Accession Kit 6 December_V1808433_EC
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Accession Kit 6 December.docx (English)ACCESSION KIT TO "SINGAPORE CONVENTION ON MEDIATION" V1808433.docx (Chinese)
Information brochure介绍册
Singapore Convention on Mediation新加坡调解公约
Information brochure介绍册
Singapore Convention on Mediation新加坡调解公约
Information brochure介绍册
United Nations Convention on International Settlement Agreements Resulting from Mediation联合国关于调解所产生的国际和解协议公约
“Singapore Convention on Mediation”“新加坡调解公约”
Signing Ceremony签署仪式
Singapore, 7 August 20192019年8月7日,新加坡
The United Nations Convention on International Settlement Agreements Resulting from Mediation, also known as the “Singapore Convention on Mediation” (the “Singapore Convention” or the “Convention”) applies to international settlement agreements resulting from mediation, concluded by parties to resolve a commercial dispute. It provides a uniform and efficient framework for the enforcement of international settlement agreements resulting from mediation and for allowing parties to invoke such agreements, akin to the framework that the Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York, 1958) (the “New York Convention”) provides for arbitral awards. The Singapore Convention has been designed to become an essential instrument in the facilitation of international trade and in the promotion of mediation as an alternative and effective method of resolving trade disputes. It ensures that a settlement reached by parties becomes binding and enforceable in accordance with a simplified and streamlined procedure. It thereby contributes to strengthening access to justice and the rule of law.
Mediation, known for improving efficiency of dispute resolution, has several advantages. Mediation is flexible.《联合国关于调解所产生的国际和解协议公约》(又称《新加坡调解公约》)适用于当事人为解决商事争议而订立、通过调解所产生的国际和解协议。
Parties create their own process and work on their own agreement, they may discuss legal but also non-legal issues, and find the most convenient solution to their dispute.公约为执行调解所产生的国际和解协议并允许当事人援用此类协议提供了一个统一、高效的框架,这类似于《承认及执行外国仲裁裁决公约》(1958年,纽约)(《纽约公约》)为仲裁裁决提供的框架。
As the procedure is tailored to the needs and concerns of the parties, it may be less time and resources consuming than adjudication.《新加坡公约》旨在成为一部便利国际贸易并促进将调解作为一种解决贸易争端的有效替代方法的基本文书。
Until the adoption of the Singapore Convention, the often-cited challenge to the use of mediation was the lack of an efficient and harmonized framework for cross-border enforcement of settlement agreements resulting from mediation.公约确保当事人达成的和解协议根据简化和精简的程序具有约束力和可执行性。 因此,公约有助于加强司法救助和法治。 以提高争议解决效率而见长的调解有若干优势。
This is in response to this need that the Singapore Convention has been developed and adopted by the United Nations.调解具有灵活性。 当事各方自行设置程序并自行达成约定,可讨论法律问题,也可讨论非法律问题,并找到最近便的争议解决办法。
In that context, the Convention contributes to the development of a mature, rule-based global commercial system (implementing the Sustainable Development Goals, mainly SDG 16).由于程序是根据当事各方的需要和关切量身定制的,因此可能比裁决更省时、更节省资源。 在《新加坡公约》通过之前,经常提到使用调解方法的挑战是跨境执行调解产生的和解协议缺乏一个高效和统一框架。
This brochure provides information on the Convention as well as on the procedures that States or regional economic integration organizations must follow in order to sign, ratify, accept, approve or accede to this Convention.联合国制定并通过《新加坡公约》就是因应这种需要。 在这方面,《公约》有助于发展成熟和基于规则的全球商业体系(落实《可持续发展目标》,主要是其中的目标16)。 介绍册介绍《公约》以及各国或区域经济一体化组织签署、批准、接受、核准或加入《公约》必须遵循的程序。
Included in the annexes are model instruments of (i) full powers;附件中包括交存联合国秘书长的以下文书可使用的范本:㈠全权证书;
(ii) ratification, acceptance or approval;㈡批准书、接受书或核准书; ㈢加入书;
(iii) accession;㈣保留书;
(iv) reservation;㈤保留撤回书。
and (v) withdrawal of a reservation, which can be used for deposit with the Secretary-General of the United Nations.大会于2018年12月通过了《公约》,目的是为各国和区域经济一体化组织提供一个执行调解 所产生的和解协议并允许当事人援用和解协议的跨境框架。
The Convention was adopted by the General Assembly in December 2018 with the aim of providing States and regional economic integration organizations with a cross-border framework for the enforcement of settlement agreements resulting from mediation and for allowing a party to invoke a settlement agreement. By becoming a Party to the Convention, a State or regional economic integration organization (“Party”) consents to apply the Convention to international settlement agreements resulting from mediation (article 1 of the Convention). The Convention provides for Parties’ obligations regarding both enforcement of settlement agreements covered by the Convention and the right for a disputing party to invoke a settlement agreement. Each Party may determine the procedural mechanisms that may be followed where the Convention does not prescribe any requirement (article 3 of the Convention). Noteworthy are the exclusions from the scope of the Convention (article 1 of the Convention), as it does not apply to settlement agreements concluded to resolve a dispute arising from transactions engaged in by a consumer for personal, family or household purposes, or relating to family, inheritance or employment law.
