an inland place and not a port, UCP 600 Article 19 is to be applied in the examination of that document). Nh vy c th kt lun, theo on D1 (c) trn y, khi LC yu cu xut trnh mt vn n ng bin nhng th hin l trnh vn ti a phng thc - th chng t xut trnh phi c kim tra theo iu 19 UCP 600 (Chng t vn ti a phng thc, ch khng phi theo iu 20 UCP 200 (Vn n ng bin) nh ICC tr li ti kin R751. Ph hp vi logic nu trn, on E1 (a) ISBP 745 quy nh v trng hp p dng iu 20 UCP 600 (Vn n ng bin) nh sau: Trng hp LC yu cu xut trnh mt chng t vn ti, d c gi tn nh th no, th hin ch giao hng t cng n cng, tc l, LC khng c dn chiu no lin quan n ni nhn hng, nhn xp hoc ni n cui cng, th iu 20 UCP 600 c p dng kim tra chng t ( A requirement in a credit for presentation of a transport document, however named, only covering port-toport shipment, i.e., a credit contains no reference to a place of receipt, taking in charge or place of final destination means that UCP 600 Article 20 is to be applied in the examination of that document ). Vic ISBP 745 a ra hng dn khc vi kin R751 thc t xut pht t vn bn hng dn ngy 22/4/2010 ca ICC v xut lin quan n cc yu cu i vi mt ghi ch bc hng ln tu ( ICC Document No.470/1128rev final 22 April 2010: Recommendations of the Banking Commission in respect of the requirements for an On board Notation ). Lin quan n vn ny, ngi vit cng c bi Tuyn b thc hnh ca ICC v ghi ch xp hng ln tu ng trn Tp ch Ngn hng s 7 (4/2010). Vn bn ny c nu ni dung nh sau: Cc chng t vn ti phi c kim tra theo iu (ca UCP 600) p dng i vi cc iu kin nu trong LC. Nhng iu kin ny bao gm: loi chng t s c xut trnh v chi tit lin quan n vic giao hng ha, v d, nhng chi tit th hin cc trng 44A, E, F hoc B ca MT 700, 710 hoc 720. Cc chng t vn ti khng c kim tra theo iu p dng i vi loi chng t c xut trnh (Transport documents must be examined under the article that is applicable to the conditions stated in the credit. These conditions include: the type of document that is to be presented and the details given with respect to the shipment of the goods e.g., those shown in fields 44A, E, F or B of the MT700, 710 or

720. Transport documents are not examined under the article applicable to the type of document that has been presented). kt lun vn ny, ngi vit mun lu bn c rng, l trnh hng ha c ngha rt quan trng trong vic xc nh p dng iu no ca UCP 600 kim tra chng t vn ti. Nu LC yu cu l trnh a phng thc, tc l, th hin t nht 3 trng bt k trong cc trng 44A, E, F hoc B, th LC nn yu cu xut trnh chng t vn ti a phng thc v iu 19 UCP 600 (ch khng phi iu 20) s p dng kim tra. iu 19 UCP 600 cng c s dng kim tra chng t ngay c khi LC yu cu xut trnh vn n ng bin nhng yu cu l trnh giao hng a phng thc, tc l, th hin t nht 3 trng bt k trong cc trng 44A, E, F hoc B. ICC s rt li kin R751 khi ISBP 745 chnh thc c hiu lc p dng. NGY CA CHNG T BO HIM Vn ny lin quan n s khc nhau gia kin R766 (TA709rev) v on K10(c) ISBP 745. iu 28 (e) UCP 600 quy nh: Ngy ca chng t bo him khng c mun hn ngy giao hng, tr phi chng t bo him c ghi rng bo him c hiu lc k t ngy khng mun hn ngy giao hng (The date of the insurance document must be no later than the date of shipment, unless it appears from the insurance document that the cover is effective from a date not later than the date of shipment ). Ti kin R766, ICC tr li cu hi liu c th chp nhn mt chng t bo him ngy pht hnh mun hn ngy giao hng nhng c ghi r rng bo him t kho n kho (from warehouse to warehouse) v khng th hin ngy bo him c hiu lc hay khng. Sau khi phn tch, ICC kt lun nh sau: Mt chng t bo him ngy mun hn ngy giao hng, nhng th hin r rng trn chng t, bng cch ghi ch thm, bo him c thc hin trn c s t kho n kho hoc bng t ng c hiu lc tng t, th c th chp nhn ( An insurance document that is dated later than the date of shipment, but clearly indicates on the document, by addition or note, coverage effected on a warehouse to warehouse basis or words of similar effect, is acceptable ). Ni theo cch khc, theo kin R766, mt chng t bo him th hin bo him c thc hin trn c s t kho n kho l c th chp nhn ngay c khi n ghi ngy mun hn giao hng. Trong qu trnh sa i ISBP, ICC tranh th kin ca ngnh bo him v vn ny v c tr li rng, vic a thm iu khon qu cnh (transit clause) khng lm li ngy bt u bo him, v