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Oxford Law Citator
Contents
Expand All
Collapse All
Preliminary Material
Foreword
Preface
Contents
Table of Cases
Table of Treaties
List of Abbreviations
States
Courts
Other bodies
Treaties
Legislation
Documents
Council of Europe
General Assembly
Institut de Droit International
International Law Association
International Law Commission
Texts
Sessional Reports of the Commission
Reports of Special Rapporteurs
Reports of Working Groups
Other UN Bodies
Other Bodies
Journals
List of Contributors
General Introduction
1 Introduction
2 The Convention and Its Story, Status, and Significance
2.1 The drafting of the Convention
2.2 The essence of the Convention
2.3 The text of the Convention
2.4 The entry into force of the Convention and participation in it
2.5 The significance of the Convention
3 Conclusion
Main Text
Historical Background to the Convention
1 Introduction
2 Forerunners to the Convention
2.1 Non-governmental
2.2 Intergovernmental
3 The Evolution of the Convention
3.1 Preparatory Work
3.2 The ILC’s Draft Articles on Jurisdictional Immunities of States and Their Property, 1978–1991
3.3 The Sixth Committee’s Working Group and informal consultations, 1992–1994
3.4 The ILC’s Working Group on Jurisdictional Immunities of States and Their Property and the Sixth Committee’s Working Group, 1999–2000
3.5 The Ad Hoc Committee on Jurisdictional Immunities of States and Their Property, 2002–2004
A 2002 session
B 2003 session
C 2004 session
3.6 The Chairman of the Ad Hoc Committee’s statement to the Sixth Committee
3.7 The adoption of the Convention via General Assembly resolution 59/38
4 Concluding Remarks
Immunity from Jurisdiction and Immunity from Measures of Constraint
1 Introduction
2 Background
3 The Convention
4 Conclusion
The ‘General Understandings’
1 Introduction
2 Outline and Analysis
2.1 Criminal Proceedings
2.2 Activities of Armed Forces
3 Conclusion
Preamble
Preliminary Material
1 Introduction
2 Drafting History
3 Key Points
3.1 Recognition and Evolution of the Principle of State Immunity
3.2 Enhancing Legal Certainty and the Rule of Law
3.3 Principles of International Law Embodied in the UN Charter
3.4 The Role of Customary International Law
4 Evaluation
Part I Introduction
Article 1
Preliminary Material
1 Introduction
2 Drafting History
3 Key Points
3.1 ‘The Immunity of a State and its Property’
3.2 ‘Immunity … from the Jurisdiction of the Courts of another State’
A ‘Of another State’
B ‘The Jurisdiction of the Courts’
C ‘Immunity … from … Jurisdiction’
4 Evaluation
Article 2(1)(a) and (b)
Preliminary Material
1 Introduction
2 Drafting History
2.1 Article 2(1)(a)
2.2 Article 2(1)(b)
A General
B The Four Categories of Legal and Natural Persons
(i) ‘The State and its Various Organs of Government’
(ii) ‘Constituent Units of a Federal State or Political Subdivisions of the State’
(iii) ‘Agencies or Instrumentalities of the State or Other Entities’
(iv) ‘Representatives of the State’
3 Key Points
3.1 Article 2(1)(a)
3.2 Article 2(1)(b)
A The State as such and its Various Organs of Government
B Constituent Units of a Federal State and other Political Subdivisions
(i) ‘Which are Entitled to Perform Acts in the Exercise of Sovereign Authority’
(ii) ‘And are Acting in that Capacity’
C Agencies and Instrumentalities of the State and Other Entities
D Representatives of the State
4 Evaluation
Article 2 (1)(c) and (2) and (3)
Preliminary Material
1 Introduction
2 Drafting History
2.1 The ILC’s First Reading
2.2 The ILC’s Second Reading
2.3 Further Developments (1991–2004)
3 Key Points
3.1 Article 2(1)(c)
A Structure and Scope
B Interpretation and Application
(i) General
(ii) The Relevance of Previous National Case-Law
(iii) Article 2(1)(c)(i)
(iv) Article 2(1)(c)(ii)
(v) Article 2(1)(c)(iii)
C The Necessary Prior Task of Individuation
3.2 Article 2(2)
A Essence, Structure, and Scope
B Refining the ‘Nature’ Test
C The Exceptions
(i) Agreement between the Parties
(ii) The Practice of the Forum State
3.3 Article 3(3)
4 Evaluation
Article 3
Preliminary Material
1 Introduction
2 Drafting History
3 Key Points
3.1 ‘Without prejudice to’
3.2 The Immunities Not Affected by the Convention
A Diplomatic and Consular Immunities
(i) Diplomatic Missions, Consular Posts, etc
(ii) Persons connected with Diplomatic Missions, Consular posts, etc
B Head-of-State Immunity
C Other Immunities Ratione Personae?
