Adr Notes With Attachment

ALTERNATIVE DISPUTE RESOLUTION
Course Outline –SY 2018
I. Article 33, Paragraph 1 of the United Nations Charter
CHAPTER VI: PACIFIC SETTLEMENT OF DISPUTES

Article 33
1. The parties to any dispute, the continuance of which is likely to endanger the maintenance of international peace
and security, shall, first of all, seek a solution by negotiation, enquiry, mediation, conciliation, arbitration, judicial
settlement, resort to regional agencies or arrangements, or other peaceful means of their own choice.
2. The Security Council shall, when it deems necessary, call upon the parties to settle their dispute by such means.
Source: http://www.un.org/en/sections/un-charter/un-charter-full-text/
II. International Court of Justice (ICJ)
General introduction
The International Court of Justice is the principal judicial organ of the United Nations. Its
seat is at the Peace Palace in The Hague. It began work in 1946, when it replaced the
Permanent Court of International Justice which had functioned in the Peace Palace since
1922. It operates under a Statute largely similar to that of its predecessor, which is an
integral part of the Charter of the United Nations.
The Court has a dual role: to settle in accordance with international law the legal disputes
submitted to it by States, and to give advisory opinions on legal questions referred to it by
duly authorised international organs and agencies.
The Court is composed of 15 judges elected to nine-year terms of office by the UN General Assembly and Security
Council sitting independently of each other. It may not include more than one judge of any one nationality. The
Members of the Court do not represent their governments but rather are independent magistrates. When the Court
does not include a judge possessing the nationality of a State party to a case, that State may appoint a person to sit as a
judge ad hoc for the purpose of the case.
Number of staff
Approximately 100
Who's who?
Hisashi Owada (Japan) - President
Peter Tomka (Slovakia) - Vice-President
Philippe Couvreur (Belgium)- Registrar
Source: http://www.icj-cij.org/en
III. The Convention for the Pacific Settlement of International Disputes or the Hague Convention of 1907
(See another attachment)
IV. International Court Arbitration and International Chamber of Commerce
VISIT https://iccwbo.org/
INCOTERMS® RULES
The Incoterms® rules are an internationally recognised standard and are used worldwide in international and domestic
contracts for the sale of goods.
The rules have been developed and maintained by experts and practitioners brought together by ICC. They have become
the standard in international business rules setting. Launched in mid-September 2010, Incoterms® 2010 came into effect
on 1 January 2011. The trade terms help traders avoid costly misunderstandings by clarifying the tasks, costs and risks
involved in the delivery of goods from sellers to buyers. Incoterms® rules are recognised by UNCITRAL as the global
standard for the interpretation of the most common terms in foreign trade.
Please note that all contracts made under INCOTERMS® 2000 before 2011 remain valid. Moreover, although we
recommend using Incoterms® 2010, parties to a contract for the sale of goods can agree to choose any version of the
Incoterms rules after 2011. However, it is important to clearly specify the chosen version.
ARBITRATION
ICC Arbitration assures the best quality of service. That’s because it is delivered by a trusted institution and a process
that is recognised and respected as the benchmark for international dispute resolution. From straightforward sales
contracts to intellectual property matters, joint ventures, share purchase arrangements or state-financed construction
projects—whatever the case—we can assist in resolving disputes of all sizes.
Anyone can benefit from ICC Arbitration’s flexibility and effectiveness. The only requirement is that parties to a contract,
treaty or separate arbitration agreement need to consent to use ICC Arbitration. This is handled through a contract or
treaty before a dispute arises. However, it may happen after a dispute has taken place as well.
While maintaining strict neutrality, our Secretariat and other regional offices are available via telephone or email to
answer questions. Although we are happy to provide information, all Secretariats’ work is strictly confidential. Neither
we nor any part of ICC will disclose information concerning a case except to those involved.
Unrivalled in experience and expertise, we are a leading international arbitration institution. We administer ICC
arbitrations, overcome obstacles in proceedings and strive to ensure ICC awards are enforceable.
Like all ICC dispute resolution services, we base our arbitration solutions on rules that follow international best practice.
We update these rules regularly and translate them into many languages to stay current with today’s business needs.
We have made these rules short, adaptable and simple for use in virtually any type of procedure.
Arbitration Rules
VISIT: https://iccwbo.org/dispute-resolution-services/arbitration/rules-of-arbitration/
V. United Nations Commission for International Trade Law
VISIT: http://www.uncitral.org/
The core legal body of the United Nations system in the field of international trade law. A legal body with universal
membership specializing in commercial law reform worldwide for over 50 years, UNCITRAL's business is the
modernization and harmonization of rules on international business.
Trade means faster growth, higher living standards, and new opportunities through commerce. In order to increase
these opportunities worldwide, UNCITRAL is formulating modern, fair, and harmonized rules on commercial
transactions. These include:
Conventions, model laws and rules which are acceptable worldwide

Legal and legislative guides and recommendations of great practical value
Updated information on case law and enactments of uniform commercial law
Technical assistance in law reform projects
Regional and national seminars on uniform commercial law
ATTACHED: UNCITRAL Leaflet and UNCITRAL Guide
VI. 1958 New York Convention (See Attached)

1907 CONVENTION FOR THE PACIFIC
SETTLEMENT OF INTERNATIONAL DISPUTES
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CONVENTION
for the Pacific Settlement of International Disputes*
His Majesty the German Emperor, King of Prussia; the President of the United States
of America; the President of the Argentine Republic; His Majesty the Emperor of
Austria, King of Bohemia, etc., and Apostolic King of Hungary; His Majesty the King
of the Belgians; the President of the Republic of Bolivia; the President of the Republic
of the United States of Brazil; His Royal Highness the Prince of Bulgaria; the President
of the Republic of Chile; His Majesty the Emperor of China; the President of the
Republic of Colombia; the Provisional Governor of the Republic of Cuba; His Majesty
the King of Denmark; the President of the Dominican Republic; the President of the
Republic of Ecuador; His Majesty the King of Spain; the President of the French
Republic; His Majesty the King of the United Kingdom of Great Britain and Ireland and
of the British Dominions beyond the Seas, Emperor of India; His Majesty the King of
the Hellenes; the President of the Republic of Guatemala; the President of the Republic
of Haiti; His Majesty the King of Italy; His Majesty the Emperor of Japan; His Royal
Highness the Grand Duke of Luxembourg, Duke of Nassau; the President of the United
States of Mexico; His Royal Highness the Prince of Montenegro; the President of the
Republic of Nicaragua; His Majesty the King of Norway; the President of the Republic
of Panama; the President of the Republic of Paraguay; Her Majesty the Queen of the
Netherlands; the President of the Republic of Peru; His Imperial Majesty the Shah of
Persia; His Majesty the King of Roumania; His Majesty the Emperor of All the Russias;
the President of the Republic of Salvador; His Majesty the King of Servia; His Majesty
the King of Siam; His Majesty the King of Sweden; the Swiss Federal Council; His
Majesty the Emperor of the Ottomans; the President of the Oriental Republic of
Uruguay; the President of the United States of Venezuela;
Animated by the sincere desire to work for the maintenance of general peace;
Resolved to promote by all the efforts in their power the friendly settlement of
international disputes;
Recognizing the solidarity uniting the members of the society of civilized nations;
Desirous of extending the empire of law and of strengthening the appreciation of
international justice;
Convinced that the permanent institution of a Tribunal of Arbitration accessible to all,
in the midst of independent Powers, will contribute effectively to this result;
Having regard to the advantages attending the general and regular organization of the
procedure of arbitration;
Sharing the opinion of the august initiator of the International Peace Conference that
it is expedient to record in an International Agreement the principles of equity and right
on which are based the security of States and the welfare of peoples;
* The text of the Convention reproduced here is a translation of the French text adopted at the 1907
Peace Conference. The French-language version is authoritative.
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PERMANENT COURT OF ARBITRATION – BASIC DOCUMENTS
Being desirous, with this object, of insuring the better working in practice of
Commissions of Inquiry and Tribunals of Arbitration, and of facilitating recourse to
arbitration in cases which allow of a summary procedure;
Have deemed it necessary to revise in certain particulars and to complete the work of
the First Peace Conference for the pacific settlement of international disputes;
The High Contracting Parties have resolved to conclude a new Convention for this
purpose, and have appointed the following as their Plenipotentiaries:
(Here follow the names of Plenipotentiaries.)
Who, after having deposited their full powers, found in good and due form, have
agreed upon the following:
PART I. THE MAINTENANCE OF GENERAL PEACE
Article 1
With a view to obviating as far as possible recourse to force in the relations between
States, the Contracting Powers agree to use their best efforts to ensure the pacific settle-
ment of international differences.
PART II. GOOD OFFICES AND MEDIATION
Article 2
In case of serious disagreement or dispute, before an appeal to arms, the Contracting

Powers agree to have recourse, as far as circumstances allow, to the good offices or
mediation of one or more friendly Powers.
Article 3
Independently of this recourse, the Contracting Powers deem it expedient and

desirable that one or more Powers, strangers to the dispute, should, on their own ini-
tiative and as far as circumstances may allow, offer their good offices or mediation to the
States at variance.
Powers strangers to the dispute have the right to offer good offices or mediation even
during the course of hostilities.
The exercise of this right can never be regarded by either of the parties in dispute as
an unfriendly act.
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1907 CONVENTION FOR THE PACIFIC SETTLEMENT OF INTERNATIONAL DISPUTES
Article 4
The part of the mediator consists in reconciling the opposing claims and appeasing
the feelings of resentment which may have arisen between the States at variance.
Article 5
The functions of the mediator are at an end when once it is declared, either by one of
the parties to the dispute or by the mediator himself, that the means of reconciliation
proposed by him are not accepted.
Article 6
Good offices and mediation undertaken either at the request of the parties in dispute
or on the initiative of Powers strangers to the dispute have exclusively the character of
advice, and never have binding force.
Article 7
The acceptance of mediation cannot, unless there be an agreement to the contrary,

have the effect of interrupting, delaying, or hindering mobilization or other measures of
preparation for war.
If it takes place after the commencement of hostilities, the military operations in
progress are not interrupted in the absence of an agreement to the contrary.
Article 8
The Contracting Powers are agreed in recommending the application, when circum-
stances allow, of special mediation in the following form:
In case of a serious difference endangering peace, the States at variance choose
respectively a Power, to which they intrust the mission of entering into direct commu-
nication with the Power chosen on the other side, with the object of preventing the
rupture of pacific relations.
For the period of this mandate, the term of which, unless otherwise stipulated, cannot
exceed thirty days, the States in dispute cease from all direct communication on the
subject of the dispute, which is regarded as referred exclusively to the mediating Powers,
which must use their best efforts to settle it.
In case of a definite rupture of pacific relations, these Powers are charged with the
joint task of taking advantage of any opportunity to restore peace.
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PART III. INTERNATIONAL COMMISSIONS OF INQUIRY
Article 9
In disputes of an international nature involving neither honour nor vital interests, and
arising from a difference of opinion on points of facts, the Contracting Powers deem it
expedient and desirable that the parties who have not been able to come to an agreement
by means of diplomacy, should, as far as circumstances allow, institute an International
Commission of Inquiry, to facilitate a solution of these disputes by elucidating the facts
by means of an impartial and conscientious investigation.
Article 10
International Commissions of Inquiry are constituted by special agreement between

the parties in dispute.
The Inquiry Convention defines the facts to be examined; it determines the mode and
time in which the Commission is to be formed and the extent of the powers of the
Commissioners.
It also determines, if there is need, where the Commission is to sit, and whether it may
remove to another place, the language the Commission shall use and the languages the
use of which shall be authorized before it, as well as the date on which each party must
deposit its statement of facts, and, generally speaking, all the conditions upon which the
parties have agreed.
If the parties consider it necessary to appoint Assessors, the Convention of Inquiry
shall determine the mode of their selection and the extent of their powers.
Article 11
If the Inquiry Convention has not determined where the Commission is to sit, it will
sit at The Hague.
The place of meeting, once fixed, cannot be altered by the Commission except with
the assent of the parties.
If the Inquiry Convention has not determined what languages are to be employed, the
question shall be decided by the Commission.
Article 12
Unless an undertaking is made to the contrary, Commissions of Inquiry shall be

formed in the manner determined by Articles 45 and 57 of the present Convention.
Article 13
Should one of the Commissioners or one of the Assessors, should there be any, either
die, or resign, or be unable for any reason whatever to discharge his functions, the same
procedure is followed for filling the vacancy as was followed for appointing him.
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Article 14
The parties are entitled to appoint special agents to attend the Commission of Inquiry,
whose duty it is to represent them and to act as intermediaries between them and the
Commission.
They are further authorized to engage counsel or advocates, appointed by themselves,
to state their case and uphold their interests before the Commission.
Article 15
The International Bureau of the Permanent Court of Arbitration acts as registry for the
Commissions which sit at The Hague, and shall place its offices and staff at the disposal
of the Contracting Powers for the use of the Commission of Inquiry.
Article 16
If the Commission meets elsewhere than at The Hague, it appoints a Secretary-

General, whose office serves as registry.
It is the function of the registry, under the control of the President, to make the
necessary arrangements for the sittings of the Commission, the preparation of the
Minutes, and, while the inquiry lasts, for the charge of the archives, which shall
subsequently be transferred to the International Bureau at The Hague.
Article 17
In order to facilitate the constitution and working of Commissions of Inquiry, the

Contracting Powers recommend the following rules, which shall be applicable to the
inquiry procedure in so far as the parties do not adopt other rules.
Article 18
The Commission shall settle the details of the procedure not covered by the special
Inquiry Convention or the present Convention, and shall arrange all the formalities
required for dealing with the evidence.
Article 19
On the inquiry both sides must be heard.

At the dates fixed, each party communicates to the Commission and to the other party
the statements of facts, if any, and, in all cases, the instruments, papers, and documents
which it considers useful for ascertaining the truth, as well as the list of witnesses and
experts whose evidence it wishes to be heard.
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Article 20
The Commission is entitled, with the assent of the Powers, to move temporarily to any
place where it considers it may be useful to have recourse to this means of inquiry or to
send one or more of its members. Permission must be obtained from the State on whose
territory it is proposed to hold the inquiry.
Article 21
Every investigation, and every examination of a locality, must be made in the

presence of the agents and counsel of the parties or after they have been duly summoned.
Article 22
The Commission is entitled to ask from either party for such explanations and
information as it considers necessary.
Article 23
The parties undertake to supply the Commission of Inquiry, as fully as they may think
possible, with all means and facilities necessary to enable it to become completely
acquainted with, and to accurately understand, the facts in question.
They undertake to make use of the means at their disposal, under their municipal law,
to insure the appearance of the witnesses or experts who are in their territory and have
been summoned before the Commission.
If the witnesses or experts are unable to appear before the Commission, the parties
will arrange for their evidence to be taken before the qualified officials of their own
country.
Article 24
For all notices to be served by the Commission in the territory of a third Contracting
Power, the Commission shall apply direct to the Government of the said Power. The
same rule applies in the case of steps being taken on the spot to procure evidence.
The requests for this purpose are to be executed so far as the means at the disposal of
the Power applied to under its municipal law allow. They cannot be rejected unless the
Power in question considers they are calculated to impair its sovereign rights or its
safety.
The Commission will equally be always entitled to act through the Power on whose
territory it sits.
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Article 25
The witnesses and experts are summoned on the request of the parties or by the
Commission of its own motion, and, in every case, through the Government of the State
in whose territory they are.
The witnesses are heard in succession and separately in the presence of the agents and
counsel, and in the order fixed by the Commission.
Article 26
The examination of witnesses is conducted by the President.

The members of the Commission may however put to each witness questions which
they consider likely to throw light on and complete his evidence, or get information on
any point concerning the witness within the limits of what is necessary in order to get
at the truth.
The agents and counsel of the parties may not interrupt the witness when he is making
his statement, nor put any direct question to him, but they may ask the President to put
such additional questions to the witness as they think expedient.
Article 27
The witness must give his evidence without being allowed to read any written draft.
He may, however, be permitted by the President to consult notes or documents if the
nature of the facts referred to necessitates their employment.
Article 28
A Minute of the evidence of the witness is drawn up forthwith and read to the witness.
The latter may make such alterations and additions as he thinks necessary, which will
be recorded at the end of his statement.
When the whole of his statement has been read to the witness, he is asked to sign it.
Article 29
The agents are authorized, in the course of or at the close of the inquiry, to present in
writing to the Commission and to the other party such statements, requisitions, or
summaries of the facts as they consider useful for ascertaining the truth.
Article 30
The Commission considers its decisions in private and the proceedings are secret.
All questions are decided by a majority of the members of the Commission.
If a member declines to vote, the fact must be recorded in the Minutes.
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Article 31
The sittings of the Commission are not public, nor the Minutes and documents
connected with the inquiry published except in virtue of a decision of the Commission
taken with the consent of the parties.
Article 32
After the parties have presented all the explanations and evidence, and the witnesses
have all been heard, the President declares the inquiry terminated, and the Commission
adjourns to deliberate and to draw up its Report.
Article 33
The Report is signed by all the members of the Commission.

If one of the members refuses to sign, the fact is mentioned; but the validity of the
Report is not affected.
Article 34
The Report of the Commission is read at a public sitting, the agents and counsel of the
parties being present or duly summoned.
A copy of the Report is given to each party.
Article 35
The Report of the Commission is limited to a statement of facts, and has in no way
the character of an Award. It leaves to the parties entire freedom as to the effect to be
given to the statement.
Article 36
Each party pays its own expenses and an equal share of the expenses incurred by the
Commission.
PART IV. INTERNATIONAL ARBITRATION
Chapter I. The System of Arbitration
Article 37
International arbitration has for its object the settlement of disputes between States by
Judges of their own choice and on the basis of respect for law.
Recourse to arbitration implies an engagement to submit in good faith to the Award.
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Article 38
In questions of a legal nature, and especially in the interpretation or application of

International Conventions, arbitration is recognized by the Contracting Powers as the
most effective, and, at the same time, the most equitable means of settling disputes
which diplomacy has failed to settle.
Consequently, it would be desirable that, in disputes about the above-mentioned
questions, the Contracting Powers should, if the case arose, have recourse to arbitration,
in so far as circumstances permit.
Article 39
The Arbitration Convention is concluded for questions already existing or for

questions which may arise eventually.
It may embrace any dispute or only disputes of a certain category.
Article 40
Independently of general or private Treaties expressly stipulating recourse to

arbitration as obligatory on the Contracting Powers, the said Powers reserve to them-
selves the right of concluding new Agreements, general or particular, with a view to
extending compulsory arbitration to all cases which they may consider it possible to
submit to it.
Chapter II. The Permanent Court of Arbitration
Article 41
With the object of facilitating an immediate recourse to arbitration for international

differences, which it has not been possible to settle by diplomacy, the Contracting
Powers undertake to maintain the Permanent Court of Arbitration, as established by the
First Peace Conference, accessible at all times, and operating, unless otherwise stipulated
by the parties, in accordance with the rules of procedure inserted in the present
Convention.
Article 42
The Permanent Court is competent for all arbitration cases, unless the parties agree
to institute a special Tribunal.
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Article 43
The Permanent Court sits at The Hague.

An International Bureau serves as registry for the Court. It is the channel for
communications relative to the meetings of the Court; it has charge of the archives and
conducts all the administrative business.
The Contracting Powers undertake to communicate to the Bureau, as soon as possible,
a certified copy of any conditions of arbitration arrived at between them and of any
Award concerning them delivered by a special Tribunal.
They likewise undertake to communicate to the Bureau the laws, regulations, and
documents eventually showing the execution of the Awards given by the Court.
Article 44
Each Contracting Power selects four persons at the most, of known competency in
questions of international law, of the highest moral reputation, and disposed to accept
the duties of Arbitrator.
The persons thus elected are inscribed, as Members of the Court, in a list which shall
be notified to all the Contracting Powers by the Bureau.
Any alteration in the list of Arbitrators is brought by the Bureau to the knowledge of
the Contracting Powers.
Two or more Powers may agree on the selection in common of one or more Members.
The same person can be selected by different Powers. The Members of the Court are
appointed for a term of six years. These appointments are renewable.
Should a Member of the Court die or resign, the same procedure is followed for filling
the vacancy as was followed for appointing him. In this case the appointment is made
for a fresh period of six years.
Article 45
When the Contracting Powers wish to have recourse to the Permanent Court for the
settlement of a difference which has arisen between them, the Arbitrators called upon
to form the Tribunal with jurisdiction to decide this difference must be chosen from the
general list of Members of the Court.
Failing the direct agreement of the parties on the composition of the Arbitration
Tribunal, the following course shall be pursued:
Each party appoints two Arbitrators, of whom one only can be its national or chosen
from among the persons selected by it as Members of the Permanent Court. These
Arbitrators together choose an Umpire.
If the votes are equally divided, the choice of the Umpire is intrusted to a third Power,
selected by the parties by common accord.
If an agreement is not arrived at on this subject each party selects a different Power,
and the choice of the Umpire is made in concert by the Powers thus selected.
If, within two months’ time, these two Powers cannot come to an agreement, each of
them presents two candidates taken from the list of Members of the Permanent Court,
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exclusive of the members selected by the parties and not being nationals of either of
them. Drawing lots determines which of the candidates thus presented shall be Umpire.
Article 46
The Tribunal being thus composed, the parties notify to the Bureau their determi-
nation to have recourse to the Court, the text of their ‘Compromis’, and the names of the
Arbitrators.
The Bureau communicates without delay to each Arbitrator the ‘Compromis’, and the
names of the other members of the Tribunal.
The Tribunal assembles at the date fixed by the parties. The Bureau makes the
necessary arrangements for the meeting.
The members of the Tribunal, in the exercise of their duties and out of their own
country, enjoy diplomatic privileges and immunities.
Article 47
The Bureau is authorized to place its offices and staff at the disposal of the
Contracting Powers for the use of any special Board of Arbitration.
The jurisdiction of the Permanent Court may, within the conditions laid down in the
regulations, be extended to disputes between non-Contracting Powers or between
Contracting Powers and non-Contracting Powers, if the parties are agreed on recourse
to this Tribunal.
Article 48
The Contracting Powers consider it their duty, if a serious dispute threatens to break
out between two or more of them, to remind these latter that the Permanent Court is open
to them.
Consequently, they declare that the fact of reminding the parties at variance of the
provisions of the present Convention, and the advice given to them, in the highest
interests of peace, to have recourse to the Permanent Court, can only be regarded as
friendly actions.
In case of dispute between two Powers, one of them can always address to the
International Bureau a note containing a declaration that it would be ready to submit the
dispute to arbitration.
The Bureau must at once inform the other Power of the declaration.
Article 49
The Permanent Administrative Council, composed of the Diplomatic Representatives

of the Contracting Powers accredited to The Hague and of the Netherlands Minister for
Foreign Affairs, who will act as President, is charged with the direction and control of
the International Bureau.
The Council settles its rules of procedure and all other necessary regulations.
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It decides all questions of administration which may arise with regard to the
operations of the Court.
It has entire control over the appointment, suspension, or dismissal of the officials and
employees of the Bureau.
It fixes the payments and salaries, and controls the general expenditure.
At meetings duly summoned the presence of nine members is sufficient to render
valid the discussions of the Council. The decisions are taken by a majority of votes.
The Council communicates to the Contracting Powers without delay the regulations
adopted by it. It furnishes them with an annual Report on the labours of the Court, the
working of the administration, and the expenditure. The Report likewise contains a
résumé of what is important in the documents communicated to the Bureau by the
Powers in virtue of Article 43, paragraphs 3 and 4.
Article 50
The expenses of the Bureau shall be borne by the Contracting Powers in the
proportion fixed for the International Bureau of the Universal Postal Union.
The expenses to be charged to the adhering Powers shall be reckoned from the date
on which their adhesion comes into force.
Chapter III. Arbitration Procedure
Article 51
With a view to encouraging the development of arbitration, the Contracting Powers

have agreed on the following rules, which are applicable to arbitration procedure, unless
other rules have been agreed on by the parties.
Article 52
The Powers which have recourse to arbitration sign a ‘Compromis’, in which the
subject of the dispute is clearly defined, the time allowed for appointing Arbitrators, the
form, order, and time in which the communication referred to in Article 63 must be
made, and the amount of the sum which each party must deposit in advance to defray the
expenses.
The ‘Compromis’ likewise defines, if there is occasion, the manner of appointing
Arbitrators, any special powers which may eventually belong to the Tribunal, where it
shall meet, the language it shall use, and the languages the employment of which shall
be authorized before it, and, generally speaking, all the conditions on which the parties
are agreed.
Article 53
The Permanent Court is competent to settle the ‘Compromis’, if the parties are agreed
to have recourse to it for the purpose.
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It is similarly competent, even if the request is only made by one of the parties, when
all attempts to reach an understanding through the diplomatic channel have failed, in the
case of:
1. A dispute covered by a general Treaty of Arbitration concluded or renewed after
the present Convention has come into force, and providing for a ‘Compromis’ in all
disputes and not either explicitly or implicitly excluding the settlement of the ‘Com-
promis’ from the competence of the Court. Recourse cannot, however, be had to the
Court if the other party declares that in its opinion the dispute does not belong to the
category of disputes which can be submitted to compulsory arbitration, unless the Treaty
of Arbitration confers upon the Arbitration Tribunal the power of deciding this
preliminary question.
2. A dispute arising from contract debts claimed from one Power by another Power
as due to its nationals, and for the settlement of which the offer of arbitration has been
accepted. This arrangement is not applicable if acceptance is subject to the condition that
the ‘Compromis’ should be settled in some other way.
Article 54
In the cases contemplated in the preceding Article, the ‘Compromis’ shall be settled
by a Commission consisting of five members selected in the manner arranged for in
Article 45, paragraphs 3 to 6.
The fifth member is President of the Commission ex officio.
Article 55
The duties of Arbitrator may be conferred on one Arbitrator alone or on several

