Professor of Private International Law University of Johannesburg

African Principles on the Law Applicable to International Commercial Contracts

Published by UJ Press University of Johannesburg Library Auckland Park Kingsway Campus PO Box 524 Auckland Park 2006 https://ujonlinepress.uj.ac.za/

Compilation © Jan L Neels 2023 Chapters © Jan L Neels 2023 Published Edition © Jan L Neels 2023

First published 2023

https://doi.org/10.36615/9781776447411 978-1-7764474-0-4 (Paperback) 978-1-7764474-1-1 (PDF) 978-1-7764474-2-8 (EPUB) 978-1-7764474-3-5 (XML)

Cover design: Hester Roets, UJ Graphic Design Studio Typeset in 10/13pt Merriweather Light

Introduction

French (by Dr Justin Monsenepwo) and Portuguese (by Prof Rui Dias and Ms Rita Duarte).

The Hague Principles on Choice of Law in International Commercial Contracts14 and the Rome I Regulation on the Law Applicable to Contractual Obligations15 were utilised as the primary models for the African Principles on the Law Applicable to International Commercial Contracts. The following conflicts, procedural and substantive instruments also played a role: the Rome Convention on the Law Applicable to Contractual Obligations;16 the Mexico City Convention on the Law Applicable to International Contracts;17 the Rome II Regulation on the Law Applicable to Non-Contractual Obligations;18 the Hague Convention on Choice of Court Agreements;19 the Hague Convention on the Recognition and Enforcement of Foreign Judgments in Civil or Commercial Matters;20 the UNCITRAL Model Law on International Commercial Arbitration;21 the UNIDROIT Principles on International Commercial Contracts;22 and the United Nations Convention on the International Sale of Goods.23 A limited number of further sources were considered, including preliminary draft legislation on the law applicable to contractual obligations intended for the Democratic Republic

Western School of Law) and Art 17. The proposals were primarily made during the Pan-African Conference on the African Principles on the Law Applicable to International Commercial Contracts, 31 May and 1-2 June 2023, University of Johannesburg. Many other recommendations were made, and they will be considered for the purposes of a possible next edition of the African Principles.

14 (2015) (Hague Principles).

15 (2008) (Rome I Regulation).

16 (1980) (Rome Convention).

17 Inter-American Convention on the Law Applicable to International Contracts (CIDIP-V) (1994) (Mexico City Convention).

18 (2007) (Rome II Regulation).

19 (2005).

20 (2019).

21 (1985/2006).

22 (2016) (UPICC).

23 (1980) (CISG).

of the Congo, as proposed by a working group facilitated by the Research Centre for Private International Law in Emerging Countries (University of Johannesburg) at its meeting in October 2019.24

The author would like to thank the consecutive deans of the Faculty of Law at the University of Johannesburg for their personal and financial support of the project: Prof Derek van der Merwe (later Pro-Vice-Chancellor and Deputy Vice-Chancellor), Prof George N Barrie, Prof Jannie M Otto, Prof Patrick H O’Brien (later General Counsel), Prof Letlhokwa G Mpedi (later Deputy Vice-Chancellor and, currently, Vice-Chancellor) and Prof Wesahl Domingo. He would also like to express his gratitude towards Prof Bettine Jansen van Vuuren (then Senior Director: Strategic Initiatives and Administration, currently Registrar), the translators into French and Portuguese (mentioned above), Dr Craig MacKenzie (linguistic revision: English version), Mr Wikus van Zyl (Manager: UJ Press), Ms Hester Roets (UJ Graphic Design Studio), and the following (former) staff members of the South African Department of International Relations and Cooperation: Adv Sandea de Wet, Dr Theunis Kotze, Mr Andre Smit, Adv André Stemmet, Mr Siya Mpongosha, Ms Ellouise King and Adv Keke (M A) Motsepe.

Stakeholders and other interested parties are requested to send any proposals for the improvement of the Principles to Prof Jan L Neels at jlneels@uj.ac.za and africanprinciples@ gmail.com . Please also inform us of the use of the African Principles in legislation, case law and academic work.

24 See Justin Monsenepwo “L’Avant-projet de Loi sur la loi applicable aux obligations contractuelles en droit international privé congolais” in T K Bala et al Adoption des mineurs et migrations en droit interne, international et comparé Tome II Mélanges en l’honneur du Professeur Paolo Morozzo della Rocca (Editions Universitaires Européennes, Paris, 2021) 604.

Preamble

1 This instrument sets forth general principles for determining the law applicable to international commercial contracts.

2 They may be used as a model for national, regional and supranational legislative instruments in Africa.

3 They may be used by African courts in the interpretation, supplementation and development of the rules of private international law of contract.

4 They may be used by arbitral tribunals in the interpretation, supplementation and development of the rules of private international law of contract, whenever appropriate and whether the tribunal is seated in Africa or elsewhere.

Article 1

Scope of the Principles

1 These Principles apply, in situations involving a conflict of laws, to international contractual obligations in civil and commercial matters, where each party is acting in the exercise of its trade or profession.

2 These Principles do not address the law governing the following types of contracts –

3 These Principles do not address the law governing arbitration agreements and agreements on choice of court.

4 These Principles do not address the law governing the following topics –

Article 2

Universal application

Any law specified by this instrument is applicable whether or not it is the law of a Member State of the African Union.

Article 3

Freedom of choice of law

1 A contract is governed by the law chosen by the parties. 2 The parties may choose –

3 No connection is required between the law chosen and the parties or their transaction.

4 The choice may be made or modified at any time. A choice or modification made after the contract has been concluded does not prejudice its formal validity or the rights of third parties.

Article 4

Choice of rules of law; incorporation by reference

1 A choice of one or more of the following instruments is recognised on the same level as the choice of the law of a country:

2 If the parties choose an instrument in terms of paragraph (1)(b), (c) or (d), the UNIDROIT Principles of International Commercial Contracts may be used in its interpretation and supplementation.

3 If the parties choose the general principles of law, the lex mercatoria, international commercial law or the like to govern their contract, the following instruments may be applied, where relevant –

4 The law applicable to the contract in terms of this instrument determines whether the parties may incorporate by reference any set of rules or standard terms not listed in paragraph (1).

