Status of UNCITRAL Conventions and Model Laws

May 2005

I. Participation in UNCITRAL Conventions

Comment

This is document has been updated from the May 2005 version of the UNCITRAL text, found at ‹http://www.uncitral.org/english/status/status-e.htm› Which starts with the following note:

1. The present note sets forth the status of the conventions and model laws emanating from the work of the [UNCITRAL] Commission. It also shows the status of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York, 1958), which, although adopted prior to the establishment of the Commission, is closely related to the work of the Commission in the area of international commercial arbitration.

2. For more authoritative status information or other treaty law matters, such as territorial application, please contact the Secretariat unit which discharges the depositary functions of the Secretary-General in respect of multilateral treaties: Treaty Section, Office of Legal Affairs, United Nations Headquarters ( ‹http://untreaty.un.org› ) (tel.: 212-963-5472, fax: 212-963-3693).

3. The following texts are covered in this list (note that the term "action" hereinafter is used generically to denote an instrument of ratification, approval, acceptance or accession, which has been deposited in respect of a treaty, or a participation in a treaty as a result of an action to a related treaty):

1. Convention on the Limitation Period in the International Sale of Goods, concluded at New York on 14 June 1974, as amended by the Protocol of 11 April 1980

2. [Unamended] Convention on the Limitation Period in the International Sale of Goods (New York, 1974) +/

3. United Nations Convention on the Carriage of Goods by Sea, 1978 (Hamburg)

4. United Nations Convention on Contracts for the International Sale of Goods (Vienna, 1980)

5. United Nations Convention on International Bills of Exchange and International Promissory Notes (New York, 1988)

6. United Nations Convention on the Liability of Operators of Transport Terminals in International Trade (Vienna, 1991)

7. United Nations Convention on Independent Guarantees and Stand-by Letters of Credit (New York, 1995)

8. United Nations Convention on the Assignment of Receivables in International Trade (New York, 2001)

9. Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York, 1958)

10. UNCITRAL Model Law on International Commercial Arbitration (1985)

11. UNCITRAL Model Law on International Credit Transfers (1992)

12. UNCITRAL Model Law on Procurement of Goods, Construction and Services (1994)

13. UNCITRAL Model Law on Electronic Commerce (1996)

14. UNCITRAL Model Law on Cross-Border Insolvency (1997)

15. UNCITRAL Model Law on Electronic Signatures (2001)

1. Convention on the Limitation Period in the International Sale of Goods, concluded at New York on 14 June 1974, as amended by the Protocol of 11 April 1980

Parties: 18

*/ In accordance with its article VIII (1), the Protocol is open for accession by all States.

In accordance with article VIII (2) of the Protocol, accession to the Protocol by any State which is not a Contracting Party to the unamended Convention, shall have the effect of accession to the amended Convention, subject to the provisions of article XI of the Protocol.

In accordance with article X of the Protocol, ratification of or accession to the unamended Convention after the entry into force of the Protocol shall also constitute a ratification of or accession to the amended Convention if the State notifies the depositary accordingly.

**/ For information on which States listed above are Parties to the 1980 amending Protocol contact the Treaty Section, which performs the functions of the depositary in respect of the Protocol (see paragraph 2 above).

1/ The German Democratic Republic was a participant by virtue of its accession on 31 August 1989 to the Protocol of 11 April 1980.

2/ Czechoslovakia was a participant to the Convention and the Protocol by virtue of its accession to the Protocol on 5 March 1990.

N.B. The text of the Convention, as amended, has been established by the Secretary-General, as provided for by article XIV of the Protocol.

Declarations and reservations

2/ 3/ Upon accession, Czechoslovakia and the United States of America declared that, pursuant to article XII, they did not consider themselves bound by article I.

2. [Unamended] Convention on the Limitation Period in the International Sale of Goods (New York, 1974)

Parties: 25

+/ The Convention was concluded in equally authentic Chinese, English, French, Russian and Spanish texts. On 11 August 1992, the Secretary-General, in accordance with a request of the United Nations Commission on International Trade Law, circulated a proposal for the adoption of an authentic Arabic text of the Convention. No objections having been raised, the Arabic text was deemed adopted on 9 November 1992 with the same status as that of the other authentic texts referred to in the Convention.