Arbitrators selected by the parties as they please, or chosen by them from the Members
of the Permanent Court of Arbitration established by the present Convention.
Failing the constitution of the Tribunal by direct agreement between the parties, the
course referred to in Article 45, paragraphs 3 to 6, is followed.
Article 56
When a Sovereign or the Chief of a State is chosen as Arbitrator, the arbitration

procedure is settled by him.
Article 57
The Umpire is President of the Tribunal ex officio.

When the Tribunal does not include an Umpire, it appoints its own President.
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Article 58
When the ‘Compromis’ is settled by a Commission, as contemplated in Article 54,

and in the absence of an agreement to the contrary, the Commission itself shall form the
Arbitration Tribunal.
Article 59
Should one of the Arbitrators either die, retire, or be unable for any reason whatever
to discharge his functions, the same procedure is followed for filling the vacancy as was
followed for appointing him.
Article 60
The Tribunal sits at The Hague, unless some other place is selected by the parties.
The Tribunal can only sit in the territory of a third Power with the latter’s consent.
The place of meeting once fixed cannot be altered by the Tribunal, except with the
consent of the parties.
Article 61
If the question as to what languages are to be used has not been settled by the
‘Compromis’, it shall be decided by the Tribunal.
Article 62
The parties are entitled to appoint special agents to attend the Tribunal to act as
intermediaries between themselves and the Tribunal.
They are further authorized to retain for the defence of their rights and interests before
the Tribunal counsel or advocates appointed by themselves for this purpose.
The Members of the Permanent Court may not act as agents, counsel, or advocates
except on behalf of the Power which appointed them Members of the Court.
Article 63
As a general rule, arbitration procedure comprises two distinct phases: pleadings and
oral discussions.
The pleadings consist in the communication by the respective agents to the members
of the Tribunal and the opposite party of cases, counter-cases, and, if necessary, of
replies; the parties annex thereto all papers and documents called for in the case. This
communication shall be made either directly or through the intermediary of the Inter-
national Bureau, in the order and within the time fixed by the ‘Compromis’.
The time fixed by the ‘Compromis’ may be extended by mutual agreement by the
parties, or by the Tribunal when the latter considers it necessary for the purpose of
reaching a just decision.
32
The discussions consist in the oral development before the Tribunal of the arguments
of the parties.
Article 64
A certified copy of every document produced by one party must be communicated to

the other party.
Article 65
Unless special circumstances arise, the Tribunal does not meet until the pleadings are
closed.
Article 66
The discussions are under the control of the President. They are only public if it be
so decided by the Tribunal, with the assent of the parties.
They are recorded in minutes drawn up by the Secretaries appointed by the President.
These minutes are signed by the President and by one of the Secretaries and alone have
an authentic character.
Article 67
After the close of the pleadings, the Tribunal is entitled to refuse discussion of all new
papers or documents which one of the parties may wish to submit to it without the
consent of the other party.
Article 68
The Tribunal is free to take into consideration new papers or documents to which its
attention may be drawn by the agents or counsel of the parties.
In this case, the Tribunal has the right to require the production of these papers or
documents, but is obliged to make them known to the opposite party.
Article 69
The Tribunal can, besides, require from the agents of the parties the production of all
papers, and can demand all necessary explanations. In case of refusal the Tribunal takes
note of it.
Article 70
The agents and the counsel of the parties are authorized to present orally to the
Tribunal all the arguments they may consider expedient in defence of their case.
33
Article 71
They are entitled to raise objections and points. The decisions of the Tribunal on these
points are final and cannot form the subject of any subsequent discussion.
Article 72
The members of the Tribunal are entitled to put questions to the agents and counsel
of the parties, and to ask them for explanations on doubtful points.
Neither the questions put, nor the remarks made by members of the Tribunal in the
course of the discussions, can be regarded as an expression of opinion by the Tribunal
in general or by its members in particular.
Article 73
The Tribunal is authorized to declare its competence in interpreting the ‘Compromis’,

as well as the other Treaties which may be invoked, and in applying the principles of
law.
Article 74
The Tribunal is entitled to issue rules of procedure for the conduct of the case, to
decide the forms, order, and time in which each party must conclude its arguments, and
to arrange all the formalities required for dealing with the evidence.
Article 75
The parties undertake to supply the Tribunal, as fully as they consider possible, with
all the information required for deciding the case.
Article 76
For all notices which the Tribunal has to serve in the territory of a third Contracting
Power, the Tribunal shall apply direct to the Government of that Power. The same rule
applies in the case of steps being taken to procure evidence on the spot.
The requests for this purpose are to be executed as far as the means at the disposal of
the Power applied to under its municipal law allow. They cannot be rejected unless the
Power in question considers them calculated to impair its own sovereign rights or its
safety.
The Court will equally be always entitled to act through the Power on whose territory
it sits.
34
Article 77
When the agents and counsel of the parties have submitted all the explanations and
evidence in support of their case the President shall declare the discussion closed.
Article 78
The Tribunal considers its decisions in private and the proceedings remain secret.
All questions are decided by a majority of the members of the Tribunal.
Article 79
The Award must give the reasons on which it is based. It contains the names of the
Arbitrators; it is signed by the President and Registrar or by the Secretary acting as
Registrar.
Article 80
The Award is read out in public sitting, the agents and counsel of the parties being
present or duly summoned to attend.
Article 81
The Award, duly pronounced and notified to the agents of the parties, settles the
dispute definitively and without appeal.
Article 82
Any dispute arising between the parties as to the interpretation and execution of the
Award shall, in the absence of an Agreement to the contrary, be submitted to the
Tribunal which pronounced it.
Article 83
The parties can reserve in the ‘Compromis’ the right to demand the revision of the
Award.
In this case and unless there be an Agreement to the contrary, the demand must be
addressed to the Tribunal which pronounced the Award. It can only be made on the
ground of the discovery of some new fact calculated to exercise a decisive influence
upon the Award and which was unknown to the Tribunal and to the party which
demanded the revision at the time the discussion was closed.
Proceedings for revision can only be instituted by a decision of the Tribunal expressly
recording the existence of the new fact, recognizing in it the character described in the
preceding paragraph, and declaring the demand admissible on this ground.
35
The ‘Compromis’ fixes the period within which the demand for revision must be
made.
Article 84
The Award is not binding except on the parties in dispute.

When it concerns the interpretation of a Convention to which Powers other than those
in dispute are parties, they shall inform all the Signatory Powers in good time. Each of
these Powers is entitled to intervene in the case. If one or more avail themselves of this
right, the interpretation contained in the Award is equally binding on them.
Article 85
Each party pays its own expenses and an equal share of the expenses of the Tribunal.
Chapter IV. Arbitration by Summary Procedure
Article 86
With a view to facilitating the working of the system of arbitration in disputes

admitting of a summary procedure, the Contracting Powers adopt the following rules,
which shall be observed in the absence of other arrangements and subject to the
reservation that the provisions of Chapter III apply so far as may be.
Article 87
Each of the parties in dispute appoints an Arbitrator. The two Arbitrators thus selected
choose an Umpire. If they do not agree on this point, each of them proposes two
candidates taken from the general list of the Members of the Permanent Court exclusive
of the members appointed by either of the parties and not being nationals of either of
them; which of the candidates thus proposed shall be the Umpire is determined by lot.
The Umpire presides over the Tribunal, which gives its decisions by a majority of
votes.
Article 88
In the absence of any previous agreement the Tribunal, as soon as it is formed, settles
the time within which the two parties must submit their respective cases to it.
Article 89
Each party is represented before the Tribunal by an agent, who serves as intermediary
between the Tribunal and the Government who appointed him.
36
Article 90
The proceedings are conducted exclusively in writing. Each party, however, is entitled
to ask that witnesses and experts should be called. The Tribunal has, for its part, the right
to demand oral explanations from the agents of the two parties, as well as from the
experts and witnesses whose appearance in Court it may consider useful.
PART V. FINAL PROVISIONS
Article 91
The present Convention, duly ratified, shall replace, as between the Contracting
Powers, the Convention for the Pacific Settlement of International Disputes of the 29th
July, 1899.
Article 92
The present Convention shall be ratified as soon as possible.

The ratifications shall be deposited at The Hague.
The first deposit of ratifications shall be recorded in a procès-verbal signed by the
Representatives of the Powers which take part therein and by the Netherlands Minister
for Foreign Affairs.
The subsequent deposits of ratifications shall be made by means of a written noti-
fication, addressed to the Netherlands Government and accompanied by the instrument
of ratification.
A duly certified copy of the procès-verbal relative to the first deposit of ratifications,
of the notifications mentioned in the preceding paragraph, and of the instruments of
ratification, shall be immediately sent by the Netherlands Government, through the
diplomatic channel, to the Powers invited to the Second Peace Conference, as well as to
those Powers which have adhered to the Convention. In the cases contemplated in the
preceding paragraph, the said Government shall at the same time inform the Powers of
the date on which it received the notification.
Article 93
Non-Signatory Powers which have been invited to the Second Peace Conference may
adhere to the present Convention.
The Power which desires to adhere notifies its intention in writing to the Netherlands
Government, forwarding to it the act of adhesion, which shall be deposited in the
archives of the said Government.
This Government shall immediately forward to all the other Powers invited to the
Second Peace Conference a duly certified copy of the notification as well as of the act
of adhesion, mentioning the date on which it received the notification.
37
Article 94
The conditions on which the Powers which have not been invited to the Second Peace
Conference may adhere to the present Convention shall form the subject of a subsequent
Agreement between the Contracting Powers.
Article 95
The present Convention shall take effect, in the case of the Powers which were not
a party to the first deposit of ratifications, sixty days after the date of the procès-verbal
of this deposit, and, in the case of the Powers which ratify subsequently or which adhere,
sixty days after the notification of their ratification or of their adhesion has been received
by the Netherlands Government.
Article 96
In the event of one of the Contracting Parties wishing to denounce the present
Convention, the denunciation shall be notified in writing to the Netherlands Government,
which shall immediately communicate a duly certified copy of the notification to all the
other Powers informing them of the date on which it was received.
The denunciation shall only have effect in regard to the notifying Power, and one year
after the notification has reached the Netherlands Government.
Article 97
A register kept by the Netherlands Minister for Foreign Affairs shall give the date of
the deposit of ratifications effected in virtue of Article 92, paragraphs 3 and 4, as well
as the date on which the notifications of adhesion (Article 93, paragraph 2) or of
denunciation (Article 96, paragraph 1) have been received.
Each Contracting Power is entitled to have access to this register and to be supplied
with duly certified extracts from it.
In faith whereof the Plenipotentiaries have appended their signatures to the present
Convention.
Done at The Hague, the 18th October, 1907, in a single copy, which shall remain
deposited in the archives of the Netherlands Government, and duly certified copies of
which shall be sent, through the diplomatic channel, to the Contracting Powers.
38
Public procurement and infrastructure P U B L I C A T I O N S The Secretariat produces
development UNCITRAL Legal Guide on Drawing a number of publications on the work of
Up International Contracts for the Construction of UNCITRAL, including a Yearbook of the papers
Industrial Works (1988) • UNCITRAL Model Law on and meeting reports produced each year;
Procurement of Goods, Construction and Services booklets and CD ROMs reproducing texts of the
(1994) • UNCITRAL Legislative Guide on Privately Conventions, Model Laws and legal guides;
Financed Infrastructure Projects (2001) and Model FOR FURTHER INFORMATION:
explanatory notes on the various UNCITRAL
Provisions (2003)
texts; and a list indicating the current status of
FACTS ABOUT
United Nations
International payments UNCITRAL Model Law adoption and implementation of conventions Commission on International Trade Law
on International Credit Transfers (1992) • United and model laws.
(UNCITRAL)
Nations Convention on Independent Guarantees
and Stand-by Letters of Credit (1995)• United
Nations Convention on the Assignment of United Nations Commission on
Vienna International Centre
UNCITRAL
International Trade Law
UNCITRAL PO Box 500 UNITED NATIONS COMMISSION

Receivables in International Trade (2001) YEARBOOK
Model Legislative Provisions
on Privately Financed
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UNCITRAL
Model Law on
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Electronic Signatures
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with
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2001
Tel: +(43) (1) 26060-4060
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UNITED NATIONS
A legal body with universal

t Today, a Russian reader can purchase a book
Visit UNCITRAL on the Internet
printed in the US from a German web site with a few membership specializing in
clicks of the mouse. However, the expansion of
t The UNCITRAL Law Library collection focuses http://www.uncitral.org
mainly on international trade law and in particular, law reform worldwide
E-commerce, both for business and for private use,
on UNCITRAL's area of work. It has more than 8,000
V.04-57239—September 2004—2,000
creates a number of legal challenges. Which “click”
volumes and 100 periodicals, as well as electronic
will validly conclude the contract? Under what
resources. Materials date back to the establishment
circumstances will an electronic signature have the
of the library in August 1979. The catalogue of the
same value as a hand-written one? The UNCITRAL
library is accessible on the Internet via OPAC (On-
Printed in Austria
Model Laws on Electronic Commerce and Electronic
line Public Access Catalogue). The UNCITRAL Law
Signatures provide a uniform framework to address
Library is a reference library only: loans are
these issues.
therefore not possible. It is open from 9:00 hours to
17:00 hours, and accessible only by appointment.
Insolvency UNCITRAL Model Law on Cross- Please contact the library by emailing
Border Insolvency (1997) • Legislative Guide on uncitral@uncitral.org, at least three days before the
Insolvency Law (2004) planned visit, specifying the subject area of research
and your contact address.
It is widely accepted that trade creates wealth and M E M B E R S H I P The Commission Model law: a set of model legislative provisions A C H I E V E M E N T S Over the last 24 years,
is essential to the economic health of the world. comprises 60 member States elected by the that States can adopt by enacting it into UNCITRAL has completed major international
But who works out the rules for international United Nations General Assembly for a term national law. texts on the sale of goods, transport, dispute
trade and decides how payments should be made of six years. Membership is structured to Legislative guide: a text that provides guidance resolution, procurement and infrastructure
and disputes are to be settled? ensure representation of the world's various for the development of laws, discussing relevant development, international payments, electronic
geographic regions and its principal economic policy issues and choices and recommending commerce and insolvency. International
and legal systems. appropriate legislative solutions. arbitration, transport law, electronic commerce,
When world trade began to expand insolvency law, security interests and public
Contractual rules: standard clauses or rules
dramatically in the 1960s, national W O R K M E T H O D S Texts designed procurement are the focus of current work.
designed to be included in commercial contracts.
governments began to realize the need for a to simplify trade transactions and reduce
associated costs are developed by working Legal guide: a text that provides guidance for Sale of goods United Nations Convention on
global set of standards and rules to harmonize
groups comprising all member States of the drafting of contracts, discussing relevant Contracts for the International Sale of Goods
and modernize the assortment of national and
UNCITRAL, which meet once or twice per year. issues and recommending solutions appro- (Vienna, 1980) • UNCITRAL Legal Guide on
regional regulations, which until then largely International Countertrade Transactions (1992)
Non-member States and interested interna- priate to particular circumstances.
governed international trade. They turned to
tional and regional organizations are also Transport of goods United Nations Convention
the United Nations, which in 1966 recognized TECHNICAL LEGISLATIVE
invited and can actively contribute to the work on the Carriage of Goods by Sea (Hamburg, 1978)
the need for it to play a more active role in since decisions are taken by consensus, not by A S S I S T A N C E One of UNCITRAL's priorities
removing legal obstacles to the flow of vote. Draft texts completed by these working is providing technical legislative assistance for t More than 90 per cent of the world trade is carried
international trade and established the groups are submitted to UNCITRAL for modernization of trade laws and commercial by ship. Many of the exotic goods and commodities
United Nations Commission on International finalization and adoption at its annual session. practices. In addition to promoting under- surrounding us reach us in this way. Many of them
Trade Law (UNCITRAL). UNCITRAL has since standing of international trade law texts and actually change hands several times during their
become the core legal body of the United S E C R E T A R I A T The International Trade the benefits they can bring to the expansion voyage at sea. What happens in the case of loss of
Law Division of the United Nations Office of of international trade, UNCITRAL assists States cargo? What if it is difficult or impossible to ascertain
Nations system in the field of international
Legal Affairs provides substantive secretariat to develop the laws required to implement the moment when the loss occurred? UNCITRAL's work
trade law.
services to UNCITRAL, such as conducting these legislative texts and commercial in the field of maritime law provides States with a
Much of the complex network of international research and preparing studies and drafts. associations to promote the use of common legal framework, establishing clear rules that
legal rules and agreements that affects today's non-legislative rules. contribute to reducing transport costs for the benefit
T R A D E L A W T E X T S UNCITRAL develops of us, the final consumers.
commercial arrangements has been reached
different types of texts to modernize and C L O U T The Case Law on UNCITRAL Texts
through long and detailed consultations and Dispute resolution UNCITRAL Arbitration Rules
harmonize the law of international trade. These system is a collection of court decisions and
negotiations organized by UNCITRAL. Its aim is (1976) • UNCITRAL Conciliation Rules (1980) •
texts are generally legislative in nature, such as arbitral awards interpreting UNCITRAL texts.
to remove or reduce legal obstacles to the flow Recommendations to assist arbitral tribunals
conventions, model laws and legislative guides, Currently, CLOUT includes case abstracts in the
of international trade and progressively and other interested bodies with regard to
or non-legislative texts such as contractual rules six United Nations languages on the United
modernize and harmonize trade laws. It also arbitrations under the UNCITRAL Arbitration
that can be incorporated into commercial Nations Convention on Contracts for the Rules (1982) • UNCITRAL Model Law on
seeks to coordinate the work of organizations contracts and legal guides. International Sale of Goods (CISG) (Vienna, 1980) International Commercial Arbitration (1985)
active in this type of work and promote wider Convention: an agreement among States and the UNCITRAL Model Law on International UNCITRAL Notes on Organizing Arbitral
acceptance and use of the rules and legal texts establishing obligations binding upon those Commercial Arbitration (1985). Other texts will Proceedings (1996) • UNCITRAL Model Law on
it develops. States that ratify or accede to it. be added as case law becomes available. International Commercial Conciliation (2002)
UNCITRAL UNITED NATIONS COMMISSION ON INTERNATIONAL TRADE LAW
A Guide to UNCITRAL
Basic facts about
the United Nations Commission
on International Trade Law
UNITED NATIONS
Further information may be obtained from:
UNCITRAL secretariat, Vienna International Centre,

P.O. Box 500, 1400 Vienna, Austria
Telephone: (+43-1) 26060-4060 Telefax: (+43-1) 26060-5813

Internet: www.uncitral.org E-mail: uncitral@uncitral.org
UNITED NATIONS COMMISSION ON INTERNATIONAL TRADE LAW
A Guide to UNCITRAL
Basic facts about the
United Nations Commission
UNITED NATIONS
Vienna, 2013
Note
Symbols of United Nations documents are composed of capital letters with figures.
Mention of such a symbol indicates a reference to a United Nations document.
© United Nations, January 2013. All rights reserved.
The designations employed and the presentation of material in this publication do

not imply the expression of any opinion whatsoever on the part of the S ecretariat of
the United Nations concerning the legal status of any country, territory, city or area,
or of its authorities, or concerning the delimitation of its frontiers or boundaries.
This publication has not been formally edited.
Publishing production: English, Publishing and Library Section, United Nations Office
at Vienna.
Contents
Page
I. Origin, mandate and membership of UNCITRAL. . . . . . . . . . . . . . 1
A. Origin . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
B. Mandate. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
C. Membership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
II. General information on UNCITRAL . . . . . . . . . . . . . . . . . . . . . . . 3

A. UNCITRAL website. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
B. Document numbering/symbols. . . . . . . . . . . . . . . . . . . . . . . . . 4
C. UNCITRAL Law Library. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
III. Organization and methods of work. . . . . . . . . . . . . . . . . . . . . . . 5