d, nu hng ha ri kho vo ngy 1/9 v c giao ln tu vo ngy 3/9, chng t bo him bo him iu kin A pht hnh vo ngy 4/9 s khng c gi tr bo him li n ngy 1/9 tr khi cc quy nh khc cho thy nh nh th. V l do , on K10(c) ISBP 745 nay hng dn li nh sau: Mt chng t bo him th hin bo him c thc hin t kho n kho hoc bng t ng c hiu lc tng t, v c ngy sau ngy giao hng, khng th hin rng bo him c hiu lc t ngy khng mun hn ngy giao hng (An insurance document that indicates coverage has been effected from warehouse-to-warehouse or words of similar effect, and is dated after the date of shipment, does not indicate that coverage was effective from a date not later than the date of shipment ). Nh vy, c th kt lun rng, theo ISBP 745, bo him ngy mun hn ngy giao hng l khng c chp nhn ngay c khi n c ghi rng bo him c thc hin trn c s t kho n kho. D nhin, cng phi hiu rng, nu bo him c ghi ngy bo him c hiu lc v ngy khng mun hn ngy giao hng th bo him c chp nhn. ICC cng s sm rt li kin R766 (TA709rev) khi ISBP 745 chnh thc c hiu lc. THANH TON HOC GIAO HNG NHIU LN THEO NH K Vn ny lin quan n kin R313 v on C15 ISBP 745. iu 32 UCP 600 quy nh: Nu thanh ton hoc giao hng bng nhiu ln theo cc nh k v bt k ln thanh ton hoc giao hng no khng c thc hin trong thi gian cho php ca nh k ,

th LC khng c gi tr thanh ton cho ln v bt k ln thanh ton no tip theo sau ( If a drawing or shipment by instalments within given periods is stipulated in the credit and any instalment is not drawn or shipped within the period allowed for that instalment, the credit ceases to be available for that and any subsequent instalment). Tht kh din gii cho ng cm t thanh ton hoc giao hng bng nhiu ln theo cc nh k (a drawing or shipment by instalments within given periods). kin R313 tr li cc tnh hung giao hng c LC quy nh nh sau: - 10,000kgs latest on 31 Oct. 1997 (chm nht vo ngy 31/10/1997) - 10,000kgs latest on 30 Nov. 1997 (chm nht vo ngy 30/11/1997) - 10,000kgs latest on 31 Dec. 1997 (chm nht vo ngy 31/12/1997) Cu hi t ra l, cch ghi mt lot cc ngy giao hng chm nht nh trn c c xem l giao hng theo cc nh k hay khng. ICC tr li ti kin R313 xc nhn ng l nh th. Tuy nhin, nay ISBP 745 on C15(b) gii thch hon ton khc. Theo , khi LC th hin lch trnh thanh ton hoc giao hng bng cch ch th hin mt s ngy chm nht, ch khng phi l cc nh k (nh c tham chiu on C15(a)(i) th y khng phi l lch trnh nh k ng vi nh ca UCP 600, v iu 32 s khng p dng (When a credit indicates a drawing or shipment schedule by only indicating a number of latest dates, and not given periods (as referred to in paragraph C15 (a) (i)) [] this is not an instalment schedule as envisaged by UCP 600, and article 32 will not apply ). Nh vy, by gi c th hiu rng, giao hng theo cc nh k l mt trnh t ngy thng hoc cc mc thi gian xc nh ngy bt u v kt thc cho tng nh k. V d, LC yu cu giao hng (phn Urea) nh sau: - 10.000 MT in May 2013 - 10.000 MT in June 2013 Thi gian giao hng quy nh nh trn c xem l hai nh k bt u t ngy ngy 1/5 v 1/6 v kt thc tng ng vo ngy 31/5 v 30/6. Trong trng hp ny, iu 32 UCP 600 c p dng. Tuy nhin, cn lu rng nu thi hn giao hng c quy nh bng mt lot cc ngy mun nht, tc l, ch quy nh ngy kt thc, th khng c xem l giao hng theo nh k. Trong trng hp ny, iu 32 khng p dng. KT LUN Hu ht ni dung ca ISBP 745 ph hp vi cc kin chnh thc m ICC tng tr li cc vng mc lin quan vic kim tra chng t xut trnh theo UCP 600. Tuy nhin, ISBP 745 vn c mt s ni dung hng dn, nh trnh by trn y, ngc li vi mt s kin tr li chnh thc ca ICC v c gi tr thay th cc kin . Chc chn ICC s c thng thng bo rt cc kin tri vi ISBP 745 khi ISBP 745 chnh thc c pht hnh v c hiu lc p dng d kin trong thng 6/2013. Ngi vit hi vng nhng lu ny c th gip nhng ngi thc hnh kim tra chng t cp nht thng tin trnh nhng sai st khng ng c khi kim tra chng t xut trnh theo LC. TI LIU THAM KHO: Kim Sindberg, Overturned ICC Opinions https://www.facebook.com/pages/Kim.../226292130786403 - ISBP Final Draft Text (publication No. 745) - ICC Document No.470/1128rev final (22 April 2010): Recommendations of the Banking Commission in respect of the requirements for an On board Notation - Official ICC Opinions 1998-1999 - Official ICC Opinions 2009-2011 - Nguyn Hu c, Tuyn b thc hnh ca ICC v ghi ch xp hng ln tu,TCNH s 7 (4/2010).