**/ In accordance with article XI of the Protocol, the Contracting Parties to the amended Convention are considered to be also Contracting Parties to the unamended Convention in relation to any Contracting Party to the unamended Convention not yet a Contracting Party to the 1980 Protocol, unless the depositary is notified to the contrary.

a/ The Convention had been signed by the former German Democratic Republic on 14 June 1974, ratified by it on 31 August 1989 and entered into force on 1 March 1990.

b/ The Convention was signed by the former Czechoslovakia on 29 August 1975 and an instrument of ratification was deposited on 26 May 1977, with the Convention entering into force for the former Czechoslovakia on 1 August 1988. On 28 May 1993 Slovakia, and on 30 September 1993 the Czech Republic, deposited instruments of succession with effect from 1 January 1993, the date of succession of States.

c/ The Russian Federation continues, as from 24 December 1991, the membership of the former Union of Soviet Socialist Republics (USSR) in the United Nations and maintains, as from that date, full responsibility for all the rights and obligations of the USSR under the Charter of the United Nations and multilateral treaties deposited with the Secretary-General.

d/ The former Yugoslavia had acceded to the Convention on 27 November 1978. Reference C.N.253.2001.TREATIES-1 (Depositary Notification) regarding Yugoslavia: Succession, states: "The Secretary-General of the United Nations, acting in his capacity as depositary, communicates the following: The above action was effected on 12 March 2001. The Convention became effective for Yugoslavia on 27 April 1992, the date of State succession."

Declarations and reservations

1/ Upon signature, Norway declared, and confirmed upon ratification, that in accordance with article 34 the Convention would not govern contracts of sale where the seller and the buyer both had their relevant places of business within the territories of the Nordic States (i.e. Norway, Denmark, Finland, Iceland and Sweden).

3. United Nations Convention on the Carriage of Goods by Sea, 1978 (Hamburg)

Parties: 29

a/ The Convention was signed by the former Czechoslovakia on 6 March 1979. 1/ On 28 May 1993, Slovakia and on 2 June 1993, the Czech Republic deposited their instruments of succession to the signature and the Czech Republic deposited its instrument of ratification on 23 June 1995. The Czech Republic, upon ratification, withdrew the declaration, referred to in footnote 1/, that had been made by the former Czechoslovakia.

Declarations and reservations

1/ Upon signing the Convention, the former Czechoslovakia declared in accordance with article 26 the formula for converting the amounts of liability referred to in paragraph 2 of that article into the Czechoslovak currency and the amount of the limits of liability to be applied in the territory of Czechoslovakia as expressed in the Czechoslovak currency.

4. United Nations Convention on Contracts for the International Sale of Goods (Vienna, 1980)

Parties: 65

a/ The Convention was signed by the former Czechoslovakia on 1 September 1981 and an instrument of ratification was deposited on 5 March 1990, with the Convention entering into force for the former Czechoslovakia on 1 April 1991. 7/ On 28 May 1993 Slovakia, and on 30 September 1993 the Czech Republic, deposited instruments of succession, with effect from 1 January 1993, the date of succession of States.

b/ The Convention was signed by the former German Democratic Republic on 13 August 1981, ratified on 23 February 1989 and entered into force on 1 March 1990.

c/ The Russian Federation continues, as from 24 December 1991, the membership of the former Union of Soviet Socialist Republics (USSR) in the United Nations and maintains, as from that date, full responsibility for all the rights and obligations of the USSR under the Charter of the United Nations and multilateral treaties deposited with the Secretary-General.

d/ The former Yugoslavia had signed and ratified the Convention on 11 April 1980 and 27 March 1985, respectively. Reference C.N.254.2001.TREATIES-1 (Depositary Notification) regarding Yugoslavia: Succession, states: "The Secratary-General of the United Nations, acting his capacity as a depositary, communicates the following: The above action was effected on 12 March 2001. The Convention became effective for Yugoslavia on 27 April 1992, the date of State succession."