D Immunities with Respect to Aircraft and Space Objects
4 Evaluation
Article 4
Preliminary Material
1 Introduction
2 Drafting History
3 Key Points
3.1 The ‘Critical Date’
3.2 The Savings Clause
4 Evaluation
Part II General Principles
Preliminary Material
1 Introduction
2 Key Points
2.1 Not so ‘General’
2.2 The Nature of the Exceptions
2.3 ‘Exceptions’?
3 Evaluation
Article 5
Preliminary Material
1 Introduction
2 Drafting History
3 Key Points
3.1 ‘Immunity … from the Jurisdiction of the Courts of another State’
3.2 ‘In Respect of itself and its Property’
3.3 ‘A State enjoys Immunity … Subject to the Provisions of the Present Convention’
A The Structure of Argument under Parts II and III
B The Exhaustiveness of the Exceptions
4 Evaluation
Article 6
Preliminary Material
1 Introduction
2 Drafting History
3 Key Points
3.1 Article 6(1)
3.2 Article 6(2)
A Article 6(2)(a)
B Article 6(2)(b)
4 Evaluation
Article 7
Preliminary Material
1 Introduction
2 Drafting History
3 Key Points
3.1 The Requirement of Express Consent
3.2 The Primacy of the Terms of Consent
3.3 Waiver of Immunity and Submission to Jurisdiction
3.4 The Three Ways of Expressing Consent
A International Agreement
B Written Contract
C Declaration before the Court or written Communication
3.5 Agreement to the Application of Foreign Law
3.6 Revocability
3.7 Appellate proceedings
4 Evaluation
Article 8
Preliminary Material
1 Introduction
2 Drafting History
3 Key Points
3.1 Article 8(1)
A Subparagraph (a)
B Subparagraph (b)
(i) The Rule
(ii) The Exception
3.2 Article 8(2)
A Subparagraph (a)
B Subparagraph (b)
3.3 Article 8(3)
4 Evaluation
Article 9
Preliminary Material
1 Introduction
2 Drafting History
2.1 The ILC’s first reading
2.2 The ILC’s second reading and beyond
3 Key Points
3.1 Counterclaims against a State
A Overview
B Relationship to Article 8(1)
C ‘Any Counterclaim arising out of the same Legal Relationship or Facts’
D Extent of Loss of Immunity
3.2 Counterclaims by a State
4 Evaluation
Part III Proceedings in which State Immunity cannot be Invoked
Preliminary Material
1 Introduction
2 Key Points
2.1 The title of Part III
2.2 The Rationale for the Exceptions
2.3 The Exhaustiveness of the Exceptions
2.4 The Elements common to the Exceptions
A Rules on the Exercise, not Existence, of Jurisdiction
B Provision for Derogation by Mutual Consent of States
2.5 The Burden of Proof
2.6 Exceptions discussed but not Included
A Fiscal Matters
B Violations of Human Rights and/or jus cogens
2.7 Part III and Customary International Law
A Part III as Evidence Pro
B Part III as Evidence Contra
3 Evaluation
Article 10
Preliminary Material
1 Introduction
2 Background
3 Drafting History
4 Key Points
4.1 Article 10(1)
A General
B ‘Commercial Transaction’
C ‘Immunity’
D ‘And, by Virtue of the Applicable Rules of Private International Law, differences Relating to the Commercial Transaction fall within the Jurisdiction of a Court of another State’
E ‘Arising out of’
F ‘Foreign Natural or Juridical Person’
G No Requirement of Performance in the Forum State’s Territory
H No Effect of Agreement otherwise between the States Concerned
4.2 Article 10(2)
A Subparagraph (a)
B Subparagraph (b)
4.3 Article 10(3)
A General
B Scope
C Effects
D The Understanding
5 Evaluation
Article 11
Preliminary Material
1 Introduction
2 Background
2.1 European Convention on State Immunity
2.2 Judicial and Legislative Practice of States
3 Drafting History
3.1 Paragraph 1
