Signature and Ratification

Signature and Ratification are important stages in the process through which a State expresses its consent to be bound by an international treaty. Although they are closely connected, they have different legal functions. Signature may authenticate a treaty and, in some circumstances, itself express consent to be bound. Ratification is a formal international act through which a State confirms its consent to be bound where ratification is required or provided for.

The principal rules are contained in Articles 10–14 of the Vienna Convention on the Law of Treaties, 1969 (VCLT).

Signature

Signature is the formal act by which an authorised representative of a State signs the treaty.

Its legal effect depends upon:

• the terms of the treaty;
• the intention of the parties;
• the circumstances surrounding the treaty;
• whether further ratification is required.

Therefore, signature does not always mean that the State has become fully bound by the treaty.

Functions of Signature

Signature can perform several functions.

Authentication of the Treaty

Signature may authenticate the treaty text and establish it as the agreed and definitive text.

Expression of Consent

In certain circumstances, signature itself may express the State’s consent to be bound.

Under Article 12 VCLT, consent to be bound may be expressed by signature where:

• the treaty provides that signature has this effect;
• it is otherwise established that the negotiating States agreed that signature should have this effect; or
• the State’s intention to give signature this effect appears from the representative’s full powers or was expressed during negotiations.

Preliminary Commitment

Where signature is subject to ratification, the State is not yet fully bound by the treaty merely because it has signed it.

However, Article 18 VCLT may impose an obligation on the signatory State to refrain from acts that would defeat the object and purpose of the treaty, in the specified circumstances.

Signature Subject to Ratification

Many important treaties are signed subject to ratification.

The process may therefore be:

Negotiation

↓

Adoption

↓

Authentication

↓

Signature

↓

Domestic constitutional process

↓

Ratification

↓

Deposit of instrument

↓

Entry into force

Signature in such circumstances does not constitute the final expression of consent to be bound.

Signature and Consent to Be Bound

The relationship can be summarised as:

Signature alone

→ may constitute consent to be bound in certain cases.

Signature subject to ratification

→ does not itself constitute final consent to be bound.

Therefore, the legal effect of signature must always be determined from the applicable treaty and circumstances.

Ratification

Ratification is the formal international act by which a State confirms its consent to be bound by a treaty.

Under Article 14 VCLT, consent to be bound is expressed by ratification where:

• the treaty provides for consent to be expressed by ratification;
• it is otherwise established that the negotiating States agreed that ratification should be required;
• the representative signed the treaty subject to ratification; or
• the intention of the State to sign subject to ratification appears from the representative’s full powers or was expressed during negotiations.

Purpose of Ratification

Ratification serves several purposes.

Confirmation of Consent

It confirms that the State accepts the treaty as legally binding.

Domestic Approval

It may allow the State to complete whatever domestic constitutional procedures are required before the international act of ratification.

Formal International Commitment

Ratification provides the international act by which the State expresses its final consent to be bound where the treaty requires ratification.

Domestic Ratification and International Ratification

The term ratification is sometimes used for two different processes.

Domestic Ratification

The constitutional approval required within the State.

For example, domestic law may require:

• parliamentary approval;
• legislative consent;
• executive approval.

International Ratification

The formal international act by which the State establishes its consent to be bound.

These should not be confused.

Domestic approval → internal constitutional process

International ratification → international legal act

Instrument of Ratification

A State normally expresses international ratification through an instrument of ratification.

For a multilateral treaty, the instrument is generally deposited with the treaty’s depositary.

For a bilateral treaty, the instruments may be exchanged between the parties where the treaty provides for such a procedure.

Ratification and Entry into Force

Ratification does not necessarily mean that the treaty immediately enters into force.

For example, a treaty may provide:

Ratification by State A

Ratification by State B

↓

Required number of ratifications

↓

Entry into force

The exact requirements depend upon the treaty.

Signature vs Ratification

Signature	Ratification
Usually occurs earlier	Usually occurs after signature
May authenticate the treaty	Confirms consent to be bound where required
May itself express consent in certain cases	Formal international act of consent
May be subject to ratification	Generally follows a requirement for ratification
Article 12 VCLT	Article 14 VCLT
Does not always make State fully bound	Establishes consent where ratification is the required method

Signature and Ratification: Key Difference

The easiest distinction is:

Signature → “I have signed/agreed to the treaty text.”

Ratification → “I formally confirm my State’s consent to be bound.”

This is a simplified explanation because signature can itself constitute consent to be bound in circumstances recognised by Article 12.

Signature Ad Referendum

A representative may sign a treaty ad referendum, meaning that the signature is subject to confirmation by the competent authority of the State.

Once properly confirmed, it may have the legal effect specified under the applicable rules.

Initialling

Initialling involves placing the initials of a representative on the treaty text.

It can be used as a method of authentication under Article 10 VCLT.

Initialling does not automatically amount to ratification.

Ratification and Reservations

A State may formulate a reservation when ratifying a treaty, where reservations are permitted.

Under Article 2(1)(d) VCLT, a reservation is a unilateral statement intended to exclude or modify the legal effect of certain treaty provisions in their application to the reserving State.

Reservations are principally governed by Articles 19–23 VCLT.