Declarations and reservations

1/ Upon ratifying, or acceding to, the Convention, Argentina, Belarus, Chile, Estonia, Hungary, Latvia, Lithuania, Ukraine and USSR declared, in accordance with articles 12 and 96 of the Convention, that any provision of article 11, article 29 or Part II of the Convention that allows a contract of sale or its modification or termination by agreement or any offer, acceptance or other indication of intention to be made in any form other than in writing, would not apply where any party had his place of business in their respective States.

2/ Upon accession, Canada declared that, in accordance with article 93 of the Convention, the Convention will extend to Alberta, British Columbia, Manitoba, New Brunswick, Newfoundland and Labrador, Nova Scotia, Ontario, Prince Edward Island and the Northwest Territories.(Upon accession, Canada declared that, in accordance with article 95 of the Convention, with respect to British Columbia, it will not be bound by article 1(1)(b) of the Convention. In a notification received on 31 July 1992, Canada withdrew that declaration.) In a declaration received on 9 April 1992, Canada extended the application of the Convention to Quebec and Saskatchewan. In a notification received on 29 June 1992, Canada extended the application of the Convention to Yukon Territory. In a notification received on 18 June 2003, Canada extended the application of the Convention to the Territory of Nunavut.

3/ Upon approving the Convention, the People's Republic of China declared that it did not consider itself bound by sub-paragraph (b) of paragraph (1) of article 1 and article 11 as well as the provisions in the Convention relating to the content of article 11.

4/ Upon ratifying the Convention, Denmark, Finland, Norway and Sweden declared in accordance with article 92(1) that they would not be bound by Part II of the Convention (Formation of the Contract). Upon ratifying the Convention, Denmark, Finland, Norway and Sweden declared, pursuant to article 94(1) and 94(2), that the Convention would not apply to contracts of sale where the parties have their places of business in Denmark, Finland, Sweden, Iceland or Norway.

5/ Upon ratifying the Convention, Germany declared that it would not apply article 1(1)(b) in respect of any State that had made a declaration that that State would not apply article 1(1)(b).

6/ Upon ratifying the Convention, Hungary declared that it considered the General Conditions of Delivery of Goods between Organizations of the Member Countries of the Council for Mutual Economic Assistance to be subject to the provisions of article 90 of the Convention.

7/ Upon ratifying the Convention, Czechoslovakia, Singapore and the United States of America declared that they would not be bound by paragraph (1)(b) of article 1.

8/ Upon succeeding to the Convention, the Republic of Croatia has decided, on the basis of the Constitutional Decision on Sovereignty and Independence of the Republic of Croatia of 25 June 1991, and the Decision of the Croatian Parliament of 8 October 1991, and by virtue of succession of the Socialist Federal Republic of Yugoslavia in respect of the territory of the Republic of Croatia, to be considered a party to the Convention with effect as from 8 October 1991, the date on which the Republic of Croatia severed all constitutional and legal connections with the Socialist Federal Republic of Yugoslavia and took over its international obligations.

5. United Nations Convention on International Bills of Exchange and International Promissory Notes (New York, 1988)

Signatures only: 3; ratifications and accessions: 4

(10 ACTIONS ARE REQUIRED FOR ENTRY INTO FORCE)

a/ The Russian Federation continues, as from 24 December 1991, the membership of the former Union of Soviet Socialist Republics (USSR) in the United Nations and maintains, as from that date, full responsibility for all the rights and obligations of the USSR under the Charter of the United Nations and multilateral treaties deposited with the Secretary-General.

6. United Nations Convention on the Liability of Operators of Transport Terminals in International Trade (Vienna, 1991)

Signatures only: 5; ratifications and accessions: 3

(5 ACTIONS ARE REQUIRED FOR ENTRY INTO FORCE)

7. United Nations Convention on Independent Guarantees and Stand-by Letters of Credit (New York, 1995)

Parties: 6

8. United Nations Convention on the Assignment of Receivables in International Trade (New York 2001)

(5 ACTIONS ARE REQUIRED FOR ENTRY INTO FORCE)

9. United Nations Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York, 1958)

Parties: 141

(a) Declarations and reservations (excludes territorial declarations and certain other reservations and declarations of a political nature). This State will apply the Convention only to recognition and enforcement of awards made in the territory of another contracting State.

(b) Declarations and reservations (excludes territorial declarations and certain other reservations and declarations of a political nature). This State will apply the Convention only to differences arising out of legal relationships, whether contractual or not, that are considered commercial under the national law.

