1. Multilateral Treaties Deposited with the Secretary-General
SG’s policy is to restrict assumption of depositary functions to open multilateral treaties of worldwide interest – including: (1) treaties adopted by GA, (2) concluded by a plenipotentoary conference convened by a UN organ, and (3) regional treaties concluded within framework of regional commissions.
2. Text is authenticated by a procedure agreed upon by States particiapting in its elaboration – signature, initialing, signing final act;
3. Original prepared on basis of text as adopted by resolution or as authenticated (eg, final act).
By Patricia Muriel Djella Ogandaga
Legal Officer
Treaty Section
Office of Legal Affairs

2. How to Become Party to a Treaty?
Signature Consent to be bound
Referred to as “Simple Signature” subject to ratification, acceptance or approval
Definitive Signature
Accession
Succession
Declarations, Reservations, Notifications
Deposit of Instruments
Consent to be bound – for example, ratification, acceptance or approval.
Final Clauses: Provisions typically found at the end of a treaty regulating procedural aspects of the treaty operation. In addition to provisions dealing with participation (signature and consent to be bound), final clauses also include the following: provisional application, reservations, declarations, entry into force, depositary, territorial application, relationship to other treaties, settlement of disputes, amendments, status of annexes, withdrawal/denunciation, termination and authentic texts.

3. Signature When? What States and entities can sign?
Who can sign on behalf of a State?
Is the treaty open for signature? Most treaties are only open for a finite period of time. For example, the United Nations Convention Against Corruption will be open for signature from 9 to 11 December 2003 in Merida, Mexico, and thereafter, at UNHQ, until 9 December Other treaties, mostly the human rights treaties, are open for signature indefinitely.
All States, Vienna formula (UN Member States, Members of the Specialized Agencies or Parties to the Statute of the ICJ) or regional agreements, i.e., UNECE, ESCWA, (e.g., Aarhus Convention is only open to members of ECE), international organizations (EC).

4. Signature Who can sign on behalf of a State?
Heads of State
Heads of Government
Ministers for Foreign Affairs
Acting or Ad Interim Head of State or Government or Minister for Foreign Affairs
The three authorities, by virtue of their functions, may sign a treaty on behalf of a State.

5. Signature Full Powers FULL POWERS.
All other representatives wishing to sign treaties must be in possession of
FULL POWERS.
Note that Credentials and Full Powers are distinct. Credential authorize participation in a conference and signature of the final act of such a conference.

6. Signature Requirements for full powers
A valid instrument of full powers must contain the following elements:
Authorize signature;
Identify the treaty;
Specify the name of the individual authorized to sign;
Issued and signed by either the Head of State or Government or the MFA or by a person exercising the power of one of the three authorities ad interim;
Dated
Model instrument provided in Treaty Handbook.
Name of individual must be specified. TITLE alone will not suffice.
If Acting or Ad Interim, that fact must be clear on the face of the instrument. Signing “for” or “on behalf of” is not acceptable.

7. Signature Venue Appointment for signature in the Treaty Section
Facsimile No: (212)
Phone No: (212)
To make an appointment, PMs must contact the TS by letter or fax and provide the following information: preferred date, preferred time, who will be undertaking the action, and signed copies of full powers.
PR of Vietnam signing WHO Framework Convention on Tobacco Control.

8. Signature Treaty Events
Millennium Summit (2000)
Focus 2001: Women and Children
Treaty Event: Multilateral Treaties on Terrorism (10 to 16 November 2001)
Focus 2002: Sustainable Development
Focus 2003: Treaties Against Transnational Organized Crime and Terrorism
Focus 2004: Treaties on the Protection of Civilians
Focus 2005: Responding to Global Challenges
Focus 2006: Crossing Borders
Focus 2007: Towards Universal Participation and Implementation
Treaty Event 2008: Dignity and Justice for All of Us
Treaty Event 2009: Towards Universal Participation and Implementation
Treaty Event 2010: Towards Universal Participation and Implementation
Treaty Event 2011: Towards Universal Participation and Implementation
*Focus 2005 – 99 States and EC undertook 265 treaty actions.

9. Simple Signature Legal Implications
Subject to ratification, acceptance or approval;
No positive legal obligations;
Indicates a State’s intention to express its consent to be bound;
Creates an obligation to refrain in good faith from acts that would be contrary to the object and purpose of a treaty (until it shall have made its intention clear not to become a party to the treaty – art. 18 VCLT).
No time limit for ratification.
Commodity agreements are an exception and do provide for time limits for ratification.
Signature may confer other benefits, such as allowing signatory States to attend meetings. For example, the Rome Statute provides that signatory States may attend the Assembly of States parties as observers.
No precedent for unsigning. Rome State (US and Israel).
US was concluding bilateral impunity agreements with other States which exempt US military and civilian personnel from jurisdiction of ICJ – so called article 98 agreements.

10. Signature Review Is the treaty open for signature?
Does the treaty allow your State to sign?
Who will sign?
Are full powers required?
Appointment for signature.
At this point, hand out Problem I.

11. Signature Model Instrument of Full Powers
(To be signed by the Head of State, Head of Government or Minister for Foreign Affairs)
I, [name and title of the Head of State, Head of Government or Minister for Foreign Affairs],
HEREBY AUTHORISE [name and title] to sign the [title of treaty] on behalf of the Government of [State].
Done at [place] on [date].
[Signature and title]

12. Consent to be Bound To become party to a treaty,
a State must express its
consent to be bound
by a treaty at international law.

13. Consent to be Bound How? Definitive Signature
Simple Signature followed by Ratification, Acceptance or Approval
Accession
MUST LOOK AT THE PROVISIONS OF THE TREATY CONCERNED;
Definitive signature is not very common and there are time limits;
Simple signature – there may also be time limits, however, there are no time limits for ratification, acceptance or approval;
Accession – there may be conditions for accession – after closing for signature, entry into force or anytime. For example, the Comprehensive Nuclear Test ban Treaty provides for accession after its entry into force. Many environmental treaties provide for accession following the closing for signature.
States may provisionally apply a treaty (Provisional Application):
Treaty must provide for it;
Either before or after entry into force;
Unilateral undertaking by a State to give effect to the treaty obligations provisionally;
State may terminate provisional application at any time unless treaty provides otherwise;
Even after entry into force, provisional application may continue among States which have not yet ratified, etc.
Eg: International Coffee Agreement 2001.

14. Consent to be Bound How?
Succession An undertaking at international law whereby a State assumes the rights and obligations under a treaty previously applied to its territory by a predecessor State.
1.Example of the former Czechoslovakia and Yugoslavia where new States chose to succeed to many of the treaties previous applied to their territories by Czechoslovakia and Yugoslavia (CLEAN SLATE DOCTRINE);
2. Also former Soviet Republics, except that the Russian Federation did not succeed but continued the application of treaties concluded by the Soviet Union.

15. Consent to be Bound Domestic “Ratification”
A State is not a party to a treaty by simply “ratifying” a treaty domestically.

16. Consent to be Bound Domestic “Ratification”
States should ensure domestic legislative requirements are completed prior to consenting to be bound;
State cannot claim that its consent to be bound is invalid due to violation of its internal law (VCLT, art. 46(1)).
*With regard to the first bullet, most States should ensure that their domestic legislative requirements are completed prior to ratification, acceptance, approval, accession, etc. in order to give effect to the provisions of the treaty concerned at the domestic level.
*Legislation may not be needed (monist approach or self-executing treaty);
*In most cases legislation will be required.
*Practically speaking, many States ratify treaties and have not complied with their domestic legislative requirements to give effect to the treaty provisions – only bound upon entry into force for that State, technical assistance may be required.
*Hard obligations v. soft obligations.
The second bullet reads: “…regarding competence to conclude treaties as invalidating its consent unless that violation was manifest and concerned a rule of its internal law of fundamental importance. A violation is manifest if it would be objectively evident to any State conducting itself in the matter in accordance with normal practice and in good faith.

17. Consent to be Bound Basic requirements for a valid instrument
Identify treaty
Declaration of undertaking
Expression of intent of the Government to be bound by the treaty and to undertake faithfully to observe and implement its provisions
Issued and signed
Head of State or Government or the MFA or by a person exercising the power of one of the three authorities ad interim;
Dated
Declaration of undertaking evidences a State’s intention to be bound at international law.
Issued and signed by either the Head of State or Government or the MFA or by a person exercising the power of one of the three authorities ad interim;

18. Ratification/Acceptance/Approval
Consent to be Bound Model Instrument of Ratification, Acceptance or Approval
Ratification/Acceptance/Approval
(To be signed by Head of State, Head of Government or Minister for Foreign Affairs)
WHEREAS the [title of treaty] was adopted at [place] on [date],
AND WHEREAS the said [treaty] has been signed on behalf of the Government of [State] on [date],
NOW THEREFORE I, [name and title of the HS, HG or MFA] declare that the Government of [State], having considered the above [treaty], [ratifies/accepts/approves] the same and undertakes faithfully to perform and carry out the stipulations therein contained.
IN WITNESS WHEREOF, I have signed this instrument of [ratification/acceptance/approval] at [place] on [date].
[Signature]

19. Consent to be Bound Model Instrument of Accession
(To be signed by Head of State, Head of Government or Minister for Foreign Affairs)
WHEREAS the [title of treaty] was adopted at [place] on [date],
NOW THEREFORE I, [name and title of the HS, HG or MFA] declare that the Government of [State], having considered the above [treaty], accedes to the same and undertakes faithfully to perform and carry out the stipulations therein contained.
IN WITNESS WHEREOF, I have signed this instrument of accession at [place] on [date].
[Signature]

20. Consent to be Bound Additional requirements for a valid instrument
Optional Declarations
Mandatory Declarations
Notifications
Reservations
Authorized?
Prohibited?
Silent?

21. Consent to be Bound Optional and Mandatory Declarations
Legally binding and must be included in a duly signed instrument of ratification, acceptance, etc. or signed in their own right.
Often such declarations must be made upon ratification, acceptance, approval or accession.
1. Look at provisions of the treaty.

22. Consent to be Bound Optional Declarations
E.g.: Article 36, paragraph 2 of the Statute of the ICJ recognizing as compulsory the jurisdiction of the Court.
E.g.: Article 2(2)(a) of Suppression of the Financing of Terrorism Convention provides that upon ratifying, accepting, approving or acceding to the Convention, a State party which is not a party to a treaty listed in the annex to the Convention may declare that, in the application of the Convention to that State, the treaty shall be deemed not to be included in the annex referred to.
1. Optional declarations are binding.

23. Consent to be Bound Mandatory Declarations
E.g.: OPCRC on the involvement of children in armed conflict
Article 3(2) provides: Each State party shall deposit a binding declaration upon ratification of or accession to this Protocol that sets forth the minimum age at which it will permit voluntary recruitment into its national armed forces and a description of the safeguards that it has adopted to ensure that such recruitment is not forced or coerced.
1. If the instrument does not contain such an instrument, it cannot be accepted in deposit.

24. Consent to be Bound Notifications
Notifications typically provide information as required under a treaty.
Distinction between declarations and notifications is not always made.
E.g.: International Covenant on Civil and Political Rights
Article 4 (3): A State Party availing itself of the right to derogate in time of public emergency shall immediately inform the other States Parties, through the Secretary-General, of the provision from which it has derogated and of the reasons by which it was actuated. r
Not legally binding;
Do not need to be signed;
May be mandatory, but if not submitted will not hold up deposit of an otherwise valid instrument.

25. Consent to be Bound Notifications
E.g.: UNC Against Transnational Organized Crime
Notification under art. 5 (3): States whose domestic law requires an additional element than the offences established in accordance with the article must so notify the SG;
Notification under art. 16(5): For States that make extradition conditional on the existence of a treaty, shall inform the SG whether they will take this Convention as the legal basis for cooperation on extradition with other States Parties to this Convention.
Notification under art. 18 (13): Designation of a central authority for purposes of receiving mutual legal assistance;
Notification under art. 18 (14): Designation of language.
Notification under art. 31(6): Designation of an authority that can assist other states in developing measures to prevent transnational organised crime
*Notifications are often mandatory at the time of signature or deposit of instrument of ratification, etc. If notifications not present in an otherwise valid instrument, such an instrument will be deposited.

26. Consent to be Bound Reservations
A reservation is any statement - however phrased or named - which purports to exclude or modify the legal effect of a treaty provision.
Legally binding and must be included in a duly signed instrument of ratification, acceptance, etc. or signed in their own right.
Must be done upon signature or deposit. If done upon signature must be confirmed upon ratification (exceptions).
Modification/Withdrawal

27. Why are reservations formulated?
While reservations purport to restrict or modify the effects of treaties, they may enable States to participate in treaties in which they would not otherwise be able to participate due to an unacceptable provision (or provisions). Often such provisions do not conform to their domestic law and for political, cultural or social reasons, it is not feasible to change that law.

28. When can reservations be formulated?
Article 19 of the Vienna Convention, 1969, on the formulation of reservations provides that:
A State may, when signing, ratifying, accepting, approving or acceding to a treaty, formulate a reservation, unless:
(a) the reservation is prohibited by the treaty;
(b) the treaty provides that only specified reservations, which do
not include the reservation in question, may be made; or
(c) in cases not falling under sub-paragraphs (a) and (b), the
reservation is incompatible with the object and purpose of the treaty.
If made upon simple signature, a reservation is merely declaratory. It must be formally confirmed in writing upon ratification, acceptance, or approval. If made on definitive signature, it does not have to be confirmed.

29. The role of the depositary
Where an unilateral statement in respect of a treaty is received for deposit, the Secretary-General ascertains whether the treaty in question prohibits, permits or is silent on reservations. He also examines whether the statement, however phrased or named, is in fact a reservation and whether it is notified in due and proper form.

30. Consent to be Bound Reservations/Role of the depositary
Treaties silent as to reservations (Human Rights treaties).
Certain reservations allowed/prohibited.
Reservations altogether prohibited (Stockholm Convention, Rome Statute).
Authorized reservations (settlement of disputes) E.g.: Article 35 of the UNC Against Transnational Organized Crime – Each State Party may, at the time of signature, ratification, acceptance or approval or of accession to this Convention, declare that it does not consider itself bound by paragraph 2 of this article (mandatory arbitration and referral to ICJ).
Art. 19(b) of VCLT – a State may formulate a reservation to a treaty unless the treaty provides that only specified reservations, which do not include the reservation in question, may be made. In cases where there is a mere reference to an authorized reservation (Financing of Terrorism – art settlement of disputes), the depositary does accept other reservations in deposit as long as those reservations are not implicitly prohibited. This practice is supported by the views of Prof. Pellet, Special Rapporteur of the ILC. In the Tenth Report on Reservations to Treaties (A/CN.4/558 dated 1 June 2005), he states that the implicit prohibition of certain reservations arising from art. 19b – relies on the fulfillment of 3 conditions: (1) treaty’s reservation clause must permit reservations, (2) the reservations permitted must be specified, and (3) it must be specified that “ONLY” those reservations may be made.

31. Where only certain reservations are permitted
The Secretary-General is guided by the relevant provisions of the treaty.
Where a State formulates a reservation that is authorised, the Secretary-General circulates the reservation to the States concerned.

32. Where a treaty is silent on reservations:
The Secretary-General informs the States concerned of the reservation by depositary notification. He does not make a judgment on whether the reservation is compatible with object and purpose of the treaty and leave it to each State to draw the legal consequences from such reservations.
Many treaties deposited with the SG authorize reservations, for example with regard to the settlement of disputes, but are otherwise silent as to other reservations. Does this mean that all other reservations are prohibited? In this case, the Secretary-General’s practice is to accept other reservations in deposit.

33. Where a treaty expressly prohibits reservations
The Secretary-General makes a preliminary legal assessment to determine whether the statement is a reservation.
If the statement unambiguously excludes or modifies the legal effects of the provisions of the treaty, the Secretary-General will draw the attention of the reserving State to the issue.
The Secretary-General may also request clarification from a reserving State on the real nature of the statement.
Where the Secretary-General requests a clarification and the State confirms the absence of a reservation, the Secretary-General will receive the instrument in deposit and notify all States concerned. Such clarification will estop that State from relying on its statement as a reservation later.
If the statement has clearly no bearing on the reserving State’s legal obligations, and is not therefore a reservation, the depositary will receive the statement in deposit and circulate it.

34. Acceptance of reservations
A reservation expressly authorized by a treaty does not require any subsequent acceptance by the other contracting States, unless the treaty so provides (see article 20 (1) of the Vienna Convention, 1969).
unless the treaty otherwise provides, a reservation is considered to have been accepted by a State if it shall have raised no objection to the reservation by the end of a period of twelve months after it was notified of the reservation or by the date on which it expressed its consent to be bound by the treaty, whichever is later (see article 20 (5) of the Vienna Convention, 1969).

35. Objections to reservations
An objecting State has therefore twelve months from the date it was notified of the reservation to object to it or may object by the date on which it expressed its consent to be bound by the treaty, whichever is later.
In accordance with the Secretary-General’s practice, the notification’s date is the date of the depositary notification by which the text of the reservation is circulated.
An objection received after the end of the twelve-month period is circulated by the depositary as a “communication”.
Only signatories or contracting States to a treaty may object to a reservation to that treaty.

36. Effect of objections
An objection by another contracting State does not preclude the entry into force of the treaty as between the objecting and reserving States unless a contrary intention is definitely expressed by the objecting State;
To avoid uncertainty, objecting States normally specify whether their objections preclude the entry into force.
If a contracting State does not object to a reservation made by another State, it is deemed to have tacitly accepted the reservation.

37. Late reservations
Where reservations are formulated after ratification, acceptance, approval or accession, the Secretary-General circulates such reservations, and accepts them in deposit only if none of the States concerned object.
This practice deviates from the rule set out in article 19 of the Vienna Convention, 1969.
This practical solution is based on the fact that States have an inherent right to modify treaty relations but that such modification must receive unanimous acceptance.
Some States have continued to adhere to the provisions of article 19 of the Vienna Convention and have denounced treaties to which they were parties and re-acceded with reservations. This approach has been criticized by other States. An example is the case of the Optional Protocol to the International Covenant on Civil and Political Rights of 1966.

38. Time limit for objections to late reservations
States have twelve months from the date of the depositary notification within which to object to a late reservation.
Same practice applies where a State withdraws an initial reservation and substitutes it with a new or modified reservation.
If there is an objection, the proposed late reservation fails and is not accepted in deposit.
As with timely reservations, an objection lodged after the end of the twelve-month period is circulated by the depositary as a “communication”.

39. Withdrawal of reservations
State may withdraw its reservation completely or partially at any time.
The withdrawal must be formulated in writing and the notification signed by the Head of State or Government or the Minister for Foreign Affairs.
Objections can be withdrawn at any time also.

40. Modifications to reservations
An existing reservation may be modified so as to
result in a partial withdrawal or to create new
exclusions.
A modification of the latter kind has the nature of a new reservation.
In that case, the Secretary-General follows the practice of late reservations. Thus, he circulates such modifications and grants the States concerned twelve months within which to object to them.

41. How are reservations different from interpretative declarations?
The Secretary-General’s practice with regard to determining what is an interpretative declaration is consistent with the following definition:
An interpretative declaration is a unilateral statement, however phrased or named, made by a State or an international organization, whereby that State or that organization purports to specify or clarify the meaning or scope attributed by the declarant to a treaty or to certain of its provisions.

42. How are reservations different from interpretative declarations?
The character of a statement as a reservation or a declaration is determined by the legal effect it purports to produce.
States will at times submit to the depositary unilateral statements called declarations or interpretive declarations.
If the “declaration” excludes or modifies the legal effect of certain provisions of a treaty in their application to the State in question, it is a reservation.

43. Consent to be Bound Review
Definitive Signature
Is the treaty open for signature?
Does the treaty allow your State to sign?
Who will sign?
Are full powers required?

44. Consent to be Bound Review
Signatory Ratification, Acceptance or Approval
Non-signatory Accession
Conditions for Accession?
Declarations/Notifications?
Reservations?

45. Deposit of Instruments Place and Method
Instruments become effective only when deposited with SG at UNHQ;
Personal delivery to the S-G or to his representative - the Legal Counsel or the Chief of the Treaty Section;
By mail, by facsimile or by .
Instruments are not deposited if lodged with UNOG, for example;
Preferably if instruments are hand-delivered, mailed, faxed or ed directly to the Treaty Section;
Faxes accepted as long as they reproduce the signed original and with the understanding that the original will be transmitted without delay;
accepted only if scanned image of signed instrument attached to the .

46. Deposit of Instruments Place and Methods
Appointment for deposit in the Treaty Section
Facsimile No: (212)
Phone No: (212)
Treaty Events

47. Deposit of Instruments Date of Deposit
Date when instrument is received at UNHQ either by SG, the Legal Counsel, the Treaty Section or by the Mail Unit;
Deposit will produce its effect in accordance with provisions of a treaty.
1. Treaty may specify that it will eif for the State 30 days after the date of deposit.

48. Copyright Notice
Copyright 2012 by the United Nations. All rights reserved. Printed in the United States of America. No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form by any means, i.e., electronic, mechanical, photocopying, recording, or otherwise, without the written permission of the United Nations.