Ratification and Accession

Ratification and accession are different methods of expressing consent.

Ratification

Generally follows signature where the treaty was signed subject to ratification.

Accession

Allows a State that did not sign the treaty during the period when it was open for signature to become a party, where the treaty permits it.

Therefore:

Signed State → Ratification

Non-signatory State → Accession

Ratification and Acceptance/Approval

Acceptance and approval are alternative methods of expressing consent to be bound.

Under Article 14 VCLT, they have effects similar to ratification where the relevant treaty or circumstances provide for them.

Obligation After Signature

An important consequence of signature is found in Article 18 VCLT.

A State that has signed a treaty subject to ratification, acceptance or approval must refrain from acts that would defeat the object and purpose of the treaty until it has made its intention clear not to become a party, subject to the circumstances specified by the Convention.

This does not mean that the State is already bound by all substantive treaty obligations.

Can a State Refuse to Ratify?

Generally, where signature is subject to ratification, signature does not itself constitute final consent to be bound.

A State may therefore decide not to ratify.

However, while it remains a signatory, Article 18 obligations may be relevant until the State makes clear its intention not to become a party.

Ratification and State Consent

The law of treaties is fundamentally based on State consent.

A State does not ordinarily become bound by a treaty simply because another State has accepted it.

The State must express consent through an internationally recognised method.

Signature and Ratification in Multilateral Treaties

In multilateral treaties, the process may involve:

Signature

↓

Ratification

↓

Deposit of instrument

↓

Other States ratify

↓

Required number reached

↓

Treaty enters into force

This is common for major international conventions.

Important VCLT Provisions

Article	Subject
Article 7	Representatives and full powers
Article 8	Subsequent confirmation of unauthorised acts
Article 10	Authentication
Article 11	Methods of expressing consent
Article 12	Consent by signature
Article 13	Consent by exchange of instruments
Article 14	Consent by ratification, acceptance or approval
Article 15	Consent by accession
Article 16	Exchange or deposit of instruments
Article 17	Consent to part of treaty
Article 18	Obligation not to defeat object and purpose
Articles 19–23	Reservations
Article 24	Entry into force

Important Case

Qatar v. Bahrain, 1994

In Maritime Delimitation and Territorial Questions between Qatar and Bahrain, the ICJ considered written instruments exchanged between the parties and whether they created binding international obligations.

The case demonstrates the importance of examining the intention and substance of an international instrument when determining whether binding obligations have been created.

Important Distinction for Examinations

Signature

Authentication + possible consent

Ratification

Formal consent to be bound where ratification is required

Accession

Consent by a State that did not sign the treaty during the signature period

Entry into Force

Treaty becomes legally operative according to its terms

These are four different concepts.

Treaty-Making Sequence

Negotiation

↓

Adoption

↓

Authentication

↓

Signature

↓

Ratification / Acceptance / Approval

OR

Accession

↓

Deposit / Exchange of Instrument

↓

Entry into Force

↓

Performance

Quick Revision

• Signature is an important stage in treaty-making.
• Signature may authenticate the treaty.
• Signature may itself constitute consent to be bound in certain circumstances.
• Article 12 VCLT → consent by signature.
• Signature subject to ratification does not itself constitute final consent to be bound.
• Ratification → formal international act confirming consent to be bound where required.
• Article 14 VCLT → ratification, acceptance and approval.
• Ratification may follow domestic constitutional approval.
• Domestic approval and international ratification are distinct.
• An instrument of ratification is deposited or exchanged according to the treaty.
• Ratification does not necessarily mean immediate entry into force.
• Article 16 → exchange or deposit of instruments.
• Article 18 → signatory State must not defeat the object and purpose of the treaty in specified circumstances.
• Articles 19–23 → reservations.
• Article 15 → accession.
• Signature ≠ always final consent.
• Ratification ≠ automatically entry into force.
• The simplest distinction is:

Signature generally marks acceptance/authentication of the treaty text, while ratification is the formal international act by which a State confirms its consent to be bound where ratification is required.

Conclusion

Signature and Ratification are closely related but legally distinct stages of the treaty-making process. Signature normally occurs after negotiation, adoption and authentication of the treaty text. Under Article 12 of the Vienna Convention on the Law of Treaties, 1969, signature may itself constitute consent to be bound where the treaty or the circumstances so provide. However, where a treaty is signed subject to ratification, signature does not constitute the State’s final consent to be bound. Ratification, governed principally by Article 14, is the formal international act through which a State confirms its consent to be bound where ratification is the required method. Domestic constitutional approval and international ratification should also be distinguished: domestic approval is an internal process, while international ratification is the act recognised under International Law. Following ratification, the relevant instrument is generally deposited or exchanged, and the treaty enters into force according to its terms. A State that has signed a treaty subject to ratification may nevertheless be required under Article 18 VCLT to refrain from acts that would defeat the treaty’s object and purpose while it remains a signatory, in the circumstances specified by the Convention. Signature, ratification, accession and entry into force therefore represent different stages of treaty law. The essential distinction is that signature may authenticate the treaty and may sometimes constitute consent to be bound, whereas ratification is the formal confirmation of consent where the treaty requires or permits that method.