(c) Accession.

(d) Declarations and reservations (excludes territorial declarations and certain other reservations and declarations of a political nature). Argentina declared that the Convention should be construed in accordance with the principles and rules of the National Constitution in force or with those resulting from reforms mandated by the Constitution.

(e) Declarations and reservations (excludes territorial declarations and certain other reservations and declarations of a political nature).With regard to awards made in the territory of non-contracting States, this State will apply the Convention only to the extent to which those States grant reciprocal treatment.

(f) The date of effect of the succession is as follows: for Bosnia and Herzegovina, 6 March 1992; for Croatia, 8 October 1991; for the Czech Republic, 1 January 1993; for Djibouti, 27 June 1977; for Slovakia, 1 January 1993; for Slovenia, 25 June 1991; and for the former Yugoslav Republic of Macedonia, 17 September 1991.

(g) Declarations and reservations (excludes territorial declarations and certain other reservations and declarations of a political nature). This State will apply the Convention only to those arbitral awards which were adopted after the entry into effect of the Convention.

(h) Succession.

(i) Declarations and reservations (excludes territorial declarations and certain other reservations and declarations of a political nature). Canada declared that it would apply the Convention only to differences arising out of legal relationships, whether contractual or not, that were considered commercial under the laws of Canada, except in the case of the Province of Quebec where the law did not provide for such limitation.

(j) The former Czechoslovakia signed the Convention on 3 October 1958 and deposited an instrument of ratification on 10 July 1959. On 28 May and 30 September 1993, respectively, Slovakia and the Czech Republic deposited instruments of succession.

(k) The former German Democratic Republic acceded to the Convention on 20 February 1975 with the reservations mentioned in footnotes (a), (b), (e).

(l) On 31 August 1998, Germany withdrew the reservation made upon ratification mentioned in footnote (a).

(m) The Convention only applies with regard to Malta with respect to arbitration agreements concluded after the date of Malta's accession to the Convention.

(n) Declarations and reservations (excludes territorial declarations and certain other reservations and declarations of a political nature). This State will not apply the Convention to differences where the subject matter of the proceedings is immovable property situated in the State, or a right in or to such property.

(o) Upon resumption of sovereignty over Hong Kong on 1 July 1997, the Government of China extended the territorial application of the Convention to Hong Kong, Special Administrative Region of China, subject to the statement originally made by China upon accession to the Convention. On 19 July 2005, China declared that the Convention shall apply to the Macao Special Administrative Region of China, subject to the statement originally made by China upon accession to the Convention.

(p) The Russian Federation continues, as from 24 December 1991, the membership of the former Union of Soviet Socialist Republics (USSR) in the United Nations and maintains, as from that date, full responsibility for all the rights and obligations of the USSR under the Charter of the United Nations and the multilateral treaties deposited with the Secretary-General.

(q) The former Yugoslavia acceded to the Convention on 26 February 1982. On 12 March 2001, the Secretary-General received from the Government of Yugoslavia a notification of succession, confirming the declaration dated 28 June 1982 by the Socialist Federal Republic of Yugoslavia (see footnotes (a), (b) and (g) above).

(r) Declarations and reservations (excludes territorial declarations and certain other reservations and declarations of a political nature). On 23 April 1993, Switzerland notified the Secretary-General of its decision to withdraw the reciprocity declaration it had made upon ratification.

(s) Viet Nam declared that interpretation of the Convention before the Vietnamese Courts or competent authorities should be made in accordance with the Constitution and the law of Viet Nam.

See UNCITRAL source document }http://www.uncitral.org/uncitral/en/uncitral_texts/arbitration/NYConvention_status.html   ² 

Declarations and reservations

(Excludes territorial declarations and certain other reservations and declarations of a political nature)

1/ State will apply the Convention only to recognition and enforcement of awards made in the territory of another Contracting State.

2/ State will apply the Convention only to differences arising out of legal relationships whether contractual or not which are considered as commercial under the national law.

3/ With regard to awards made in the territory of non-contracting States, State will apply the Convention only to the extent to which these States grant reciprocal treatment.