Settlement agreements that are enforceable as a judgment or as an arbitral award are also excluded from the scope of the Convention.一国或一区域经济一体化组织加入《公约》(“当事方”),即为同意将《公约》适用于调解所产生的国际和解协议(《公约》第1条)。
The purpose of this last exclusion is to avoid possible overlap with existing and future conventions, namely the New York Convention, the Convention on Choice of Court Agreements (2005) and the preliminary draft convention on judgments, under preparation by The Hague Conference on Private International Law.《公约》规定了当事方在执行《公约》涵盖的和解协议方面的义务以及争议方援用和解协议的权利。 《公约》未规定任何要求的,每一当事方可确定所遵循的程序机制(《公约》第3条)。 需要注意的是排除在《公约》范围之外的协议(《公约》第1条),因为《公约》不适用于为解决消费者为个人、家庭或家居目的进行交易所产生的争议而订立的和解协议或与家庭法、继承法或就业法有关的和解协议。
The formalities for relying on a settlement agreement under the Convention are simple.可作为判决或仲裁裁决执行的和解协议也被排除在《公约》范围之外。
The disputing party shall supply to the competent authority the settlement agreement signed by the parties and evidence that the settlement agreement results from mediation.将最后这种协议排除在外,是为了避免与现有和未来公约可能发生重叠,即《纽约公约》、《法院选择协定公约》(2005年)以及海牙国际私法会议正在拟订的关于判决书的公约初稿。
The competent authority may require any necessary document in order to verify that the requirements of the Convention are complied with (article 4 of the Convention).根据《公约》依赖于和解协议的程序很简单。 争议方应向主管当局提供双方签署的和解协议以及和解协议产生于调解的证据。
Following an approach similar to that of the New York Convention, the Convention provides an exhaustive list of grounds under which a court may refuse to grant relief (article 5 of the Convention).主管当局可要求提供任何必要文件,以核实《公约》的要求得到遵守(《公约》第4条)。 按照类似于《纽约公约》的做法,《公约》提供了法院可拒绝准予救济的详尽理由清单(《公约》第5条)。
The grounds can be grouped into three main categories, as follows: (i) in relation to the parties, their incapacity;这些理由可分为以下三大类:㈠就当事人而言,其无行为能力;
(ii) in relation to the settlement agreement, its invalidity, or the fact that the settlement agreement is not final, not binding or has been subsequently modified, the fact that the obligations in the settlement agreement have been performed or are not clear and comprehensible, or that granting relief would be contrary to the terms of the settlement agreement;㈡就和解协议而言,其不具有效性,或基于以下三方面的事实:和解协议不是终局的、不具约束力或随后被修改,和解协议中的义务已经履行或不明确且不可理解,或者准予救济将违反和解协议条款; ㈢就调解程序而言,涉及程序或调解人独立性和公正性的正当程序问题。 《公约》界定了法院可以主动拒绝准予救济的另外两个理由。
(iii) in relation to the mediation procedure, due process issues regarding the procedure or the independence and impartiality of the mediator.这些理由涉及这样一个事实,即争议无法通过调解方式解决或有违公共政策。 《公约》力求鼓励在尽可能多的情况下根据《公约》准予救济。
The Convention defines two additional grounds upon which a court may, on its own motion, refuse to grant relief.为实现这一目的,允许在寻求依赖和解协议所在国所提供的制度比《公约》提供的制度更有利的情况下继续适用该国的法律或条约(《公约》第7条)。
Those grounds relate to the fact that a dispute would not be capable of settlement by mediation or would be contrary to public policy.《公约》当事方有提出保留声明的灵活性,因此,对于其为一方当事人的和解协议,或者对于任何政府机构或代表政府机构行事的任何人为一方当事人的和解协议,在声明规定的限度内,排除适用《公约》。
The Convention seeks to encourage granting relief under the Convention in the greatest number of cases as possible.《公约》当事方还可声明,其适用《公约》仅以和解协议当事人已商定适用《公约》为限。