A. UNCITRAL (the Commission). . . . . . . . . . . . . . . . . . . . . . . . . . 5
B. Working groups. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
C. Participation at sessions of UNCITRAL and its working groups. . . 8
D. Secretariat . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
1. Work programme . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
2. Technical cooperation and assistance to law reform . . . . . . 10
3. Other activities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
4. Interns and visiting scholars. . . . . . . . . . . . . . . . . . . . . . . 10
IV. Work of UNCITRAL. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

A. Selection of the work programme. . . . . . . . . . . . . . . . . . . . . . 11
B. Techniques of modernization and harmonization. . . . . . . . . . . . 13
1. Legislative techniques . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
(a) Conventions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
(b) Model laws. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
(c) Legislative guides and recommendations. . . . . . . . . . . 16
(d) Model provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
(e) Finalization and adoption of legislative texts. . . . . . . 17
2. Contractual techniques. . . . . . . . . . . . . . . . . . . . . . . . . . . 18
3. Explanatory techniques. . . . . . . . . . . . . . . . . . . . . . . . . . . 19
(a) Legal guides. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
(b) Practice and other information guides. . . . . . . . . . . . 19
(c) Interpretative declarations . . . . . . . . . . . . . . . . . . . . 20
C. Uniform interpretation of legislative texts: Case law on
UNCITRAL texts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
D. Coordinating the work of other organizations. . . . . . . . . . . . . . 22
E. UNCITRAL’s position within the United Nations system. . . . . . . 25
F. Technical cooperation and assistance to law reform . . . . . . . . . 26
1. Technical cooperation and assistance activities. . . . . . . . . . 26
2. Regional centres . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
iii
Page
G. Special events. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
H. General Assembly resolutions relating to UNCITRAL . . . . . . . . . 29
Annexes
I. General Assembly resolution 2205 (XXI). . . . . . . . . . . . . . . . . . . . . 31
II. UNCITRAL member States. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
III. Chairpersons of UNCITRAL. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
IV. UNCITRAL working groups and chairpersons. . . . . . . . . . . . . . . . . . 45
V. Secretaries of UNCITRAL and further information . . . . . . . . . . . . . . 49
VI. UNCITRAL texts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
iv
I. Origin, mandate and
membership of UNCITRAL
A. Origin
1. In an increasingly economically interdependent world, the importance of an

improved legal framework for the facilitation of international trade and invest-
ment is widely acknowledged. The United Nations Commission on International
Trade Law (UNCITRAL), established by the United Nations General Assembly
by resolution 2205 (XXI) of 17 December 1966 (see annex I), plays an important
role in developing that framework in pursuance of its mandate to further the
progressive harmonization and modernization of the law of international trade1
by preparing and promoting the use and adoption of legislative and non-legislative
instruments in a number of key areas of commercial law. Those areas include
dispute resolution, international contract practices, transport, insolvency, elec-
tronic commerce, international payments, secured transactions, procurement and
sale of goods. These instruments are negotiated through an international process
involving a variety of participants, including member States of UNCITRAL, non-
member States, and invited intergovernmental and non-governmental organiza-
tions. As a result of this inclusive process, these texts are widely accepted as
offering solutions appropriate to different legal traditions and to countries at
different stages of economic development. In the years since its establishment,
UNCITRAL has been recognized as the core legal body of the United Nations
system in the field of international trade law.
B. Mandate
2. UNCITRAL gives effect to its mandate by:

“(a) Coordinating the work of organizations active in this field and encour-
aging cooperation among them;
1
For details concerning the mandate for the progressive development of the law of international
trade, see the report of the Secretary-General, Official Records of the General Assembly, Twenty-first
Session, A/6396 (1966); the report of the Fifth Committee of the General Assembly at its twenty-
first session, Official Records of the General Assembly, Twenty-first Session, A/6594 (1966); and the
relevant summary records of the proceedings of the Sixth Committee, which are contained in the
Official Records of the General Assembly, Twenty-first Session, Sixth Committee, 947th-955th meetings
(A/C.6/SR.947-955).
1
2 A Guide to UNCITRAL
“(b) Promoting wider participation in existing international conventions and

wider acceptance of existing model and uniform laws;
“(c) Preparing or promoting the adoption of new international conventions,
model laws and uniform laws and promoting the codification and wider accept-
ance of international trade terms, provisions, customs and practices, in collabora-
tion, where appropriate, with the organizations operating in this field;
“(d) Promoting ways and means of ensuring a uniform interpretation and
application of international conventions and uniform laws in the field of the law
of international trade;
“(e) Collecting and disseminating information on national legislation and
modern legal developments, including case law, in the field of the law of inter-
national trade;
“(f) Establishing and maintaining a close collaboration with the United Nations
Conference on Trade and Development;
“(g) Maintaining liaison with other United Nations organs and specialized
agencies concerned with international trade; and
“(h) Taking any other action it may deem useful to fulfil its functions.”2
C. Membership
3. Members of UNCITRAL are selected from among States Members of the

United Nations and represent different legal traditions and levels of economic
development. The original membership comprised 29 States.3 It was expanded
by the United Nations General Assembly in 19734 to 36 States and again in
20025 to 60 States. The expansion reflected the broader participation and con-
tribution by States beyond the then existing member States and stimulated
interest in UNCITRAL’s expanding work programme. For detailed information
concerning the membership of UNCITRAL, see annex II.
4. Structured to ensure that the various geographic regions and the principal eco-
nomic and legal systems of the world are represented, the 60 member States include
14 African States, 14 Asian States, 8 Eastern European States, 10 Latin American
2
General Assembly resolution 2205 (XXI), sect. II, para. 8, set forth in annex I to this
publication.
3
Ibid., para. 1.
4
See General Assembly resolution 3108 (XXVIII), para. 8.
5
See General Assembly resolution 57/20, para. 2. The expansion was effective from the opening
day of the thirty-seventh annual session of UNCITRAL, in 2004.
Basic facts about the United Nations Commission on International Trade Law3
and Caribbean States and 14 Western European and other States. The General
Assembly elects members for terms of six years; every three years the terms of half
of the members expire.6 As a general rule, elections are held towards the end of
the year before the year in which membership expires.7 The actual date of expiry
is the day immediately before the day on which the Commission session to be held
in that year commences. Membership is typically discussed before the election within
the various regional groupings, each of which has the fixed number of seats in the
Commission as noted above and Member States submit their candidatures through
their Permanent Missions in association with the chairpersons of their respective
regional groups. Membership does not entail any additional financial contribution,
as UNCITRAL is a permanent commission of the General Assembly and its secretariat
is part of the United Nations Secretariat. The UNCITRAL secretariat is not involved
in the election of members of the Commission.
II. General information on UNCITRAL

A. UNCITRAL website: www.uncitral.org
5. UNCITRAL’s website is available in all six of the official languages of the

United Nations (Arabic, Chinese, English, French, Russian and Spanish). It is
frequently updated and includes all recent UNCITRAL documents, including
those prepared for sessions of working groups and the Commission; information
relating to meetings and other activities of UNCITRAL, its working groups and
the UNCITRAL secretariat; adopted UNCITRAL texts and the related explanatory
notes;8 a list indicating the current status of adoption and implementation of
6
See annex II to the present publication, endnotes a and c.
7
See annex II for the terms of members. Updated information is available from: http://www.
uncitral.org/uncitral/en/about/origin.html
8
To date, explanatory notes have been prepared for the following texts: (a) United Nations
Convention on the Carriage of Goods by Sea, (Hamburg, 1978) (A/CN.9/306); (b) United Nations
Convention on Contracts for the International Sale of Goods (Vienna, 1980) (A/CN.9/307); (c) Con-
vention on the Limitation Period in the International Sale of Goods (New York, 1974) (A/CN.9/308);
(d) UNCITRAL Model Law on International Commercial Arbitration (1985) (A/CN.9/309);
(e) United Nations Convention on International Bills of Exchange and International Promissory
Notes (New York, 1988) (A/CN.9/386); (f) United Nations Convention on the Liability of Operators
of Transport Terminals in International Trade (Vienna, 1991) (A/CN.9/385); (g) UNCITRAL Model
Law on International Credit Transfers (1992) (A/CN.9/384); (h) United Nations Convention on
Independent Guarantees and Stand-by Letters of Credit (New York, 1995) (A/CN.9/431); and
(i) United Nations Convention on the Assignment of Receivables in International Trade (New York,
2001) (A/CN.9/557).
conventions and model laws; case abstracts and digests of case law from the
Case Law on UNCITRAL Texts (CLOUT) system; General Assembly resolutions
relating to the work of UNCITRAL; a bibliography of scholarly writings on
UNCITRAL texts; UNCITRAL publications, including reports of special events
(see paras. 75-76 below); information on official document numbering and sym-
bols; press releases; and summary records of meetings of UNCITRAL.9 Working
Group and Commission documents are also available from the United Nations
Official Document System (ODS) at http://ods.un.org.
6. The Yearbook of the United Nations Commission on International Trade Law (the
UNCITRAL Yearbook) is a compilation of all substantive documents issued by the
Secretariat in relation to the work of the Commission and its working groups
for a given year, as well as other information, including reports of the Sixth
Committee of the General Assembly.10 The UNCITRAL Yearbook is published in
English, French, Russian and Spanish and is available in libraries around the
world that function as United Nations depository libraries, as well as from the
UNCITRAL website (see annex V for further information).
B. Document numbering/symbols
7. Individual documents prepared for consideration by UNCITRAL and its

working groups bear the symbol “A/CN.9/”). “A” indicates that the document is
a General Assembly document and “CN.9” indicates that the document is for
UNCITRAL, as the ninth permanent commission to report to the General Assem-
bly. On documents prepared for the annual session of the Commission, this
symbol is followed by a consecutive number (e.g. A/CN.9/421). On working
group documents, the symbol is followed by “WG” and the number assigned to
the particular working group,11 and then by “WP” (meaning “working paper”)
and the consecutive number assigned to the specific document (e.g. A/CN.9/
WG.II/WP.23).
9
The Secretary General provides summary records of those parts of the meetings of the Com-
mission, including committees of the whole established by the Commission for the duration of its
annual session, relating to the formulation of normative texts. These records are reproduced in the
relevant UNCITRAL Yearbook.
10
The Sixth Committee is one of the main committees of the General Assembly and considers
legal matters, including the annual report of UNCITRAL.
11
As of 2012, there are six working groups of the Commission which are numbered I to VI.
The current task before each of the working groups is indicated in parentheses following the number
of the working group (I Procurement; II Arbitration and Conciliation; III Online Dispute Resolution;
IV Electronic Commerce; V Insolvency Law; VI Security Interests) see A/CN.9/638/Add.1, para. 28.
8. Since its third session in 1970, annual reports of UNCITRAL have been
published as Supplement Number 17 to the Official Records of the General
Assembly and bear the symbol “A/[ . . . ]/17” (the middle number indicating
the number of the applicable annual session of the General Assembly).
C. UNCITRAL Law Library

9. The UNCITRAL Law Library is the specialized trade law library of the
United Nations. It was established in 1979 in Vienna as a reference and research
library for the UNCITRAL secretariat and participants in intergovernmental
meetings convened by UNCITRAL. Since its establishment, the Library has also
supported the research needs of permanent missions, other Vienna-based inter
national organizations, and legal scholars and practitioners. The Library prepares
and publishes an annual bibliography of scholarly writings on UNCITRAL texts;
the bibliographies prepared since 1968 have been compiled into a consolidated
version, which is available on the UNCITRAL website, together with monthly
bibliographic updates.
III. Organization and methods of work12

10. UNCITRAL’s work is organized and conducted at three levels. The first level
is UNCITRAL itself, often referred to as the Commission, which works through
an annual plenary session. The second level is the intergovernmental working
groups, which to a large extent undertake the development of the topics on
UNCITRAL’s work programme, while the third is the secretariat, which assists the
Commission and its working groups in the preparation and conduct of their work.
A. UNCITRAL (the Commission)

11. UNCITRAL carries out its work at annual sessions held alternately in
New York and Vienna.13 The work at these sessions typically includes finaliza-
12
See http://www.uncitral.org/uncitral/en/about/methods_documents.html
13
See the report of the Committee on Conferences (Official Records of the General Assembly,
Thirty-fourth Session, Supplement No. 32 (A/34/32) (1979), para. 32 (e) (iii)). Prior to the relocation
of the UNCITRAL secretariat from New York to Vienna, sessions of the Commission alternated
between New York and Geneva (see General Assembly resolution 2205 (XXI), sect. II, para. 6;
General Assembly resolution 31/140, sect. I, para. 4 (c); and General Assembly resolution 40/243,
part one, para. 4 (c); see also General Assembly resolution 66/94, para. 20.
tion and adoption of draft texts referred to the Commission by the working
groups; consideration of progress reports of the working groups on their respec-
tive projects; selection of topics for future work or further research; reporting
on technical cooperation and assistance activities and coordination of work with
other international organizations; monitoring of developments in the CLOUT
system and the status and promotion of UNCITRAL legal texts; consideration
of General Assembly resolutions on the work of UNCITRAL; and administrative
matters.
12. Comprising a chairperson, three vice-chairpersons and a rapporteur, the

bureau of the Commission is elected by the member States at the commence-
ment of each annual session and serves until the commencement of the following
annual session. The bureau represents each of the five regions from which the
members of the Commission are drawn.14 For a list of the chairpersons of
UNCITRAL, see annex III.
13. In addition to States members of UNCITRAL, other United Nations Member

States, as well as international and regional organizations (both intergovernmen-
tal and non-governmental) with expertise in the topics under discussion are
invited to attend both UNCITRAL annual sessions and working group sessions
as observers.15
14. Decisions in the Commission are taken by member States of the Commis-
sion. The views of non-member States and observer organizations are for the
benefit of member States, who may take such views into account in determining
their positions on the issues to be decided upon. The long-standing practice in
the Commission is to reach decisions by consensus.16 In 2010, the Commission
formalised this practice, resolving that decisions should be reached by consensus
as far as possible; in the absence of consensus, decisions are to be taken by
voting in accordance with the relevant rules of procedure of the General
Assembly.17
14
See para. 4 above and Official Records of the General Assembly, Twenty-third Session, Supplement
No. 16 (A/7216) (1968), para. 14.
15
For information on the participation of observers in UNCITRAL meetings, see Note by the
Secretariat: UNCITRAL rules of procedure and methods of work (A/CN.9/638/Add.5), section IV.
Status of observers; and Official Records of the General Assembly, Sixty-fifth session, Supplement No. 17
(A/65/17) (2010), Annex III: UNCITRAL Rules of procedure and methods of work.
16
Ibid; see also Note by the Secretariat: UNCITRAL rules of procedure and methods of work
(A/CN.9/638/Add.4), section III, I.2 Decision-making in the Commission.
17
Official Records of the General Assembly, Sixty-fifth session, Supplement No. 17 (A/65/17) (2010),
Annex III: UNCITRAL Rules of procedure and methods of work, Summary of conclusions, para. 2).
15. A report of the proceedings at annual sessions is formally adopted by

UNCITRAL for submission to the General Assembly. In accordance with the resolu-
tion establishing UNCITRAL,18 the annual report is also provided to the
United Nations Conference on Trade and Development (UNCTAD) for comment.
B. Working groups
16. The substantive preparatory work on topics on UNCITRAL’s work pro-

gramme is usually assigned to working groups,19 which generally hold one or
two sessions per year and report on the progress of their work to the Commis-
sion. The membership of the working groups currently includes all member
States of UNCITRAL. Once assigned a topic, a working group is generally left
to complete its substantive task without intervention from the Commission,
unless it asks for guidance or requests the Commission to make certain decisions
with respect to its work, such as clarification of the Working Group’s mandate
on a particular topic or approval of the policy settings of a particular text.20 At
each working group session, member State delegations select a chairperson and
rapporteur from among member State delegations.21 For a list of the working
groups and their chairpersons, see annex IV.
17. The secretariat of each working group comprises staff members of the
UNCITRAL secretariat. The secretariat is responsible for preparing working
papers for working group meetings, providing administrative services to that
working group and reporting on working group sessions. Reports are considered
and formally adopted at the end of each working group session for submission
to the annual session of UNCITRAL. On several occasions, when the topics being
18
General Assembly resolution 2205 (XXI), para. 10 (see annex I to this publication).
19
See Official Records of the General Assembly, Thirty-third Session, Supplement No. 17 (A/33/17)
(1978), para. 67.
20
In 2002, for example, Working Group V requested the Commission to, inter alia, approve
in principle the draft of the Legislative Guide on Insolvency Law (see Official Records of the General
Assembly, Fifty-eighth Session, Supplement No. 17 (A/58/17) (2002), paras. 172-197). A similar
approach was adopted in 2006 with respect to the recommendations of the Legislative Guide on
Secured Transactions (see Official Records of the General Assembly, Sixty-first Session, Supplement No. 17
(A/61/17) (2006), para.13).
21
On a limited number of occasions, the chair of a working group has been appointed in a
personal capacity on the basis of expertise and experience in the topic under consideration (see
annex IV to the present publication).
considered by different working groups have intersected, joint sessions have been
held to coordinate the work and ensure consistency.22
C. Participation at sessions of UNCITRAL and its

working groups
18. Documentation for annual UNCITRAL sessions and working group sessions
is posted on the UNCITRAL website and is available in the six official languages
of the United Nations. Sessions are facilitated by simultaneous interpretation in
all six official languages.
19. Discussion takes place in a formal manner, with the chairperson of the
meeting according delegations the opportunity to speak.
20. The size and composition of member and non-member State delegations
to annual sessions and working groups is a matter for those States and may vary
according to the subject matter under consideration. Member and non-member
State delegations typically include Government officials, academics, experts or
private sector lawyers. Delegations from invited intergovernmental organizations
typically comprise staff members of those organizations. The delegations of
invited non-governmental organizations are limited to five representatives and
typically include academics, private sector lawyers or other experts. The mem-
bership of some delegations remains relatively constant throughout a single
project, while others may change from meeting to meeting.
21. To facilitate the development of legislative texts, and in particular to iden-

tify and resolve issues of terminology and translation in order to achieve uni-
formity between the different language versions, drafting group meetings are
often held in conjunction with the annual session of UNCITRAL and with
working group sessions. Delegates and observers from the six official language
groups are invited to participate in these meetings with relevant officers of the
secretariat and the United Nations editors and translators responsible for the
instrument under discussion.
22
Working Groups V (Insolvency Law) and VI (Security Interests) held joint sessions in 2003
and again in 2004 to coordinate insolvency aspects of the Legislative Guide on Secured Transactions
(A/CN.9/535 and A/CN.9/550). In 2005, an informal joint meeting of experts from Working Group
IV (Electronic Commerce) and Working Group III (Transport Law) took place in London to consider
the provisions of the draft instrument on the carriage of goods [wholly or partly] [by sea] as they
related to electronic commerce (A/CN.9/WG.III/WP.47).
D. Secretariat
1. Work programme
22. The International Trade Law Division of the Office of Legal Affairs of the
United Nations Secretariat provides the secretariat for UNCITRAL. Originally
located at United Nations Headquarters in New York, the Division was relocated
to the United Nations Office at Vienna in September 1979, while formally
remaining a part of the Office of Legal Affairs in New York. Professional staff
members of the Division include a small number of qualified lawyers from dif-
ferent countries and legal traditions,23 with the Director of the Division serving
as the Secretary of UNCITRAL (see annex V).
23. To assist the work of UNCITRAL, the secretariat undertakes a variety of

different tasks, which includes preparation of studies, reports and draft texts on
topics that are being considered for possible future inclusion in the work pro-
gramme; legal research; drafting and revision of working papers and legislative
texts on topics already included in the work programme; reporting on Commis-
sion and working group meetings; and providing a range of administrative ser-
vices to UNCITRAL and its working groups. In preparing its work, the secretariat
may seek the assistance of outside experts from different legal traditions, con-
ducting ad hoc consultations with individuals or convening meetings of groups
of experts in a particular field, as required. Such groups have included academics,
practising lawyers, judges, bankers, arbitrators and members of various interna-
tional, regional and professional organizations.
24. On several occasions, substantive preparation of a text has not been under-
taken by a Working Group, but by the secretariat in consultation with experts.
For example, a preliminary draft of the 1976 arbitration rules, with commentar-
ies, was prepared by the secretariat in consultation with experts in the field24
and then presented to the Commission and subsequently revised by the secre-
tariat in light of the Commission’s deliberations. Draft chapters of the Legislative
Guide on Privately Financed Infrastructure Projects were prepared by the secre-
tariat and reviewed and adopted by the Commission. A similar approach was
taken with the Practice Guide on Cross-Border Insolvency Cooperation (2009),
The UNCITRAL Model Law on Cross-Border Insolvency: the judicial perspective
23
In December 2012, the UNCITRAL secretariat included 14 regular budget-funded posts for
legal officers, including the Secretary of the Commission, recently supported by one extra-budgetary
programme manager at the Regional Centre for Asia and the Pacific.
24
See Report of the Secretary-General: preliminary draft set of arbitration rules for optional
use in ad hoc arbitration relating to international trade (UNCITRAL Arbitration Rules), A/CN.9/97
and Add.1-4.
(2011) and Promoting Confidence in Electronic Commerce: Legal Issues on Inter-

national Use of Electronic Authentication and Signature Methods (2007).
2. Technical cooperation and assistance to law reform
25. The work of UNCITRAL does not end with the finalization and adoption
of a text but, as noted above, includes promotion of the use and adoption of
those legislative and non-legislative texts. This work is organized through the
secretariat and is discussed in detail below (see paras. 69-73).
3. Other activities
26. The secretariat also assists the Commission in its functions of coordinating
the work of other organizations; promoting the work of UNCITRAL within the
broader United Nations agenda (see paras. 67-68); promoting the uniform inter-
pretation of legal standards through the CLOUT system; and organizing special
events. These functions are discussed in more detail in the following paragraphs.
4. Interns and visiting scholars
27. Each year a limited number of persons who have a first level university
degree and are enrolled in a degree programme in a graduate school (working
towards a second university degree or higher) at the time of application and
throughout the internship, in commercial law, international trade law or private
international law are given the opportunity to work as interns in the International
Trade Law Division.25 Interns are assigned specific tasks in connection with
UNCITRAL’s work programme and projects being undertaken by the secretariat.
Individuals participating in this programme are able to familiarize themselves
with the work of UNCITRAL and to increase their knowledge of specific areas
of international trade law. Legal scholars may, by arrangement with the secretariat,
use the UNCITRAL Law Library for private research on projects related to inter-
national trade law.
25
http://www.uncitral.org/uncitral/en/vacancies_internships.html
IV. Work of UNCITRAL