4/ Canada declared that it will apply the Convention only to differences arising out of legal relationships, whether contractual or not, which are considered as commercial under the laws of Canada, except in the case of the Province of Quebec where the law does not provide for such limitation.

5/ State will not apply the Convention to differences where the subject matter of the proceedings is immovable property situated in the State, or a right in or to such property.

6/ State will apply the Convention only to those arbitral awards which were adopted after the coming of the Convention into effect.

7/ Argentina declared that the present Convention should be construed in accordance with the principles and rules of the National Constitution in force or with those resulting from reforms mandated by the Constitution.

8/ On 23 April 1993, Switzerland notified the Secretary-General of its decision to withdraw the reciprocity declaration it had made upon ratification.

9/ Viet Nam declared that interpretation of the Convention before the Vietnamese Courts or competent Authorities should be made in accordance with the Constitution and the law of Viet Nam.

10/ The date of effect of the succession is as follows: for Bosnia and Herzegovina, 6 March 1992; for Croatia, 8 October 1991; for Czech Republic, 1 January 1993; for Djibouti, 27 June 1977; for Slovakia, 1 January 1993; for Slovenia, 25 June 1991; and for The former Yugoslav Republic of Macedonia, 17 September 1991.

11/ On 31 August 1998, Germany withdrew the reservation made upon ratification mentioned in footnote 1.

12/ The Convention only applies in regard to Malta with respect to arbitration agreements concluded after the date of Malta's accession to the Convention.

13/ Reference C.N.290.2001.TREATIES-2 (Depositary Notification) regarding Yugoslavia: Succession, states: "The Secretary-General of the United Nations, acting in his capacity as depositary, communicates the following: The above action was effected on 12 March 2001, with confirmation of the reservations made by the Socialist Federal Republic of Yugoslavia upon accession to the above Convention, which read as follows: Reservations (Original: English) "1. The Convention is applied in regard to the Socialist Federal Republic of Yugoslavia only to those arbitral awards which were adopted after the coming of the Convention into effect. 2. The Socialist Federal Republic of Yugoslavia will apply the Convention on a reciprocal basis only to those arbitral awards which were adopted on the territory of the other State Party to the Convention. 3. The Socialist Federal Republic of Yugoslavia will apply the Convention [only] with respect to disputes arising from the legal relations, contractual and non-contractual, which, according to its national legislation are considered as economic." The Convention became effective for Yugoslavia on 27 April 1992, the date of State succession." (see e/ above)

II. Enactments of UNCITRAL Model Laws

10. UNCITRAL Model Law on International Commercial Arbitration (1985)

Legislation based on the UNCITRAL Model Law on International Commercial Arbitration has been enacted in:

11. UNCITRAL Model Law on International Credit Transfers (1992)

A directive of the European Parliament and of the Council of the European Union based on the principles of the UNCITRAL Model Law on International Credit Transfers was issued on 27 January 1997.

12. UNCITRAL Model Law on Procurement of Goods, Construction and Services (1994)

Legislation based on the UNCITRAL Model Law on Procurement of Goods, Construction and Services have been adopted in:

Albania

Azerbaijan

Croatia

Estonia

Kazakhstan

Kenya

Kyrgyzstan

Malawi

Mauritius

Moldova

Mongolia

Poland

Romania

Slovakia

Tanzania

The Gambia

Uganda

Uzbekistan

13. UNCITRAL Model Law on Electronic Commerce (1996)

Legislation based on the UNCITRAL Model Law on Electronic Commerce has been enacted in:

The Model Law has also been adopted in the Bailiwick of Guernsey (2000), the Bailiwick of Jersey (2000) and the Isle of Man (2000), all Crown Dependencies of the United Kingdom of Great Britain and Northern Ireland; in Bermuda (1999), Cayman Islands (2000), and the Turks and Caicos Islands (2000), overseas territories of the United Kingdom of Great Britain and Northern Ireland; and in the Hong Kong Special Administrative Region of China (2000).

