On the ratification of the United Nations Convention on International Settlement Agreements Reached as a Result of Mediation

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The Law of the Republic of Kazakhstan dated April 25, 2022 No. 116-VII SAM.

To ratify the United Nations Convention on International Settlement Agreements Reached as a Result of Mediation (hereinafter referred to as the Convention), done in Singapore on August 7, 2019, with the following reservations:

1) In accordance with subparagraph (a) of paragraph 1 of Article 8 of the Convention, the Republic of Kazakhstan does not apply the Convention to settlement agreements to which it is a party or to which any government agencies or any person acting on behalf of a government agency are a party.;

2) In accordance with subparagraph (b) of paragraph 1 of Article 8 of the Convention, the Republic of Kazakhstan applies the Convention only to the extent that the parties to the settlement agreement have agreed to the application of the Convention.

President of the Republic of Kazakhstan

K. TOKAEV

UNITED NATIONS CONVENTION ON INTERNATIONAL SETTLEMENT AGREEMENTS REACHED AS A RESULT OF MEDIATION

The preamble

The Parties to this Convention,

Recognizing the importance of mediation for international trade as one of the methods of settling commercial disputes, in which the parties to the dispute ask a third party or persons to assist them in their attempts to resolve the dispute amicably,

Noting that mediation is increasingly being used in international and national commercial practice as an alternative to judicial proceedings,

Considering that the use of mediation provides significant benefits, such as reducing the number of cases in which a dispute leads to the termination of commercial relations, facilitating international transactions by business participants, and achieving savings in the administration of justice by States,

Convinced that the creation of a framework for international settlement agreements reached as a result of mediation, acceptable to States with different legal, social and economic systems, will contribute to the development of harmonious international economic relations,

We have agreed on the following:

Article 1 Scope of application

1. This Convention applies to agreements reached as a result of mediation, concluded by the parties in writing for the purpose of settling a commercial dispute ("amicable agreements") and, at the time of their conclusion, are international in that:

(a) The commercial enterprises of at least two parties to the settlement agreement are located in different States; or

b) the State in which the commercial enterprises of the parties to the settlement agreement are located is not:

i) neither by the State in which a significant part of the obligations under the settlement agreement is fulfilled;

ii) neither by the State with which the subject of the settlement agreement is most closely related.

2. This Convention does not apply to settlement agreements.:

a) concluded to settle disputes arising from transactions made by one of the parties (the consumer) for personal, family or household purposes;

b) related to family, inheritance or labor legislation.

3. This Convention does not apply.:

a) to the settlement agreements that:

(i) Were approved by the court or were concluded during the proceedings before the court; and

(ii) May be enforced as a judicial decision in the State of that court;

b) to settlement agreements that have been formalized and can be enforced as an arbitral award.

Article 2 Definitions

1. For the purposes of paragraph 1 of article 1:

a) if a party has more than one place of business, the relevant location of its place of business is the location of the place of business that, taking into account the circumstances known to the parties or assumed by them at the time of the conclusion of the settlement agreement, has the closest connection with the dispute settled by the settlement agreement.;

(b) If a party does not have a place of business, its permanent residence shall be taken into account.

2. A settlement agreement is considered to be concluded "in writing" if its contents are recorded in any form. The requirement to conclude a written settlement agreement is considered fulfilled by submitting an electronic message if the information contained therein is available for subsequent use.

3. "Mediation" means a procedure, regardless of what it is called and the basis on which it is conducted, by which the parties attempt to reach an amicable settlement of their dispute with the assistance of a third party or persons (the "mediator") who do not have the authority to order the parties to resolve the dispute.

Article 3 General principles

1. Each Party to the Convention shall enforce the settlement agreement in accordance with its rules of procedure and under the conditions set out in this Convention.

2. If a dispute arises over an issue that, according to one of the parties, has already been settled through an amicable agreement, the Party to the Convention shall allow that party to invoke the amicable agreement in accordance with its rules of procedure and on the terms set out in this Convention in order to prove that this issue has already been settled.