This purpose is achieved by allowing the continued application of law or treaties of the country where the settlement agreement is sought to be relied upon that offer a regime more favorable than that of the Convention (article 7 of the Convention). A Party to the Convention has the flexibility to formulate reservations, thereby excluding from the application of the Convention settlement agreements to which it is a party, or to which any governmental agencies or any person acting on behalf of a governmental agency is a party, to the extent specified in the declaration. A Party may also declare that it shall apply the Convention only to the extent that the parties to the settlement agreement have agreed to the application of the Convention. By defining specific timing for formulation and withdrawal of reservations, the Convention provides the necessary level of flexibility (article 8 of the Convention). The Convention and any reservation thereto apply prospectively, that is to settlement agreements concluded after the entry into force of the Convention for the Party concerned (article 9 of the Convention).
A. Signature The Convention is open for signature in Singapore, on 7 August 2019, and thereafter at the United Nations Headquarters in New York (article 11(1) of the Convention).通过确定提出和撤回保留的具体时间,《公约》提供了必要程度的灵活性(《公约》第8条)。 《公约》及其任何保留都将适用于未来,即《公约》适用于在《公约》对有关当事方生效后订立的和解协议(《公约》第9条)。 A. 签署
Under established international practice, only Heads of State, Heads of Government or Ministers for Foreign Affairs are empowered, by virtue of their functions, to sign multilateral treaties on behalf of States without having to produce full powers to that effect.《公约》于2019年8月7日在新加坡开放供签署,此后在纽约联合国总部开放供签署(《公约》第11条第(1)款)。 按照既定国际惯例,只有国家元首、政府首脑或外交部长依其职能有权代表国家签署多边条约,不必为此出具全权证书。
Other representatives intending to sign the Convention must have the appropriate full powers, issued by one of these authorities, which expressly authorize signing the Convention by a named representative.打算签署《公约》的其他代表必须拥有由上述当局之一颁发的适当全权证书,其中明确授权由所指定的代表签署《公约》。
States or regional economic integration organizations wishing to sign the Convention should, as necessary, provide copies of the required full powers in advance to the Treaty Section, Office of Legal Affairs, at United Nations Headquarters (Address: 2 UN Plaza – 323 E 44th street, Room DC2-0520, New York, NY 10017, United States of America.希望签署《公约》的国家或区域经济一体化组织应在必要时提前向联合国总部法律事务厅条约科提供所要求的全权证书副本(地址:2 UN Plaza – 323 E 44th street, Room DC2-0520, New York, NY 10017, United States of America。
Tel.: + 1-212-963-5047.电话:+ 1-212-963-5047。
Fax: + 1-212-963-3693.传真:+ 1-212-963-3693。
Email: hamdyd@un.org;电子邮件:hamdyd@un.org;
guevarah@un.org).guevarah@un.org)。
By signing the Convention, a State or regional economic integration organization signals its intention to become a party to it in the future.一国或一区域经济一体化组织签署《公约》,即表明其未来成为《公约》当事方的意愿。
Once it has signed the Convention, a State or regional economic integration organization must not act in a manner that would defeat the object and purpose of the Convention prior to its entry into force (see article 18, Vienna Convention on the Law of Treaties, 1969).一旦签署了《公约》,一国或一区域经济一体化组织不得在《公约》生效前采取违背其目标和宗旨的行动(见1969年《维也纳条约法公约》第18条)。 一国或一区域经济一体化组织可随时签署《公约》。 应与联合国法律事务厅条约科安排签署事宜(见上文联系方式)。
A State or regional economic integration organization may sign the Convention at any time.虽然有些条约不是永久开放签署期,但本《公约》无限期开放供签署。 B. 同意受约束(批准、接受、核准或加入)
Signing should be arranged with the Treaty Section of the United Nations Office of Legal Affairs (see contact information above).批准书、接受书、核准书或加入书必须由国家元首、政府首脑或外交部长(或由临时担任此类职务行事或拥有上述当局之一为此目的颁发的全权证书的其他任何人)签署。
While some treaties do not leave open the period for signing, this Convention is open for signing indefinitely.此类文书仅在国家或区域经济一体化组织将其交存被指定为《公约》保存人的联合国秘书长时生效(《公约》第10条、第11条第4款)。