A. Selection of the work programme
28. After considering a number of suggestions by member States, at its first
session in 1968, the Commission adopted nine subject areas as the basis of its
work programme: international sale of goods; international commercial arbitra-
tion; transportation; insurance; international payments; intellectual property;
elimination of discrimination in laws affecting international trade; agency; and
legalization of documents.26 Some of these subjects have not been taken up by
the Commission, for example, insurance, elimination of discrimination in laws
affecting international trade, agency and legalization of documents. Priority status
initially was accorded to international sale of goods, international commercial
arbitration and international payments. Other topics, such as trade financing
contracts, transport, electronic commerce, procurement, international commercial
conciliation, insolvency, security interests, online dispute resolution and micro-
finance have subsequently been added.
29. On a number of occasions since that first session, the Commission has
considered and revised its work programme on the basis of new developments
in technology, changes in business practices, international trends and develop-
ments, economic and financial crises and other forces affecting and shaping
international trade. Proposals for consideration of new topics can arise in a
number of ways: they may be made directly to the Commission by Governments
(for example the proposal for future work on insolvency law in 1999);27 they
may arise from consultation with various international organizations (for example
with the International Maritime Committee on international carriage of goods
(see para.76)); from special colloquiums and seminars (such as the 1992 Congress
on International Trade Law (see para. 75), the 1994 Colloquium on Cross-Border
Insolvency,28 the 1998 New York Convention Day,29 and various colloquiums on
26
Official Records of the General Assembly, Twenty-third Session, Supplement No. 16 (A/7216)
(1968), paras. 40 and 48.
27
See document A/CN.9/462/Add.1; also Official Records of the General Assembly, Fifty-fourth
Session, Supplement No. 17 (A/54/17) (1999), para. 381.
28
See the report on the UNCITRAL-INSOL Colloquium on Cross-Border Insolvency
(A/CN.9/398) and the Official Records of the General Assembly, Forty-ninth Session, Supplement No. 17
(A/49/17) (1994), paras. 215-222. For information on subsequent insolvency colloquiums, see
http://www.uncitral.org/uncitral/en/commission/colloquia.html.
29
See “Possible future work in the area of international commercial arbitration” (A/CN.9/460).
For the texts of the 1958 New York Convention Day speeches, see Enforcing Arbitration Awards
under the New York Convention: Experience and Prospects, available from http://www.uncitral.org/
uncitral/publications/publications.html.
transport, privately financed infrastructure projects, international commercial

fraud, secured transactions and online dispute resolution30); or they may arise
as topics that are related to subjects already under discussion in the working
groups (for example, the need for a text on electronic signatures was identified
during development of the Model Law on Electronic Commerce and the possibil-
ity of developing model provisions on privately financed infrastructure projects
was identified during the development of the legislative guide on that topic).
30. Topics may also arise from experience gained in the implementation and
application of an existing text, which may suggest the need for revision of that
text31 or further development of the explanatory material accompanying that text,
such as a guide to enactment in the case of a model law.32 In considering whether
particular topics should be added to the programme, factors such as global
significance, special interest to developing countries, developments in technology
and changing trends in commercial practice are taken into account.
31. The Commission initially considered some of the topics currently on the
programme as not likely to produce an agreed, harmonized legal text. However,
developments in international trade law and practices, as well as the successful
conclusion by UNCITRAL of work on related topics, have since created a demand
for reconsideration of those topics and made the development of legal texts
feasible (for example harmonization of national insolvency and secured trans
actions law). Aspects of other topics that generally fall within the mandate of
specialized international organizations, such as intellectual property, have been
the subject of coordinated work.33
30
See paras. 75-76 below and generally http://www.uncitral.org/uncitral/en/commission/colloquia.
html.
31
For example, the decision in 2004, to revise the Model Law on the Procurement of Goods,
Construction and Services (1994) to address issues arising from its implementation and the devel-
opment of electronic procurement practice (see A/CN.9/WG.I/WP.34). In 2010, the Commission
adopted revisions to the UNCITRAL Arbitration Rules, to conform them to current practices in
international trade and to address developments in arbitral practice over the previous 30 years
(Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17 (A/65/17) (2010), para.
187.
32
Jurisprudence emerging from application and interpretation of the Model Law on Cross-
Border Insolvency led to a proposal to address issues related to the concept of “centre of main
interests” as used in the Model Law. At the date of this publication, the work is being implemented
through revision of the Guide to Enactment of the Model Law (see Report of Working Group V
on the work of its fortieth session, A/CN.9/738, para. 13).
33
The UNCITRAL Legislative Guide on Secured Transactions: Supplement on Security Rights in Intel-
lectual Property (2010) was developed in cooperation with the World Intellectual Property Organiza-
tion (WIPO) and other intellectual property organizations.
B. Techniques of modernization and harmonization
32. UNCITRAL has adopted a flexible and functional approach with respect to
the techniques it uses to perform its mandate to modernize and harmonize the
law of international trade.34 These techniques fall into three broad categories,
which operate at different levels and involve different types of compromise or
acceptance of difference: legislative, contractual and explanatory (for a compre-
hensive list of UNCITRAL texts, see annex VI). To some extent, these techniques
also show the process of modernization and harmonization occurring at different
stages of business development. While the process typically works to bring long-
established practices closer together, there are cases that might be seen as exam-
ples of “preventive” harmonization—establishing new principles and practices
that will minimize divergence when national laws on new issues are developed.
This has been typical in areas affected by new technology or new business prac-
tices, such as electronic commerce, arbitration and procurement.
1. Legislative techniques
33. UNCITRAL has produced several different types of legislative texts: conven-
tions; model laws; legislative guides; and model provisions.
(a) Conventions
34. A convention is designed to unify law by establishing binding legal obliga-

tions. To become a party to a convention, States are required formally to deposit
a binding instrument of ratification or accession with the depositary (for conven-
tions prepared by UNCITRAL, the Secretary-General of the United Nations). The
entry into force of a convention is usually dependent upon the deposit of a
minimum number of instruments of ratification.35
34
In this connection, see also the report of the Secretary-General entitled “Question of coor-
dination: direction of the work of the Commission” (A/CN.9/203, paras. 99-122); and the note by
the Secretariat entitled “Alternative methods for the final adoption of conventions emanating from
the work of the Commission” (A/CN.9/204).
35
These minimum numbers are specified in the following articles: United Nations Convention
on Contracts for the International Sale of Goods (Vienna, 1980), art. 99, para. 1; the Hamburg
Rules, art. 30, para. 1; United Nations Convention on Independent Guarantees and Stand-by Letters
of Credit (New York, 1995), art. 28, para. 1; United Nations Convention on the Assignment of
Receivables in International Trade (New York, 2001), art. 45, para. 1; United Nations Convention
on the Use of Electronic Communications in International Trade (New York, 2005), art. 23, para. 1;
and the Rotterdam Rules, art. 94, para. 1.
35. A convention is often used where the objective is to achieve a high degree
of harmonization of law in the participating States, reducing the need for a party
to undertake research of the law of another State party. The international obliga-
tion assumed by that State on adoption of the convention is intended to provide
an assurance that the law in that State is in line with the terms of that conven-
tion.36 If a high degree of harmonization cannot be achieved or a greater degree
of flexibility is desired and is appropriate to the subject matter under considera-
tion, a different technique of harmonization, such as a model law or legislative
guide, might be used.
36. Except to the extent that they permit reservations or declarations, conven-
tions afford little flexibility to adopting States. The conventions negotiated by
UNCITRAL generally do not allow reservations or declarations by States or allow
them only to a very limited extent.37 In some cases, the ability to make a res-
ervation or declaration represents a compromise that will enable some States to
become a party to the convention without being obliged to comply with the
provision to which the reservation or declaration relates.
(b) Model laws
37. A model law is a legislative text that is recommended to States for enact-
ment as part of their national law.
38. A model law is an appropriate vehicle for modernization and harmonization

of national laws when it is expected that States will wish or need to make adjust-
ments to the text of the model to accommodate local requirements that vary
from system to system, or where strict uniformity is not necessary or desirable.
It is precisely this flexibility that makes a model law potentially easier to negoti-
ate than a text containing obligations that cannot be altered, and can promote
greater acceptance of a model law than of a convention dealing with the same
36
See, for example, the joint survey developed in cooperation with Committee D (now known
as the Arbitration Committee) of the International Bar Association to monitor legislation giving
effect to the New York Convention (Official Records of the General Assembly, Fiftieth Session, Supple-
ment No. 17 (A/50/17) (1995), paras. 401-404.
37
See, for example, the United Nations Convention on Contracts for the International Sale of
Goods (Vienna, 1980) articles 92-96. Although there may be limited provision for reservations or
derogations by States, the legal regimes of UNCITRAL conventions may be subject to contractual
derogation, for example, United Nations Convention on Contracts for the International Sale of
Goods (Vienna, 1980), art. 6, United Nations Convention on the Use of Electronic Communications
in International Trade (New York, 2005), art. 3, and United Nations Convention on the Assignment
of Receivables in International Trade (New York, 2001), art. 6. For a list of States parties to these
Conventions and relevant declarations and reservations, see http://www.uncitral.org/uncitral/en/
uncitral_texts.html.
subject matter. Notwithstanding this flexibility, in order to increase the likelihood

of achieving a satisfactory degree of unification and to provide certainty about
the extent of unification, States are encouraged to make as few changes as pos-
sible when incorporating a model law into their legal systems.
39. Model laws are generally finalized and adopted by UNCITRAL at its annual
session, as opposed to adoption of a convention, which requires the convening
of a diplomatic conference. This factor may make preparation of a model law
less expensive than the preparation of a convention, unless the convention is
adopted by the General Assembly performing the function of a diplomatic con-
ference, as has been the case for most of the recent conventions prepared by
UNCITRAL (see paras. 47-49).
40. Recent model laws completed by UNCITRAL have been accompanied by

a “guide to enactment” setting forth background and other explanatory informa-
tion to assist Governments and legislators in using the text.38 The guides include,
for example, information that would assist States in considering what, if any,
provisions of the model law might have to be varied to take into account par-
ticular national circumstances, information relating to discussions in the working
group on policy options and considerations, and matters not addressed in the
text of the model law that may nevertheless be relevant to the subject matter of
the model law.
41. Within the category of model laws prepared by UNCITRAL, a comparison

of two texts, the UNCITRAL Model Law on International Commercial Arbitration
(1985) and the UNCITRAL Model Law on Electronic Commerce (1996), illus-
trates how the model law form can be adapted to the subject matter under
consideration and to the degree of flexibility sought by the drafters. The Model
Law on International Commercial Arbitration, which could be described as a
procedural instrument, provides a discrete set of interdependent articles. It is
recommended that, in adopting this Model Law, very few amendments or changes
are made. As a rule, relatively few deviations from this text have been made by
States adopting enacting legislation, suggesting that the procedures it establishes
are widely accepted and understood as forming a coherent basis for international
commercial arbitration. The Model Law on Electronic Commerce, on the other
hand, is a more conceptual text. The legislation that has been based on this
38
The Model Laws on International Credit Transfers and International Commercial Arbitration
include short explanatory notes prepared by the secretariat of UNCITRAL for information purposes.
The Model Laws on Electronic Commerce; Electronic Signatures; Cross-Border Insolvency; Interna-
tional Commercial Conciliation and Public Procurement include more extensive, official guides to
enactment. These guides were considered by the Commission and generally adopted together with
the text of each model law.
Model Law largely reflects the principles of the text, although there are some
departures from it in terms not only of drafting, but also in the combination of
provisions adopted.39
42. As noted above, revision of one model law, the Model Law on the Procure-
ment of Goods, Construction and Services (1994) was completed in 2011 (now
entitled the UNCITRAL Model Law on Public Procurement) and the accompany-
ing Guide to Enactment was completed in 2012.
(c) Legislative guides and recommendations
43. For a number of reasons, it is not always possible to draft specific provi-
sions in a suitable or discrete form, such as a convention or a model law, for
incorporation into national legal systems: national legal systems often use widely
disparate legislative techniques and approaches for solving a given issue, States
may not yet be ready to agree on a single approach or common rule, there may
not be consensus on the need to find a uniform solution to a particular issue,
or there may be different levels of consensus on the key issues of a particular
subject and how they should be addressed. In such cases, it may be appropriate
not to attempt to develop a uniform text, but to limit the work to a set of
principles or legislative recommendations.
44. In order to advance the objective of harmonization, and offer a legislative

model, the principles or recommendations would need to do more than simply
state general objectives. The text would provide a set of possible legislative solu-
tions to certain issues, but not necessarily a single set of model solutions for
those issues. In some cases, it may be appropriate to include variants, depending
upon applicable policy considerations. By discussing the advantages and disad-
vantages of different policy choices, the text would assist the reader to evaluate
different approaches and to choose the one most suitable in a particular national
context. It could also be used to provide a standard against which Governments
and legislative bodies could review the adequacy of existing laws, regulations,
decrees and similar legislative texts in a particular field and update those laws
or develop new laws.
45. UNCITRAL’s first legislative recommendation was adopted in 1985, to stim-

ulate review of legislative provisions on the legal value of computer records.40
39
For a list of the States that have enacted UNCITRAL Model Laws, see http://www.uncitral.
org/uncitral/en/uncitral_texts.html.
40
Recommendations to Governments and international organizations concerning the legal value
of computer records (1985), Official Records of the General Assembly, Fortieth Session, Supplement
No. 17 (A/40/17), para. 360.
(d) Model provisions

46. When a number of conventions deal with a particular question in a way
that may require unification and modernization, model provisions can be devel-
oped and recommended for use in future conventions and in revisions of existing
ones. In 1982, for example, UNCITRAL formulated a model provision establish-
ing a universal unit of account of constant value that could be used, in particular,
in international transport and liability conventions, for expressing amounts in
monetary terms.41 In conjunction with that model provision, UNCITRAL adopted
two alternative model provisions for the adjustment of an amount set forth in
an international convention: a sample price index clause and a sample amend-
ment procedure for a limit of liability. Model provisions may also assist in sup-
plementing a provision of a convention. The United Nations Convention on the
Assignment of Receivables in International Trade (New York, 2001) contains an
annex (of optional substantive law provisions) supplementing the conflicts of
laws rules of the Convention that deal with priority issues. In 2003, UNCITRAL
adopted the Model Legislative Provisions on Privately Financed Infrastructure
Projects, which complement the legislative guide on the same topic.42
(e) Finalization and adoption of legislative texts

47. After a working group has prepared a draft text of a convention, model
law or other legislative instrument, it is submitted for the consideration of
UNCITRAL at its annual session. If appropriate, the text may be accompanied
by an explanatory commentary prepared by the secretariat in order to assist the
Commission, Governments and international organizations in their deliberations.
Generally, the draft text and the commentary (if prepared) are circulated, before
the applicable annual session, to Governments and interested international organ-
izations for comment. The comments received may be compiled by the secretariat
and provided to the Commission to facilitate its consideration of the draft text.43
41
Provisions on a universal unit of account and on adjustment of the limit of liability in
international transport conventions (1982), Official Records of the General Assembly, Thirty-seventh
Session, Supplement No. 17 and corrigenda (A/37/17 and Corr.1 and 2), para. 63. See the report of
the Working Group on International Negotiable Instruments on the work of its twelfth session
(A/CN.9/215), para. 97; and Official Records of the General Assembly, Thirty-seventh Session, Supplement
No. 17 (A/37/17) (1982), para. 63.
42
Official Records of the General Assembly, Fifty-eighth Session, Supplement No. 17 (A/58/17) (2003),
annex I.
43
This procedure was first followed in respect of the draft model law on legal aspects of electronic
data interchange and related means of communication (later adopted as the Model Law on Electronic
Commerce). See for example the compilation of comments by Governments and international organi-
zations on the Draft convention on contracts for the international carriage of goods wholly or partly
by sea (A/CN.9/658 and Add.1-14), the Model Law on Public Procurement (A/CN.9/730 and Add.1-2)
and the Judicial Materials on the Model Law on Cross-Border Insolvency (A/CN.9/733 and Add.1).
48. Different procedures apply to the finalization and adoption of different types
of text. If the text concerned is, for example, a draft convention, UNCITRAL cannot
finalize it alone and action by the General Assembly is required. While a Diplomatic
Conference is desirable, the General Assembly can act as a conference of pleni
potentiaries44 to finalize and adopt the convention and open it for signature.45
49. If the draft text is to be a model law or a legislative guide, UNCITRAL

itself can finalize the text and formally adopt it; adoption by a conference of
plenipotentiaries is not required. Although the General Assembly may adopt a
resolution on that text, that resolution typically expresses its support for the
UNCITRAL process, echoing the decision of the Commission and recommending
that States give the text due consideration when modernizing and reforming
their laws (see para. 78).46
2. Contractual techniques
50. In the drafting of contracts, there are issues that can be resolved by refer-
ence to a standard or uniform clause or set of clauses or rules. The process of
standardization of these clauses or rules has a number of advantages. It can
identify all of the issues that parties should address in such clauses or rules;
ensure that the clause is effective and not (as sometimes occurs in the case of
agreements to arbitrate), ineffective or invalid (pathological); and provide inter-
nationally recognized and up-to-date solutions to specific issues. One common
example is in the field of dispute resolution, where a contract can include a
standard dispute resolution clause referring to the use of internationally recog-
nized rules for conduct of dispute resolution proceedings. The UNCITRAL Arbi-
tration Rules (1976, revised in 2010) and the UNCITRAL Conciliation Rules
(1980) are examples of such internationally recognized uniform rules. This type
of text is finalised and adopted by the Commission. A list of contractual texts
adopted by UNCITRAL is included in annex VI.
44
This occurred, for example, with respect to the United Nations Convention on International
Bills of Exchange and International Promissory Notes (New York, 1988), the United Nations Con-
vention on Independent Guarantees and Stand-by Letters of Credit (New York, 1995), the United
Nations Convention on the Assignment of Receivables in International Trade (New York, 2001) and
the United Nations Convention on the Use of Electronic Communications in International Contracts
(New York, 2005).
45
See the decision of the Commission at its forty-first session with respect to the Rotterdam
Rules, Official Records of the General Assembly, Sixty-third Session, Supplement No. 17 (A/63/17) (2008),
para. 298 and General Assembly resolution 63/122.
46
See, for example, General Assembly resolution 66/95 on the Model Law on Public Procure-
ment; and General Assembly resolution 65/23 on the UNCITRAL Legislative Guide on Secured
Transactions: Supplement on Security Rights in Intellectual Property.
3. Explanatory techniques
(a) Legal guides
51. When it is not feasible or necessary to develop a standard or model set of

contract rules, an alternative may be a legal guide giving explanations concerning
contract drafting. Parties negotiating complex international contracts, such as
construction contracts, often experience difficulties in negotiating and drafting
appropriate contract clauses for reasons such as lack of specific expertise,
resources or reference materials. Because such contracts must be tailored to the
circumstances of the case, it is normally not possible to develop a model contract
text that would be usable in a sufficient number of cases to justify the expense
of its preparation. Parties can be assisted, however, by a legal guide that discusses
various issues underlying the drafting of a particular type of contract; considers
various solutions to those issues; describes implications, advantages and disad-
vantages of those solutions; and recommends the use of certain solutions in
particular circumstances. Such legal guides may also include sample contract
clauses to illustrate particular solutions. The first legal guide adopted by the
Commission was the UNCITRAL Legal Guide on Drawing up International Contracts
for the Construction of Industrial Works (1987). That was followed by the UNCITRAL
Legal Guide on International Countertrade Transactions (1992) and, in 1996, the
UNCITRAL Notes on Organizing Arbitral Proceedings.
52. The focus of a legal guide may not be exclusively on contract drafting, but
may have a broader purpose of discussing issues that would also be of interest
to legislators and regulators. One example is the UNCITRAL Legal Guide on
Electronic Funds Transfers (1986), which discusses issues relating to the use of
electronic means of communication in making international payments.
53. A further example is the comprehensive reference document published by

the Commission in 2009 entitled “Promoting Confidence in Electronic Com-
merce: Legal Issues on International Use of Electronic Authentication and
Signature Methods”, which discusses certain elements required to establish a
favourable legal framework for electronic commerce.
(b) Practice and other information guides
54. Other guides have been prepared for use by judges and legal practitioners.
In 2009, the Commission adopted a practice guide—The UNCITRAL Practice
Guide on Cross-Border Insolvency Cooperation—providing information on practical
aspects of cross-border insolvency cooperation and coordination and in particular
compiling information on practical experience with the negotiation and use of
cross-border insolvency agreements (also known as protocols). In 2011, the Com-

mission adopted a text—The UNCITRAL Model Law on Cross-Border Insolvency:
the judicial perspective—developed in conjunction with judges and other insol-
vency experts to provide information and assistance to judges with respect to
questions arising under the Model Law on Cross-Border Insolvency.
(c) Interpretative declarations
55. A further example of an explanatory text is a declaration that could be

used to achieve a uniform interpretation of a particular text, or texts, where the
desirability of that interpretation is dictated by widespread changes in commercial
practices, developments in technology, emerging divergence in interpretation by
the courts, or some other factor affecting the application of the text. Such an
instrument may be particularly useful in the case of a convention, where amend-
ment of the text might pose significant technical problems. The possibility of
using this technique was discussed in the context of the writing requirement set
forth in article II, paragraph 2, of the New York Convention and more generally
in the context of the interpretation of article VII, paragraph 1, of that Conven-
tion.47 Ultimately, a recommendation regarding the interpretation of articles II
and VII was adopted by the Commission.48 The use of such a text to achieve a
uniform interpretation was also discussed in the context of electronic commerce
and the desirability of interpreting a number of international trade law instru-
ments by reference to the UNCITRAL Model Law on Electronic Commerce. That
question of interpretation has now been settled by the use of a different instru-
ment—the United Nations Convention on the Use of Electronic Communications
in International Contracts (New York, 2005), article 20.
47
For a discussion on the New York Convention, see Official Records of the General Assembly,
Fifty-fifth Session, Supplement No. 17 (A/55/17) (2000), paras. 410-412; the Reports of the Working
Group on Arbitration on the work of its thirty-second session (A/CN.9/468, paras. 88-106); thirty-
third session (A/CN.9/485, paras. 60-77), thirty-fourth session (A/CN.9/487, paras. 42-63); thirty-
sixth session (A/CN.9/508, paras. 40-50); and forty-fourth session (A/CN.9/592, paras. 82-88).
48
Recommendation regarding the interpretation of article II (2) and article VII (1) of the
Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York, 1958),
adopted by the Commission in 2006 and subsequently endorsed in General Assembly
resolution 61/33.
C. Uniform interpretation of legislative texts:

Case law on UNCITRAL texts (CLOUT)
56. Since a number of UNCITRAL’s legislative texts include an article promoting

uniform interpretation,49 in 1988, the Commission decided to establish a system
for the collection and dissemination of court decisions and arbitral awards relat-
ing to UNCITRAL legislative texts50 to assist in achieving uniformity in the
interpretation and application of those texts. The system is intended to provide
information for use by judges, arbitrators, lawyers, parties to commercial trans
actions, academics, students and other interested persons.
57. The system is known as Case Law on UNCITRAL Texts or CLOUT. The
majority of cases reported concern the United Nations Convention on Contracts
for the International Sale of Goods (Vienna, 1980) and the UNCITRAL Model
Law on International Commercial Arbitration (1985). Other texts include the
UNCITRAL Model Law on Electronic Commerce (1996), the UNCITRAL Model
Law on Cross-Border Insolvency (1997), the Hamburg Rules; the New York
Convention51 and the Convention on the Limitation Period in the International
Sale of Goods (New York, 1974, both amended and unamended versions). Other
UNCITRAL texts will be included in the system as relevant case law develops.
58. The CLOUT system relies on national correspondents designated either by

States parties to a convention or by States having enacted legislation based on
a model law.52 National correspondents are requested to collect decisions and
awards, prepare abstracts of them in one of the official languages of the
United Nations and forward both the text and the abstract to the UNCITRAL
49
Article 7 of the United Nations Convention on Contracts for the International Sale of Goods
(Vienna, 1980) has served as a model for subsequent texts, providing that “In the interpretation of
this Convention, regard is to be had to its international character and to the need to promote
uniformity in its application and the observance of good faith in international trade.”
50
See Official Records of the General Assembly, Forty-third Session, Supplement No. 17 (A/43/17)
(1988); and the note by the Secretariat entitled “Collection and dissemination of information on
UNCITRAL legal texts” (A/CN.9/312).
51
Prior to 2000, cases on the New York Convention were collected and reported in the year-
books of the International Council for Commercial Arbitration (see http://www.arbitration-icca.org).
Additional cases can be found at http://www.newyorkconvention1958.org.
52
See Official Records of the General Assembly, Forty-third Session, Supplement No. 17 (A/43/17)
(1988), para. 100. Since the twenty-second session of the Commission (1989), meetings of national
correspondents are usually held in Vienna in conjunction with alternate annual sessions of the
Commission. In 2009, the Commission agreed that national correspondents be appointed for a
period of 5 years to ensure that the collection system was sustainable over time and could respond
to changing circumstances (Official Records of the General Assembly, Sixty-fourth Session, Supplement
No. 17 (A/64/17) (2009), para. 370.
secretariat. CLOUT abstracts are then edited, translated into the six official lan-
guages of the United Nations and issued as part of the regular documentation
of UNCITRAL. In order to increase the collection of case law, submissions from
“voluntary contributors”, whether individuals or associations, are also welcomed.
This practice is consistent with the Commission’s request that the Secretariat
utilize all available sources of information that might supplement the information
provided by the national correspondents.
59. In December 2004, UNCITRAL published an analytical digest of court and

arbitral decisions identifying trends in the interpretation of the United Nations
Convention on Contracts for the International Sale of Goods (Vienna, 1980),
based on the case law collected through CLOUT. A second edition of the Digest
was released in 2008 and a third edition in 2012. In June 2012, UNCITRAL
published a digest of case law on the Model Law on International Commercial
Arbitration. In 2012, the Commission approved the preparation of a digest of
case law on the Model law on Cross-Border Insolvency.53
60. Both CLOUT abstracts and the Digests are available in the six United
Nations official languages from the UNCITRAL website. Upon request, texts of
decisions and awards reported in CLOUT are available in the original language
from the UNCITRAL secretariat.
61. The CLOUT system is instrumental in promoting the uniform interpretation

of UNCITRAL texts through their application by courts and arbitral tribunals
worldwide, contributing to the development and refinement of a global inter-
pretation of those texts, and enhancing their acceptability. It is also an important
resource for those countries and regions where there may be limited opportunities
to develop knowledge and expertise on UNCITRAL texts. The CLOUT system
has also proved useful in assisting those tasked with drafting and executing
commercial contracts, as well as courts and arbitral tribunals in dealing with
disputes arising from international transactions involving the application of an
UNCITRAL text and those researching UNCITRAL texts and their application.
CLOUT also functions as an “indirect source” of information providing references
and abstracts to other similar repositories of information.
D. Coordinating the work of other organizations
62. An important part of the mandate of UNCITRAL is to coordinate the work

of organizations active in the field of international trade law, both within and
53
Official Records of the General Assembly, Sixty-seventh Session, Supplement No. 17 (A/67/17)
(2012), para. 156.
outside the United Nations system, in order to encourage cooperation between

them, avoid duplication of effort and promote efficiency, consistency and coher-
ence in the modernization and harmonization of international trade law. In recent
years there has been a growing number of rule-making bodies developing texts
in areas of law that affect international trade, making UNCITRAL’s coordination
function increasingly important. To implement its mandate, UNCITRAL main-
tains close links with international and regional organizations, both intergovern-
mental and non-governmental, that are active participants in the work of
UNCITRAL and in the field of international trade law in order to facilitate the
exchange of ideas and information. It is represented, through its secretariat, at
meetings of those organizations and actively follows and participates in their
work where it relates to topics on UNCITRAL’s work programme. Those organi-
zations include the Hague Conference on Private International Law; the Inter-
national Institute for the Unification of Private Law (Unidroit); the International
Maritime Committee (CMI); the Organization of American States (OAS); the
Organization for Economic Cooperation and Development (OECD); the United
Nations regional commissions; UNCTAD; the World Bank; the World Customs
Organization (WCO); World Intellectual Property Organization (WIPO); and the
World Trade Organization (WTO).
63. To assist the Commission in its task of monitoring activities and develop-
ments in international trade law, the secretariat prepares general surveys of the
legislative and technical assistance activities of other organizations related to
international trade law,54 as well as in-depth reports on the activities of organiza-
tions on individual international trade law topics.55 International organizations
active in the field of international trade law have the opportunity, at annual
sessions of UNCITRAL, to present reports (both formal and informal) on their
activities.56
64. As a further part of this coordination function, UNCITRAL undertakes

work, such as studies and seminars, in conjunction with other international
organizations, both governmental and non-governmental. Examples include a
54
Reports are prepared pursuant to General Assembly resolution 34/142. See, for example,
“Current activities of international organizations related to the harmonization and unification of
international trade law”, a report prepared for the forty-third session of the Commission (2010)
(A/CN.9/707 and Add.1).
55
See Official Records of the General Assembly, Thirty-sixth Session, Supplement No. 17 (A/36/17)
(1981), para. 100. See also, for example, papers related to current activities of other international
organizations in the areas of procurement (A/CN.9/598/Add.1) and security interests (A/CN.9/598/
Add.2) prepared for the thirty-ninth session (2006) and procurement (A/CN.9/657/Add.2), prepared
for the forty-first session (2008).
56
For example, Official Records of the General Assembly, Sixty-seventh Session, Supplement No. 17
(A/67/17) (2012), paras. 169-173.
survey developed in cooperation with Committee D (now known as the Arbitra-

tion Committee) of the International Bar Association to monitor the implementa-
tion, in national laws, of the Convention on the Recognition and Enforcement
of Foreign Arbitral Awards (New York, 1958);57 a series of judicial colloquiums
on cross-border insolvency in conjunction with INSOL International and, since
2007, the World Bank58 and a paper prepared jointly by the secretariats of
UNCITRAL and Unidroit and the Permanent Bureau of the Hague Conference,
with the assistance of outside experts, comparing and analysing the major features
of international instruments relating to secured transactions.59 It has also under-
taken work to develop joint international standards with, for example, the World
Bank in the areas of insolvency law and secured transactions law.60
65. UNCITRAL has prepared publications in conjunction with other organiza-

tions, such as the Commonwealth Secretariat, to explain substantive provisions
and various technical aspects of incorporating an UNCITRAL text into domestic
legal systems (known as “accession kits”).61
66. When appropriate, UNCITRAL recommends the use or adoption of instru-

ments related to international trade law developed by other organizations. For
example, UNCITRAL has encouraged the widest possible adherence to the Con-
vention on the Recognition and Enforcement of Foreign Arbitral Awards (New
York, 1958),62 as well as ratification of the European Convention on International
Commercial Arbitration (Geneva, 1961).63 It has recommended the use of a
number of texts prepared by the International Chamber of Commerce, including
57
United Nations, Treaty Series, vol. 330, No. 4739, p 3. See Official Records of the General
Assembly, Fiftieth Session, Supplement No. 17 (A/50/17) (1995), paras. 401-404; Official Records of the
General Assembly, Fifty-first Session, Supplement No. 17 (A/51/17) (1996), paras. 238-243; and Official
Records of the General Assembly, Fifty-second Session, Supplement No. 17 (A/52/17) (1997),
paras. 257-259.
58
For reports of the colloquiums held since 1995, see note 28 and http://www.uncitral.org/
uncitral/en/commission/colloquia.html.
59
“Comparison and analysis of major features of international instruments relating to secured
transactions”, A/CN.9/720, The paper was approved by the Commission in 2011: see Official Records
of the General Assembly, Sixty-sixth Session, Supplement No. 17 (A/66/17) (2011), paras. 280-282.
60
See the Creditor Rights and Insolvency Standard, based on the World Bank Principles for
effective insolvency and creditor/debtor regimes and the UNCITRAL Legislative Guide on Insolvency
Law, available from http://siteresources.worldbank.org/INTGILD/Resources/FINAL_ICRStandard_
Jan2011_withC16and17.pdf (last visited 15/10/2012).
61
Accession kits have been published for the New York Convention, the United Nations Con-
vention on Contracts for the International Sale of Goods (Vienna, 1980), the UNCITRAL Model
Law on International Commercial Arbitration (1985) and the Hamburg Rules.
62
United Nations, Treaty Series, vol. 330, No. 4739, p. 3.
63
United Nations, Treaty Series, vol. 484, No. 7041, p. 349. See also Official Records of the
General Assembly, Twenty-eighth Session, Supplement No. 17 (A/9017) (1973), para. 85.
the International Rules for the Interpretation of Trade Terms (Incoterms),64 Inco-
terms 200065 and Incoterms 2010;66 the Uniform Customs and Practice for Docu-
mentary Credits (UCP 400, 500 and 600);67 the Rules on International Standby
Practices (ISP98); the Uniform Rules for Contract Bonds;68 and the 2010 revision
of the Uniform Rules for Demand Guarantees (URDG 758).69 It has also recom-
mended the use of the 2004 and 2010 UNIDROIT Principles of International
Commercial Contracts.70 A number of other organizations have recommended
and endorsed the adoption of UNCITRAL texts.
E. UNCITRAL’s position within the United Nations system
67. As the core legal body in the United Nations system in the field of inter-
national trade law, UNCITRAL is an integral part of the United Nations system
and its work is relevant to the broader United Nations agenda in a number of
fields, including rule of law, legal empowerment of the poor, business and human
rights and the Millennium Development Goals.
64
Official Records of the General Assembly, Twenty-fourth Session, Supplement No. 18 (A/7618)
(1969), para. 60 (subpara. 3). See also Official Records of the General Assembly, Forty-sixth Session,
Supplement No. 17 (A/46/17) (1991), paras. 350-352. The INCOTERMS 1990 are reproduced in
the annex to document A/CN.9/348.
65
See Official Records of the General Assembly, Fifty-fifth Session, Supplement No. 17 (A/55/17)
(2000), paras. 428-434. The INCOTERMS 2000 are reproduced in annex II to the report of the
Secretary-General on ICC INCOTERMS 2000 (A/CN.9/479). The text is also available from the
International Chamber of Commerce in publication No. 560.
66
See Official Records of the General Assembly, Sixty-seventh Session, Supplement No. 17 (A/67/17)
(2012), paras. 141-144. The text is available from the International Chamber of Commerce in
publication No. 715.
67
See Official Records of the General Assembly, Thirtieth Session, Supplement No. 17 (A/10017)
(1975), para. 41; Official Records of the General Assembly, Thirty-ninth Session, Supplement No. 17
(A/39/17) (1984), para. 129; Official Records of the General Assembly, Forty-ninth Session, Supplement
No. 17 (A/49/17) (1994), paras. 230 and 231; report of the Secretary-General on uniform customs
and practice for documentary credits (A/CN.9/395); Official Records of the General Assembly, Sixty-
fourth Session, Supplement No. 17 (A/64/17) (2009), paras. 356-357.
68
See Official Records of the General Assembly, Fifty-fifth Session, Supplement No. 17 (A/55/17)
(2000), paras. 428-434; report of the Secretary-General on International Standby Practices (ISP98)
(A/CN.9/477); report of the Secretary-General on Uniform Rules for Contract Bonds (URCB) (A/
CN.9/478).

See Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 17 (A/66/17),
69
(2011), paras. 247-249.

70
See Official Records of the General Assembly, Sixty-second Session, Supplement No. 17 (A/62/17)
(2007), paras. 209-213; Official Records of the General Assembly, Sixty-seventh Session, Supplement
No. 17 (A/67/17) (2012), paras. 137-140. The text is available from the Unidroit website, http://
www.unidroit.org.
68. Since 2008, in the rule of law context for example, the Commission has
expressed it conviction that the promotion of the rule of law in commercial
relations should be an integral part of the broader agenda of the United Nations
to promote the rule of law at the national and international levels. In 2011, the
Commission emphasized the relevance of the instruments and resources of the
Commission for creating an environment of sustainable economic activity con-
ducive to post-conflict reconstruction and preventing societies from sliding back
into conflict. It called for innovative ways for the instruments and other tools
of the Commission to be engaged at an early stage in the post-conflict recovery
operations of the United Nations and other donors, and for increased awareness
about the work of UNCITRAL throughout the United Nations system and beyond.
Direct involvement by the UNCITRAL Secretariat in relevant inter-agency coor-
dination and cooperation mechanisms has been an effective way to achieve results
and ensure the wider recognition of UNCITRAL instruments and their use in
relevant programmes (e.g. the United Nations Inter-agency Cluster on Trade and
Productive Capacity71).
F. Technical cooperation and assistance to law reform
1. Technical cooperation and assistance activities
69. UNCITRAL undertakes a range of technical cooperation and assistance

activities to promote its work and the use and adoption of the legislative and
non-legislative texts it has developed. The adoption and effective use of uniform
texts furthers the progressive harmonization and modernization of international
trade law. These activities include organizing briefing missions and participating
in seminars and conferences, organized at both national and regional levels;
assisting countries in assessing their trade law reform needs, including by review-
ing existing legislation; assisting with the drafting of national legislation to imple-
ment UNCITRAL texts; assisting bilateral and multilateral development agencies
to use UNCITRAL texts in their law reform activities and projects; providing
advice and assistance to international and other organizations, such as profes-
sional associations, organizations of attorneys, chambers of commerce and arbi-
tration centres, on the use of UNCITRAL texts; and organizing training activities
to facilitate the implementation and interpretation of legislation based on
UNCITRAL texts by judges and legal practitioners.
71
See, for example, Note by the Secretariat: Coordination Activities (A/CN.9/749, para. 9),
prepared for the forty-fifth session of the Commission (2012).
70. Technical cooperation and assistance activities focus on regional approaches,

including in cooperation with regional economic integration organizations, to
promote newly adopted treaties, with a view to fostering their early adoption
and the universal adoption of texts considered fundamental to the development
of a framework for international trade. Initiatives to further these strategies com-
plement technical cooperation and assistance efforts undertaken in reaction to
requests for technical assistance that traditionally have been received from Gov-
ernments and permanent missions to the United Nations, as well as from inter-
national and regional organizations and a range of commercial and professional
organizations.
71. The CLOUT system and digests of case law, as well as teaching and other
technical materials prepared by UNCITRAL, are useful in technical assistance
activities, as well as to practitioners, academics and other users of the texts.
72. A report on technical cooperation and assistance activities conducted in the

previous 12 months is provided to UNCITRAL at each annual session.72
73. The demand for UNCITRAL technical assistance has grown dramatically in
recent years. Because the regular budget does not include funds for such activi-
ties, these activities can only be conducted if funds can be obtained from other
sources. UNCITRAL has established a trust fund to facilitate its response to these
requests and the Commission and the General Assembly have made repeated
appeals for contributions. The Commission welcomes the financial support of
States, organizations and individuals. Contributions may be made for general
technical assistance activities or for specific projects.73
2. Regional centres
74. At its forty-fourth session in 2011, the Commission approved the establish-
ment of the UNCITRAL Regional Centre for Asia and the Pacific in Incheon,
Republic of Korea. The main objectives of the Regional Centre will be to enhance
international trade and development in the Asia-Pacific region by promoting
certainty in international commercial transactions through the dissemination of
72
See, for example, Note by the Secretariat: Technical cooperation and assistance (A/CN.9/753),
prepared for the forty-fifth session of the Commission (2012).
73
Contributions, making specific reference to the “Trust Fund for UNCITRAL Symposia”, may
be made to:
J. P. Morgan Chase, International Agencies Banking, 277 Park Avenue, 23rd Floor, New York,
NY, 10172-0003, USA, United Nations General Trust Fund, Account Number 485-001969,
ABA Number 021-000-021, Swift Code CHASUS33.
international trade norms and standards, in particular those elaborated by

UNCITRAL; to provide bilateral and multilateral technical assistance to States
with respect to the adoption and uniform interpretation of UNCITRAL texts
through workshops and seminars; to engage in coordination activities with inter-
national and regional organizations active in trade law reform projects in the
region; and to function as a channel of communication between States in the
region and UNCITRAL. The Centre was officially opened in January 2012.74
G. Special events

75. UNCITRAL has organized a number of special events relating to different
aspects of international trade law.75 In the context of the United Nations Decade
of International Law, for example, a congress on international trade law was held
in May 1992 during the twenty-fifth session of UNCITRAL. The Congress con-
sidered accomplishments in the progressive unification and harmonization of
international trade law during the previous 25 years and the needs that could
be foreseen for the next 25 years.76 In 1998, at its thirtieth session, UNCITRAL
celebrated the fortieth anniversary of the Convention on the Recognition and
Enforcement of Foreign Arbitral Awards (New York, 1958) with a symposium
devoted to arbitration issues.77 A Uniform Commercial Law Colloquium on cur-
rent and potential topics of work in the areas of electronic commerce, privately
financed infrastructure projects, receivables financing and cross-border insolvency
followed the symposium. In 2007, a Congress, “Modern Law for Global Com-
merce” was convened to assess the current state of affairs in the field of the law
of international trade and to consider ideas for the future.78
76. Subject-specific colloquiums have also been convened, often in conjunction

with other organizations, to discuss possible future work,79 including on
74
See http://www.uncitral.org/uncitral/en/tac/rcap.html.
75
The proceedings of special events are available from http://www.uncitral.org/uncitral/publica-
tions/publications.html and from http://www.uncitral.org/uncitral/en/commission/colloquia.html.
76
For the report of the Congress proceedings, see Uniform Commercial Law in the Twenty-first
Century: Proceedings of the Congress of the United Nations Commission on International Trade Law,
New York, 18-22 May 1992, available from http://www.uncitral.org/uncitral/en/commission/
colloquia_general.html.
77
For presentations, see Enforcing Arbitration Awards under the New York Convention: Experience and
Prospects, available from http://www.uncitral.org/pdf/english/texts/arbitration/NY-conv/NYCDay-e.pdf.
78
See Proceedings of the Congress of the United Nations Commission on International Trade Law held
on the occasion of the Fortieth Session of the Commission, available from http://www.uncitral.org/pdf/
english/congress/09-83930_Ebook.pdf.
79
Reports of colloquiums are available from http://www.uncitral.org/uncitral/en/commission/
colloquia.html.
transport,80 insolvency,81 secured transactions,82 commercial fraud,83 dispute reso-

lution, microfinance, procurement and electronic commerce.84
H. General Assembly resolutions relating to UNCITRAL
77. The General Assembly generally adopts one or more resolutions regarding
UNCITRAL’s annual work; one typically addresses the general work discussed
at an annual session, while the others address the specific legal standard or text
adopted at that session.85 With the exception of conventions, which require
action by the General Assembly (see para. 48), action by the General Assembly
80
In July 2000, a transport colloquium was organized jointly by UNCITRAL and the Interna-
tional Maritime Committee (CMI) to gather ideas and expert opinions on problems that arise in
the international carriage of goods, in particular carriage by sea, identifying issues on which the
Commission might consider undertaking future work. A further colloquium was held in 2010 fol-
lowing completion of that work in conjunction with the opening for signature of the United Nations
Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea: http://
www.rotterdamrules2009.com/cms/index.php?page=about; For a discussion of cooperation with the
CMI, see Official Records of the General Assembly, Fifty-sixth Session, Supplement No. 17 (A/56/17)
(2001), paras. 319-344.
81
In December 2000, UNCITRAL, in conjunction with INSOL International and Committee J
(now the Section on Insolvency, Restructuring and Creditors’ Rights) of the International Bar Asso-
ciation, convened a global colloquium on insolvency law to discuss the work being undertaken by
other international organizations on insolvency law and the feasibility, scope and form of future
work that might be undertaken by UNCITRAL on that topic: see the report on the UNCITRAL-
INSOL-IBA Global Insolvency Colloquium, (Vienna, 4-6 December 2000) (A/CN.9/495). A similar
colloquium was held in November 2005, see the note by the Secretariat on “Insolvency law: possible
future work” (A/CN.9/596).
82
In March 2002, a colloquium on secured transactions was organized in cooperation with
the Commercial Finance Association, see the report of the Secretary-General on the UNCITRAL-CFA
international colloquium on secured transactions (A/CN.9/WG.VI/WP.3); further colloquiums on
aspects of secured transactions were held in 2007 and 2010, see http://www.uncitral.org/uncitral/
en/commission/colloquia_security.html.
83
In April 2004, a colloquium on commercial fraud was organized with the Institute of Inter-
national Banking Law and Practice and George Mason University, the International Institute for the
Unification of Private Law (Unidroit), the Organization of American States and the Hague Confer-
ence on Private International Law: see the note by the secretariat on the UNCITRAL Colloquium
on International Commercial Fraud (A/CN.9/555).
84
See generally http://www.uncitral.org/uncitral/en/commission/colloquia.html.
85
At its sixty-sixth session (2011), for example, the General Assembly adopted four resolutions
concerning the work of UNCITRAL: A/RES/66/94 Report of the United Nations Commission on
International Trade Law on the work of its forty-fourth session; A/RES/66/95 on the United Nations
Commission on International Trade Law Model Law on Public Procurement; A/RES/66/96 on
United Nations Commission on International Trade Law Model Law on Cross-Border Insolvency: The
Judicial Perspective and A/RES/66/102 on The rule of law at the national and international levels.
is not required to finalize other types of legal text or to bring them into effect,
but rather serves to echo the decisions adopted by UNCITRAL and amplify
their impact.
Annex I
General Assembly resolution 2205 (XXI)
Establishment of the United Nations Commission