Article 5

Express and tacit choice of law

1 A choice of law, or any modification of a choice of law, can be made expressly or tacitly.

2 A tacit choice of law must be manifestly clear from the provisions of the contract, the circumstances of the case, or both.

3 An agreement between the parties to confer jurisdiction on a court or an arbitral tribunal to determine disputes under the contract is not in itself equivalent to a choice of law.

4 An agreement between the parties to confer jurisdiction on a court or a localised arbitral tribunal may be taken into account in the determination of a tacit choice of law.

Article 6

Applicable law in the absence of choice of law

1 To the extent that the law applicable to the contract has not been chosen by the parties, the law governing the contract is to be determined as follows:

Article 7

Role of international instruments

The law applicable to a contract by virtue of this instrument may be interpreted, supplemented and developed along the lines of the instruments listed in Article 4(3).

Article 8

Consent and material validity; choice of law in the battle of forms

1 The existence and material validity of a contract, or of any provision in a contract, must be determined by the law which would govern it under this instrument if the contract or provision were valid.

2 Nevertheless, the law of the habitual residence of a party determines whether that party has consented to the contract, or any provision in the contract, if, in the particular circumstances, it would be unreasonable to make that determination under the law specified in paragraph (1).

3 If the parties have used two sets of standard terms designating different laws, or if a law is designated in one of the sets of standard terms only, there is no express choice of law.

Article 9

Formal validity

1 A choice of law is not subject to any requirement as to form unless otherwise agreed by the parties.

2 Without prejudice to paragraph (1), a contract is formally valid if it complies with the requirements in this regard of at least one of the following legal systems:

3 As an exception to paragraph (2), but without prejudice to paragraph (1), the formal validity of a provision in a contract with the subject matter of a right in rem in immovable property, or of a tenancy of immovable property, is governed by the law of the country where the immovable is situated.

African Principles

Article 10

Renvoi

The application of the law of any country specified by this instrument entails the application of the rules of law in force in that country other than its rules of private international law, unless the parties expressly provide otherwise.

Article 11

Overriding mandatory provisions

1 Overriding mandatory provisions are rules of law which are regarded as crucial by a country for safeguarding its public interests (including its political, social or economic organisation) to such an extent that they are applicable to any situation falling within their scope, irrespective of the law otherwise applicable to the contract under this instrument.

2 The overriding mandatory rules of the law governing the contract by virtue of this instrument are in principle applicable.

3 Effect may be given to the overriding mandatory rules of –

4 In exceptional circumstances, the overriding mandatory rules of another country may be applied, provided that such law has a manifestly close connection to the particular situation.

5 In considering whether to give effect to any of the overriding mandatory rules mentioned in paragraph (3) or (4), regard must be had to their nature and purpose and to the consequences of their application or non-application.

Article 12

Public policy of the forum

The application of a provision of the law applicable in terms of this instrument may be refused only if such application would be manifestly incompatible with fundamental notions of the public policy of the forum.

Article 13

Scope of the law applicable to the contract

1 The law applicable to a contract by virtue of this instrument governs all aspects of the contract between the parties, including but not limited to –

2

Article 14

Set-off

Set-off is governed by the law applicable to the claim against which the right to set-off is asserted, unless otherwise agreed by the parties.

Article 15

Habitual residence

1 For the purposes of this instrument, the habitual residence of companies and other bodies, corporate or unincorporated, is in the country of their central administration.

2 The habitual residence of a natural person acting in the course of his or her business activities is in the country of his or her principal place of business.

3 Where the contract is concluded in the course of the operations of a branch, agency or any other establishment, or if, under the contract, performance is the responsibility of such a branch, agency or establishment, the country where the branch, agency or any other establishment is located must be treated as the country of habitual residence.

4 For the purposes of determining habitual residence, the relevant point in time is the moment of the conclusion of the contract.

Article 16

Interpretation and uniformity of application

In the interpretation of this instrument, its regional character and international relevance, and the need to promote uniformity in its application must be taken into account.

Article 17

Entry into force and application in time

This instrument was adopted by the African Union on [date] and applies to contracts concluded as from [date]. In disputes relating to contracts concluded prior to this date, the court or arbitral tribunal may take the provisions of this instrument into account.

African Principles on the Law

Preamble

1 This instrument sets forth general principles for determining the law applicable to international commercial contracts.25

2 They may be used as a model for national, regional and supranational legislative instruments in Africa.26

3 They may be used by African courts in the interpretation, supplementation and development of the rules of private international law of contract.27

4 They may be used by arbitral tribunals in the interpretation, supplementation and development of the rules of private international law of contract, whenever appropriate and whether the tribunal is seated in Africa or elsewhere.28

Article 1

Scope of the Principles

1 These Principles apply, in situations involving a conflict of laws, to international contractual obligations in civil

25 Cf Hague Principles, Preamble Par 1; UPICC, Preamble Par 1. 26 Cf Hague Principles, Preamble Par 2. 27 Cf Hague Principles, Preamble Par 3 and 4; UPICC, Preamble

Par 5 and 6. 28 Cf Hague Principles, Preamble Par 3 and 4.

and commercial matters, where each party is acting in the exercise of its trade or profession.29

2 These Principles do not address the law governing the following types of contracts –

(a) consumer contracts;30

(b) contracts of carriage;31 (c) employment contracts;32 (d) insurance contracts.33

3 These Principles do not address the law governing arbitration agreements and agreements on choice of court.34

4 These Principles do not address the law governing the following topics –

29 Cf Hague Principles, Art 1(1); Rome I Regulation, Art 1(1).

30 Cf Hague Principles, Art 1(1). See the specific arrangement in Art 6 of the Rome I Regulation.

31 See the specific arrangement in Art 5 of the Rome I Regulation.

32 See the specific arrangement in Art 8 of the Rome I Regulation.

33 See the specific arrangement in Art 7 of the Rome I Regulation.

34 Cf Hague Principles, Art 1(3)(b); Rome I Regulation, Art 1(2) (e).

35 Cf Hague Principles, Art 1(3)(a); Rome I Regulation, Art 1(2) (a). See Art 13 of the Rome I Regulation for a partial conflicts rule on the contractual capacity of a natural person. For an alternative proposal in this regard, see Eesa A Fredericks, Contractual Capacity in Private International Law (Meijers Research Institute, Leiden 2016) 248-249.