Article 4 Requirements for the ability to rely on amicable agreements

1. A Party relying on an amicable agreement in accordance with this Convention shall submit to the competent authority of the Party to the Convention in which assistance is sought.:

a) a settlement agreement signed by the parties;

b) proof that a settlement agreement was reached as a result of mediation, for example:

i) the mediator's signature on the settlement agreement;

ii) a document signed by the mediator indicating that mediation has taken place;

(iii) A confirmation issued by the institution that administered the mediation; or

(iv) In the absence of (i), (ii) or (iii), any other evidence acceptable to the competent authority.

2. The requirement that the settlement agreement must be signed by the parties or, where applicable, by the mediator is considered fulfilled with respect to an electronic communication if:

(a) Some method has been used to identify the parties or the mediator and indicate the intention of the parties or the mediator with respect to the information contained in the electronic communication; and

b) the method used:

(i) Or is as reliable as it is consistent with the purpose for which the electronic communication was prepared or transmitted, taking into account all the circumstances, including any relevant arrangements;

(ii) Either, as actually demonstrated by the method itself or by additional evidence, allowed it to perform the functions described in subparagraph (a) above.

3. If the settlement agreement is not drawn up in the official language of the Party to the Convention in which assistance is requested, the competent authority may propose to provide a translation into that language.

4. The competent authority may request any necessary document in order to verify compliance with the requirements of the Convention.

5. When considering a request for assistance, the competent authority acts promptly.

Article 5 Grounds for refusal of assistance

1. The competent authority of a Party to the Convention from which assistance is sought under article 4 may refuse to provide assistance at the request of the party against whom assistance is sought only if that party provides evidence to the competent authority that:

a) the party to the settlement agreement was in any way incapacitated;

b) the settlement agreement in connection with which the opportunity to rely on it is requested:

(i) Is null and void, has become invalid or cannot be enforced according to the law to which the parties have lawfully subordinated it, or, in the absence of such indication, according to the law deemed applicable by the competent authority of the Party to the Convention from which assistance is sought in accordance with article 4;

(ii) Is not binding or is not final according to its terms; or

(iii) Was subsequently changed;

c) obligations stipulated in the settlement agreement:

(i) Have been executed; or

ii) unclear or incomprehensible;

d) providing assistance would be contrary to the terms of the settlement agreement;

e) there has been a serious violation by the mediator of the standards applicable to the mediator or mediation, since without such violation this party would not have concluded an amicable agreement; or

f) the mediator did not disclose to the parties circumstances that raise reasonable doubts about his impartiality or independence, and such non-disclosure had a significant impact or undue influence on one of the parties, since without this the undisclosed party would not have concluded an amicable agreement.

2. The competent authority of the Party to the Convention from which assistance is sought in accordance with article 4 may also refuse to provide assistance if it considers that:

a) the provision of assistance would be contrary to the public policy of that Participant; or

b) the subject of the dispute cannot be settled through mediation in accordance with the legislation of that Party.

Article 6 Parallel petitions or demands

If an application or claim has been submitted to a court, arbitration or any other competent authority relating to a settlement agreement that may affect the assistance sought under article 4, the competent authority of the Party to the Convention in which assistance is sought may, if it deems it appropriate, defer the delivery of this decision and may also, at the request of one party instruct the other party to provide appropriate collateral.

Article 7 Other legislation or international treaties

This Convention does not deprive any of the interested parties of the possible right to use an amicable agreement in such a way and to the extent permitted by law or international treaties of a Party to the Convention, where an opportunity is sought to rely on such an amicable agreement.

Article 8 Reservations

1. A Party to the Convention may declare that:

(a) He shall not apply this Convention to settlement agreements to which he is a party or to which any government agency or any person acting on behalf of a government agency is a party, to the extent specified in the declaration.;

(b) It applies this Convention only to the extent that the parties to the settlement agreement have agreed to the application of the Convention.