B. Consent to be bound (ratification, acceptance, approval or accession) Instruments of ratification, acceptance, approval or accession must be signed by the Head of State, Head of Government or Minister for Foreign Affairs (or any other person acting in such a position for the time being or with full powers for that purpose issued by one of the above authorities). Such instruments become effective only when the State or regional economic integration organization deposits it with the Secretary-General of the United Nations, who is designated as the depositary of the Convention (articles 10 and 11(4) of the Convention). The depositary functions of the Secretary-General are discharged by the Treaty Section of the United Nations Office of Legal Affairs (see contact information above). When feasible, the State or regional economic integration organization should provide courtesy translations, in English and/or French, of instruments that are in other languages.
This will help ensure that the instrument is promptly processed.秘书长的保存职能由联合国法律事务厅条约科履行(见上文联系方式)。
C. Entry into force The Convention will enter into force six months after deposit of the third instrument of ratification, acceptance, approval or accession (article 14(1) of the Convention).在可行情况下,国家或区域经济一体化组织应提供其他语言文书的英文和(或)法文认可译本。 这将有助于确保文书得到迅速处理。 C. 生效
For all other States or regional economic integration organizations that ratify, accept, approve or accede to the Convention after the deposit of the third instrument, the Convention will enter into force six months after the date on which that State or regional economic integration organization has made its deposit.《公约》应于第三份批准书、接受书、核准书或加入书交存后六个月生效(《公约》第14条第(1)款)。 对于在第三份文书交存后批准、接受、核准或加入《公约》的其他所有国家或区域经济一体化组织,《公约》将在该国或区域经济一体化组织交存之日后六个月生效。
D. ReservationsD. 保留
The Convention allows certain reservations pursuant to article 8(1)(a) and (b).《公约》允许根据第8条第1款(a)项和(b)项提出某些保留。
Reservations other than those specified under article 8(1)(a) and (b) are not permitted (article 8(2) of the Convention).除第8条第(1)款(a)项和(b)项规定的保留之外,不允许提出其他保留(《公约》第8条第(2)款)。
Deposit of reservations交存保留书
Reservations must be signed by the Head of State, Head of Government or Minister for Foreign Affairs (or any other person acting in such a position for the time being or with full powers for that purpose issued by one of the above authorities).保留书必须由国家元首、政府首脑或外交部长(或由临时担任此类职务行事或拥有上述当局之一为此目的颁发的全权证书的其他任何人)签署。
They must be formally notified to the Secretary-General, in his capacity as depositary (his functions being discharged by the Treaty Section of the Office of Legal Affairs).必须向作为保存人的联合国秘书长(其职能由法律事务厅条约科履行)正式通知保留书事宜。
They can be deposited at any time (article 8(3) of the Convention).保留书可随时交存(《公约》第8条第(3)款)。
Acceptance and objection to reservations - Effect对保留的接受和反对 - 效力
Reservations made at the time of signature are subject to confirmation upon ratification, acceptance or approval and take effect simultaneously with the entry into force of the Convention in respect of the Party concerned (article 8(3) of the Convention).在签署时作出的保留须在批准、接受或核准时加以确认,并在《公约》对有关当事方生效时同时生效(《公约》第8条第(3)款)。
Reservations made at the time of ratification, acceptance or approval of the Convention or accession thereto take effect simultaneously with the entry into force of the Convention in respect of the Party concerned (article 8(3) of the Convention).在批准、接受或核准《公约》或加入《公约》时作出的保留,在《公约》对有关当事方生效时同时生效(《公约》第8条第(3)款)。
Withdrawal of reservations撤回保留
A Party may withdraw a reservation at any time.当事方可随时撤回保留。