Uniform legislation influenced by the Model Law and the principles on which it is based has been prepared in the United States (Uniform Electronic Transactions Act, adopted in 1999 by the National Conference of Commissioners on Uniform State Law) and enacted by the States of Alabama (2001), Arizona (2000), Arkansas (2001), California (1999), Colorado (2002), Connecticut (2002), Delaware (2000), Florida (2000), Hawaii (2000), Idaho (2000), Indiana (2000), Iowa (2000), Kansas (2000), Kentucky (2000), Louisiana (2001), Maine (2000), Maryland (2000), Michigan (2000), Minnesota (2000), Mississippi (2001), Missouri (2003), Montana (2001), Nebraska (2000), Nevada (2001), New Hampshire (2001), New Jersey (2000), New Mexico (2001), North Carolina (2000), North Dakota (2001), Ohio (2000), Oklahoma (2000), Oregon (2001), Pennsylvania (1999), Rhode Island (2000), South Dakota (2000), Tennessee (2001), Texas (2001), Utah (2000), Vermont (2003), Virginia (2000), West Virginia (2001), Wyoming (2001) and the District of Columbia (2001). The State of Illinois had already enacted the Model Law in 1998.

Uniform legislation influenced by the Model Law and the principles on which it is based has also been prepared in Canada (Uniform Electronic Commerce Act, adopted in 1999 by the Uniform Law Conference of Canada) and enacted in a number of Provinces and Territories, including British Columbia (2001), Manitoba (2000), New Brunswick (2001), Newfoundland and Labrador (2001), Nova Scotia (2000), Ontario (2001), Prince Edward Island (2001), Saskatchewan (2000) and Yukon (2000). Legislation influenced by the Model Law and the principles on which it is based has also been adopted in the Province of Quebec (2001).

* Except for the provisions on certification and electronic signatures.

14. UNCITRAL Model Law on Cross-Border Insolvency (1997) adopted by UNCITRAL at its 30 th session

Legislation based on the UNCITRAL Model Law on Cross-Border Insolvency has been enacted in:

15. UNCITRAL Model Law on Electronic Signatures (2001)

Legislation based on the UNCITRAL Model Law on Cross-Border Insolvency has been enacted in:

III. Chronological Table of Actions in Respect of UNCITRAL Conventions

1. Convention on the Limitation Period in the International Sale of Goods, concluded at New York on 14 June 1974, as amended by the Protocol of 11 April 1980

a/ The former German Democratic Republic acceded to this Protocol on 31 August 1989.

**/ Succession: the former Czechoslovakia acceded to this Protocol on 5 March 1990.

2. [Unamended] Convention on the Limitation Period in the International Sale of Goods (New York, 1974)

a/ The former German Democratic Republic ratified this Convention on 31 August 1989.

*/ Succession; the former Czechoslovakia ratified this Convention on 26 May 1977.

**/ Succession; Yugoslavia ratified this Convention on 27 November 1978.

3. United Nations Convention on the Carriage of Goods by Sea, 1978 (Hamburg)

4. United Nations Convention on Contracts for the International Sale of Goods (Vienna, 1980)

*/ The former German Democratic Republic ratified this Convention on 23 February 1989.

**/ The Russian Federation continues, as from 24 December 1991, the membership of the former Union of Soviet Socialist Republics (USSR) in the United Nations and maintains, as from that date, full responsibility for all the rights and obligations of the USSR under the Charter of the United Nations and multilateral treaties deposited with the Secretary-General.

*/ Succession; the former Czechoslovakia ratified this Convention on 5 March 1990.

**/ Succession; the former Yugoslavia had signed and ratified this Convention on 11 April 1980 and 27 March 1985, respectively.

5. United Nations Convention on International Bills of Exchange and International Promissory Notes (New York, 1988)

6. United Nations Convention on the Liability of Operators of Transport Terminals in International Trade (Vienna, 1991)

7. United Nations Convention on Independent Guarantees and Stand-by Letters of Credit (New York, 1995)

8. Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York, 1958)

*/ The former German Democratic Republic acceded to the Convention on 20 February 1975.

**/ The Russian Federation continues, as from 24 December 1991, the membership of the former Union of Soviet Socialist Republics (USSR) in the United Nations and maintains, as from that date, full responsibility for all the rights and obligations of the USSR under the Charter of the United Nations and multilateral treaties deposited with the Secretary-General.

*/ Succession, the former Yugoslavia had acceded to the Convention on 26 February 1982.

Endnotes