2. No reservations, except those expressly permitted in this article, are permitted.

3. A Party to the Convention may make reservations at any time. Reservations made at the time of signature are subject to confirmation upon ratification, acceptance or approval. Such reservations shall enter into force simultaneously with the entry into force of this Convention in respect of the relevant Party to the Convention. Reservations made at the time of ratification, acceptance, approval of or accession to this Convention, or at the time of declaration under article 13, shall enter into force simultaneously with the entry into force of this Convention in respect of the Party concerned. Reservations deposited after the entry into force of the Convention in respect of that Party to the Convention shall enter into force six months after the date of their deposit.

4. Reservations and their confirmations shall be deposited with the depositary.

5. Any Party to the Convention that has made a reservation under this Convention may withdraw it at any time. Such reviews are deposited with the depositary and enter into force six months after the deposit.

Article 9 Consequences for settlement agreements

This Convention and any reservation or withdrawal thereof shall apply only to amicable agreements concluded after the date of entry into force of the Convention, reservation or withdrawal in respect of the relevant Party to the Convention.

Article 10 The Depositary

The Secretary-General of the United Nations is appointed as the depositary of this Convention.

Article 11 Signature, ratification, acceptance, approval, accession

1. This Convention shall be open for signature by all States in Singapore on 7 August 2019 and subsequently at United Nations Headquarters in New York.

2. This Convention is subject to ratification, acceptance or approval by the signatory entities.

3. This Convention is open for accession by all non-signatory States from the date of its opening for signature.

4. Instruments of ratification, acceptance, approval or accession shall be deposited with the depositary.

Article 12 Participation of regional economic integration organizations

1. A regional economic integration organization established by sovereign States and having competence in respect of certain matters governed by this Convention may also sign, ratify, accept, approve or accede to this Convention. In this case, the regional economic integration organization has the rights and obligations of a Party to the Convention to the extent that this organization has competence in relation to matters governed by this Convention. In cases where the number of Parties to the Convention is relevant to this Convention, a regional economic integration organization shall not be considered a Party to the Convention in addition to its member States that are Parties to the Convention.

2. A regional economic integration organization, at the time of signature, ratification, acceptance, approval or accession, shall make a declaration to the depositary indicating the issues governed by this Convention and in respect of which competence has been transferred to this organization by its member States. The regional economic integration organization shall immediately notify the depositary of any changes in the distribution of competence specified in the declaration made in accordance with this paragraph, including new transfers of competence.

3. Any reference to a "Party to the Convention", "Parties to the Convention", "State" or "States" in this Convention applies equally to a regional economic integration organization, where the context so requires.

4. This Convention shall not prevail over the norms of a regional economic integration organization that contradict it, regardless of whether such norms were adopted or entered into force before or after this Convention: (a) If, in accordance with article 4, assistance is requested in a State that is a member of such an organization, and all relevant States according to paragraph 1 of article 1 are members of such an organization, or (b) with respect to the recognition and enforcement of judgments between the member States of such an organization.

Article 13 Plurality of legal systems

1. If a Party to the Convention has two or more territorial units in which different legal systems apply to matters governed by this Convention, it may, at the time of signature, ratification, acceptance, approval or accession, declare that this Convention applies to all of its territorial units or only to one or more of them. they may change their statement by submitting another statement at any time.

2. These declarations are brought to the attention of the depositary, and they must explicitly indicate the territorial units to which the Convention applies.

3. If a Party to the Convention has two or more territorial units in which different legal systems apply in matters governed by this Convention, then:

(a) Any reference to the law or procedural norm of a State shall be interpreted as a reference, where appropriate, to the law or procedural norm in force in the relevant territorial unit;

(b) Any reference to a place of business in a State shall be interpreted as a reference, where appropriate, to a place of business located in the relevant territorial unit.;

(c) Any reference to the competent authority of a State shall be interpreted as a reference, where appropriate, to the competent authority located in the relevant territorial unit.