Such withdrawal is to be deposited with the Secretary-General, in his capacity as depositary, and takes effect six months after the deposit (article 8(5) of the Convention).此种撤回书须交存作为保存人的秘书长,并于交存后六个月生效(《公约》第8条第(5)款)。
In accordance with article 8(3) of the Convention, Parties may make multiple reservations in a single instrument.根据《公约》第8条第(3)款,当事方可在单一项文书中作出多项保留。
In such an instrument, each declaration shall constitute a separate reservation capable of separate withdrawal.此种文书中的每项声明应构成一项单独保留,可单独撤回。
For further information relating to the legal requirements for signature, consent to be bound, entry into force and reservations, please refer to the Treaty Handbook, prepared by the Treaty Section of the United Nations Office of Legal Affairs, available online in the United Nations Treaty Collection (https://treaties.un.org): https://treaties.un.org/Pages/Resource.aspx?path=Publication/TH/Page1_en.xml Annex 1 – Model instrument of full powers有关签署、同意受约束、生效和保留的法律要求的进一步信息,请参见联合国法律事务厅条约科编拟的《条约手册》,该手册可在线查阅《联合国条约集》(https://treaties.un.org):https://treaties.un.org/Pages/Resource.aspx?path=Publication/TH/Page1_en.xml
(To be signed by the Head of State, Head of Government or Minister for Foreign Affairs, or附件1–全权证书范本
Representative of regional economic integration organization)(须由国家元首、政府首脑或外交部长签署,或由区域经济一体化组织的代表签署)
FULL POWERS全权证书
I, [name and title of the Head of State, Head of Government or Minister for Foreign Affairs / Representative of regional economic integration organization],我,[国家元首、政府首脑或外交部长/区域经济一体化组织代表的姓名和职务],
HEREBY AUTHORIZE [name and title] to sign the United Nations Convention on International Settlement Agreements Resulting from Mediation done at New York on [date] on behalf of [the Government of (name of State) / name of regional economic integration organization].特此授权[姓名和职务]代表[(国家名称)政府/区域经济一体化组织名称]签署[日期]在纽约订立的《联合国关于调解所产生的国际和解协议公约》。
Done at [place] on [date].[日期]在[地点]签发
[Signature][签名]
Annex 2 – Model instrument of ratification, acceptance or approval附件2 – 批准书、接受书或核准书范本
(To be signed by the Head of State, Head of Government or Minister for Foreign Affairs, or Representative of regional economic integration organization)(须由国家元首、政府首脑或外交部长签署,或由区域经济一体化组织的代表签署)
[RATIFICATION / ACCEPTANCE / APPROVAL][批准书/接受书/核准书]
WHEREAS the United Nations Convention on International Settlement Agreements Resulting from Mediation was adopted at New York on [date],鉴于《联合国关于调解所产生的国际和解协议公约》已于[日期]在纽约通过,
AND WHEREAS the said Convention has been signed on behalf of [the Government of (name of State) / name of regional economic integration organization] on [date],还鉴于上述《公约》已于[日期]代表[(国家名称)政府/区域经济一体化组织名称]签署,
NOW THEREFORE I, [name and title of the Head of State, Head of Government or Minister for Foreign Affairs / Representative of regional economic integration organization] declare that [the Government of (name of State) / name of regional economic integration organization], having considered the above-mentioned Convention, [ratifies, accepts, approves] the same and undertakes faithfully to perform and carry out the stipulations therein contained.因此,我,[国家元首、政府首脑或外交部长/区域经济一体化组织代表的姓名和职务],现在宣布,[(国家名称)政府/区域经济一体化组织名称]经审议上述《公约》之后,[批准、接受、核准]该《公约》,并承诺忠实履行和实施其中所载各项规定。
IN WITNESS WHEREOF, I have signed this instrument of [ratification, acceptance, approval] at [place] on [date].我于[日期]在[地点]签署本[批准书、接受书、核准书],以昭信守。
[Signature][签名]
Annex 3 – Model instrument of accession附件3 – 加入书范本
(To be signed by the Head of State, Head of Government or Minister for Foreign Affairs, or Representative of regional economic integration organization)(须由国家元首、政府首脑或外交部长签署,或由区域经济一体化组织的代表签署)