The General Assembly,

Recalling its resolution 2102 (XX) of 20 December 1965, by which it
requested the Secretary-General to submit to the General Assembly at its twenty-
first session a comprehensive report on the progressive development of the law
of international trade,
Having considered with appreciation the report of the Secretary-General on
that subject,a
Considering that international trade cooperation among States is an impor-
tant factor in the promotion of friendly relations and, consequently, in the main-
tenance of peace and security,
Recalling its belief that the interest of all peoples, and particularly those of
developing countries, demand the betterment of conditions favouring the exten-
sive development of international trade,
Reaffirming its conviction that divergences arising from the laws of different
States in matters relating to international trade constitute one of the obstacles
to development of world trade,
Having noted with appreciation the efforts made by intergovernmental and
nongovernmental organizations towards the progressive harmonization and unifi-
cation of the law of international trade by promoting the adoption of international
conventions, uniform laws, standard contract provisions, general conditions of
sale, standard trade terms and other measures,
Noting at the same time that progress in this area has not been commensurate
with the importance and urgency of the problem, owing to a number of factors,
in particular insufficient coordination and cooperation between the organizations
concerned, their limited membership or authority and the small degree of par-
ticipation in this field on the part of many developing countries,
a
Official Records of the General Assembly, Twenty-first Session, Annexes, agenda item 88, documents
A/6396 and Add.1 and 2.
31
Considering it desirable that the process of harmonization and unification of

the law of international trade should be substantially coordinated, systematized
and accelerated and a broader participation should be secured in furthering
progress in this area,
Convinced that it would therefore be desirable for the United Nations to
play a more active role towards reducing or removing legal obstacles to the flow
of international trade,
Noting that such action would be properly within the scope and competence
of the Organization under the terms of Article 1, paragraph 3, and Article 13,
and of Chapters IX and X of the Charter of the United Nations,
Having in mind the responsibilities of the United Nations Conference on
Trade and Development in the field of international trade,
Recalling that the Conference, in accordance with its General Principle Six,b
has a particular interest in promoting the establishment of rules furthering inter-
national trade as one of the most important factors in economic development,
Recognizing that there is no existing United Nations organ which is both
familiar with this technical legal subject and able to devote sufficient time to
work in this field.
I
Decides to establish a United Nations Commission on International Trade
Law (hereinafter referred to as the Commission), which shall have for its object
the promotion of the progressive harmonization and unification of the law of
international trade, in accordance with the provisions set forth in section II below.
II
ORGANIZATION AND FUNCTIONS OF THE UNITED NATIONS
COMMISSION ON INTERNATIONAL TRADE LAW
1. The Commission shall consist of twenty-nine States, elected by the

General Assembly for a term of six years, except as provided in paragraph 2 of
the present resolution. In electing the members of the Commission, the Assembly
shall observe the following distribution of seats:
(a) Seven from African States;
(b) Five from Asian States;
(c) Four from Eastern European States;
b
See Proceedings of the United Nations Conference on Trade and Development, vol. I, Final Act and
Report (United Nations publication, Sales No. 64.II.B.11), annex A.I.1, p. 18.
(d) Five from Latin American States;

(e) Eight from Western European and other States.
The General Assembly shall also have due regard to the adequate representation
of the principal economic and legal systems of the world, and of developed and
developing countries.
2. Of the members elected at the first election, to be held at the twenty-
second session of the General Assembly, the terms of fourteen members shall
expire at the end of three years. The President of the General Assembly shall
select these members within each of the five groups of States referred to in para-
graph 1 above, by drawing lots.
3. The members elected at the first election shall take office on 1 January
1968. Subsequently, the members shall take office on 1 January of the year
following each election.
4. The representatives of members on the Commission shall be appointed
by Member States insofar as possible from among persons of eminence in the
field of the law of international trade.
5. Retiring members shall be eligible for re-election.
6. The Commission shall normally hold one regular session a year. It
shall, if there are no technical difficulties, meet alternately at United Nations
Headquarters and at the United Nations Office at Geneva.
7. The Secretary-General shall make available to the Commission the
appropriate staff and facilities required by the Commission to fulfil its task.
8. The Commission shall further the progressive harmonization and
nification of the law of international trade by:
u
(a) Coordinating the work of organizations active in this field and encour-
aging cooperation among them;
(b) Promoting wider participation in existing international conventions
and wider acceptance of existing model and uniform laws;
(c) Preparing or promoting the adoption of new international conventions,
model laws and uniform laws and promoting the codification and wider accept-
ance of international trade terms, provisions, customs and practices, in collabora-
tion, where appropriate, with the organizations operating in this field;
(d) Promoting ways and means of ensuring a uniform interpretation and
application of international conventions and uniform laws in the field of the law
of international trade;
(e) Collecting and disseminating information on national legislation and
modern legal developments, including case law, in the field of the law of inter-
national trade;
(f) Establishing and maintaining a close collaboration with the United Nations

Conference on Trade and Development;
(g) Maintaining liaison with other United Nations organs and specialized
agencies concerned with international trade;
(h) Taking any other action it may deem useful to fulfil its functions.
9. The Commission shall bear in mind the interests of all peoples, and
particularly those of the developing countries, in the extensive development of
international trade.
10. The Commission shall submit an annual report, including its recom-
mendations, to the General Assembly, and the report shall be submitted simul-
taneously to the United Nations Conference on Trade and Development for
comments. Any such comments or recommendations which the Conference or
the Trade and Development Board may wish to make, including suggestions on
topics for inclusion in the work of the Commission, shall be transmitted to the
General Assembly in accordance with the relevant provisions of Assembly resolu-
tion 1995 (XIX) of 30 December 1964. Any other recommendations relevant to
the work of the Commission which the Conference or the Board may wish to
make shall be similarly transmitted to the General Assembly.
11. The Commission may consult with or request the services of any
international or national organization, scientific institution and individual expert,
on any subject entrusted to it, if it considers such consultation or services might
assist it in the performance of its functions.
12. The Commission may establish appropriate working relationships with
intergovernmental organizations and international non-governmental organiza-
tions concerned with the progressive harmonization and unification of the law
of international trade.
III
1. Requests the Secretary-General, pending the election of the Commis-
sion, to carry out the preparatory work necessary for the organization of the
work of the Commission and, in particular:
(a) To invite Member States to submit in writing before 1 July 1967, taking
into account in particular the report of the Secretary-General,c comments on a
programme of work to be undertaken by the Commission in discharging its
functions under paragraph 8 of section II above;
c
Official Records of the General Assembly, Twenty-first Session, Annexes, agenda item 88, documents
A/6396 and Add.1 and 2.
(b) To request similar comments from the organs and organizations referred
to in paragraph 8 (f) and (g) and in paragraph 12 of section II above.
2. Decides to include an item entitled “Election of the members of the
United Nations Commission on International Trade Law” in the provisional
agenda of its twenty-second session.
1497th plenary meeting,

17 December 1966.
Annex II
UNCITRAL member Statesa
Algeria 1983-1989; 1995-2001; 2004-2016

Argentinab,c 1968-1980; 1986-2004; 2004-2007;
2010-2016
Armenia 2007-2013
Australia 1968-1989; 1995-2001; 2004-2016
Austria 1971-1989; 1992-2016
Bahrain 2007-2013
Barbados 1974-1980
Belarusl 2004-2011; 2013-2016
Belgiumc 1968-1980; 2004-2007
Benin 2001-2013
Bolivia (Plurinational State of) 2007-2013
Botswana 1995-2001; 2010-2016
Brazil 1968-1989; 1995-2007; 2010-2016
Bulgaria 1974-1980; 1989-2001; 2007-2013
Burkina Faso 1998-2004
Burundi 1977-1983
Cameroon 1989-2013
Canada 1989-1995; 2001-2013
Central African Republic 1983-1989
Chilec 1968-1983; 1986-1998; 2004-2013
China 1983-2013
Colombia 1968-1971; 1977-1983; 1998-2016
Costa Rica 1989-2001
Croatiac,l 2004-2007; 2012-2016
Cuba 1980-1992
Cyprus 1974-1992
Czech Republicd,l 1968-1971; 1974-2013; 2015-2016
Democratic Republic of the Congom 1968-1980
Denmark 1989-2001
Ecuador 1992-1998; 2004-2010
37
Egypt 1974-2001; 2007-2013

El Salvador 2007-2013
Fiji 1998-2016
Finland 1977-1983; 1995-2001
France 1968-2013
Gabon 1974-1980; 2004-2016
Georgial 2011-2015
German Democratic Republice 1977-1989
Germanye 1974-1986; 1989-2013
Ghana 1968-1983
Greece 1974-1980; 2007-2013
Guatemala 1980-1986; 2004-2010
Guyana 1971-1977
Honduras 1998-2004; 2007-2013
Hungary 1968-2004
India 1968-2016
Indonesia 1977-1983
Iran (Islamic Republic of)f 1968-1974; 1986-2016
Iraq 1980-1992
Israel 2004-2016
Italy 1968-1971; 1980-2016
Japan 1968-2013
Jordanc 2004-2007; 2010-2016
Kenya 1968-2016
Latvia 2007-2013
Lebanon 2004-2010
Lesotho 1986-1992
Libyan 1986-1992
Lithuaniac 1998-2007
Madagascar 2004-2010
Malaysia 2007-2013
Malta 2007-2013
Mauritius 2010-2016
Mexico 1968-1980; 1983-2013
Mongolia 2004-2010
Morocco 1989-2013
Namibia 2007-2013
Nepal 1974-1977
Netherlands 1986-1992
Nigeria 1968-2016
Norway 1968-1977; 2007-2013
Pakistan 2004-2016
Paraguay 1998-2016
Peru 1980-1986
Philippines 1974-1986; 2010-2016
Polandl 1971-1977; 1992-1998; 2004-2012;
2014-2016
Qatarc 2004-2007
Republic of Koreac 2004-2013
Romania 1968-1974; 1998-2004
Russian Federationg 1968-2013
Rwandac 2004-2007
Saudi Arabia 1992-1998
Senegal 1980-1986; 2007-2013
Serbiah 2004-2010
Sierra Leonec 1974-1992; 2004-2007
Singapore 1971-2013
Somalia 1974-1977
South Africac 2004-2013
Spain 1968-1974; 1980-2016
Sri Lankac 2004-2013
Sudan 1992-2004
Sweden 1983-1989; 2001-2007
Switzerland 2004-2010
Syrian Arab Republici 1968-1980
Thailand 1968-1971; 1992-2016
The former Yugoslav Republic of 2001-2007
Macedonia
Togo 1989-1995
Trinidad and Tobago 1980-1986
Tunisiac 1968-1974; 2004-2007
Turkeyc 2004-2007; 2010-2016
Uganda 1980-1986; 1992-2016

Ukrainel 2010-2014
United Arab Emirates 1968-1977
United Kingdom of Great Britain 1968-2013
and Northern Ireland
United Republic of Tanzania 1968-1989; 1992-1998
United States of America 1968-2016
Uruguayc,j 1986-2004, 2004-2007
Venezuela (Bolivarian Republic of) 2004-2016
Yugoslavia (former)k 1980-1992
Zimbabwe 2004-2010
a
Pursuant to General Assembly resolution 2205 (XXI) of 17 December 1966, members of the
Commission are elected by the General Assembly for a term of six years, the term of half of the
members expiring every three years. By its resolution 3108 (XXVIII) of 12 December 1973, the
Assembly increased the membership of the Commission from 29 to 36 States. The term of those
members elected at the forty-ninth session of the General Assembly became effective on the opening
day of the twenty-ninth regular annual session of the Commission, in 1996, and expired on the
day preceding the opening of the thirty-fourth regular annual session, in 2001. The term of those
members elected at the fifty-second session of the Assembly became effective on the opening day
of the thirty-first regular annual session of the Commission, in 1998, and expired on the day
preceding the opening of the thirty-seventh regular annual session, in 2004. By its resolution 57/20
of 19 November 2002, the Assembly further increased the membership of the Commission from
36 States to 60 States. Members were elected at the fifty-eighth session of the General Assembly,
in 2003, and their term became effective on the opening day of the thirty-seventh regular annual
session of the Commission, in 2004.
b
Between 1998 and 2004, alternating annually with Uruguay starting in 1998.
c
Members elected at the fifty-eighth session of the General Assembly, in 2003, with a three-
year term expiring on the day preceding the opening of the fortieth regular annual session, in 2007.
d
By the twenty-sixth session of the Commission (1993), the Czech and Slovak Federal Republic
had been dissolved to become, respectively, the Czech Republic and the Slovak Republic.
e
By the twenty-third session of the Commission (1990), the two German States had united to
form one sovereign State, Germany.
f
By the nineteenth session of the Commission (1986), Iran had changed its name to the Islamic
Republic of Iran.
g
By the twenty-fifth session of the Commission (1992), the Russian Federation continued the
membership of the Union of Soviet Socialist Republics.
h
Effective 3 June 2006, the membership of Serbia and Montenegro in the United Nations was
continued by Serbia.
i
By the seventh session of the Commission (1974), Syria had changed its name to the Syrian
Arab Republic.
j
Between 1998 and 2004, alternating annually with Argentina starting in 1999.
k
By the twenty-fifth session of the Commission (1992), the Socialist Federal Republic of Yugoslavia
had been dissolved. The Republic of Bosnia and Herzegovina, the Republic of Croatia and the Republic
of Slovenia were admitted as members of the United Nations on 22 May 1992. The Federal Republic
of Yugoslavia was admitted as a member of the United Nations on 1 November 2000.
l
The following six State members elected by the General Assembly on 3 November 2009
agreed to alternate their membership among themselves until 2016 as follows: Belarus (2010-2011,
2013-2016), Czech Republic (2010-2013, 2015-2016), Poland (2010-2012, 2014-2016), Ukraine
(2010-2014), Georgia (2011-2015) and Croatia (2012-2016).
m
Zaire joined the United Nations on 20 September 1960. On 17 May 1997, its name was
changed to the Democratic Republic of the Congo.
n
Following the adoption by the General Assembly of resolution 66/1, the Permanent Mission
of Libya to the United Nations formally notified the United Nations of a Declaration by the National
Transitional Council of 3 August 2011 changing the official name of the Libyan Arab Jamahiriya
to “Libya” and changing Libya’s national flag.
Annex III
Chairpersons of UNCITRAL
Number of session (Year) Name (State)

First (1968) Emmanual Kodjoe Dadzie (Ghana)
Second (1969) Lászlo Réczei (Hungary)
Third (1970) Albert Lilar (Belgium)
Fourth (1971) Nagendra Singh (India)
Fifth (1972) Jorge Barrera-Graf (Mexico)
Sixth (1973) Mohsen Chafik (Egypt)
Seventh (1974) Jerzy Jakubowski (Poland)
Eighth (1975) Roland Loewe (Austria)
Ninth (1976) Warren L. H. Khoo (Singapore)
Tenth (1977) Nehemias Da Silva Gueiros (Brazil)
Eleventh (1978) Samuel K. Date-Bah (Ghana)
Twelfth (1979) Ludvik Kopac (Czechoslovakia)
Thirteenth (1980) Rolf Herber (Federal Republic of Germany)
Fourteenth (1981) Warren L. H. Khoo (Singapore)
Fifteenth (1982) Rafael Eyzaguirre (Chile)
Sixteenth (1983) Mohsen Chafik (Egypt)
Seventeenth (1984) Iván Szász (Hungary)
Eighteenth (1985) Roland Loewe (Austria)
Nineteenth (1986) P. K. Kartha (India)
Twentieth (1987) Ana Isabel Piaggi de Vanossi (Argentina)
Twenty-first (1988) Henry M. Joko-Smart (Sierra Leone)
Twenty-second (1989) Jaromir Ruzicka (Czechoslovakia)
Twenty-third (1990) Michael Joachim Bonell (Italy)
Twenty-fourth (1991) Kazuaki Sono (Japan)
Twenty-fifth (1992) José Maria Abascal Zamora (Mexico)
Twenty-sixth (1993) Sani L. Mohammed (Nigeria)
Twenty-seventh (1994) David Morán Bovio (Spain)
Twenty-eighth (1995) Goh Phai Cheng (Singapore)
Twenty-ninth (1996) Ana Isabel Piaggi de Vanossi (Argentina)
Thirtieth (1997) Joseph Fred Bossa (Uganda)
43
Number of session (Year) Name (State)

Thirty-first (1998) Dumitru Mazilu (Romania)
Thirty-second (1999) Reinhard G. Renger (Germany)
Thirty-third (2000) Jeffrey Chan Wah Tek (Singapore)
Thirty-fourth (2001) Alejandro Ogarrio Reyes-España (Mexico)
Thirty-fifth (2002) Henry M. Joko-Smart (Sierra Leone)
Thirty-sixth (2003) Tore Wiwen-Nilsson (Sweden)
Thirty-seventh (2004) Wisit Wisitsora-At (Thailand)
Thirty-eighth (2005) Jorge Pinzón Sánchez (Colombia)
Thirty-ninth (2006) Stephen Karangizi (Uganda)
Fortieth (2007) Dobrosav Mitrović (Serbia)
Forty-first (2008) Rafael Illescas Ortiz (Spain)
Forty-second (2009) Soo-Geun Oh (Republic of Korea)
Forty-third (2010) Ricardo Sandoval (Chile)
Forty-fourth (2011) Salim Moollan (Mauritius)
Forty-fifth (2012) Hrvoje Sikirić (Croatia)
Annex IV
UNCITRAL working groups and chairpersons
Working Group on the International Sale of Goods

First session (1970)- Jorge Barrera-Graf (Mexico)
Fifth session (1974)
Sixth session (1975) Gyula Eörsi (Hungary)
Seventh session (1976)- Jorge Barrera-Graf (Mexico)
Ninth session (1977)
Working Group on Time-limits and Limitation (Prescription)

First session (1969)- Stein Rognlien (Norway)
Third session (1971)
Working Group I (Privately financed infrastructure projects) (renamed 2001)

Fourth session (2001)- Tore Wiwen-Nilsson (Sweden)
Working Group I (Procurement)

Sixth session (2004)- Stephen Karangizi (Uganda)
Tenth session (2006)
Eleventh session (2007) Tore Wiwen-Nilsson (Sweden)
Twelth session (2007)- Tore Wiwen-Nilsson (elected in his
Twenty-first session (2012) personal capacity)
Working Group on International Contract Practices

First session (1979) Jorge Barrera-Graf (Mexico)
Second session (1981) Ihor Tarko (Austria)
Third session (1982)- Iván Szász (Hungary)
Seventh session (1984)
Eighth session (1984)- Michael Joachim Bonell (Italy)
Eleventh session (1988)
Twelfth session (1988) Arthur S. Hartkamp (Netherlands)
Thirteenth session (1990) Rafael Illescas Ortiz (Spain)
Fourteenth session (1990)- Jacques Gauthier (Canada)
Twenty-third session (1995)
Twenty-fourth session (1995)- David Morán Bovio (Spain)
Thirty-first session (1999)
45
Working Group on Arbitration (renamed following thirty-first session)

Thirty-second session (2000)- José Maria Abascal Zamora
Thirty-fourth session (2001) (Mexico)
Working Group II (Arbitration) (renamed 2001)

Thirty-fifth session (2001)- José María Abascal Zamora
Forty-fourth session (2006) (Mexico)
Forty-fifth session (2006)- Michael E. Schneider (Switzerland)
Fifty-second session (2010)
Fifty-third session (2010)- Salim Moollan (Mauritius)
Fifty-seventh session (2012)
Working Group on International Legislation on Shipping

First session (1971) Nagendra Singh (India)
Second session (1971) Rafael Lasalvia (Chile)
Third session (1972) Nagendra Singh (India)
Fourth session (1972)- José Domingo Ray (Argentina)
Sixth session (1974)- Mohsen Chafik (Egypt)
Eighth session (1975)
Working Group III (Transport Law) (renamed 2001)

Ninth session (2002)- Rafael Illescas Ortiz (Spain)
Twenty-first session (2008)
Working Group III (Online Dispute Resolution) (renamed 2010)

Twenty-second session (2010)- Soo-geun Oh (Republic of Korea)
Twenty-fifth session (2012)
Twenty-sixth session (2012) Sr. D. Agustin Madrid Parra
(Spain)
Working Group on International Negotiable Instruments

First session (1973) Mohsen Chafik (Egypt)
Second session (1974)- René Roblot (France)
Eleventh session (1981)
Twelfth session (1982) Joë Galby (France)
Thirteenth session (1985)- Willem Vis (elected in his personal
Fourteenth session (1985) capacity)
Fifteenth session (1987) Willem Vis (Netherlands)
Working Group on International Payments (renamed after the

fifteenth session)
Sixteenth session (1987)- José María Abascal Zamora
Twenty-second session (1990) (Mexico)
Twenty-third session (1991) Michael Joachim Bonell (Italy)
Twenty-fourth session (1992) José María Abascal Zamora
(Mexico)
Working Group on Electronic Data Interchange (renamed after the

twenty-fourth session)
Twenty-fifth session (1993)- José María Abascal Zamora
Thirtieth session (1996) (Mexico)
Working Group on Electronic Commerce (renamed after the

thirtieth session)
Thirty-first session (1997)- Mads Bryde Andersen (elected in
Thirty-third session (1998) his personal capacity)
Thirty-fourth session (1999)- Jacques Gauthier (elected in his
Thirty-eighth session (2001) personal capacity)
Working Group IV (Electronic Commerce) (renamed 2001)

Thirty-ninth session (2002)- Jeffrey Chan Wah Tek (Singapore)
Forty-fourth session (2004)
Forty-sixth session (2012) Sr. D. Agustin Madrid Parra
(Spain)
Working Group on the New International Economic Order

First session (1980) Kazuaki Sono (Japan)
Second session (1981)- Leif Sevon (Finland)
Fourth session (1983)
Fifth session (1984)- Leif Sevon (elected in his personal
Ninth session (1987) capacity)
Tenth session (1988)- Robert Hunja (Kenya)
Thirteenth session (1991)
Fourteenth session (1991) Leonel Pereznieto (Mexico)
Fifteenth session (1992) Robert Hunja (Kenya)
Sixteenth session (1993)- David Morán Bovio (Spain)
Seventeenth session (1994)
Working Group on Insolvency (renamed after the

seventeenth session)
Eighteenth session (1995)- Kathryn Sabo (elected in her
Twenty-first session (1997) personal capacity)
Twenty-second session (1999) Wisit Wisitsora-At (Thailand)
*Twenty-fourth session (2001) Wisit Wisitsora-At (Thailand)
Working Group V (Insolvency Law) (renamed 2001)

Twenty-fifth session (2001)- Wisit Wisitsora-At (Thailand)
Forty-second session (2012)
Working Group VI (Security Interests)

First session (2002)- Kathryn Sabo (Canada)
Seventeenth session (2010)
Eighteenth session (2010)- Rodrigo Labardini Flores (Mexico)
Twenty-second session (2012)