4. If a Party to the Convention does not make any declaration in accordance with paragraph 1 of this article, this Convention shall apply to all territorial units of that State.

Article 14 Entry into force

1. This Convention shall enter into force six months after the deposit of the third instrument of ratification, acceptance, approval or accession.

2. If a State ratifies, accepts, approves or accedes to this Convention after the deposit of the third instrument of ratification, acceptance, approval or accession, this Convention shall enter into force in respect of that State six months after the deposit of its instrument of ratification, acceptance, approval or accession. For a territorial unit to which this Convention applies in accordance with article 13, the Convention shall enter into force six months after notification of the declaration referred to in this article.

Article 15 Amendment

1. Any Party to the Convention may propose an amendment to this Convention by submitting it to the Secretary-General of the United Nations. Upon receipt of the proposed amendment, the Secretary-General shall transmit it to the Parties to the Convention, together with a request for their opinion on the desirability of holding a conference of the Parties to the Convention for the purpose of considering and voting on the proposal. If, within four months from the date of transmission of such an amendment, at least one third of the Parties to the Convention favour holding such a conference, the Secretary-General shall convene the conference under the auspices of the United Nations.

2. The Conference of the Parties to the Convention shall make every effort to reach consensus on each amendment. If all efforts to reach consensus have been exhausted and no consensus has been reached, a two-thirds majority of the Parties to the Convention present and voting at the conference will be required to adopt the amendment as a last resort.

3. The adopted amendment is submitted by the depositary to all Parties to the Convention for ratification, acceptance or approval.

4. The adopted amendment shall enter into force six months after the date of deposit of the third instrument of ratification, acceptance or approval. When an amendment enters into force, it becomes binding on those Parties to the Convention that have agreed to its binding nature.

5. When a Party to the Convention ratifies, accepts or approves an amendment after the deposit of the third instrument of ratification, acceptance or approval, the amendment shall enter into force in respect of that Party six months after the date of deposit of its instrument of ratification, acceptance or approval.

Article 16 Denunciation

1. A Party to the Convention may denounce this Convention by formal notification in writing addressed to the depositary. Denunciation may be limited to certain territorial units in the multiple legal systems to which this Convention applies.

2. The denunciation takes effect 12 months after the notification is received by the depositary. If the notification specifies a longer period for the denunciation to take effect, the denunciation shall take effect upon the expiration of such longer period after receipt of the notification by the depositary. This Convention shall continue to apply to settlement agreements concluded prior to the entry into force of the denunciation.

DONE in a single original copy, of which the Arabic, Chinese, English, French, Russian and Spanish texts are equally authentic.

Osymen zhogaryda keltirilgen March 2018 zhylgy 20 zheltoksanda New Yorkte kabyldangan Birikken Ulttar Uymyn mediation natijesinde kol zhetkizilgen halykaralyk tatulas kelisimderi turaly conventionsin dal koshirimesi bolyp tablatyn nakhtylaimyn, onyn tupnuskasy Birikken Ulttar Uyymyn Bas hatshysyna aktau berilgen

I hereby clarify that the above text is an exact copy of the United Nations Convention on International Settlement Agreements Reached as a Result of Mediation, adopted in New York on December 20, 2018, the original of which has been deposited with the Secretary-General of the United Nations.

Bas hatshy ushin

Bas hatshynn kukyktyk maseleler zhonindegi orynbasary zhane Birikken Ulttar Uyymyn zan kenesshisi

For the Secretary General

United Nations Under-Secretary-General for Legal Affairs and Legal Counsel

Miguel de Serpa Suarez

Birikken Ulttar Uyymy

New York, 2019 zhylgy sauir

The United Nations

New York, April 2019

Rastalgan koshirme (XXII-4)

Certified copy (XXII-4)

2019 zhylgy sauir/April 2019

President

Republic of Kazakhstan

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