ACCESSION加入书
WHEREAS the United Nations Convention on International Settlement Agreements Resulting from Mediation was adopted at New York on [date],鉴于《联合国关于调解所产生的国际和解协议公约》已于[日期]在纽约通过,
NOW THEREFORE I, [name and title of the Head of State, Head of Government or Minister for Foreign Affairs / Representative of regional economic integration organization] declare that [the Government of (name of State) / name of regional economic integration organization], having considered the above-mentioned Convention, accedes to the same and undertakes faithfully to perform and carry out the stipulations therein contained.因此,我,[国家元首、政府首脑或外交部长/区域经济一体化组织代表的姓名和职务],现在宣布,[(国家名称)政府/区域经济一体化组织名称]经审议上述《公约》之后,加入该《公约》,并承诺忠实履行和实施其中所载各项规定。
IN WITNESS WHEREOF, I have signed this instrument of accession at [place] on [date].我于[日期]在[地点]签署本加入书,以昭信守。
[Signature][签名]
Annex 4 – Model instrument of reservation附件4 – 保留书范本
(To be signed by the Head of State, Head of Government or Minister for Foreign Affairs, or Representative of regional economic integration organization)(须由国家元首、政府首脑或外交部长签署,或由区域经济一体化组织的代表签署)
(Parties may make multiple reservations in a single instrument)(当事方可在单一项文书中作出多项保留)
[RESERVATION][保留书]
I, [name and title of the Head of State, Head of Government or Minister for Foreign Affairs / Representative of regional economic integration organization],我,[国家元首、政府首脑或外交部长/区域经济一体化组织代表的姓名和职务],
HEREBY DECLARE that [the Government of (name of State) / name of regional economic integration organization] makes the following reservation(s) in relation to [article 8(1)(a) / (1)(b)] of the United Nations Convention on International Settlement Agreements Resulting from Mediation:特此宣布,[(国家名称)政府/区域经济一体化组织名称]就《联合国关于调解所产生的国际和解协议公约》[第8条第(1)款(a)项/第(1)款(b)项]作出下述保留:
IN WITNESS WHEREOF, I have hereunto set my hand and seal.我在此签字并盖章,以昭信守。
Done at [place] on [date].[日期]在[地点]签署
[Signature and title][签名和职务]
Annex 5 – Model instrument of withdrawal of reservation(s)附件5 – 保留撤回书范本
(To be signed by the Head of State, Head of Government or Minister for Foreign Affairs, or Representative of regional economic integration organization)(须由国家元首、政府首脑或外交部长签署,或由区域经济一体化组织的代表签署)
WITHDRAWAL OF RESERVATION (S)保留撤回书
WHEREAS [the Government of (name of State) / name of regional economic integration organization] [ratified, approved, accepted, acceded to] the United Nations Convention on International Settlement Agreements Resulting from Mediation on [date],鉴于[(国家名称)政府/区域经济一体化组织名称]于[日期][批准、核准、接受、加入]《联合国关于调解所产生的国际和解协议公约》,
AND WHEREAS, upon [ratification, approval, acceptance of / accession to] the Convention, [the Government of (name of State) / name of regional economic integration organization] made (a) reservation(s) under article(s) [---] of the Convention,还鉴于在[批准、核准、接受/加入]《公约》时,[(国家名称)政府/区域经济一体化组织名称]在《公约》第[---]条之下作出保留,
NOW THEREFORE I, [name and title of the Head of State, Head of Government or Minister for Foreign Affairs / Representative of regional economic integration organization], declare that [the Government of (name of State) / name of regional economic integration organization], having reviewed the said reservation(s), hereby withdraws [the same][the following reservations: [---]].因此,我,[国家元首、政府首脑或外交部长/区域经济一体化组织代表的姓名和职务],现在宣布,[(国家名称)政府/区域经济一体化组织名称]经审查上述保留之后,兹撤回[上述保留][下述保留:[---]]。
IN WITNESS WHEREOF, I have hereunto set my hand and seal.我在此签字并盖章,以昭信守。
Done at [place] on [date].[日期]在[地点]签署
[Signature and title][签名和职务]