4 - Scope and Definitions (Articles 1–4)

Summary

GENERAL MATTERS

Chapter I of the Convention is titled “Scope and Definitions” and provides critical Convention building blocks. Articles 1 and 2 set out the substantive scope of application of the Convention, while Articles 3 and 4 provide definitions and discussion of certain key terms. The Convention begins in Article 1(1) with an extremely broad scope of application. This is a threshold policy choice, which is reflected in a number of provisions of the text. Article 2 then proceeds to exclude specific types of contracts and specific “matters” from scope, and to provide further clarifications and amplifications in this area.

A sequential review of the Articles in Chapter I does not necessarily provide the best understanding of its rules. Thus, the following discussion will consider those Articles by concept rather than by numerical order. Article 1 forms a logical unit with the supporting definitions in Articles 3 and 4. Article 2 then qualifies the operation of that system, in ways generally independent of the definitions in Articles 3 and 4. This order of presentation underscores a basic characteristic of the Convention text: it is a highly coordinated and interconnected web. Very few articles can be discussed in isolation.