36 Cf Hague Principles, Art 1(3)(c); Rome I Regulation, Art 1(2) (f).

37 Cf Rome I Regulation, Art 1(3).

38 Cf Hague Principles, Art 1(3)(d); Rome I Regulation, Art 1(2) (f).

Article 2

Universal application

Any law specified by this instrument is applicable whether or not it is the law of a Member State of the African Union.43

Article 3

Freedom of choice of law

1 A contract is governed by the law chosen by the parties.44 2 The parties may choose –

39 Cf Hague Principles, Art 1(3)(f); Rome I Regulation, Art 1(2) (g).

40 Cf Rome I Regulation, Art 1(2)(d).

41 Cf Hague Principles, Art 1(3)(e).

42 Cf Rome I Regulation, Art 1(1).

43 Cf Rome I Regulation, Art 2.

44 Hague Principles, Art 2(1); cf Rome I Regulation, Art 3(1); UNCITRAL Model Law on International Commercial Arbitration, Art 28(1).

45 Hague Conference on Private International Law, Principles on Choice of Law in International Commercial Contracts (HCCH, The Hague 2015) (official commentary on the Hague Principles), illustration 2.2.

46 Cf Hague Principles, Art 2(2)(a); Rome I Regulation, Art 3(1).

47 Hague Conference on Private International Law (n 45), illustration 2.3.

48 Cf Hague Principles, Art 2(2)(b).

3 No connection is required between the law chosen and the parties or their transaction.49

4 The choice may be made or modified at any time. A choice or modification made after the contract has been concluded does not prejudice its formal validity or the rights of third parties.50

5 A choice of law cannot be contested solely on the ground that the contract to which it applies is not valid.51

Article 4

Choice of rules of law; incorporation by reference

1 A choice of one or more of the following instruments is recognised on the same level as the choice of the law of a country:

2 If the parties choose an instrument in terms of paragraph (1)(b), (c) or (d), the UNIDROIT Principles of International

49 Hague Principles, Art 2(4). 50 Cf Hague Principles, Art 2(3); Rome I Regulation, Art 3(2). 51 Hague Principles, Art 7. 52 See DRC draft, Art 2bis(1)(b). The author’s original version

reads as follows: “an international or a regional convention, when not otherwise applicable”.

53 Cf Hague Principles, Art 3; UNCITRAL Model Law on International Commercial Arbitration, Art 28(1). An adapted version of Art 4(1) was adopted in the DRC draft as art 2bis(1).

Article 5

Express and tacit choice of law

1 A choice of law, or any modification of a choice of law, can be made expressly or tacitly.59

2 A tacit choice of law must be manifestly clear from the provisions of the contract, the circumstances of the case, or both.60

54 Cf UPICC, Preamble Par 5. See Neels and Fredericks (n 1, 2018) 350.

55 Cf UPICC, Preamble Par 3. See Neels and Fredericks (n 1, 2018) 350.

56 Cf UPICC, Preamble Par 5. See Neels and Fredericks (n 1, 2018) 350.

57 Art 4(3) was adopted in the DRC draft as Art 2bis(2).

58 Cf Rome I Regulation, Recital 13.

59 Cf Hague Principles, Art 4.

60 Cf Hague Principles, Art 4. See Jan L Neels and Eesa A Fredericks “Tacit choice of law in the Hague Principles on

3 An agreement between the parties to confer jurisdiction on a court or an arbitral tribunal to determine disputes under the contract is not in itself equivalent to a choice of law.61

4 An agreement between the parties to confer jurisdiction on a court or a localised arbitral tribunal may be taken into account in the determination of a tacit choice of law.62

Article 6

Applicable law in the absence of choice of law

1 To the extent that the law applicable to the contract has not been chosen by the parties, the law governing the contract is to be determined as follows:

Choice of Law in International Contracts” 2011 De Jure 101, 106.

61 Hague Principles, Art 4; cf GEDIP “Third consolidated version of a proposal to amend Articles 1, 3, 4, 5, 6, 7, 9, 10bis, 12 and 13 of the Rome Convention of 19 June 1980 on the Law Applicable to Contractual Obligations, and Article 15 of Regulation 44/2001 EC (Brussels I)” (Vienna, 2003) in Marc Fallon, Patrick Kinsch and Christian Kohler (eds), Le droit international privé européen en construction. Vingt ans de travaux du GEDIP. Building European Private International Law. Twenty Years’ Work by GEDIP (Intersentia, Cambridge 2011) 425-426.

62 Cf Rome I Regulation, Recital 12; Hague Conference on Private International Law (n 45), Par 4.11-4.12.

Article 7

Role of international instruments

The law applicable to a contract by virtue of this instrument may be interpreted, supplemented and developed along the lines of the instruments listed in Article 4(3).65

63 Cf Rome I Regulation, Art 4(1)(g); DRC draft, Art 3(1) (f). Alternative solutions that may be considered include substantive-law models (Neels and Fredericks (n 1, 2018) 352-354) and the default application of the law of the country of the characteristic performance, as determined in the contract (Neels and Fredericks (n 1, 2018) 354-355).

64 Rome I Regulation, Art 4, with some substantive and linguistic changes.

65 Cf UPICC, Preamble Par 6; Mexico City Convention, Art 9-10. See Neels and Fredericks (n 1, 2018) 350.

Article 8

Consent and material validity; choice of law in the battle of forms

1 The existence and material validity of a contract, or of any provision in a contract, must be determined by the law which would govern it under this instrument if the contract or provision were valid.66

2 Nevertheless, the law of the habitual residence of a party determines whether that party has consented to the contract, or any provision in the contract, if, in the particular circumstances, it would be unreasonable to make that determination under the law specified in paragraph (1).67

3 If the parties have used two sets of standard terms designating different laws, or if a law is designated in one of the sets of standard terms only,68 there is no express choice of law.69

Article 9

Formal validity

1 A choice of law is not subject to any requirement as to form unless otherwise agreed by the parties.70

2 Without prejudice to paragraph (1), a contract is formally valid if it complies with the requirements in this regard of at least one of the following legal systems:

(a) the law of the country of the conclusion of the contract, as determined according to (i) the law of the forum, or (ii) the law applicable to the contract by virtue of this instrument;

66 Cf Rome I Regulation, Art 10(1); Hague Principles, Art 6(1)(a).

67 Cf Hague Principles, Art 6(2); Rome I Regulation, Art 10(2).

68 Art 6(1)(b) of the Hague Principles does not (expressly) make provision for this scenario.

69 Cf Hague Principles, Art 6(1)(b); Neels and Fredericks (n 1, 2018) 352 and literature referred to.

70 Hague Principles, Art 5.

Article 10

Renvoi

The application of the law of any country specified by this instrument entails the application of the rules of law in force in that country other than its rules of private international law, unless the parties expressly provide otherwise.75

Article 11

Overriding mandatory provisions

1 Overriding mandatory provisions are rules of law which are regarded as crucial by a country for safeguarding its public interests (including its political, social or economic organisation) to such an extent that they are applicable

71 Cf Hague Principles, Art 9(1)(e) and Art 9(2).

72 Cf Rome I Regulation, Art 11.

73 Cf Mexico City Convention, Art 13.

74 Cf Rome I Regulation, Art 11(5).

75 Cf Hague Principles, Art 8; Rome I Regulation, Art 20; UNCITRAL Model Law on International Commercial Arbitration, Art 28(1).

to any situation falling within their scope, irrespective of the law otherwise applicable to the contract under this instrument.

2 The overriding mandatory rules of the law governing the contract by virtue of this instrument are in principle applicable.

3 Effect may be given to the overriding mandatory rules of –

4 In exceptional circumstances, the overriding mandatory rules of another country may be applied, provided that such law has a manifestly close connection to the particular situation.

5 In considering whether to give effect to any of the overriding mandatory rules mentioned in paragraph (3) or (4), regard must be had to their nature and purpose and to the consequences of their application or nonapplication.76

Article 12

Public policy of the forum

The application of a provision of the law applicable in terms of this instrument may be refused only if such application would

76 Cf Rome Convention, Art 7; Rome I Regulation, Art 9; Hague Principles, Art 11(1), (2) and (5). The reference to par 3 and 4 in Art 11(5) should perhaps be limited to par 3(b) and 4: see Jan L Neels and Eesa A Fredericks “Covid-19 regulations as overriding mandatory provisions in private international law

– a comparison of regional, supranational and international instruments with the proposed African Principles on the Law Applicable to International Commercial Contracts” in Murdoch Watney (ed) The Impact of COVID-19 on the Future of Law and Related Disciplines (UJ Press, 2022) 1 at 14 n 78.

Article 13

Scope of the law applicable to the contract

1 The law applicable to a contract by virtue of this instrument governs all aspects of the contract between the parties, including but not limited to –

(a) interpretation;78

2

77 Cf Rome I Regulation, Art 21; Hague Principles, Art 11(3)-(5).

78 Hague Principles, Art 9(1)(a); Rome I Regulation, Art 12(1) (a).

79 Hague Principles, Art 9(1)(b).

80 Hague Principles, Art 9(1)(d); cf Rome I Regulation, Art 12(1) (d).

81 Cf Hague Principles, Art 9(1)(e); Rome I Regulation, Art 12(1) (e).

82 Hague Principles, Art 9(1)(f); cf Rome I Regulation, Art 18(1).

83 Hague Principles, Art 9(1)(g).

84 Hague Principles, Art 9(1)(c); Rome I Regulation, Art 12(1) (b).

85 Cf Hague Principles art 9(1)(c); Rome I Regulation, Art 12(1) (c).

86 Cf Rome I Regulation, Art 12(1)(c).

Article 14

Set-off

Set-off is governed by the law applicable to the claim against which the right to set-off is asserted, unless otherwise agreed by the parties.90

Article 15

Habitual residence

1 For the purposes of this instrument, the habitual residence of companies and other bodies, corporate or unincorporated, is in the country of their central administration.91

87 See Rome II Regulation, Recital 32; cf Hague Convention on Choice of Court Agreements, Art 11(1); Hague Convention on the Recognition and Enforcement of Foreign Judgments in Civil or Commercial Matters, Art 10(1).

88 Cf Hague Convention on Choice of Court Agreements, Art 11(2); Hague Convention on the Recognition and Enforcement of Foreign Judgments in Civil or Commercial Matters, Art 10(2).

89 Rome I Regulation, Art 12(2). 90 Cf Rome I Regulation, Art 17. 91 Cf Rome I Regulation, Art 19(1).

Article 16

Interpretation and uniformity of application

In the interpretation of this instrument, its regional character and international relevance, and the need to promote uniformity in its application must be taken into account.95

Article 17

Entry into force and application in time

This instrument was adopted by the African Union on [date] and applies to contracts concluded as from [date]. In disputes relating to contracts concluded prior to this date, the court or arbitral tribunal may take the provisions of this instrument into account.96

92 Cf Rome I Regulation, Art 19(1); Fredericks (n 35) 248. 93 Cf Rome I Regulation, Art 19(2); Hague Principles, Art 12. 94 Cf Rome I Regulation, Art 19(3). 95 Cf CISG, Art 7(1); Mexico City Convention, Art 4; Hague

Convention on Choice of Court Agreements, Art 23; Hague Convention on the Recognition and Enforcement of Foreign Judgments in Civil or Commercial Matters, Art 20.

96 For the second sentence, see DRC draft, Art 24 (second sentence).

Préambule

* Attorney, Wick Phillips Gould & Martin, LLP, Dallas (Texas, USA); research associate, University of Oxford (United Kingdom) and Research Centre for Private International Law in Emerging Countries, Faculty of Law, University of Johannesburg (South Africa).

96 Cf. Principes de La Haye, Préambule, para. 1 ; Principes d’UNIDROIT relatifs aux contrats du commerce international, Préambule, para. 1.

98 Cf. Principes de La Haye, Préambule, para. 2. 99 Cf. Principes de La Haye, Préambule, para. 3 et 4 ; UPICC, Préambule, para. 5 et 6. 100 Cf. Principes de La Haye, Préambule, para. 3 et 4.

Article 1

Champ d’application des Principes

101 Cf. Principes de La Haye, article 1(1) ; Règlement Rome I, article 1(1).

102 Cf. Principes de La Haye, article 1(1). Voir l’arrangement spécifique à l’article 6 du Règlement Rome I.

103 Voir l’arrangement spécifique à l’article 5 du Règlement Rome I.

104 Voir l’arrangement spécifique à l’article 8 du Règlement Rome I.

105 Voir l’arrangement spécifique à l’article 7 du Règlement Rome I.

106 Cf. Principes de La Haye, article 1(3)(b) ; Règlement Rome I, article 1(2)(e).

107 Cf. Principes de La Haye, article 1(3)(a) ; Règlement Rome I, article 1(2)(a). Voir article 13 du Règlement Rome I pour une règle de conflit de lois partielle sur la capacité contractuelle d’une personne physique. Pour une proposition alternative sur ce sujet, voir Fredericks (n 35) 248-249.

108 Cf. Principes de La Haye article 1(3)(c) ; Règlement Rome I, article 1(2)(f).

109 Cf. Règlement Rome I article 1(3).

Article 2

Application universelle

La loi désignée par le présent instrument est applicable, qu’il s’agisse ou non du droit d’un État membre de l’Union africaine.115

Article 3

Liberté de choix

(a) la loi applicable à l’ensemble du contrat ou à un ou plusieurs aspects117 ou parties de celui-ci ;118 et

110 Cf. Principes de La Haye article 1(3)(d) ; Règlement Rome I, article 1(2)(f).

111 Cf. Principes de La Haye, article 1(3)(f) ; Règlement Rome I, article 1(2)(g).

112 Cf. Règlement Rome I, article 1(2)(d).

113 Cf. Principes de La Haye, article 1(3)(e).

114 Cf. Règlement Rome I, article 1(1).

115 Cf. Règlement Rome I, article 2.

116 Principes de La Haye, article 2(1) ; cf. Règlement Rome I, article 3(1) ; Loi type de la CNUDCI sur l’arbitrage commercial international, article 28(1).

117 Conférence de La Haye de droit international privé, Principes sur le choix du droit dans les contrats commerciaux internationaux (HCCH, La Haye 2015) (Commentaire officiel relatif aux Principes de La Haye), illustration 2.2.

118 Cf. Principes de La Haye, article 2(2)(a) ; Règlement Rome I, article 3(1).

(b) des lois différentes pour différents aspects119 ou parties du contrat.120

Article 4

Choix des règles de droit ; incorporation par référence

1. Le choix d’un ou de plusieurs des instruments suivants est reconnu au même titre que le choix de la loi d’un pays :

119 Conférence de La Haye de droit international privé (n 117), illustration 2.3.

120 Cf. Principes de La Haye, article 2(2)(b).

121 Principes de La Haye, article 2(4).

122 Cf. Principes de La Haye, article 2(3) ; Règlement Rome I, article 3(2).

123 Principes de La Haye, article 7.

124 Voir l’Avant-projet de la RDC, article 2bis(1)(b). La version originale dispose : « une convention internationale ou régionale, lorsqu’elle n’est pas autrement applicable ».

125 Cf. Principes de La Haye, article 3 ; Loi type de la CNUDCI sur l’arbitrage commercial international, article 28(1). Une

Article 5

Choix exprès et tacite

Article 6

Droit applicable à défaut de choix

1. Dans la mesure où la loi applicable au contrat n’a pas été choisie par les parties, la loi régissant le contrat est déterminée comme suit :

131 Cf. Principes de La Haye, article 4.

132 Cf. Principes de La Haye, article 4. Voir Neels et Fredericks (n 60) 106.

133 Principe de La Hayes, article 4. Cf. GEDIP / Fallon, Kinsch et Kohler (eds) (n 61) 425-426.

134 Cf. Règlement Rome I, Préambule, para. 12 ; Conférence de La Haye de droit international privé (n 117), para. 4.11-4.12.

Article 7

Rôle des instruments internationaux

La loi applicable à un contrat en vertu de cet instrument peut être interprétée, complétée et développée conformément aux instruments énumérés à l’article 4(3).137

135 Cf. Règlement Rome I, article 4(1)(g) ; Avant-projet de la RDC, article 3(1)(f). Parmi les solutions alternatives qui peuvent être envisagées figurent les modèles de droit substantiel (Neels et Fredericks (n 1, 2018) 352-354) et l’application par défaut de la loi du pays de la prestation caractéristique déterminée dans le contrat (Neels et Fredericks (n 1, 2018) 354-355).

136 Règlement Rome I, article 4, avec quelques modifications substantielles et linguistiques.

137 Cf. Principes d’UNIDROIT relatifs aux contrats du commerce international, Préambule, para. 6 ; Convention de Mexico, articles 9 et 10. Voir Neels et Fredericks (n 1, 2018) 350.

Article 8

Consentement et validité matérielle ; choix de la loi applicable en cas de conflit de conditions générales

Article 9

Validité formelle

138 Cf. Règlement Rome I, article 10(1) ; Principes de La Haye, article 6(1)a).

139 Cf. Principes de La Haye, article 6(2) ; Règlement Rome I, article 10(2).

140 L’article 6(1)(b) des Principes de La Haye ne prévoit pas (expressément) ce scénario.

141 Cf. Principes de La Haye, article 6(1)(b) ; Neels et Fredericks (n 1, 2018) 352 et la littérature y mentionnée.

142 Principes de La Haye, article 5.

Article 10

Renvoi

L’application de la loi de tout pays désigné par cet instrument implique l’application des règles de droit en vigueur dans ce pays autres que ses règles de droit international privé, sauf si les parties conviennent expressément du contraire.147

Article 11

Lois de police

1. Les lois de police sont des règles de droit qui sont considérées comme cruciales par un pays pour la

143 Cf. Principes de La Haye, articles 9(1)(e) et 9(2). 144 Cf. Règlement Rome I, article 11. 145 Cf. Convention de Mexico, article 13. 146 Cf. Règlement Rome I, article 11(5). 147 Cf. Principes de La Haye, article 8 ; Règlement Rome I,

article 20 ; Loi type de la CNUDCI sur l’arbitrage commercial international, article 28(1).

sauvegarde de ses intérêts publics (y compris son organisation politique, sociale ou économique), dans la mesure où elles sont applicables à toute situation relevant de leur champ d’application, quelle que soit la loi autrement applicable au contrat aux termes du présent instrument.

Article 12

Ordre public du for

L’application d’une disposition de la loi applicable aux termes du présent instrument ne peut être écartée que si cette application est manifestement incompatible avec les notions fondamentales de l’ordre public du for.149

148 Cf. Convention de Rome, article 7 ; Règlement Rome I, article 9; Principes de La Haye, article 11(1), (2) et (5).

149 Cf. Règlement Rome I, article 21 ; Principes de La Haye, article 11(3)-(5).

Principes africains

Article 13

Domaine de la loi applicable au contrat

1. La loi applicable à un contrat en vertu du présent instrument régit tous les aspects du contrat entre les parties, notamment :

2.

150 Principes de La Haye, article 9(1)a) ; Règlement Rome I, article 12(1)a).

151 Principes de La Haye, article 9(1)(b).

152 Principes de La Haye, article 9(1)(d) ; cf. Règlement Rome I, article 12(1)(d).

153 Cf. Principes de La Haye, article 9(1)(e) ; Règlement Rome I, article 12(1)(e).

154 Principes de La Haye, article 9(1)(f) ; cf. Règlement Rome I, article 18(1).

155 Principes de La Haye, article 9(1)(g).

156 Principes de La Haye, article 9(1)(c) ; Règlement Rome I, article 12(1)(b).

157 Cf. Hague Principles, article 9(1)(c) ; Règlement Rome I, article 12(1)(c).

158 Cf. Règlement Rome I, article 12(1)(c).

la mesure où les dommages-intérêts dépasseraient l’indemnisation pour perte réelle (dommagesintérêts exemplaires ou punitifs).159

Article 14

Compensation

Sauf accord contraire des parties, la compensation est régie par la loi applicable à l’obligation contre laquelle elle est invoquée.162

Article 15

Résidence habituelle

1. Aux fins du présent instrument, la résidence habituelle d’une société, association ou personne morale est le lieu où elle a établi son administration centrale.163

159 Voir Règlement Rome II, Préambule para. 32 ; cf. Convention de La Haye sur les accords d’élection de for, article 11(1) ; Convention de La Haye sur la reconnaissance et l’exécution des jugements étrangers en matière civile ou commerciale, article 10(1).

160 Cf. Convention de La Haye sur les accords d’élection de for, article 11(2) ; Convention de La Haye sur la reconnaissance et l’exécution des jugements étrangers en matière civile ou commerciale, article 10(2).

161 Règlement Rome I, article 12(2). 162 Cf. Règlement Rome I, article 17. 163 Cf. Règlement Rome I, article 19(1).

Article 16

Interprétation et uniformité d’application

Dans l’interprétation du présent instrument, il est tenu compte de son caractère régional, de sa pertinence internationale, et de la nécessité de promouvoir l’uniformité de son application.167

Article 17

Entrée en vigueur et application dans le temps

Le présent instrument a été adopté par le Union Africaine [date] et s’applique aux contrats conclus à partir de [date]. Pour les litiges relatifs aux contrats conclus avant cette date, le tribunal étatique ou arbitral peut tenir compte des dispositions du présent instrument.168

164 Cf. Règlement Rome I, article 19(1) ; Fredericks (n 35) 248. 165 Cf. Règlement Rome I, article 19(2) ; Principes de La Haye,

article 12. 166 Cf. Règlement Rome I, article 19(3). 167 Cf. Convention des Nations Unies sur les contrats de vente

internationale de marchandises, article 7(1) ; Convention de Mexico, article 4 ; Convention de La Haye sur les accords d’élection de for, article 23 ; Convention de La Haye sur la reconnaissance et l’exécution des jugements étrangers en matière civile ou commerciale, article 20.

168 Pour ce qui est de la deuxième phrase, voir l’Avant-projet de la RDC, article 24 (deuxième phrase).

44

Preâmbulo

* Professor of Law, Faculty of Law, University of Coimbra. ** LLM candidate at the College of Europe, Bruges.

168 Cf. Princípios da Haia relativos à Escolha de Lei Aplicável a Contratos Comerciais Internacionais, Preâmbulo, Parágrafo 1; Princípios da UNIDROIT sobre Contratos Comerciais Internacionais, Preâmbulo, Parágrafo 1.

170 Cf. Princípios da Haia, Preâmbulo, Par. 2. 171 Cf. Princípios da Haia, Preâmbulo, Par. 3 e 4; Princípios da UNIDROIT, Par. 5 e 6. 172 Cf. Princípios da Haia, Preâmbulo, Par. 3 e 4.

Artigo 1.º

Âmbito de aplicação dos princípios

173 Cf. Princípios da Haia, Art. 1º, nº 1; Regulamento Roma I, Art. 1º, nº 1.

174 Cf. Princípios da Haia, Art. 1º, nº 1; v. a disposição específica do Art. 6º do Regulamento Roma I.

175 V. a disposição específica do Art. 5º do Regulamento Roma I.

176 V. a disposição específica do Art. 8º do Regulamento Roma I.

177 V. a disposição específica do Art. 7º do Regulamento Roma I.

178 Cf. Princípios da Haia, Art. 1º, nº 3, al. b); Regulamento Roma I, Art. 1º, nº 2, al. e).

179 Cf. Princípios da Haia, Art. 1º, nº 3, al. a); Regulamento Roma I, Art. 1º, nº 2, al. a). V. Art. 13º do Regulamento Roma I para uma norma parcial de conflitos relativa à capacidade contratual de uma pessoa singular. Para uma proposta alternativa neste âmbito, v. Fredericks (n 35) pp. 248-249.

180 Cf. Princípios da Haia, Art. 1º, nº 3, al. c); Regulamento Roma I, Art. 1º, nº 2, al. f).

181 Cf. Regulamento Roma I, Art. 1º, nº 3.

Artigo 2.º

Aplicação universal

A lei designada pelo presente instrumento é aplicável mesmo que não seja a lei de um Estado membro da União Africana187.

Artigo 3.º

Liberdade de escolha da lei

(a) a lei aplicável à totalidade do contrato ou a um ou mais aspetos189 ou partes do mesmo190; e

182 Cf. Princípios da Haia, Art. 1º, nº 3, al. d); Regulamento Roma I, Art. 1º, nº 2, al. f).

183 Cf. Princípios da Haia, Art. 1º, nº 3, al. f); Regulamento Roma I, Art. 1º, nº 2, al. g).

184 Cf. Regulamento Roma I, Art. 1º, nº 2, al. d).

185 Cf. Princípios da Haia, Art. 1º, nº 3, al. e).

186 Cf. Regulamento Roma I, Art. 1º, nº 1.

187 Cf. Regulamento Roma I, Art. 2º.

188 Cf. Princípios da Haia, Art. 2º, nº 1; Regulamento Roma I, Art. 3º, nº 1; Lei Modelo da UNCITRAL sobre Arbitragem Comercial Internacional, Art. 28º, nº1.

189 Conferência da Haia de Direito Internacional Privado, Comentários sobre os Princípios relativos à Escolha de Lei Aplicável aos Contratos Comerciais Internacionais, Haia, 2015, Ponto 2.2.

190 Cf. Princípios da Haia, Art. 2º, nº 2, al. a); Regulamento Roma I, Art. 3º, nº 1.

(b) diferentes leis para diferentes aspetos191 ou partes do contrato192.

Artigo 4.º

Escolha de normas jurídicas; inclusão por remissão

1. A escolha de um ou mais dos seguintes instrumentos é reconhecida ao mesmo nível que a escolha de uma lei nacional:

191 Conferência da Haia de Direito Internacional Privado, cit., Ponto 2.3.

192 Cf. Princípios da Haia, Art. 2º, nº 2, al. b).

193 Cf. Princípios da Haia, Art. 2º, nº 4.

194 Cf. Princípios da Haia, Art. 2º, nº 3; Regulamento Roma I, Art. 3º, nº 2.

195 Cf. Princípios da Haia, Art. 7º.

196 V. Projeto de Lei relativa à Lei Aplicável às Obrigações Contratuais da República Democrática do Congo, Art. 2ºbis, nº 1, al. b). Na versão original lia-se: “uma convenção internacional ou regional, quando não aplicável de outra forma”.

Artigo 5.º

Escolha de lei expressa e tácita

Artigo 6.º

Lei aplicável na falta de escolha de lei

1. Se a lei aplicável não tiver sido escolhida pelas partes, a lei aplicável ao contrato é determinada do seguinte modo:

202 Cf. Regulamento Roma I, considerando nº 13.

203 Cf. Princípios da Haia, Art. 4º.

204 Cf. Princípios da Haia, Art. 4º. V. Neels e Fredericks (n 60) p. 106.

205 Cf. Princípios da Haia, Art. 4º; GEDIP / Fallon, Kinsch e Kohler (coord.) (n 61) pp. 425-426.

206 Cf. Regulamento Roma I, considerando nº 12; Conferência da Haia de Direito Internacional Privado, cit., Pontos 4.11-4.12.

Artigo 7.º

Função dos instrumentos internacionais

A lei aplicável a um contrato por força do presente instrumento pode ser interpretada, complementada e desenvolvida de acordo com os instrumentos enumerados no Artigo 4º, nº 3209.

207 Cf. Regulamento Roma I, Art. 4, nº1, al. g); Projeto de Lei da República Democrática do Congo, Art. 3º, nº 1, al. f). As soluções alternativas que podem ser consideradas incluem leis modelo (Neels e Fredericks (n 1, 2018) pp. 352-354) e a aplicação da lei do país da prestação característica do contrato, tal como estabelecido no contrato (ibidem, p. 354355).

208 Cf. Regulamento Roma I, Art. 4º, com algumas alterações substantivas e linguísticas.

209 Cf. Princípios da UNIDROIT, Preâmbulo, Par. 6; Convenção Interamericana sobre a Lei Aplicável aos Contratos

Artigo 8.º

Aceitação e validade substancial; escolha de lei em cláusulas contratuais gerais conflituantes (battle of forms)

1. A existência e a validade substancial do contrato, ou de alguma das suas disposições, são reguladas pela lei que lhes seria aplicável por força do presente instrumento se

o contrato ou a disposição fossem válidos210.

Artigo 9.º

Validade formal

Internacionais, Arts. 9º e 10º. V. Neels e Fredericks (n 1, 2018) p. 350.

210 Cf. Regulamento Roma I, Art. 10º, nº 1; Princípios da Haia, Art. 6º, nº 1, al. a).

211 Cf. Princípios da Haia, Art. 6º, nº 2; Regulamento Roma I, Art. 10º, nº 2.

212 O Art. 6º, nº 1, al. b) dos Princípios da Haia não prevê (expressamente) esta hipótese.

213 Cf. Princípios da Haia, Art. 6º, nº 1, al. b); Neels e Fredericks (n 1, 2018) p. 352 e bibliografia aí referida.

214 Cf. Princípios da Haia, Art. 5º.

Artigo 10.º

Reenvio

A aplicação da lei de um país designada pelo presente instrumento implica a aplicação das normas jurídicas em vigor nesse país, com exclusão das suas normas de direito internacional privado, salvo acordo expresso das partes em contrário219.

Artigo 11.º

Normas de aplicação imediata

1. As normas de aplicação imediata são normas jurídicas consideradas fundamentais por um país para a

215 Cf. Princípios da Haia, Art. 9º, nº 1, al. e) e nº 2. 216 Cf. Regulamento Roma I, Art. 11º. 217 Convenção Interamericana, Art. 13º. 218 Cf. Regulamento Roma I, Art. 11º, nº 5. 219 Cf. Princípios da Haia, Art. 8º; Regulamento Roma I, Art.

20º; Lei Modelo da UNCITRAL sobre Arbitragem Comercial Internacional, Art. 28º, nº1.

salvaguarda do interesse público (designadamente a sua organização política, social ou económica) ao ponto de exigir a sua aplicação em qualquer situação abrangida pelo seu âmbito de aplicação, independentemente da lei que de outro modo seria aplicável ao contrato por força do presente instrumento.

Artigo 12.º

Ordem pública do foro

A aplicação de uma disposição da lei de um país designada pelo presente instrumento só pode ser afastada se essa aplicação for manifestamente incompatível com a ordem pública do foro221.