* The twenty-third session of the Working Group on Insolvency Law was convened as an
additional session of the Working Group on International Contract Practices in December 2000
(chaired by David Morán Bovio of Spain), because of the need for an additional session to finalize
the draft text of the United Nations Convention on the Assignment of Receivables in International
Trade (New York, 2001).
Annex V
Secretaries of UNCITRAL and further information
Secretaries of UNCITRAL
Paolo Contini 1968-1969

John Honnold 1969-1974
Willem Vis 1974-1980
Kazuaki Sono 1980-1985
Eric Bergsten 1985-1991
Gerold Herrmann 1991-2001
Jernej Sekolec 2001-2008
Renaud Sorieul 2008-
Further information
A. Further information about UNCITRAL may be obtained from:

International Trade Law Division Tel.: (+43-1) 26060-4060 or 4061
Office of Legal Affairs Fax: (+43-1) 26060-5813
United Nations Office at Vienna E-mail: uncitral@uncitral.org
P.O. Box 500 Internet: http://www.uncitral.org
1400 Vienna, Austria
B. Please note that UNCITRAL publications, such as the UNCITRAL Yearbook,

legal guides, etc., are United Nations sales publications and may be ordered from:
United Nations Publications Tel.: (+1-888) 254-4286
Customer Service Fax.: (+1-800) 338-4550
c/o National Book Network E-mail: unpublications@nbnbooks.com
15200 NBN Way Order at http://unp.un.org
PO Box 190
Blue Ridge Summit, PA 17214
United States of America
To date, the following volumes of the UNCITRAL Yearbook have been published:
Volume Sales number or document symbol

UNCITRAL Yearbook, vol. I: 1968-1970 E.71.V.1
UNCITRAL Yearbook, vol. II: 1971 E.72.V.4
49
Volume Sales number or document symbol

UNCITRAL Yearbook, vol. III: 1972 E.73.V.6
UNCITRAL Yearbook, vol. IV: 1973 E.74.V.3
UNCITRAL Yearbook, vol. V: 1974 E.75.V.2
UNCITRAL Yearbook, vol. VI: 1975 E.76.V.5
UNCITRAL Yearbook, vol. VII: 1976 E.77.V.1
UNCITRAL Yearbook, vol. VIII: 1977 E.78.V.7
UNCITRAL Yearbook, vol. IX: 1978 E.80.V.8
UNCITRAL Yearbook, vol. X: 1979 E.81.V.2
UNCITRAL Yearbook, vol. XI: 1980 E.81.V.8
UNCITRAL Yearbook, vol. XII: 1981 E.82.V.6
UNCITRAL Yearbook, vol. XIII: 1982 E.84.V.5
UNCITRAL Yearbook, vol. XIV: 1983 E.85.V.3
UNCITRAL Yearbook, vol. XV: 1984 E.86.V.2
UNCITRAL Yearbook, vol. XVI: 1985 E.87.V.4
UNCITRAL Yearbook, vol. XVII: 1986 E.88.V.4
UNCITRAL Yearbook, vol. XVIII: 1987 E.89.V.4
UNCITRAL Yearbook, vol. XIX: 1988 E.89.V.8
UNCITRAL Yearbook, vol. XX: 1989 E.90.V.9
UNCITRAL Yearbook, vol. XXI: 1990 E.91.V.6
UNCITRAL Yearbook, vol. XXII: 1991 E.93.V.2
UNCITRAL Yearbook, vol. XXIII: 1992 E.94.V.7
UNCITRAL Yearbook, vol. XXIV: 1993 E.94.V.16
UNCITRAL Yearbook, vol. XXV: 1994 E.95.V.20
UNCITRAL Yearbook, vol. XXVI: 1995 E.96.V.8
UNCITRAL Yearbook, vol. XXVII: 1996 E.98.V.7
UNCITRAL Yearbook, vol. XXVIII: 1997 E.99.V.6
UNCITRAL Yearbook, vol. XXIX: 1998 E.99.V.12
UNCITRAL Yearbook, vol. XXX: 1999 E.00.V.9
UNCITRAL Yearbook, vol. XXXI: 2000 E.02.V.3
UNCITRAL Yearbook, vol. XXXII: 2001 E.04.V.4
UNCITRAL Yearbook, vol. XXXIII: 2002 E.05.V.13
UNCITRAL Yearbook, vol. XXXIV A-B: 2003 E.06.V.14
UNCITRAL Yearbook, vol. XXXV: 2004 E.08.V.8
UNCITRAL Yearbook, vol. XXXVI: 2005 E.10.V.4
UNCITRAL Yearbook, vol. XXXVII: 2006 A/CN.9/SER.A/2006
UNCITRAL Yearbook, vol. XXXVIII: 2007 A/CN.9/SER.A/2007
UNCITRAL Yearbook, vol. XXXIX: 2008 A/CN.9/SER.A/2008
Annex VI
UNCITRAL textsa
A. Legislative texts
1. Conventions
Convention on the Recognition and Enforcement of Foreign Arbitral Awards

(New York, 1958) (the “New York Convention”)
United Nations, Treaty Series, vol. 330, No. 4739, p. 3
Final Act and Convention on the Recognition and Enforcement of Foreign Arbitral
Awards of the United Nations Conference on International Commercial Arbitration,
New York, 20 May-10 June 1958 (United Nations publication, Sales No. 58.V.6)
Convention on the Limitation Period in the International Sale of Goods

(New York, 1974)
Official Records of the United Nations Conference on Prescription (Limitation) in the
International Sale of Goods, New York, 20 May-14 June 1974 (United Nations pub-
lication, Sales No. E.74.V.8), part I, p. 101
UNCITRAL Yearbook, vol. V: 1974, part three, annex I, sect. B
As amended by the Protocol of 11 April 1980 (Vienna)

Official Records of the United Nations Conference on Contracts for the International
Sale of Goods, Vienna, 10 March-11 April 1980 (United Nations publication, Sales
No. E.81.IV.3), part I, p. 191 (protocol only)
UNCITRAL Yearbook, vol. XI: 1980, part three, annex I, sect. C
United Nations Convention on the Carriage of Goods by Sea (Hamburg, 1978)

(the “Hamburg Rules”)
Official Records of the United Nations Conference on the Carriage of Goods by Sea,
Hamburg, 6-31 March 1978 (United Nations publication, Sales No. E.80.VIII.1),
part I, p. 148
UNCITRAL Yearbook, vol. IX: 1978, part three, annex I, sect. B
a
Available on the UNCITRAL website (http://www.uncitral.org).
51
United Nations Convention on Contracts for the International Sale of Goods

(Vienna, 1980)
Official Records of the United Nations Conference on Contracts for the International
Sale of Goods, Vienna, 10 March-11 April 1980 (United Nations publication, Sales
No. E.81.IV.3), part I, p. 178
UNCITRAL Yearbook, vol. XI: 1980, part three, annex I, sect. B
United Nations Convention on International Bills of Exchange and International

Promissory Notes (New York, 1988)
General Assembly resolution 43/165, annex
UNCITRAL Yearbook, vol. XIX: 1988, part three, annex I
United Nations Convention on the Liability of Operators of Transport Terminals

in International Trade (Vienna, 1991)
Official Records of the United Nations Conference on the Liability of Operators of
Transport Terminals in International Trade, Vienna, 2-19 April 1991 (United Nations
publication, Sales No. E.93.XI.3), part I, annex
UNCITRAL Yearbook, vol. XXIII: 1992, part three, annex I
United Nations Convention on Independent Guarantees and Stand-by Letters of

Credit (New York, 1995)
United Nations Convention on the Assignment of Receivables in International

Trade (New York, 2001)
United Nations Convention on the Use of Electronic Communications in

International Contracts (New York, 2005)
United Nations Convention on Contracts for the International Carriage of Goods

Wholly or Partly by Sea (New York, 2008) (the “Rotterdam Rules”)
2. Model laws
UNCITRAL Model Law on International Commercial Arbitration (1985)

Official Records of the General Assembly, Fortieth Session, Supplement No. 17
(A/40/17), annex I
UNCITRAL Yearbook, vol. XVI: 1985, part three, annex I
UNCITRAL Model Law on International Commercial Arbitration (1985), with

amendments as adopted in 2006
Official Records of the General Assembly, Sixty-first Session, Supplement No. 17
(A/61/17), annex I (revised articles only)
United Nations publication, Sales No. E.08.V.4
UNCITRAL Model Law on International Credit Transfers (1992)

Official Records of the General Assembly, Forty-seventh Session, Supplement No. 17
(A/47/17), annex I
UNCITRAL Yearbook, vol. XXIII: 1992, part three, annex II
UNCITRAL Model Law on Electronic Commerce with Guide to Enactment (1996)

General Assembly resolution 51/162, annex (model law only)
Official Records of the General Assembly, Fifty-first Session, Supplement No. 17
(A/51/17), annex I (model law only)
United Nations publication, Sales No. E.99.V.4b
UNCITRAL Yearbook, vol. XXVII: 1996, part three, annex I (model law only)
UNCITRAL Model Law on Cross-Border Insolvency with Guide to Enactment

(1997)
Official Records of the General Assembly, Fifty-second Session, Supplement No. 17
UNCITRAL Yearbook, vol. XXVIII: 1997, part three, annexes I and II
UNCITRAL Model Law on Electronic Signatures with Guide to Enactment (2001)

Official Records of the General Assembly, Fifty-sixth Session, Supplement No. 17 and
corrigendum (A/56/17 and Corr.3), annex II (model law only)
UNCITRAL Yearbook, vol. XXXII: 2001, part three, annex II (model law only)
b
The United Nations publication includes an additional article 5 bis, adopted in 1998.
UNCITRAL Model Law on International Commercial Conciliation with Guide to

Enactment and Use (2002)
Official Records of the General Assembly, Fifty-seventh Session, Supplement No. 17
UNCITRAL Yearbook, vol. XXXIII: 2002, part three, annexes I and II
UNCITRAL Model Law on Public Procurement (2011)c

Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 17
(A/66/17), annex I
3. Legislative guides and other texts
Unit of account provision and provisions for the adjustment of the limit of
liability in international transport and liability conventions (1982)
Official Records of the General Assembly, Thirty-seventh Session, Supplement No. 17
and corrigenda (A/37/17 and Corr.1 and 2), para. 63
UNCITRAL Yearbook, vol. XIII: 1982, part one, sect. A, para. 63
UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects (2000)

United Nations publication, Sales No. E.01.V.4 (A/CN.9/SER.B/4)
UNCITRAL Model Legislative Provisions on Privately Financed Infrastructure

Projects (2003)
Official Records of the General Assembly, Fifty-eighth Session, Supplement No. 17
(A/58/17), annex I
UNCITRAL Yearbook, vol. XXXIV B: 2003, part three, annex I
UNCITRAL Legislative Guide on Insolvency Law (2004)

c
Prior to its adoption of the UNCITRAL Model Law on Public Procurement (2011), UNCITRAL
had adopted the UNCITRAL Model Law on Procurement of Goods and Construction (1993), Official
Records of the General Assembly, Forty-eighth Session, Supplement No. 17 (A/48/17), annex I, UNCITRAL
Yearbook, vol. XXIV: 1993, part three, annex I; and the UNCITRAL Model Law on Procurement of
Goods, Construction and Services with Guide to Enactment (1994), Official Records of the General
Assembly, Forty-ninth Session, Supplement No. 17 and corrigendum (A/49/17 and Corr.1), annex I
(model law only), UNCITRAL Yearbook, vol. XXV: 1994, part three, annexes I and II.
UNCITRAL Legislative Guide on Insolvency Law, Part Three: Treatment of enter-

prise groups in insolvency (2010)
Available from http://www.uncitral.org/uncitral/uncitral_texts/insolvency.html
UNCITRAL Legislative Guide on Secured Transactions (2007)

UNCITRAL Legislative Guide on Secured Transactions: terminology and recom-

mendations (2007)
UNCITRAL Legislative Guide on Secured Transactions: Supplement on Security

Rights in Intellectual Property (2010)
Available from http://www.uncitral.org/uncitral/uncitral_texts/security.html
B. Contractual texts
UNCITRAL Arbitration Rules (1976)

Official Records of the General Assembly, Thirty-first Session, Supplement No. 17
(A/31/17), para. 57
UNCITRAL Yearbook, vol. VII: 1976, part one, chap. II, sect. A, para. 57
UNCITRAL Arbitration Rules (as revised in 2010)

Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17
(A/65/17), annex I
UNCITRAL Conciliation Rules (1980)

Official Records of the General Assembly, Thirty-fifth Session, Supplement No. 17
(A/35/17), chap. V, sect. A, para. 106
UNCITRAL Yearbook, vol. XI: 1980, part three, annex II
Uniform Rules on Contract Clauses for an Agreed Sum Due upon Failure of
Performance (1983)
Official Records of the General Assembly, Thirty-eighth Session, Supplement No. 17
(A/38/17), annex I
UNCITRAL Yearbook, vol. XIV: 1983, part three, annex II, sect. A
C. Explanatory texts
Recommendations to assist arbitral institutions and other interested bodies with

regard to arbitrations under the UNCITRAL Arbitration Rules (1982)
Official Records of the General Assembly, Thirty-seventh Session, Supplement No. 17
and corrigenda (A/37/17 and Corr.1 and 2), annex I
UNCITRAL Yearbook, vol. XIII: 1982, part three, annex II
Recommendations to Governments and international organizations concerning

the legal value of computer records (1985)
Official Records of the General Assembly, Fortieth Session, Supplement No. 17
(A/40/17), para. 360
UNCITRAL Yearbook, vol. XVI: 1985, part one, sect. A, para. 360
UNCITRAL Legal Guide on Drawing Up International Contracts for the Construc-

tion of Industrial Works (1987)
UNCITRAL Legal Guide on Electronic Funds Transfers (1987)

UNCITRAL Legal Guide on International Countertrade Transactions (1992)

United Nations publication, Sales No. E. 93.V.7 (A/CN.9/SER.B/3)
UNCITRAL Notes on Organizing Arbitral Proceedings (1996)

UNCITRAL Yearbook, vol. XXVII: 1996, part three, annex II
Recommendation regarding the interpretation of article II, paragraph 2, and

article VII, paragraph 1, of the Convention on the Recognition and Enforcement
of Foreign Arbitral Awards, done in New York, 10 June 1958 (2006)
Official Records of the General Assembly, Sixty-first Session, Supplement No. 17
(A/61/17), annex II
UNCITRAL Yearbook, vol. XXXVII: 2006, part three, annex II
Promoting confidence in electronic commerce: legal issues on international use

of electronic authentication and signature methods (2007)
UNCITRAL Practice Guide on Cross-Border Insolvency Cooperation (2009)

UNCITRAL Model Law on Cross-Border Insolvency: The Judicial Perspective

(2011)
Available from http://www.uncitral.org/uncitral/uncitral_texts/insolvency.html
Recommendations to assist arbitral institutions and other interested bodies with

regard to arbitration under the UNCITRAL Arbitration Rules as revised in 2010
(2012)
Official Records of the General Assembly, Sixty-seventh Session, Supplement No. 17
(A/67/17), annex I
United Nations publication
Printed in Austria
*1257491*
V.12-57491—January 2013—1,000
Convention on the Recognition and
Enforcement of Foreign Arbitral Awards
(New York, 1958)
UNITED NATIONS
The United Nations Commission on International Trade Law (UNCITRAL)
is a subsidiary body of the General Assembly. It plays an important role in
improving the legal framework for international trade by preparing international
legislative texts for use by States in modernizing the law of international trade
and non-legislative texts for use by commercial parties in negotiating
transactions. UNCITRAL legislative texts address international sale of goods;
international commercial dispute resolution, including both arbitration and
conciliation; electronic commerce; insolvency, including cross-border insolvency;
international transport of goods; international payments; procurement and
infrastructure development; and security interests. Non-legislative texts include
rules for conduct of arbitration and conciliation proceedings; notes on organizing
and conducting arbitral proceedings; and legal guides on industrial construction
contracts and countertrade.
Further information may be obtained from:
UNCITRAL secretariat, Vienna International Centre,

P.O. Box 500, 1400 Vienna, Austria
Telephone: (+43-1) 26060-4060 Telefax: (+43-1) 26060-5813

Internet: www.uncitral.org E-mail: uncitral@uncitral.org
UNITED NATIONS COMMISSION ON INTERNATIONAL TRADE LAW
Convention on the Recognition and

Enforcement of Foreign Arbitral Awards
(New York, 1958)
UNITED NATIONS
New York, 2015
NOTE
Symbols of United Nations documents are composed of capital letters com-

bined with figures. Mention of such a symbol indicates a reference to a United
Nations document.
The publication reproduced here is a revised version in which part three of

the original publication of 2009 has been removed.
Material in this publication may be freely quoted or reprinted, but

acknowledgement is requested, together with a copy of the publication
containing the quotation or reprint.
Contents
Page
Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Part one. United Nations Conference on International Commercial

Arbitration, New York, 20 May–10 June 1958 . . . . . . . . . . . . . . . . . 5
Excerpts from the Final Act of the United Nations Conference on .
International Commercial Arbitration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Convention on the Recognition and Enforcement of Foreign Arbitral .
Awards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Part two. Recommendation regarding the interpretation of article II,

paragraph 2, and article VII, paragraph 1, of the Convention
on the Recognition and Enforcement of Foreign Arbitral
Awards. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
General Assembly resolution 61/33 of 4 December 2006 . . . . . . . . . . . . . . . 15
Recommendation regarding the interpretation of article II, paragraph 2, .
and article VII, paragraph 1, of the Convention on the Recognition and
Enforcement of Foreign Arbitral Awards, done in New York, 10 June .
1958, adopted by the United Nations Commission on International .
Trade Law on 7 July 2006 at its thirty-ninth session. . . . . . . . . . . . . . . . . . . 17
iii
07-87406_E_main_mm.indd 3 18/01/2008 18:17:01

Introduction
Objectives
Recognizing the growing importance of international arbitration as a means

of settling international commercial disputes, the Convention on the Recog-
nition and Enforcement of Foreign Arbitral Awards (the Convention) seeks
to provide common legislative standards for the recognition of arbitration
agreements and court recognition and enforcement of foreign and non-.
domestic arbitral awards. The term “non-domestic” appears to embrace
awards which, although made in the state of enforcement, are treated as
“foreign” under its law because of some foreign element in the proceedings,
e.g. another State’s procedural laws are applied.
The Convention’s principal aim is that foreign and non-domestic arbitral

awards will not be discriminated against and it obliges Parties to ensure
such awards are recognized and generally capable of enforcement in their
jurisdiction in the same way as domestic awards. An ancillary aim of the
Convention is to require courts of Parties to give full effect to arbitration
agreements by requiring courts to deny the parties access to court in con-
travention of their agreement to refer the matter to an arbitral tribunal.
Key provisions
The Convention applies to awards made in any State other than the State in
which recognition and enforcement is sought. It also applies to awards “not
considered as domestic awards”. When consenting to be bound by the.
Convention, a State may declare that it will apply the Convention.
(a) in respect to awards made only in the territory of another Party and.
(b) only to legal relationships that are considered “commercial” under its
domestic law.
The Convention contains provisions on arbitration agreements. This aspect

was covered in recognition of the fact that an award could be refused.
enforcement on the grounds that the agreement upon which it was based
might not be recognized. Article II (1) provides that Parties shall recognize
07-87406_E_main_mm.indd 1 18/01/2008 18:17:01

written arbitration agreements. In that respect, UNCITRAL adopted, at its
thirty-ninth session in 2006, a Recommendation that seeks to provide guidance
to Parties on the interpretation of the requirement in article II (2) that an arbitration
agreement be in writing and to encourage application of article VII (1) to allow any
interested party to avail itself of rights it may have, under the law or treaties of
the country where an arbitration agreement is sought to be relied upon, to seek
recognition of the validity of such an arbitration agreement.
The central obligation imposed upon Parties is to recognize all arbitral awards
within the scheme as binding and enforce them, if requested to do so, under
the lex fori. Each Party may determine the procedural mechanisms that may be
followed where the Convention does not prescribe any requirement.
The Convention defines five grounds upon which recognition and enforce-
ment may be refused at the request of the party against whom it is invoked.
The grounds include incapacity of the parties, invalidity of the arbitration
agreement, due process, scope of the arbitration agreement, jurisdiction of
the arbitral tribunal, setting aside or suspension of an award in the country
in which, or under the law of which, that award was made. The Convention
defines two additional grounds upon which the court may, on its own.
motion, refuse recognition and enforcement of an award. Those grounds
relate to arbitrability and public policy.
The Convention seeks to encourage recognition and enforcement of awards

in the greatest number of cases as possible. That purpose is achieved through
article VII (1) of the Convention by removing conditions for recognition
and enforcement in national laws that are more stringent than the conditions
in the Convention, while allowing the continued application of any national
provisions that give special or more favourable rights to a party seeking to
enforce an award. That article recognizes the right of any interested party
to avail itself of law or treaties of the country where the award is sought
to be relied upon, including where such law or treaties offer a regime more
favourable than the Convention.
Entry into force
The Convention entered into force on 7 June 1959 (article XII).
How to become a party
The Convention is closed for signature. It is subject to ratification, and is

open to accession by any Member State of the United Nations, any other
07-87406_E_main_mm.indd 2 18/01/2008 18:17:01

State which is a member of any specialized agency of the United Nations,
or is a Party to the Statute of the International Court of Justice (articles VIII
and IX).
Optional and/or mandatory declarations and notifications
When signing, ratifying or acceding to the Convention, or notifying a terri-

torial extension under article X, any State may on the basis of reciprocity
declare that it will apply the Convention to the recognition and enforcement
of awards made only in the territory of another Party to the Convention. It
may also declare 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 national law of the State making such declaration
(article I).
Denunciation/Withdrawal
Any Party may denounce this Convention by a written notification to the

Secretary-General of the United Nations. Denunciation shall take effect one
year after the date of the receipt of the notification by the Secretary-General
(article XIII).
07-87406_E_main_mm.indd 3 18/01/2008 18:17:01

07-87406_E_main_mm.indd 4 18/01/2008 18:17:01
Part one
United Nations Conference on International .