3.2 Paragraph 2
A Subparagraph (a)
B Subparagraph (b)
C Subparagraph (c)
D Subparagraph (d) and Accompanying Understanding
E Subparagraph (e)
F Subparagraph (f)
3.3 Second Paragraph of Understanding
4 Key Points
4.1 Article 11(1): The Exception
A ‘Unless Otherwise Agreed between the States Concerned’
B ‘Before a Court of another State which is Otherwise Competent’
C ‘A Proceeding which Relates to a Contract of Employment’
D ‘For Work Performed or to be Performed, in whole or in Part, in the Territory of that other State’
4.2 Article 11(2): The Exceptions to the Exception
A Employee ‘Recruited to Perform Particular Functions in the Exercise of Governmental Authority’
B Employee a Diplomatic Agent, Consular Officer, etc
C Subject-matter of Proceedings Recruitment, Renewal of Employment, or Reinstatement
D Subject-matter of Proceedings Dismissal or Termination of Employment
E Employee a National of Employer State, without Permanent Residence in Forum State, when Proceedings Instituted
F Employer State and Employee otherwise Agreeing in Writing
4.3 Second Paragraph of Understanding
5 Evaluation
Article 12
Preliminary Material
1 Introduction
2 Background
3 Drafting History
4 Key Points
4.1 Extrinsic Limits on Article 12’s Scope of Application
4.2 ‘Unless Otherwise agreed between the States Concerned’
4.3 ‘A Court of Another State which is Otherwise Competent’
4.4 ‘A Proceeding which relates to Pecuniary Compensation for Death or Injury to the Person, or Damage to or Loss of Tangible Property, caused by an Act or Omission’
A Formal Legal Character of Claim
B ‘Pecuniary Compensation’
C ‘For Death or Injury to the Person, or Damage to or Loss of Tangible Property’
D ‘By an Act or Omission’
4.5 ‘Which is Alleged to be Attributable to the State’
4.6 ‘If the Act or Omission occurred in whole or in Part in the Territory of that other State and if the Author of the Act or Omission was Present in that Territory at the Time of the Act or Omission’
5 Evaluation
Article 13
Preliminary Material
1 Introduction
2 Background
3 Drafting History
4 Key Points
4.1 Chapeau
4.2 Article 13(a)
4.3 Article 13(b)
4.4 Article 13(c)
5 Evaluation
Article 14
Preliminary Material
1 Introduction
2 Background
3 Drafting History
4 Key Points
4.1 Chapeau
4.2 Article 14(a)
4.3 Article 14(b)
5 Evaluation
Article 15
Preliminary Material
1 Introduction
2 Background
3 Drafting History
3.1 The Special Rapporteur’s proposed Exception
3.2 The Work of the Drafting Committee prior to Adoption on First Reading
3.3 The Subsequent Drafting History
4 Key Points
4.1 Article 15(1)
A Rationale
B Application
(i) The Concept of a ‘State’
(ii) A State’s ‘participation’ in a Company etc
(iii) A State’s Participation ‘in a Company or other Collective body, Whether incorporated or unincorporated’
(iv) A proceeding ‘Concerning the Relationship between the State and the Body or the other Participants therein’
(v) A Body which ‘has participants other than States or International Organizations’
(vi) A Body which is ‘Incorporated or Constituted under the Law of the State of the Forum or has its Seat or Principal Place of Business in that State’
4.2 Article 15(2)
A ‘The States Concerned have so Agreed’
B ‘The Parties to the Dispute have so Provided by an Agreement in Writing’
C ‘If the Instrument Establishing or Regulating the Body in Question Contains Provisions to that Effect’
4.3 Relationship to Article 10
5 Evaluation
Article 16
Preliminary Material
1 Introduction
2 Drafting History
2.1 State Immunity and Developing States
2.2 The Scope of the Exception to Immunity in Respect of the Operation of State-owned and State-operated Ships
A ‘Government Non-commercial Purposes’
B Actual Versus Intended use of Ship
C The ‘Operation’ of a Ship
2.3 The Avoidance of Terminology Confined to the Common Law Tradition
3 Key Points
3.1 Article 16(1)
A ‘Unless otherwise Agreed between the States Concerned’
B ‘A Ship’
C ‘Owns or Operates’
D ‘Before a Court of Another State which is Otherwise Competent’
E ‘A Proceeding which Relates to the Operation of that Ship’
F ‘If, at the Time the cause of Action arose, the Ship was used for other than Government Non-commercial Purposes’
3.2 Article 16(2)
3.3 Article 16(3)
3.4 Article 16(4)
A ‘Paragraph 3 does not apply to any cargo carried on board the Ships referred to in paragraph 2’
B ‘Nor does it apply to any Cargo owned by a State and used or intended for use exclusively for Government Non-commercial Purposes’
3.5 Article 16(5)
3.6 Article 16(6)
4 Evaluation
Article 17
Preliminary Material
1 Introduction
2 Background
3 Drafting History
4 Key Points
4.1 ‘Unless the Arbitration Agreement provides Otherwise’
4.2 ‘An Agreement in Writing with a Foreign Natural or Juridical Person’
4.3 ‘Differences Relating to a Commercial Transaction’
4.4 ‘Arbitration’
4.5 ‘A Proceeding which relates to … the Validity, Interpretation or Application of the Arbitration Agreement; … the Arbitration Procedure; or … the Confirmation or Setting aside of the Award’
5 Evaluation
Part IV State Immunity from Measures of Constraint in Connection with Proceedings Before a Court
Preliminary Material
1 Introduction
2 Key Points
2.1 The Two Distinctions
A Immunity from Jurisdiction and Immunity from measures of Constraint
B Immunity from pre- and post-Judgment measures of Constraint
2.2 Immunity from measures of Constraint
A Terminology
B Property of the State as such and property of Separate Entities
3 Evaluation
Article 18
Preliminary Material
1 Introduction
2 Drafting History
2.1 The ILC’s first reading
2.2 The ILC’s Second Reading
2.3 From Draft article 18 to Article 18 of the Convention
3 Key Points
3.1 Article 18, chapeau: the General Rule of Immunity
A ‘Property of a State’
B ‘Pre-judgment measures of Constraint … against Property of a State’
C ‘Pre-judgment measures … in Connection with a Proceeding before a Court of another State’
3.2 The Exceptions to the General Rule of Immunity
A Article 18(a): Express Consent
B Article 18(b): the Allocation or Earmarking of Property to Satisfy the Claim
3.3 Immunity from Pre-judgment measures of Constraint and from Jurisdiction
4 Evaluation
Article 19
Preliminary Material
1 Introduction
2 Drafting History
2.1 The ILC’s Draft Articles
2.2 From Draft article 18 to Article 19 of the Convention
3 Key Points
3.1 Article 19, Chapeau: the General Rule of Immunity
A ‘Property of a State’
B ‘Post-judgment measures of Constraint … against Property of a State’
C ‘Post-judgment measures … in Connection with a Proceeding before a Court of another State’
3.2 The exceptions to the General Rule of Immunity
A Article 19(a): Express Consent
B Article 19(b): the Allocation or Earmarking of Property to Satisfy the Claim
C Article 19(c)
(i) General
(ii) The ‘Commercial Use’ Requirement
(iii) The Territorial Requirement
(iv) The Proviso as to ‘a Connection with the Entity against which the Proceeding was directed’
4 Evaluation
Article 20
Preliminary Material
1 Introduction
2 Drafting History
3 Key Points
3.1 Drafting
3.2 Rationale
3.3 Basis in Customary International Law
3.4 Separate but Simultaneous Consent
3.5 Separate Consent to Pre- and Post-Judgment measures of Constraint?
4 Evaluation
Article 21
Preliminary Material
1 Introduction
2 Drafting History
2.1 The ILC’s draft articles
2.2 From Draft article 19 to Article 21 of the Convention
3 Key Points
3.1 Article 21(1)
A Article 21(1)(a)
B Article 21(1)(b)
C Article 21(1)(c)
D Article 21(1)(d)
E Article 21(1)(e)
3.2 Article 21(2)
4 Evaluation
Part V Miscellaneous Provisions
Article 22
Preliminary Material
1 Introduction
2 Drafting History
3 Key Points
3.1 Article 22(1) and (2)
A ‘State’
B ‘Shall be Effected’
C Type and Form of Initiating Process
D Methods of Service of Process
(i) Applicable International Conventions
(ii) Special Arrangements
(iii) Default Options
(a) Transmission through Diplomatic Channels to the Ministry of Foreign Affairs of State concerned
(b) Any other means accepted by State concerned and not Precluded by Law of Forum State
3.2 Article 22(3)
3.3 Article 22(4)
4 Evaluation
Article 23
Preliminary Material
1 Introduction
2 Drafting History
3 Key Points
3.1 ‘Default Judgment’
3.2 ‘Rendered against a State’
3.3 Article 23(1)
3.4 Article 23(2)
3.5 Article 23(3)
3.6 Execution of a Default Judgment
4 Evaluation
Article 24
Preliminary Material
1 Introduction
2 Drafting History
2.1 Article 24(1)
2.2 Article 24(2)
3 Key Points
3.1 Article 24(1)
A ‘A State’
B ‘An Order of a Court’
C ‘Shall Entail no Consequences’
D ‘No Fine or Penalty’
E ‘Other than those which may result from such Conduct in Relation to the Merits of the Case’
3.2 Article 24(2)
A ‘A State … in any proceeding to which it is a Respondent Party before a Court of another State’
B ‘Shall not be Required’
C ‘Any Security, Bond or Deposit, however described, to Guarantee the Payment of Judicial Costs or Expenses’
3.3 Relationship between Article 24 and other provisions
4 Evaluation
Part VI Final Clauses
Article 25
Preliminary Material
1 Introduction
2 Drafting History
3 Key Points
4 Evaluation
Article 26
Preliminary Material
1 Introduction
2 Drafting History
3 Key Points
3.1 ‘International Agreements which Relate to Matters dealt with in the Convention’
A The ESCI
B Specialized Agreements and Provisions on Immunity
C Agreements on the Recognition and Enforcement of Judgments or Awards
3.2 ‘Existing’
3.3 ‘Rights and Obligations Under’
3.4 Article 26 and dispute settlement
4 Evaluation
Article 27
Preliminary Material
1 Introduction
2 Drafting History
3 Key Points
3.1 ‘Dispute[s] between Two or More States Parties Concerning the Interpretation or Application of the … Convention’
3.2 Negotiation
3.3 Binding Legal Settlement
A From Negotiation to Legal Settlement
B From Arbitration to Judicial Settlement by the ICJ
C The Framework of Binding Legal Settlement
(i) Common Elements
(ii) Arbitration
(iii) Judicial Settlement by the ICJ
3.4 Opting Out
4 Evaluation
Article 28
Preliminary Material
1 Introduction
2 Drafting History
3 Key Points
3.1 When and where
3.2 ‘All States’
3.3 Effect
4 Evaluation
Article 29
Preliminary Material
1 Introduction
2 Drafting History
3 Key Points
3.1 Different formal means, Identical Legal Effects
3.2 Ratification, Acceptance, and Approval
A Equivalent for the Purposes of International Law
B ‘Ratification’
3.3 Accession
A A one-step Process
B ‘Any State’
3.4 An open-ended Opportunity
3.5 Deposit of the Instrument of Ratification, Acceptance, Approval, or Accession
3.6 Consent to be Bound and Entry into Force
4 Evaluation
Article 30
Preliminary Material
1 Introduction
2 Drafting History
3 Key Points
4 Evaluation
Article 31
Preliminary Material
1 Introduction
2 Drafting History
3 Key Points
3.1 Right of Denunciation Unconditional
3.2 Procedure
3.3 Effects
A Article 31(2)’s savings Clause
B Article 31(3)’s savings Clause
4 Evaluation
Article 32
Preliminary Material
1 Introduction
2 Drafting History
3 Key Points
4 Evaluation
Article 33
Preliminary Material
1 Introduction
2 Drafting History
3 Key Points
4 Evaluation
Further Material
Appendix
1 United Nations Convention on Jurisdictional Immunities of States and Their Property
Part I Introduction
Art.1 Scope of the present Convention
Art.2 Use of terms
Art.3 Privileges and Immunities not affected by the Present Convention
Art.4 Non-retroactivity of the present Convention
Part II General Principles
Art.5 State Immunity
Art.6 Modalities for giving Effect to State Immunity
Art.7 Express Consent to exercise of Jurisdiction
Art.8 Effect of Participation in a Proceeding before a Court
Art.9 Counterclaims
Part III Proceedings in which State Immunity cannot be Invoked
Art.10 Commercial Transactions
Art.11 Contracts of Employment
Art.12 Personal Injuries and Damage to Property
Art.13 Ownership, Possession and use of Property
Art.14 Intellectual and Industrial Property
Art.15 Participation in Companies or Other Collective Bodies
Art.16 Ships Owned or Operated by a State
Art.17 Effect of an Arbitration Agreement
Part IV State Immunity from measures of Constraint in Connection with Proceedings before a Court
Art.18 State Immunity from pre-judgment measures of Constraint
Art.19 State Immunity from post-judgment measures of Constraint
Art.20 Effect of Consent to Jurisdiction to measures of Constraint
Art.21 Specific Categories of Property
Part V Miscellaneous Provisions
Art.22 Service of Process
Art.23 Default Judgment
Art.24 Privileges and Immunities during Court Proceedings
Part VI Final Clauses
Art.25 Annex
Art.26 Other International Agreements
Art.27 Settlement of Disputes
Art.28 Signature
Art.29 Ratification, Acceptance, Approval or Accession
Art.30 Entry into Force
Art.31 Denunciation
Art.32 Depositary and Notifications
Art.33 Authentic Texts
Annex to the Convention
Understandings with Respect to Certain Provisions of the Convention
With Respect to Article 10
With Respect to article 11
With respect to articles 13 and 14
With respect to article 17
With respect to article 19
2 List of States Parties and Signatories
Status as at 05-10-2012: Signatories: 28. Parties: 13
3 List of Reservations and Declarations
4 General Assembly resolution 59/38
5 Statement of the Chairman of the Ad Hoc Committee on Jurisdictional Immunities of States and Their Property
29
30
31
32
33
34
35
36
37
38
39
6 ILC Draft Articles on Jurisdictional Immunities of States and Their Property
Part I Introduction
Art.1 Scope of the Present Articles
Article 2 Use of terms
Art.3 Privileges and Immunities not affected by the Present Articles
Art.4 Non-retroactivity of the Present Articles
Part II General Principles
Art.5 State Immunity
Art.6 Modalities for giving Effect to State Immunity
Art.7 Express consent to exercise of jurisdiction
Art.8 Effect of participation in a proceeding before a court
Art.9 Counterclaims
Part III Proceedings in which State immunity cannot be invoked
Art.10 Commercial Transactions
Art.11 Contracts of Employment
Art.12 Personal Injuries and Damage to Property
Art.13 Ownership, Possession and use of Property
Art.14 Intellectual and Industrial Property
Art.15 Participation in Companies or other Collective Bodies
Art.16 Ships owned or operated by a State
Art.17 Effect of an Arbitration Agreement
Part IV State Immunity from measures of Constraint in Connection with Proceedings before a Court
Art.18 State Immunity from measures of Constraint
Art.19 Specific Categories of Property
Part V Miscellaneous Provisions
Art.20 Service of process
Art.21 Default Judgement
Art.22 Privileges and Immunities during Court proceedings
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Index
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Contents
Edited By: Roger O'Keefe, Christian J. Tams
From:
The United Nations Convention on Jurisdictional Immunities of States and Their Property: A Commentary
Edited By: Roger O'Keefe, Christian J. Tams
Content type:
Book content
Product:
Oxford Scholarly Authorities on International Law [OSAIL]
Series:
Oxford Commentaries on International Law
Published in print:
21 March 2013
ISBN:
9780199601837
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3.236.46.172