220 Cf. Convenção de Roma sobre a Lei Aplicável às Obrigações Contratuais, Art. 7º; Regulamento Roma I, Art. 9º; Princípios da Haia, Art. 11º, nos 1, 2 e 5.

221 Cf. Regulamento Roma I, Art. 21º; Princípios da Haia, Art. 11º, nos 3 a 5.

Princípios Africanos

Artigo 13.º

Âmbito da lei aplicável ao contrato

1. A lei aplicável a um contrato por força do presente instrumento regula todos os aspetos do contrato celebrado entre as partes, nomeadamente mas não só:

(a) a interpretação222;

2.

222 Cf. Princípios da Haia, Art. 9º, nº 1, al. a); Regulamento Roma I, Art. 12º, nº 1, a).

223 Cf. Princípios da Haia, Art. 9º, nº 1, al. b).

224 Cf. Princípios da Haia, Art. 9º, nº 1, al. d); Regulamento Roma I, Art. 12º, nº 1, d).

225 Cf. Princípios da Haia, Art. 9º, nº 1, al. e); Regulamento Roma I, Art. 12º, nº 1, e).

226 Cf. Princípios da Haia, Art. 9º, nº 1, al. f); Regulamento Roma I, Art. 18º, nº 1.

227 Cf. Princípios da Haia, Art. 9º, nº 1, al. g).

228 Cf. Princípios da Haia, Art. 9º, nº 1, al. c); Regulamento Roma I, Art. 12º, nº 1, b).

229 Cf. Princípios da Haia, Art. 9º, nº 1, al. c); Regulamento Roma I, Art. 12º, nº 1, c).

230 Cf. Regulamento Roma I, Art. 12º, nº 1, c).

os danos excedam a compensação pela perda (danos exemplares ou punitivos)231.

Artigo 14.º

Compensação

A compensação é regulada pela lei aplicável ao crédito contra

o qual se invoca a compensação, salvo acordo das partes em contrário234.

Artigo 15.º

Residência habitual

1. Para efeitos do presente instrumento, a residência habitual de sociedades e outras entidades dotadas ou não de personalidade jurídica é o local onde se situa a sua administração central235.

231 V. Regulamento Roma II, considerando nº 32; cf. Convenção da Haia sobre os Acordos de Eleição do Foro, Art. 11º, nº 1; Convenção da Haia sobre o Reconhecimento e a Execução de Sentenças Estrangeiras em Matéria Civil ou Comercial, Art. 10º, nº 1.

232 Cf. Convenção da Haia sobre os Acordos de Eleição do Foro, Art. 11º, nº 2; Convenção da Haia sobre o Reconhecimento e a Execução de Sentenças Estrangeiras em Matéria Civil ou Comercial, Art. 10º, nº 2.

233 Cf. Regulamento Roma I, Art. 12º, nº 2.

234 Cf. Regulamento Roma I, Art. 17º.

235 Cf. Regulamento Roma I, Art. 19º, nº 1.

Artigo 16.º

Interpretação e aplicação uniforme

Na interpretação do presente instrumento devem ser tidos em consideração o seu caráter regional e relevância internacional e a necessidade de promover a sua aplicação uniforme239.

Artigo 17.º

Entrada em vigor e aplicação no tempo

O presente instrumento foi adotado pele União Africana em [data] e é aplicável aos contratos celebrados a partir de [data]. Em litígios relativos a contratos celebrados antes desta data,

236 Cf. Regulamento Roma I, Art. 19º, nº 1; Fredericks (n 35) p. 248. 237 Cf. Regulamento Roma I, Art. 19º, nº 2; Princípios da Haia,

Art. 12º. 238 Cf. Regulamento Roma I, Art. 19º, nº 3. 239 Cf. Convenção das Nações Unidas sobre Contratos para Venda

Internacional de Mercadorias, Art. 7º, nº 1; Convenção Interamericana, Art. 4º; Convenção da Haia sobre os Acordos de Eleição do Foro, Art. 23º; Convenção da Haia sobre o Reconhecimento e a Execução de Sentenças Estrangeiras em Matéria Civil ou Comercial, Art. 20º.

o tribunal ou tribunal arbitral pode ter em consideração as disposições do presente instrumento240.

240 Em relação à segunda frase v. Projeto de Lei da República Democrática do Congo, Art. 24º (segunda frase).

Bibliography in Respect of the African Principles

– a comparison of regional, supranational and international instruments with the proposed African Principles on the Law Applicable to International Commercial Contracts” in Murdoch Watney (ed) The Impact of COVID-19 on the Future of Law and Related Disciplines (University of Johannesburg Press, 2022) 1

Jan L Neels, Eesa A Fredericks and Solomon Okorley “UNIDROIT and Africa – UNIDROIT Principles and African Principles” in Ben Kler, Rishi Gulati and Thomas John (eds) The Elgar Companion to UNIDROIT (Edward Elgar, 2024) ch 3 (forthcoming)

Chukwuma Samuel Adesina Okoli “International commercial litigation in English-speaking Africa: a critical review” 2020 Journal of Private International Law 189

Chukwuma Samuel Adesina Okoli “The significance of a forum selection agreement as an indicator of the implied choice of law in international contracts: a global comparative perspective” 2023 Uniform Law Review/Revue de droit uniforme https://doi.org/10.1093/ulr/unad016

Chukwuma Samuel Adesina Okoli and Richard Frimpong Oppong “Some critical responses to the Draft African Principles on the Law Applicable to International Commercial Contracts” (forthcoming)

Chukwuma Samuel Adesina Okoli and Abubakri Yekini “Implied jurisdiction agreements: a global comparative perspective” (forthcoming, Journal of Private International Law)

Richard Frimpong Oppong Legal Aspects of Economic Integration in Africa (Cambridge University Press, 2011)

Richard Frimpong Oppong Private International Law in Commonwealth Africa (Cambridge University Press, 2013)

Priskila Penasthika Unravelling Choice of Law in International Commercial Contracts. Indonesia as an Illustrative Case Study

(Eleven, 2022) Marlene M Wethmar-Lemmer “The three pillars of regulating international sales contracts on the African continent” (inaugural lecture, 19 October 2023, University of South Africa) (forthcoming)