Commercial Arbitration, .
new york, 20 may–10 june 1958
Excerpts from the Final Act of the United Nations Conference on

International Commercial Arbitration
“1. The Economic and Social Council of the United Nations, by resolution
604 (XXI) adopted on 3 May 1956, decided to convene a Conference of
Plenipotentiaries for the purpose of concluding a convention on the recogni-
tion and enforcement of foreign arbitral awards, and to consider other pos-
sible measures for increasing the effectiveness of arbitration in the settlement
of private law disputes.
[…]
“12. The Economic and Social Council, by its resolution convening the
Conference, requested it to conclude a convention on the basis of the draft
convention prepared by the Committee on the Enforcement of International
Arbitral Awards, taking into account the comments and suggestions made by
Governments and non-governmental organizations, as well as the discussion at
the twenty-first session of the Council.
“13. On the basis of the deliberations, as recorded in the reports of the work-
ing parties and in the records of the plenary meetings, the Conference prepared
and opened for signature the Convention on the Recognition and Enforcement
of Foreign Arbitral Awards which is annexed to this Final Act.
[…]
“16. In addition the Conference adopted, on the basis of proposals made

by the Committee on Other Measures as recorded in its report, the following
resolution:

The full text of the Final Act of the United Nations Conference on International Commercial
Arbitration (E/CONF.26/8Rev.1) is available at http://www.uncitral.org
07-87406_E_main_mm.indd 5 18/01/2008 18:17:01

“The Conference,
“Believing that, in addition to the convention on the recognition and

enforcement of foreign arbitral awards just concluded, which would contri-
bute to increasing the effectiveness of arbitration in the settlement of private
law disputes, additional measures should be taken in this field,
“Having considered the able survey and analysis of possible measures

for increasing the effectiveness of arbitration in the settlement of private law
disputes prepared by the Secretary-General (document E/CONF.26/6),
“Having given particular attention to the suggestions made therein for

possible ways in which interested governmental and other organizations may
make practical contributions to the more effective use of arbitration,
“Expresses the following views with respect to the principal matters

dealt with in the note of the Secretary-General:
“1. It considers that wider diffusion of information on arbitration laws,

practices and facilities contributes materially to progress in commercial.
arbitration; recognizes that work has already been done in this field by.
interested organizations, and expresses the wish that such organizations, so
far as they have not concluded them, continue their activities in this regard,
with particular attention to coordinating their respective efforts;
“2. It recognizes the desirability of encouraging where necessary the

establishment of new arbitration facilities and the improvement of existing
facilities, particularly in some geographic regions and branches of trade; and
believes that useful work may be done in this field by appropriate govern-
mental and other organizations, which may be active in arbitration matters,
due regard being given to the need to avoid duplication of effort and to
concentrate upon those measures of greatest practical benefit to the regions
and branches of trade concerned;
“3. It recognizes the value of technical assistance in the development

of effective arbitral legislation and institutions; and suggests that interested
Governments and other organizations endeavour to furnish such assistance,
within the means available, to those seeking it;
“4. It recognizes that regional study groups, seminars or working.

parties may in appropriate circumstances have productive results; believes
that consideration should be given to the advisability of the convening of

For example, the Economic Commission for Europe and the Inter-American Council of Jurists.

07-87406_E_main_mm.indd 6 18/01/2008 18:17:02

such meetings by the appropriate regional commissions of the United Nations
and other bodies, but regards it as important that any such action be taken
with careful regard to avoiding duplication and assuring economy of effort
and of resources;
“5. It considers that greater uniformity of national laws on arbitration

would further the effectiveness of arbitration in the settlement of private law
disputes, notes the work already done in this field by various existing.
organizations, and suggests that by way of supplementing the efforts of
these bodies appropriate attention be given to defining suitable subject matter
for model arbitration statutes and other appropriate measures for encouraging
the development of such legislation;
“Expresses the wish that the United Nations, through its appropriate
organs, take such steps as it deems feasible to encourage further study of
measures for increasing the effectiveness of arbitration in the settlement of
private law disputes through the facilities of existing regional bodies and
non-governmental organizations and through such other institutions as may
be established in the future;
“Suggests that any such steps be taken in a manner that will assure
proper coordination of effort, avoidance of duplication and due observance
of budgetary considerations;
“Requests that the Secretary-General submit this resolution to the.

appropriate organs of the United Nations.”

For example, the International Institute for the Unification of Private Law and the Inter-American
Council of Jurists.
07-87406_E_main_mm.indd 7 18/01/2008 18:17:02

Convention on the Recognition and Enforcement .
of Foreign Arbitral Awards
Article I
1. This Convention shall apply to the recognition and enforcement of

arbitral awards made in the territory of a State other than the State where
the recognition and enforcement of such awards are sought, and arising out
of differences between persons, whether physical or legal. It shall also apply
to arbitral awards not considered as domestic awards in the State where
their recognition and enforcement are sought.
2. The term “arbitral awards” shall include not only awards made by
arbitrators appointed for each case but also those made by permanent arbitral
bodies to which the parties have submitted.
3. When signing, ratifying or acceding to this Convention, or notifying

extension under article X hereof, any State may on the basis of reciprocity.
declare that it will apply the Convention to the recognition and enforcement of
awards made only in the territory of another Contracting State. It may also.
declare 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 national law of the State making such declaration.
Article II
1. Each Contracting State shall recognize an agreement in writing

under which the parties undertake to submit to arbitration all or any differ-
ences which have arisen or which may arise between them in respect of a
defined legal relationship, whether contractual or not, concerning a subject
matter capable of settlement by arbitration.
2. The term “agreement in writing” shall include an arbitral clause

in a contract or an arbitration agreement, signed by the parties or contained
in an exchange of letters or telegrams.
3. The court of a Contracting State, when seized of an action in a

matter in respect of which the parties have made an agreement within the
meaning of this article, shall, at the request of one of the parties, refer the
parties to arbitration, unless it finds that the said agreement is null and void,.
inoperative or incapable of being performed.
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Article III
Each Contracting State shall recognize arbitral awards as binding and

enforce them in accordance with the rules of procedure of the territory where
the award is relied upon, under the conditions laid down in the following
articles. There shall not be imposed substantially more onerous conditions
or higher fees or charges on the recognition or enforcement of arbitral awards
to which this Convention applies than are imposed on the recognition or
enforcement of domestic arbitral awards.
Article IV
1. To obtain the recognition and enforcement mentioned in the pre-

ceding article, the party applying for recognition and enforcement shall, at
the time of the application, supply:
(a) The duly authenticated original award or a duly certified copy
thereof;
(b) The original agreement referred to in article II or a duly certified
copy thereof.
2. If the said award or agreement is not made in an official language

of the country in which the award is relied upon, the party applying for
recognition and enforcement of the award shall produce a translation of these
documents into such language. The translation shall be certified by an official
or sworn translator or by a diplomatic or consular agent.
Article V
1. Recognition and enforcement of the award may be refused, at the

request of the party against whom it is invoked, only if that party furnishes
to the competent authority where the recognition and enforcement is sought,
proof that:
(a) The parties to the agreement referred to in article II were, under
the law applicable to them, under some incapacity, or the said agreement is
not valid under the law to which the parties have subjected it or, failing any
indication thereon, under the law of the country where the award was made;
or
(b) The party against whom the award is invoked was not given proper
notice of the appointment of the arbitrator or of the arbitration proceedings
or was otherwise unable to present his case; or
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(c) The award deals with a difference not contemplated by or not.
falling within the terms of the submission to arbitration, or it contains deci-
sions on matters beyond the scope of the submission to arbitration, provided
that, if the decisions on matters submitted to arbitration can be separated
from those not so submitted, that part of the award which contains decisions
on matters submitted to arbitration may be recognized and enforced; or
(d) The composition of the arbitral authority or the arbitral procedure
was not in accordance with the agreement of the parties, or, failing such
agreement, was not in accordance with the law of the country where the
arbitration took place; or
(e) The award has not yet become binding on the parties, or has been
set aside or suspended by a competent authority of the country in which,
or under the law of which, that award was made.
2. Recognition and enforcement of an arbitral award may also be.

refused if the competent authority in the country where recognition and
enforcement is sought finds that:
(a) The subject matter of the difference is not capable of settlement
by arbitration under the law of that country; or
(b) The recognition or enforcement of the award would be contrary to
the public policy of that country.
Article VI
If an application for the setting aside or suspension of the award has

been made to a competent authority referred to in article V (1) (e), the.
authority before which the award is sought to be relied upon may, if it
considers it proper, adjourn the decision on the enforcement of the award
and may also, on the application of the party claiming enforcement of the
award, order the other party to give suitable security.
Article VII
1. The provisions of the present Convention shall not affect the valid-
ity of multilateral or bilateral agreements concerning the recognition and
enforcement of arbitral awards entered into by the Contracting States nor
deprive any interested party of any right he may have to avail himself of
an arbitral award in the manner and to the extent allowed by the law or the
treaties of the country where such award is sought to be relied upon.
10
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2. The Geneva Protocol on Arbitration Clauses of 1923 and the.
Geneva Convention on the Execution of Foreign Arbitral Awards of 1927
shall cease to have effect between Contracting States on their becoming
bound and to the extent that they become bound, by this Convention.
Article VIII
1. This Convention shall be open until 31 December 1958 for signature

on behalf of any Member of the United Nations and also on behalf of any other
State which is or hereafter becomes a member of any specialized agency of the
United Nations, or which is or hereafter becomes a party to the Statute of the
International Court of Justice, or any other State to which an invitation has been
addressed by the General Assembly of the United Nations.
2. This Convention shall be ratified and the instrument of ratification

shall be deposited with the Secretary-General of the United Nations.
Article IX
1. This Convention shall be open for accession to all States referred

to in article VIII.
2. Accession shall be effected by the deposit of an instrument of.

accession with the Secretary-General of the United Nations.
Article X
1. Any State may, at the time of signature, ratification or accession,

declare that this Convention shall extend to all or any of the territories for
the international relations of which it is responsible. Such a declaration shall
take effect when the Convention enters into force for the State concerned.
2. At any time thereafter any such extension shall be made by notifica-

tion addressed to the Secretary-General of the United Nations and shall take
effect as from the ninetieth day after the day of receipt by the Secretary-General
of the United Nations of this notification, or as from the date of entry into
force of the Convention for the State concerned, whichever is the later.
3. With respect to those territories to which this Convention is not

extended at the time of signature, ratification or accession, each State.
concerned shall consider the possibility of taking the necessary steps in order
11
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to extend the application of this Convention to such territories, subject,
where necessary for constitutional reasons, to the consent of the Govern-
ments of such territories.
Article XI
In the case of a federal or non-unitary State, the following provisions

shall apply:
(a) With respect to those articles of this Convention that come within
the legislative jurisdiction of the federal authority, the obligations of the
federal Government shall to this extent be the same as those of Contracting
States which are not federal States;
(b) With respect to those articles of this Convention that come within
the legislative jurisdiction of constituent states or provinces which are not,
under the constitutional system of the federation, bound to take legislative
action, the federal Government shall bring such articles with a favourable
recommendation to the notice of the appropriate authorities of constituent
states or provinces at the earliest possible moment;
(c) A federal State Party to this Convention shall, at the request of
any other Contracting State transmitted through the Secretary-General of the
United Nations, supply a statement of the law and practice of the federation
and its constituent units in regard to any particular provision of this Conven-
tion, showing the extent to which effect has been given to that provision by
legislative or other action.
Article XII
1. This Convention shall come into force on the ninetieth day follow-
ing the date of deposit of the third instrument of ratification or accession.
2. For each State ratifying or acceding to this Convention after the

deposit of the third instrument of ratification or accession, this Convention
shall enter into force on the ninetieth day after deposit by such State of its
instrument of ratification or accession.
Article XIII
1. Any Contracting State may denounce this Convention by a written

notification to the Secretary-General of the United Nations. Denunciation
12
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shall take effect one year after the date of receipt of the notification by the
Secretary-General.
2. Any State which has made a declaration or notification under.

article X may, at any time thereafter, by notification to the Secretary-General
of the United Nations, declare that this Convention shall cease to extend to
the territory concerned one year after the date of the receipt of the notifica-
tion by the Secretary-General.
3. This Convention shall continue to be applicable to arbitral awards

in respect of which recognition or enforcement proceedings have been.
instituted before the denunciation takes effect.
Article XIV
A Contracting State shall not be entitled to avail itself of the present

Convention against other Contracting States except to the extent that it is
itself bound to apply the Convention.
Article XV
The Secretary-General of the United Nations shall notify the States

contemplated in article VIII of the following:
(a) Signatures and ratifications in accordance with article VIII;
(b) Accessions in accordance with article IX;
(c) Declarations and notifications under articles I, X and XI;
(d) The date upon which this Convention enters into force in accord-
ance with article XII;
(e) Denunciations and notifications in accordance with article XIII.
Article XVI
1. This Convention, of which the Chinese, English, French, Russian

and Spanish texts shall be equally authentic, shall be deposited in the.
archives of the United Nations.
2. The Secretary-General of the United Nations shall transmit a certi-

fied copy of this Convention to the States contemplated in article VIII.
13
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07-87406_E_main_mm.indd 14 18/01/2008 18:17:03
Part two
recommendation regarding the interpretation .

of article II, paragraph 2, and article VII, .
paragraph 1, of the Convention on .
the Recognition and Enforcement .
of Foreign Arbitral Awards
General Assembly resolution 61/33

of 4 December 2006
The General Assembly,
Recognizing the value of arbitration as a method of settling disputes

arising in the context of international commercial relations,
Recalling its resolution 40/72 of 11 December 1985 regarding the.

Model Law on International Commercial Arbitration,1
Recognizing the need for provisions in the Model Law to conform to

current practices in international trade and modern means of contracting
with regard to the form of the arbitration agreement and the granting of.
interim measures,
Believing that revised articles of the Model Law on the form of the
arbitration agreement and interim measures reflecting those current practices
will significantly enhance the operation of the Model Law,
Noting that the preparation of the revised articles of the Model Law on
the form of the arbitration agreement and interim measures was the subject
of due deliberation and extensive consultations with Governments and.
interested circles and would contribute significantly to the establishment of
a harmonized legal framework for a fair and efficient settlement of interna-
tional commercial disputes,
1
Official Records of the General Assembly, Fortieth Session, Supplement No. 17 (A/40/17),
annex I.
15
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Believing that, in connection with the modernization of articles of the
Model Law, the promotion of a uniform interpretation and application of
the Convention on the Recognition and Enforcement of Foreign Arbitral
Awards, done at New York, 10 June 1958,2 is particularly timely,
1. Expresses its appreciation to the United Nations Commission on

International Trade Law for formulating and adopting the revised articles of
its Model Law on International Commercial Arbitration on the form of the
arbitration agreement and interim measures, the text of which is contained
in annex I to the report of the United Nations Commission on International
Trade Law on the work of its thirty-ninth session,3 and recommends that all
States give favourable consideration to the enactment of the revised articles
of the Model Law, or the revised Model Law on International Commercial
Arbitration of the United Nations Commission on International Trade Law,
when they enact or revise their laws, in view of the desirability of uniformity
of the law of arbitral procedures and the specific needs of international
commercial arbitration practice;
2. Also expresses its appreciation to the United Nations Commission

on International Trade Law for formulating and adopting the recommenda-
tion regarding the interpretation of article II, paragraph 2, and article VII,
paragraph 1, of the Convention on the Recognition and Enforcement of.
Foreign Arbitral Awards, done at New York, 10 June 1958,2 the text of which
is contained in annex II to the report of the United Nations Commission on
International Trade Law on the work of its thirty-ninth session;3
3. Requests the Secretary-General to make all efforts to ensure that

the revised articles of the Model Law and the recommendation become
generally known and available.
64th plenary meeting
4 December 2006

United Nations, Treaty Series, vol. 330, No. 4739.
2

Official Records of the General Assembly, Sixty-first Session, Supplement No. 17 (A/61/17).
3
16
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Recommendation regarding the interpretation of article II,
paragraph 2, and article VII, paragraph 1, of .
the Convention on the Recognition and Enforcement of .
Foreign Arbitral Awards, done in New York, 10 June 1958,
adopted by the United Nations Commission on .
International Trade Law on 7 july 2006 .
at its thirty-ninth session
The United Nations Commission on International Trade Law,
Recalling General Assembly resolution 2205 (XXI) of 17 December 1966,

which established the United Nations Commission on International Trade Law
with the object of promoting the progressive harmonization and unification of
the law of international trade by, inter alia, promoting ways and means of ensur-
ing a uniform interpretation and application of international conventions and
uniform laws in the field of the law of international trade,
Conscious of the fact that the different legal, social and economic.
systems of the world, together with different levels of development, are
represented in the Commission,
Recalling successive resolutions of the General Assembly reaffirming

the mandate of the Commission as the core legal body within the United
Nations system in the field of international trade law to coordinate legal
activities in this field,
Convinced that the wide adoption of the Convention on the Recognition

and Enforcement of Foreign Arbitral Awards, done in New York on 10 June
1958, has been a significant achievement in the promotion of the rule of
law, particularly in the field of international trade,
Recalling that the Conference of Plenipotentiaries which prepared and

opened the Convention for signature adopted a resolution, which states, inter
alia, that the Conference “considers that greater uniformity of national laws
on arbitration would further the effectiveness of arbitration in the settlement
of private law disputes”,
Bearing in mind differing interpretations of the form requirements under

the Convention that result in part from differences of expression as between
the five equally authentic texts of the Convention,
Taking into account article VII, paragraph 1, of the Convention, a.

purpose of which is to enable the enforcement of foreign arbitral awards to

United Nations, Treaty Series, vol. 330, No. 4739.
17
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the greatest extent, in particular by recognizing the right of any interested
party to avail itself of law or treaties of the country where the award is
sought to be relied upon, including where such law or treaties offer a regime
more favourable than the Convention,
Considering the wide use of electronic commerce,
Taking into account international legal instruments, such as the

1985 UNCITRAL Model Law on International Commercial Arbitration, as
subsequently revised, particularly with respect to article 7, the UNCITRAL
Model Law on Electronic Commerce, the UNCITRAL Model Law on
Electronic Signatures and the United Nations Convention on the Use of
Electronic Communications in International Contracts,
Taking into account also enactments of domestic legislation, as well as

case law, more favourable than the Convention in respect of form require-
ment governing arbitration agreements, arbitration proceedings and the.
enforcement of arbitral awards,
Considering that, in interpreting the Convention, regard is to be had to

the need to promote recognition and enforcement of arbitral awards,
1. Recommends that article II, paragraph 2, of the Convention on the

Recognition and Enforcement of Foreign Arbitral Awards, done in New York,
10 June 1958, be applied recognizing that the circumstances described there-
in are not exhaustive;
2. Recommends also that article VII, paragraph 1, of the Convention

on the Recognition and Enforcement of Foreign Arbitral Awards, done in
New York, 10 June 1958, should be applied to allow any interested party to
avail itself of rights it may have, under the law or treaties of the country
where an arbitration agreement is sought to be relied upon, to seek recogni-
tion of the validity of such an arbitration agreement.

Official Records of the General Assembly, Fortieth Session, Supplement No. 17 (A/40/17), annex I,
and United Nations publication, Sales No. E.95.V.18.

Ibid., Sixty-first Session, Supplement No. 17 (A/61/17), annex I.

Ibid., Fifty-first Session, Supplement No. 17 (A/51/17), annex I, and United Nations publication,
Sales No. E.99.V.4, which contains also an additional article 5 bis, adopted in 1998, and the accompany-
ing Guide to Enactment.

Ibid., Fifty-sixth Session, Supplement No. 17 and corrigendum (A/56/17 and Corr.3), annex II,
and United Nations publication, Sales No. E.02.V.8, which contains also the accompanying Guide to
Enactment.

General Assembly resolution 60/21, annex.
18
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ALTERNATIVE DISPUTE RESOLUTION

Course Outline –SY 2018

I. Article 33, Paragraph 1 of the United Nations Charter

CHAPTER VI: PACIFIC SETTLEMENT OF DISPUTES

II. International Court of Justice (ICJ)

Conventions, model laws and rules which are acceptable worldwide

ATTACHED: UNCITRAL Leaflet and UNCITRAL Guide

VI. 1958 New York Convention (See Attached)

(Here follow the names of Plenipotentiaries.)

PART I. THE MAINTENANCE OF GENERAL PEACE

PART II. GOOD OFFICES AND MEDIATION

In case of serious disagreement or dispute, before an appeal to arms, the Contracting

Independently of this recourse, the Contracting Powers deem it expedient and

The acceptance of mediation cannot, unless there be an agreement to the contrary,

PART III. INTERNATIONAL COMMISSIONS OF INQUIRY

International Commissions of Inquiry are constituted by special agreement between

Unless an undertaking is made to the contrary, Commissions of Inquiry shall be

If the Commission meets elsewhere than at The Hague, it appoints a Secretary-

In order to facilitate the constitution and working of Commissions of Inquiry, the

On the inquiry both sides must be heard.

Every investigation, and every examination of a locality, must be made in the

The examination of witnesses is conducted by the President.

The Report is signed by all the members of the Commission.

PART IV. INTERNATIONAL ARBITRATION

Chapter I. The System of Arbitration

In questions of a legal nature, and especially in the interpretation or application of

The Arbitration Convention is concluded for questions already existing or for

Independently of general or private Treaties expressly stipulating recourse to

Chapter II. The Permanent Court of Arbitration

With the object of facilitating an immediate recourse to arbitration for international

The Permanent Court sits at The Hague.

The Permanent Administrative Council, composed of the Diplomatic Representatives

Chapter III. Arbitration Procedure

With a view to encouraging the development of arbitration, the Contracting Powers

The duties of Arbitrator may be conferred on one Arbitrator alone or on several

When a Sovereign or the Chief of a State is chosen as Arbitrator, the arbitration

The Umpire is President of the Tribunal ex officio.

When the ‘Compromis’ is settled by a Commission, as contemplated in Article 54,

A certified copy of every document produced by one party must be communicated to

The Tribunal is authorized to declare its competence in interpreting the ‘Compromis’,

The Award is not binding except on the parties in dispute.

Chapter IV. Arbitration by Summary Procedure

With a view to facilitating the working of the system of arbitration in disputes

PART V. FINAL PROVISIONS

The present Convention shall be ratified as soon as possible.

UNCITRAL PO Box 500 UNITED NATIONS COMMISSION

Electronic Commerce (1996) • UNCITRAL Model FAX: +(43) (1) 26060-5813

Law on Electronic Signatures (2001) UNITED NATIONS Email: uncitral@uncitral.org

A legal body with universal

UNCITRAL secretariat, Vienna International Centre,

Telephone: (+43-1) 26060-4060 Telefax: (+43-1) 26060-5813

© United Nations, January 2013. All rights reserved.

The designations employed and the presentation of material in this publication do

This publication has not been formally edited.

II. General information on UNCITRAL . . . . . . . . . . . . . . . . . . . . . . . 3

III. Organization and methods of work. . . . . . . . . . . . . . . . . . . . . . . 5

IV. Work of UNCITRAL. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

1. In an increasingly economically interdependent world, the importance of an

2. UNCITRAL gives effect to its mandate by:

“(b) Promoting wider participation in existing international conventions and

3. Members of UNCITRAL are selected from among States Members of the

II. General information on UNCITRAL

5. UNCITRAL’s website is available in all six of the official languages of the

B. Document numbering/symbols

7. Individual documents prepared for consideration by UNCITRAL and its

C. UNCITRAL Law Library

III. Organization and methods of work12

III. Organization and methods of work12

C. Participation at sessions of UNCITRAL and its

C. Uniform interpretation of legislative texts: