TREATIES AND OTHER INTERNATIONAL ACTS SERIES 13175

TAXATION

Information Exchange

Agreement Between the
UNITED STATES OF AMERICA
and the UNITED KINGDOM OF
GREAT BRITAIN AND
NORTHERN IRELAND

Signed at Washington November 27, 2001

NOTE BY THE DEPARTMENT OF STATE

Pursuant to Public Law 89—497, approved July 8, 1966
(80 Stat. 271; 1 U.S.C. 113)—

“. . .the Treaties and Other International Acts Series issued
under the authority of the Secretary of State shall be competent
evidence . . . of the treaties, international agreements other than
treaties, and proclamations by the President of such treaties and
international agreements other than treaties, as the case may be,
therein contained, in all the courts of law and equity and of maritime
jurisdiction, and in all the tribunals and public offices of the
United States, and of the several States, without any further proof
or authentication thereof.”

UNITED KINGDOM OF GREAT BRITAIN
AND NORTHERN IRELAND

Taxation: Information Exchange

Agreement signed at Washington November 27, 2001;
Entered into force March 10, 2006.

AGREEMENT BETWEEN THE GOVERNMENT OF THE UNITED STATES OF
AMERICA AND THE GOVERNMENT OF THE UNITED KINGDOM OF GREAT
BRITAIN AND NORTHERN IRELAND, INCLUDING THE GOVERNMENT OF THE
CAYMAN ISLANDS, FOR THE EXCHANGE OF INFORMATION RELATING TO
TAXES
The Government of the United States of America and the Government of the United Kingdom
of Great Britain and Northern Ireland, including the Government of the Cayman Islands, ("the
parties"), desiring to facilitate the exchange of information relating to taxes, have agreed as
follows:
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Article 1
Scope of the Agreement
The competent authorities of the parties shall provide assistance through exchange of
information relating to the administration and enforcement of the domestic laws of the parties
concerning the taxes and the tax matters covered by this Agreement, including information that
may be relevant to the determination, assessment, verification, enforcement or collection of tax
claims with respect to persons subject to such taxes, or to the investigation or prosecution of
criminal tax evasion in relation to such persons. The territorial scope of this Agreement, in
respect of the United Kingdom, is the territory of the Cayman Islands.
Article 2
Jurisdiction
To enable the scope of this Agreement to be implemented, information shall be provided in
accordance with this Agreement by the competent authority of the requested party:
(a) without regard to whether the person to whom the information relates is, or
whether the information is held by, a resident or national of a party; and
(b) provided that the information is present within the territory, or in the
possession or control of a person subject to the jurisdiction, of the requested
party.
Article 3
Taxes Covered
The taxes covered by this Agreement are federal income taxes; provided that the types of tax
covered may be extended by agreement between the parties in the form of an exchange of
letters.
Article 4
Definitions
In this Agreement —
"competent authority" means, for the United States of America, the Secretary of the Treasury
or his delegate,
and for the Cayman Islands, the Cayman Tax Co-operation Authority or a person or authority
designated by it;
"person" means a natural person, a company or any other body or group of persons;
"tax" means any tax covered by this Agreement;
"requested party" means the party to this Agreement which is requested to provide or has
provided information in response to a request;
"requesting party" means the party to this Agreement submitting a request for or having
received information from the requested party;
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"information gathering measures" means judicial, regulatory or administrative procedures
enabling a requested party to obtain and provide the information requested;
"information" means any fact, statement, document or record in whatever form;
"items subject to legal privilege" means
(a) communications between a professional legal adviser and his client or any
person representing his client made in connection with the giving of legal advice
to the client;
(b) communications between a professional legal adviser and his client or any
person representing his client or between such an adviser or his client or any
such representative and any other person made in connection with or in
contemplation of legal proceedings and for the purposes of such proceedings;
and
(c) items enclosed with or referred to in such communications and made —
(i) in connection with the giving of legal advice; or
(ii) in connection with or in contemplation of legal proceedings and for
the purposes of such proceedings,
when they are in the possession of a person who is entitled to possession of them.
Items held with the intention of furthering a criminal purpose are not subject to legal privilege.
"criminal tax evasion" means wilfully, with dishonest intent to defraud the public revenue,
evading or attempting to evade any tax liability where an affirmative act constituting an evasion
or attempted evasion has occurred. The tax liability must be of a significant or substantial
amount, either as an absolute amount or in relation to an annual tax liability, and the conduct
involved must constitute a systematic effort or pattern of activity designed or tending to conceal
pertinent facts from or provide inaccurate facts to the tax authorities of either party.
Article 5
Exchange of Information Upon Request
1. The competent authority of the requested party shall provide upon request by the
requesting party information for the purposes referred to in Article 1. Such information
shall be exchanged without regard to whether the conduct being investigated would
constitute a crime under the laws of the requested party if it had occurred in the territory
of the requested party.
2. If the information in the possession of the competent authority of the requested party is
not sufficient to enable it to comply with the request for information, the requested
party shall take all relevant information gathering measures to provide the requesting
party with the information requested, notwithstanding that the requested party may not,
at that time, need such information for its own tax purposes.
3. If specifically requested by the competent authority of the requesting party, the
competent authority of the requested party shall provide information under this Article,
to the extent allowable under its domestic laws, in the form of depositions of witnesses
and authenticated copies of original records.
4. Each party shall ensure that its competent authority, for the purposes of this Agreement,
has the authority to obtain and provide upon request
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(a) information held by banks, other financial institutions, and any person, including
nominees and trustees, acting in an agency or fiduciary capacity;
(b) information regarding the beneficial ownership of companies, partnerships and
other persons, including in the case of collective investment funds, information
on shares, units and other interests; and in the case of trusts, information on
settlors, trustees and beneficiaries.
5. The competent authority of the requesting party shall provide the following information
to the competent authority of the requested party when making a request for information
under this Agreement in order to demonstrate the relevance of the information sought to
the request:
(a) the identity of the taxpayer under examination or investigation;
(b) the nature of the information requested;
(c) the tax purpose for which the information is sought;
(d) reasonable grounds for believing that the information requested is present in the
territory of the requested party or is in the possession or control of a person
subject to the jurisdiction of the requested party;
(e) to the extent known, the name and address of any person believed to be in
possession or control of the information requested;
(f) a declaration that the request conforms to the law and administrative practice of
the requesting party and would be obtainable by the requesting party under its
laws in similar circumstances, both for its own tax purposes and in response to a
valid request from the requested party under this Agreement.
6. The competent authority of the requested party shall forward the requested information
as promptly as possible to the competent authority of the requesting party. To ensure a
prompt response, the competent authority of the requested party shall:
(a) confirm receipt of a request in writing to the competent authority of the
requesting party, and shall notify the competent authority of the requesting party
of any deficiencies in the request within 60 days of receipt of the request;
(b) if the competent authority of the requested party has been unable to obtain and
provide the information requested within a reasonable period relative to the
nature of the request, or if obstacles are encountered in furnishing the
information, or if the competent authority of the requested party refuses to
provide the information, it shall immediately inform the competent authority of
the requesting party to explain the reasons for its inability or the obstacles or its
refusal.
Article 6
Tax Examinations (or Investigations) Abroad
The requested party may, to the extent permitted under its domestic laws, allow
representatives of the competent authority of the requesting party to enter the territory
of the requested party in connection with a request to interview persons and examine
records with the prior written consent of the persons concerned. The competent
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authority of the requesting party shall notify the competent authority of the requested
party of the time and place of the meeting with the persons concerned.
2. At the request of the competent authority of the requesting party, the competent
authority of the requested party may permit representatives of the competent authority
of the requesting party to attend a tax examination in the territory of the requested party.
3. If the request referred to in paragraph 2 is granted, the competent authority of the
requested party conducting the examination shall, as soon as possible, notify the
competent authority of the requesting party of the time and place of the examination,
the authority or person authorised to carry out the examination and the procedures and
conditions required by the requested party for the conduct of the examination. All
decisions regarding the conduct of the examination shall be made by the requested party
conducting the examination.
Article 7
Possibility of Declining a Request
1. The competent authority of the requested party may decline to assist
(a) where the request is not made in conformity with this Agreement;
(b) where the requesting party has not pursued all means available in its own
territory, except where recourse to such means would give rise to
disproportionate difficulty; or
(c) where the disclosure of the information requested would be contrary to the
public policy of the requested party.
2. This Agreement shall not impose upon a party any obligation to provide items subject to
legal privilege, nor any trade, business, industrial, commercial or professional secret or
trade process. Information described in Article 5(4) shall not by reason of that fact
alone constitute such a secret or process.
3. A request for information shall not be refused on the ground that the tax liability giving
rise to the request is disputed by the taxpayer.
4. The requested party shall not be required to obtain and provide information which the
requesting party would be unable to obtain in similar circumstances under its own laws
for the purpose of the enforcement of its own tax laws or in response to a valid request
from the requested party under this Agreement.
Article 8
Confidentiality
1. All information provided and received by the competent authorities of the parties shall be
kept confidential.
2. Information provided to the competent authority of a requesting party may not be used for
any purpose other than for the purposes stated in Article 1, without the prior consent of the
requested party.
3. Information provided shall be disclosed only to persons or authorities (including judicial,
administrative, and Congressional oversight authorities) officially concerned with the
purposes specified in Article 1, and used by such persons or authorities only for such
purposes or for oversight purposes, including the determination of any appeal. For these
purposes, information may be disclosed in public court proceedings or in judicial
proceedings.
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4. Information provided to a requesting party under this Agreement may not be disclosed to
any third party.
Article 9
Safeguards
Nothing in this Agreement shall affect the rights and safeguards secured to persons by the laws
or administrative practice of the requested party, provided and to the extent that these are not so
burdensome or time-consuming as to act as impediments to access to the information.
Article 10
Administration Costs or Difficulties
1. The requesting party shall reimburse the requested party for direct out of pocket costs of
processing each request (including direct out of pocket costs of litigation directly relating to
such request), as agreed by the parties.
2. In the event that compliance with the obligations under this Agreement occasions undue
difficulty for either party, either as a result of the number or complexity of requests, the
respective competent authorities shall consult with a view to resolving the difficulty under
Article 11.
Article 11
Mutual Agreement Procedure
Where difficulties or doubts arise between the parties regarding the implementation or
interpretation of this Agreement, the respective competent authorities shall use their best efforts
to resolve the matter by mutual agreement.
Article 12
Entry into Force
1. This Agreement shall enter into force when each party has notified the other of the
completion of its necessary internal procedures for entry into force. Upon entry into force,
it shall have effect for criminal tax evasion beginning on 1 January 2004, and with respect
to all other matters covered in Article 1 beginning on 1 January 2006.
2. Upon entry into force, the provisions of the Agreement shall have effect with respect to
criminal tax evasion for taxable periods commencing from 2004, and shall have effect with
respect to all other matters for taxable periods commencing from 2006.
Article 13
Termination
1. This Agreement shall remain in force until terminated by either party.
2. Either party may terminate this Agreement by giving notice of termination in writing. Such
termination shall become effective on the first day of the month following the expiration of
a period of three months after the date of receipt of notice of termination by the other party.
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3. A party which terminates this Agreement shall remain bound by the provisions of Article 8
with respect to any information obtained under this Agreement.
IN WITNESS WHEREOF, the undersigned, being duly authorised in that behalf by the
respective parties, have signed this Agreement.
Done at Washington, in duplicate, this twenty-seventh day of November 2001.
For the Government of For the Government of
the United States of the United Kingdom of
America: Great Britain and Northern
Ireland:

For the Governm ent of
the Cayman Islands:

TREATIES AND OTHER INTERNATIONAL ACTS SERIES 13174

COMPUTER CRIME

Convention Between the
UNITED STATES OF AMERICA
and OTHER GOVERNMENTS

Done at Budapest November 23, 2001

NOTE BY THE DEPARTMENT OF STATE

Pursuant to Public Law 89—497, approved July 8, 1966
(80 Stat. 271; 1 U.S.C. 113)—

“. . .the Treaties and Other International Acts Series issued
under the authority of the Secretary of State shall be competent
evidence . . . of the treaties, international agreements other than
treaties, and proclamations by the President of such treaties and
international agreements other than treaties, as the case may be,
therein contained, in all the courts of law and equity and of maritime
jurisdiction, and in all the tribunals and public offices of the
United States, and of the several States, without any further proof
or authentication thereof.”

MULTILATERAL

Computer Crime

Convention done at Budapest November 23, 2001;
Transmitted by the President of the United States of America
to the Senate November 17, 2003 (Treaty Doc. 108-11,
108th Congress, 1st Session);
Reported favorably by the Senate Committee on Foreign Relations
July 26, 2005 (Senate Executive Report No. 109-6,
109th Congress, 1st Session);
Advice and consent to ratification by the Senate
August 3, 2006;
Ratified by the President September 22, 2006;
Instrument of Ratification deposited September 29, 2006;
Entered into force January 1, 2007.

CONVENTION
ON CYBERCRIME
Preamble
The member States of the Council of Europe and the other States signatory hereto,
Considering that the aim of the Council of Europe is to achieve a greater unity between its
members ;
Recognising the value of fostering co-operation with the other States parties to this Convention ;
Convinced of the need to pursue, as a matter of priority, a common criminal policy aimed at
the protection of society against cybercrime, inter alia, by adopting appropriate legislation and
fostering international co-operation ;
Conscious of the profound changes brought about by the digitalisation, convergence and
continuing globalisation of computer networks ;
Concerned by the risk that computer networks and electronic information may also be used for
committing criminal offences and that evidence relating to such offences may be stored and
transferred by these networks ;
Recognising the need for co-operation between States and private industry in combating
cybercrime and the need to protect legitimate interests in the use and development of infor-
mation technologies;
Believing that an effective fight against cybercrime requires increased, rapid and well-functio-
ning international co-operation in criminal matters ;
Convinced that the present Convention is necessary to deter action directed against the confi-
dentiality, integrity and availability of computer systems, networks and computer data as well
as the misuse of such systems, networks and data by providing for the criminalisation of such
conduct, as described in this Convention, and the adoption of powers sufficient for effectively
combating such criminal offences, by facilitating their detection, investigation and prosecution
at both the domestic and international levels and by providing arrangements for fast and
reliable international co-operation ;
Mindful of the need to ensure a proper balance between the interests of law enforcement and
respect for fundamental human rights as enshrined in the 1950 Council of Europe Convention
for the Protection of Human Rights and Fundamental Freedoms, the 1966 United Nations
International Covenant on Civil and Political Rights and other applicable international human
rights treaties, which reaffirm the right of everyone to hold opinions without interference, as
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well as the right to freedom of expression, including the freedom to seek, receive, and impart
information and ideas of all kinds, regardless of frontiers, and the rights concerning the respect
for privacy ;
Mindful also of the right to the protection of personal data, as conferred, for example, by the
1981 Council of Europe Convention for the Protection of Individuals with regard to Automatic
Processing of Personal Data;
Considering the 1989 United Nations Convention on the Rights of the Child and the 1999
International Labour Organization Worst Forms of Child Labour Convention ;
Taking into account the existing Council of Europe conventions on co-operation in the penal
field, as well as similar treaties which exist between Council of Europe member States and
other States, and stressing that the present Convention is intended to supplement those
conventions in order to make criminal investigations and proceedings concerning criminal
offences related to computer systems and data more effective and to enable the collection of
evidence in electronic form of a criminal offence ;
Welcoming recent developments which further advance international understanding and co-
operation in combating cybercrime, including action taken by the United Nations, the OECD,
the European Union and the G8;
Recalling Committee of Ministers Recommendations No. R (85) 10 concerning the practical
application of the European Convention on Mutual Assistance in Criminal Matters in respect
of letters rogatory for the interception of telecommunications, No. R (88) 2 on piracy in the
field of copyright and neighbouring rights, No. R (87) 15 regulating the use of personal data
in the police sector, No. R (95) 4 on the protection of personal data in the area of telecommu-
nication services, with particular reference to telephone services, as well as No. R (89) 9 on
computer-related crime providing guidelines for national legislatures concerning the definition
of certain computer crimes and No. R (95) 13 concerning problems of criminal procedural law
connected with information technology ;
Having regard to Resolution No. 1 adopted by the European Ministers of Justice at their 21st
Conference (Prague, 10 and 11 June 1997), which recommended that the Committee of
Ministers support the work on cybercrime carried out by the European Committee on Crime
Problems (CDPC) in order to bring domestic criminal law provisions closer to each other and
enable the use of effective means of investigation into such offences, as well as to Resolution
No. 3 adopted at the 23rd Conference of the European Ministers of Justice (London, 8 and 9
June 2000), which encouraged the negotiating parties to pursue their efforts with a view to
finding appropriate solutions to enable the largest possible number of States to become parties
to the Convention and acknowledged the need for a swift and efficient system of internatio-
nal co-operation, which duly takes into account the specific requirements of the fight against
cybercrime ;
Having also regard to the Action Plan adopted by the Heads of State and Government of the
Council of Europe on the occasion of their Second Summit (Strasbourg, 10 and 11 October
1997), to seek common responses to the development of the new information technologies
based on the standards and values of the Council of Europe;
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Have agreed as follows :
Chapter I — Use of terms
Article 1 — Definitions
For the purposes of this Convention :
a "computer system" means any device or a group of interconnected or related devices, one
or more of which, pursuant to a program, performs automatic processing of data ;
b "computer data" means any representation of facts, information or concepts in a form sui-
table for processing in a computer system, including a program suitable to cause a com-
puter system to perform a function ;
c "service provider" means :
i any public or private entity that provides to users of its service the ability to communicate
by means of a computer system, and
ii any other entity that processes or stores computer data on behalf of such communication
service or users of such service ;
d "traffic data" means any computer data relating to a communication by means of a computer
system, generated by a computer system that formed a part in the chain of communication,
indicating the communication's origin, destination, route, time, date, size, duration, or
type of underlying service.
Chapter II — Measures to be taken at the national level
Section 1 — Substantive criminal law
Title 1 — Offences against the confidentiality, integrity
and availability of computer data and systems
Article 2 — Illegal access
Each Party shall adopt such legislative and other measures as may be necessary to establish as
criminal offences under its domestic law, when committed intentionally, the access to the
whole or any part of a computer system without right. A Party may require that the offence
be committed by infringing security measures, with the intent of obtaining computer data or
other dishonest intent, or in relation to a computer system that is connected to another com-
puter system.
Article 3 — Illegal interception
Each Party shall adopt such legislative and other measures as may be necessary to establish as
criminal offences under its domestic law, when committed intentionally, the interception
without right, made by technical means, of non-public transmissions of computer data to,
from or within a computer system, including electromagnetic emissions from a computer system
carrying such computer data. A Party may require that the offence be committed with disho-
nest intent, or in relation to a computer system that is connected to another computer system.
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Article 4 — Data interference
1 Each Party shall adopt such legislative and other measures as may be necessary to establish as
criminal offences under its domestic law, when committed intentionally, the damaging, dele-
tion, deterioration, alteration or suppression of computer data without right.
2 A Party may reserve the right to require that the conduct described in paragraph 1 result in
serious harm.
Article 5 — System interference
Each Party shall adopt such legislative and other measures as may be necessary to establish as
criminal offences under its domestic law, when committed intentionally, the serious hindering
without right of the functioning of a computer system by inputting, transmitting, damaging,
deleting, deteriorating, altering or suppressing computer data.
Article 6 — Misuse of devices
1 Each Party shall adopt such legislative and other measures as may be necessary to establish as
criminal offences under its domestic law, when committed intentionally and without right:
a the production, sale, procurement for use, import, distribution or otherwise making avai-
lable of:
i a device, including a computer program, designed or adapted primarily for the pur-
pose of committing any of the offences established in accordance with the above
Articles 2 through 5 ;
ii a computer password, access code, or similar data by which the whole or any part of
a computer system is capable of being accessed,
with intent that it be used for the purpose of committing any of the offences established
in Articles 2 through 5; and
b the possession of an item referred to in paragraphs a.i or ii above, with intent that it be
used for the purpose of committing any of the offences established in Articles 2 through 5.
A Party may require by law that a number of such items be possessed before criminal
liability attaches.
2 This article shall not be interpreted as imposing criminal liability where the production, sale,
procurement for use, import, distribution or otherwise making available or possession referred
to in paragraph 1 of this article is not for the purpose of committing an offence established in
accordance with Articles 2 through 5 of this Convention, such as for the authorised testing or
protection of a computer system.
3 Each Party may reserve the right not to apply paragraph 1 of this article, provided that the
reservation does not concern the sale, distribution or otherwise making available of the items
referred to in paragraph 1 a.ii of this article.
Title 2 — Computer-related offences
Article 7 — Computer-related forgery
Each Party shall adopt such legislative and other measures as may be necessary to establish as
criminal offences under its domestic law, when committed intentionally and without right, the
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input, alteration, deletion, or suppression of computer data, resulting in inauthentic data with
the intent that it be considered or acted upon for legal purposes as if it were authentic, regard-
less whether or not the data is directly readable and intelligible. A Party may require an intent
to defraud, or similar dishonest intent, before criminal liability attaches.
Article 8 — Computer-related fraud
Each Party shall adopt such legislative and other measures as may be necessary to establish as
criminal offences under its domestic law, when committed intentionally and without right, the
causing of a loss of property to another person by :
a any input, alteration, deletion or suppression of computer data ;
b any interference with the functioning of a computer system,
with fraudulent or dishonest intent of procuring, without right, an economic benefit for
oneself or for another person.
Title 3 — Content-related offences
Article 9 — Offences related to child pornography
1 Each Party shall adopt such legislative and other measures as may be necessary to establish as
criminal offences under its domestic law, when committed intentionally and without right, the
following conduct:
a producing child pornography for the purpose of its distribution through a computer system ;
b offering or making available child pornography through a computer system ;
c distributing or transmitting child pornography through a computer system ;
d procuring child pornography through a computer system for oneself or for another person ;
e possessing child pornography in a computer system or on a computer-data storage medium.
2 For the purpose of paragraph 1 above, the term "child pornography" shall include pornographic
material that visually depicts:
a a minor engaged in sexually explicit conduct;
b a person appearing to be a minor engaged in sexually explicit conduct ;
c realistic images representing a minor engaged in sexually explicit conduct.
3 For the purpose of paragraph 2 above, the term "minor" shall include all persons under 18 years
of age. A Party may, however, require a lower age-limit, which shall be not less than 16 years.
4 Each Party may reserve the right not to apply, in whole or in part, paragraphs 1, sub-para-
graphs d. and e, and 2, sub-paragraphs b. and c.
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Title 4 — Offences related to infringements of copyright and related rights
Article 10 — Offences related to infringements of copyright and related rights
1 Each Party shall adopt such legislative and other measures as may be necessary to establish as
criminal offences under its domestic law the infringement of copyright, as defined under the
law of that Party, pursuant to the obligations it has undertaken under the Paris Act of 24 July
1971 revising the Bern Convention for the Protection of Literary and Artistic Works, the
Agreement on Trade-Related Aspects of Intellectual Property Rights and the WIPO Copyright
Treaty, with the exception of any moral rights conferred by such conventions, where such acts
are committed wilfully, on a commercial scale and by means of a computer system.
2 Each Party shall adopt such legislative and other measures as may be necessary to establish as
criminal offences under its domestic law the infringement of related rights, as defined under
the law of that Party, pursuant to the obligations it has undertaken under the International
Convention for the Protection of Performers, Producers of Phonograms and Broadcasting
Organisations (Rome Convention), the Agreement on Trade-Related Aspects of Intellectual
Property Rights and the WIPO Performances and Phonograms Treaty, with the exception of
any moral rights conferred by such conventions, where such acts are committed wilfully, on a
commercial scale and by means of a computer system.
3 A Party may reserve the right not to impose criminal liability under paragraphs 1 and 2 of this
article in limited circumstances, provided that other effective remedies are available and that
such reservation does not derogate from the Party's international obligations set forth in the
international instruments referred to in paragraphs 1 and 2 of this article.
Title 5 — Ancillary liability and sanctions
Article 11 —Attempt and aiding or abetting
1 Each Party shall adopt such legislative and other measures as may be necessary to establish as
criminal offences under its domestic law, when committed intentionally, aiding or abetting the
commission of any of the offences established in accordance with Articles 2 through 10 of the
present Convention with intent that such offence be committed.
2 Each Party shall adopt such legislative and other measures as may be necessary to establish as
criminal offences under its domestic law, when committed intentionally, an attempt to commit
any of the offences established in accordance with Articles 3 through 5, 7, 8, and 9.1.a and c.
of this Convention.
3 Each Party may reserve the right not to apply, in whole or in part, paragraph 2 of this article.
Article 12 — Corporate liability
1 Each Party shall adopt such legislative and other measures as may be necessary to ensure that
legal persons can be held liable for a criminal offence established in accordance with this
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Convention, committed for their benefit by any natural person, acting either individually or as
part of an organ of the legal person, who has a leading position within it, based on :
a a power of representation of the legal person ;
b an authority to take decisions on behalf of the legal person ;
c an authority to exercise control within the legal person.
2 In addition to the cases already provided for in paragraph 1 of this article, each Party shall take
the measures necessary to ensure that a legal person can be held liable where the lack of
supervision or control by a natural person referred to in paragraph 1 has made possible the
commission of a criminal offence established in accordance with this Convention for the benefit
of that legal person by a natural person acting under its authority.
3 Subject to the legal principles of the Party, the liability of a legal person may be criminal, civil
or administrative.
4 Such liability shall be without prejudice to the criminal liability of the natural persons who have
committed the offence.
Article 13 — Sanctions and measures
1 Each Party shall adopt such legislative and other measures as may be necessary to ensure that
the criminal offences established in accordance with Articles 2 through 11 are punishable by
effective, proportionate and dissuasive sanctions, which include deprivation of liberty.
2 Each Party shall ensure that legal persons held liable in accordance with Article 12 shall be subject
to effective, proportionate and dissuasive criminal or non-criminal sanctions or measures,
including monetary sanctions.
Section 2 — Procedural law
Title 1 — Common provisions
Article 14 — Scope of procedural provisions
1 Each Party shall adopt such legislative and other measures as may be necessary to establish the
powers and procedures provided for in this section for the purpose of specific criminal investi-
gations or proceedings.
2 Except as specifically provided otherwise in Article 21, each Party shall apply the powers and
procedures referred to in paragraph 1 of this article to :
a the criminal offences established in accordance with Articles 2 through 11 of this Convention ;
b other criminal offences committed by means of a computer system ; and
c the collection of evidence in electronic form of a criminal offence.
3 a Each Party may reserve the right to apply the measures referred to in Article 20 only to
offences or categories of offences specified in the reservation, provided that the range of
such offences or categories of offences is not more restricted than the range of offences
to which it applies the measures referred to in Article 21. Each Party shall consider restric-
ting such a reservation to enable the broadest application of the measure referred to in
Article 20.
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b Where a Party, due to limitations in its legislation in force at the time of the adoption of
the present Convention, is not able to apply the measures referred to in Articles 20 and 21
to communications being transmitted within a computer system of a service provider,
which system :
i is being operated for the benefit of a closed group of users, and
ii does not employ public communications networks and is not connected with another
computer system, whether public or private,
that Party may reserve the right not to apply these measures to such communications.
Each Party shall consider restricting such a reservation to enable the broadest application
of the measures referred to in Articles 20 and 21.
Article 15 — Conditions and safeguards
1 Each Party shall ensure that the establishment, implementation and application of the powers
and procedures provided for in this Section are subject to conditions and safeguards provided
for under its domestic law, which shall provide for the adequate protection of human rights
and liberties, including rights arising pursuant to obligations it has undertaken under the 1950
Council of Europe Convention for the Protection of Human Rights and Fundamental Freedoms,
the 1966 United Nations International Covenant on Civil and Political Rights, and other applicable
international human rights instruments, and which shall incorporate the principle of propor-
tionality.
2 Such conditions and safeguards shall, as appropriate in view of the nature of the procedure or
power concerned, inter alia, include judicial or other independent supervision, grounds justifying
application, and limitation of the scope and the duration of such power or procedure.
3 To the extent that it is consistent with the public interest, in particular the sound administration
of justice, each Party shall consider the impact of the powers and procedures in this section
upon the rights, responsibilities and legitimate interests of third parties.
Title 2 — Expedited preservation of stored computer data
Article 16 — Expedited preservation of stored computer data
1 Each Party shall adopt such legislative and other measures as may be necessary to enable its
competent authorities to order or similarly obtain the expeditious preservation of specified
computer data, including traffic data, that has been stored by means of a computer system, in
particular where there are grounds to believe that the computer data is particularly vulnerable
to loss or modification.
2 Where a Party gives effect to paragraph 1 above by means of an order to a person to preserve
specified stored computer data in the person's possession or control, the Party shall adopt such
legislative and other measures as may be necessary to oblige that person to preserve and
maintain the integrity of that computer data for a period of time as long as necessary, up to a
maximum of ninety days, to enable the competent authorities to seek its disclosure. A Party
may provide for such an order to be subsequently renewed.
9
3 Each Party shall adopt such legislative and other measures as may be necessary to oblige the
custodian or other person who is to preserve the computer data to keep confidential the
undertaking of such procedures for the period of time provided for by its domestic law.
4 The powers and procedures referred to in this article shall be subject to Articles 14 and 15.
Article 17 — Expedited preservation and partial disclosure of traffic data
1 Each Party shall adopt, in respect of traffic data that is to be preserved under Article 16, such
legislative and other measures as may be necessary to:
a ensure that such expeditious preservation of traffic data is available regardless of whether one
or more service providers were involved in the transmission of that communication ; and
b ensure the expeditious disclosure to the Party's competent authority, or a person designa-
ted by that authority, of a sufficient amount of traffic data to enable the Party to identify
the service providers and the path through which the communication was transmitted.
2 The powers and procedures referred to in this article shall be subject to Articles 14 and 15.
Title 3 — Production order
Article 18 — Production order
1 Each Party shall adopt such legislative and other measures as may be necessary to empower its
competent authorities to order:
a a person in its territory to submit specified computer data in that person's possession or
control, which is stored in a computer system or a computer-data storage medium ; and
b a service provider offering its services in the territory of the Party to submit subscriber
information relating to such services in that service provider's possession or control.
2 The powers and procedures referred to in this article shall be subject to Articles 14 and 15.
3 For the purpose of this article, the term "subscriber information" means any information
contained in the form of computer data or any other form that is held by a service provider,
relating to subscribers of its services other than traffic or content data and by which can be
established :
a the type of communication service used, the technical provisions taken thereto and the
period of service ;
b the subscriber's identity, postal or geographic address, telephone and other access number,
billing and payment information, available on the basis of the service agreement or arran-
gement;
c any other information on the site of the installation of communication equipment, available
on the basis of the service agreement or arrangement.
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Title 4 — Search and seizure of stored computer data
Article 19 — Search and seizure of stored computer data
Each Party shall adopt such legislative and other measures as may be necessary to empower its
competent authorities to search or similarly access:
a a computer system or part of it and computer data stored therein ; and
b a computer-data storage medium in which computer data may be stored
in its territory.
2 Each Party shall adopt such legislative and other measures as may be necessary to ensure that
where its authorities search or similarly access a specific computer system or part of it, pursuant
to paragraph 1.a, and have grounds to believe that the data sought is stored in another com-
puter system or part of it in its territory, and such data is lawfully accessible from or available
to the initial system, the authorities shall be able to expeditiously extend the search or similar
accessing to the other system.
3 Each Party shall adopt such legislative and other measures as may be necessary to empower its
competent authorities to seize or similarly secure computer data accessed according to para-
graphs 1 or 2. These measures shall include the power to :
a seize or similarly secure a computer system or part of it or a computer-data storage
medium ;
b make and retain a copy of those computer data;
c maintain the integrity of the relevant stored computer data ;
d render inaccessible or remove those computer data in the accessed computer system.
4 Each Party shall adopt such legislative and other measures as may be necessary to empower its
competent authorities to order any person who has knowledge about the functioning of the
computer system or measures applied to protect the computer data therein to provide, as is
reasonable, the necessary information, to enable the undertaking of the measures referred to
in paragraphs 1 and 2.
5 The powers and procedures referred to in this article shall be subject to Articles 14 and 15.
Title 5 — Real-time collection of computer data
Article 20 — Real-time collection of traffic data
1 Each Party shall adopt such legislative and other measures as may be necessary to empower its
competent authorities to :
a collect or record through the application of technical means on the territory of that Party, and
11
b compel a service provider, within its existing technical capability:
i to collect or record through the application of technical means on the territory of that
Party ; or
ii to co-operate and assist the competent authorities in the collection or recording of,
traffic data, in real-time, associated with specified communications in its territory trans-
mitted by means of a computer system.
2 Where a Party, due to the established principles of its domestic legal system, cannot adopt the
measures referred to in paragraph 1.a, it may instead adopt legislative and other measures as
may be necessary to ensure the real-time collection or recording of traffic data associated with
specified communications transmitted in its territory, through the application of technical
means on that territory.
3 Each Party shall adopt such legislative and other measures as may be necessary to oblige a ser-
vice provider to keep confidential the fact of the execution of any power provided for in this
article and any information relating to it.
4 The powers and procedures referred to in this article shall be subject to Articles 14 and 15.
Article 21 — Interception of content data
1 Each Party shall adopt such legislative and other measures as may be necessary, in relation to
a range of serious offences to be determined by domestic law, to empower its competent
authorities to :
a collect or record through the application of technical means on the territory of that Party, and
b compel a service provider, within its existing technical capability:
i to collect or record through the application of technical means on the territory of that
Party, or
ii to co-operate and assist the competent authorities in the collection or recording of,
content data, in real-time, of specified communications in its territory transmitted by
means of a computer system.
2 Where a Party, due to the established principles of its domestic legal system, cannot adopt the
measures referred to in paragraph 1.a, it may instead adopt legislative and other measures as
may be necessary to ensure the real-time collection or recording of content data on specified
communications in its territory through the application of technical means on that territory.
3 Each Party shall adopt such legislative and other measures as may be necessary to oblige a ser-
vice provider to keep confidential the fact of the execution of any power provided for in this
article and any information relating to it.
4 The powers and procedures referred to in this article shall be subject to Articles 14 and 15.
12
Section 3 - Jurisdiction
Article 22 -Jurisdiction
1 Each Party shall adopt such legislative and other measures as may be necessary to establish
jurisdiction over any offence established in accordance with Articles 2 through 11 of this
Convention, when the offence is committed :
a in its territory ; or
b on board a ship flying the flag of that Party ; or
c on board an aircraft registered under the laws of that Party; or
d by one of its nationals, if the offence is punishable under criminal law where it was com-
mitted or if the offence is committed outside the territorial jurisdiction of any State.
2 Each Party may reserve the right not to apply or to apply only in specific cases or conditions
the jurisdiction rules laid down in paragraphs 1.b through 1.d of this article or any part thereof.
3 Each Party shall adopt such measures as may be necessary to establish jurisdiction over the
offences referred to in Article 24, paragraph 1, of this Convention, in cases where an alleged
offender is present in its territory and it does not extradite him or her to another Party, solely
on the basis of his or her nationality, after a request for extradition.
4 This Convention does not exclude any criminal jurisdiction exercised by a Party in accordance
with its domestic law.
5 When more than one Party claims jurisdiction over an alleged offence established in accor-
dance with this Convention, the Parties involved shall, where appropriate, consult with a view
to determining the most appropriate jurisdiction for prosecution.
Chapter III - International co-operation
Section 1 - General principles
Title 1 - General principles relating to international co-operation
Article 23 - General principles relating to international co-operation
The Parties shall co-operate with each other, in accordance with the provisions of this chapter,
and through the application of relevant international instruments on international co-opera-
tion in criminal matters, arrangements agreed on the basis of uniform or reciprocal legislation,
and domestic laws, to the widest extent possible for the purposes of investigations or procee-
dings concerning criminal offences related to computer systems and data, or for the collection
of evidence in electronic form of a criminal offence.
Title 2 - Principles relating to extradition
Article 24 - Extradition
1 a This article applies to extradition between Parties for the criminal offences established in
accordance with Articles 2 through 11 of this Convention, provided that they are puni-
shable under the laws of both Parties concerned by deprivation of liberty for a maximum
period of at least one year, or by a more severe penalty.
13
b Where a different minimum penalty is to be applied under an arrangement agreed on the
basis of uniform or reciprocal legislation or an extradition treaty, including the European
Convention on Extradition (ETS No. 24), applicable between two or more parties, the
minimum penalty provided for under such arrangement or treaty shall apply.
2 The criminal offences described in paragraph 1 of this article shall be deemed to be included as
extraditable offences in any extradition treaty existing between or among the Parties. The
Parties undertake to include such offences as extraditable offences in any extradition treaty to
be concluded between or among them.
3 If a Party that makes extradition conditional on the existence of a treaty receives a request for
extradition from another Party with which it does not have an extradition treaty, it may consider
this Convention as the legal basis for extradition with respect to any criminal offence referred
to in paragraph 1 of this article.
4 Parties that do not make extradition conditional on the existence of a treaty shall recognise the
criminal offences referred to in paragraph 1 of this article as extraditable offences between
themselves.
5 Extradition shall be subject to the conditions provided for by the law of the requested Party or
by applicable extradition treaties, including the grounds on which the requested Party may
refuse extradition.
6 If extradition for a criminal offence referred to in paragraph 1 of this article is refused solely on
the basis of the nationality of the person sought, or because the requested Party deems that it
has jurisdiction over the offence, the requested Party shall submit the case at the request of the
requesting Party to its competent authorities for the purpose of prosecution and shall report
the final outcome to the requesting Party in due course. Those authorities shall take their deci-
sion and conduct their investigations and proceedings in the same manner as for any other
offence of a comparable nature under the law of that Party.
7 a Each Party shall, at the time of signature or when depositing its instrument of ratification,
acceptance, approval or accession, communicate to the Secretary General of the Council
of Europe the name and address of each authority responsible for making or receiving
requests for extradition or provisional arrest in the absence of a treaty.
b The Secretary General of the Council of Europe shall set up and keep updated a register of
authorities so designated by the Parties. Each Party shall ensure that the details held on the
register are correct at all times.
Title 3 — General principles relating to mutual assistance
Article 25 — General principles relating to mutual assistance
1 The Parties shall afford one another mutual assistance to the widest extent possible for the
purpose of investigations or proceedings concerning criminal offences related to computer sys-
tems and data, or for the collection of evidence in electronic form of a criminal offence.
2 Each Party shall also adopt such legislative and other measures as may be necessary to carry
out the obligations set forth in Articles 27 through 35.
3 Each Party may, in urgent circumstances, make requests for mutual assistance or communica-
tions related thereto by expedited means of communication, including fax or e-mail, to the
14
extent that such means provide appropriate levels of security and authentication (including the
use of encryption, where necessary), with formal confirmation to follow, where required by
the requested Party. The requested Party shall accept and respond to the request by any such
expedited means of communication.
4 Except as otherwise specifically provided in articles in this chapter, mutual assistance shall be
subject to the conditions provided for by the law of the requested Party or by applicable
mutual assistance treaties, including the grounds on which the requested Party may refuse co-
operation. The requested Party shall not exercise the right to refuse mutual assistance in rela-
tion to the offences referred to in Articles 2 through 11 solely on the ground that the request
concerns an offence which it considers a fiscal offence.
5 Where, in accordance with the provisions of this chapter, the requested Party is permitted to
make mutual assistance conditional upon the existence of dual criminality, that condition shall
be deemed fulfilled, irrespective of whether its laws place the offence within the same cate-
gory of offence or denominate the offence by the same terminology as the requesting Party,
if the conduct underlying the offence for which assistance is sought is a criminal offence under
its laws.
Article 26 — Spontaneous information
1 A Party may, within the limits of its domestic law and without prior request, forward to another
Party information obtained within the framework of its own investigations when it considers
that the disclosure of such information might assist the receiving Party in initiating or carrying
out investigations or proceedings concerning criminal offences established in accordance with
this Convention or might lead to a request for co-operation by that Party under this chapter.
2 Prior to providing such information, the providing Party may request that it be kept confidential
or only used subject to conditions. If the receiving Party cannot comply with such request, it
shall notify the providing Party, which shall then determine whether the information should
nevertheless be provided. If the receiving Party accepts the information subject to the conditions,
it shall be bound by them.
Title 4— Procedures pertaining to mutual assistance requests
in the absence of applicable international agreements
Article 27 — Procedures pertaining to mutual assistance requests in the absence of applicable
international agreements
1 Where there is no mutual assistance treaty or arrangement on the basis of uniform or reciprocal
legislation in force between the requesting and requested Parties, the provisions of paragraphs 2
through 9 of this article shall apply. The provisions of this article shall not apply where such
treaty, arrangement or legislation exists, unless the Parties concerned agree to apply any or all
of the remainder of this article in lieu thereof.
2 a Each Party shall designate a central authority or authorities responsible for sending and ans-
wering requests for mutual assistance, the execution of such requests or their transmission to
the authorities competent for their execution.
15
b The central authorities shall communicate directly with each other;
c Each Party shall, at the time of signature or when depositing its instrument of ratification,
acceptance, approval or accession, communicate to the Secretary General of the Council of
Europe the names and addresses of the authorities designated in pursuance of this paragraph ;
d The Secretary General of the Council of Europe shall set up and keep updated a register of
central authorities designated by the Parties. Each Party shall ensure that the details held
on the register are correct at all times.
3 Mutual assistance requests under this article shall be executed in accordance with the procedures
specified by the requesting Party, except where incompatible with the law of the requested
Party.
4 The requested Party may, in addition to the grounds for refusal established in Article 25, para-
graph 4, refuse assistance if:
a the request concerns an offence which the requested Party considers a political offence or
an offence connected with a political offence, or
b it considers that execution of the request is likely to prejudice its sovereignty, security,
ordre public or other essential interests.
5 The requested Party may postpone action on a request if such action would prejudice criminal
investigations or proceedings conducted by its authorities.
6 Before refusing or postponing assistance, the requested Party shall, where appropriate after
having consulted with the requesting Party, consider whether the request may be granted par-
tially or subject to such conditions as it deems necessary.
7 The requested Party shall promptly inform the requesting Party of the outcome of the execu-
tion of a request for assistance. Reasons shall be given for any refusal or postponement of the
request. The requested Party shall also inform the requesting Party of any reasons that render
impossible the execution of the request or are likely to delay it significantly.
8 The requesting Party may request that the requested Party keep confidential the fact of any
request made under this chapter as well as its subject, except to the extent necessary for its
execution. If the requested Party cannot comply with the request for confidentiality, it shall
promptly inform the requesting Party, which shall then determine whether the request should
nevertheless be executed.
9 a In the event of urgency, requests for mutual assistance or communications related thereto
may be sent directly by judicial authorities of the requesting Party to such authorities of
the requested Party. In any such cases, a copy shall be sent at the same time to the cen-
tral authority of the requested Party through the central authority of the requesting Party.
b Any request or communication under this paragraph may be made through the International
Criminal Police Organisation (Interpol).
c Where a request is made pursuant to sub-paragraph a. of this article and the authority is
not competent to deal with the request, it shall refer the request to the competent natio-
nal authority and inform directly the requesting Party that it has done so.
d Requests or communications made under this paragraph that do not involve coercive
action may be directly transmitted by the competent authorities of the requesting Party to
the competent authorities of the requested Party.
16
e Each Party may, at the time of signature or when depositing its instrument of ratification,
acceptance, approval or accession, inform the Secretary General of the Council of Europe
that, for reasons of efficiency, requests made under this paragraph are to be addressed to
its central authority.
Article 28 — Confidentiality and limitation on use
1 When there is no mutual assistance treaty or arrangement on the basis of uniform or recipro-
cal legislation in force between the requesting and the requested Parties, the provisions of this
article shall apply. The provisions of this article shall not apply where such treaty, arrangement
or legislation exists, unless the Parties concerned agree to apply any or all of the remainder of
this article in lieu thereof.
2 The requested Party may make the supply of information or material in response to a request
dependent on the condition that it is:
a kept confidential where the request for mutual legal assistance could not be complied with
in the absence of such condition, or
b not used for investigations or proceedings other than those stated in the request.
3 If the requesting Party cannot comply with a condition referred to in paragraph 2, it shall
promptly inform the other Party, which shall then determine whether the information should
nevertheless be provided. When the requesting Party accepts the condition, it shall be bound
by it.
4 Any Party that supplies information or material subject to a condition referred to in paragraph 2
may require the other Party to explain, in relation to that condition, the use made of such
information or material.
Section 2 — Specific provisions
Title 1 — Mutual assistance regarding provisional measures
Article 29 — Expedited preservation of stored computer data
A Party may request another Party to order or otherwise obtain the expeditious preservation
of data stored by means of a computer system, located within the territory of that other Party
and in respect of which the requesting Party intends to submit a request for mutual assistance
for the search or similar access, seizure or similar securing, or disclosure of the data.
2 A request for preservation made under paragraph 1 shall specify:
a the authority seeking the preservation ;
b the offence that is the subject of a criminal investigation or proceedings and a brief sum-
mary of the related facts;
c the stored computer data to be preserved and its relationship to the offence ;
d any available information identifying the custodian of the stored computer data or the
location of the computer system ;
17
e the necessity of the preservation ; and
f that the Party intends to submit a request for mutual assistance for the search or similar
access, seizure or similar securing, or disclosure of the stored computer data.
3 Upon receiving the request from another Party, the requested Party shall take all appropriate
measures to preserve expeditiously the specified data in accordance with its domestic law. For
the purposes of responding to a request, dual criminality shall not be required as a condition
to providing such preservation.
4 A Party that requires dual criminality as a condition for responding to a request for mutual
assistance for the search or similar access, seizure or similar securing, or disclosure of stored
data may, in respect of offences other than those established in accordance with Articles 2
through 11 of this Convention, reserve the right to refuse the request for preservation under
this article in cases where it has reasons to believe that at the time of disclosure the condition
of dual criminality cannot be fulfilled.
5 In addition, a request for preservation may only be refused if:
a the request concerns an offence which the requested Party considers a political offence or
an offence connected with a political offence, or
b the requested Party considers that execution of the request is likely to prejudice its sove-
reignty, security, ordre public or other essential interests.
6 Where the requested Party believes that preservation will not ensure the future availability of
the data or will threaten the confidentiality of or otherwise prejudice the requesting Party's
investigation, it shall promptly so inform the requesting Party, which shall then determine
whether the request should nevertheless be executed.
7 Any preservation effected in response to the request referred to in paragraph 1 shall be for a
period not less than sixty days, in order to enable the requesting Party to submit a request for
the search or similar access, seizure or similar securing, or disclosure of the data. Following the
receipt of such a request, the data shall continue to be preserved pending a decision on that
request.
Article 30 — Expedited disclosure of preserved traffic data
1 Where, in the course of the execution of a request made pursuant to Article 29 to preserve
traffic data concerning a specific communication, the requested Party discovers that a service
provider in another State was involved in the transmission of the communication, the reques-
ted Party shall expeditiously disclose to the requesting Party a sufficient amount of traffic data
to identify that service provider and the path through which the communication was trans-
mitted.
2 Disclosure of traffic data under paragraph 1 may only be withheld if:
a the request concerns an offence which the requested Party considers a political offence or
an offence connected with a political offence ; or
b the requested Party considers that execution of the request is likely to prejudice its sove-
reignty, security, ordre public or other essential interests.
18
Title 2 — Mutual assistance regarding investigative powers
Article 31 — Mutual assistance regarding accessing of stored computer data
1 A Party may request another Party to search or similarly access, seize or similarly secure, and
disclose data stored by means of a computer system located within the territory of the requested
Party, including data that has been preserved pursuant to Article 29.
2 The requested Party shall respond to the request through the application of international
instruments, arrangements and laws referred to in Article 23, and in accordance with other
relevant provisions of this chapter.
3 The request shall be responded to on an expedited basis where :
a there are grounds to believe that relevant data is particularly vulnerable to loss or modifica-
tion ; or
b the instruments, arrangements and laws referred to in paragraph 2 otherwise provide for
expedited co-operation.
Article 32 — Trans-border access to stored computer data with consent or where publicly
available
A Party may, without the authorisation of another Party :
a access publicly available (open source) stored computer data, regardless of where the data
is located geographically ; or
b access or receive, through a computer system in its territory, stored computer data
located in another Party, if the Party obtains the lawful and voluntary consent of the per-
son who has the lawful authority to disclose the data to the Party through that computer
system.
Article 33 — Mutual assistance in the real-time collection of traffic data
1 The Parties shall provide mutual assistance to each other in the real-time collection of traffic
data associated with specified communications in their territory transmitted by means of a
computer system. Subject to the provisions of paragraph 2, this assistance shall be governed
by the conditions and procedures provided for under domestic law.
2 Each Party shall provide such assistance at least with respect to criminal offences for which
real-time collection of traffic data would be available in a similar domestic case.
Article 34 — Mutual assistance regarding the interception of content data
The Parties shall provide mutual assistance to each other in the real-time collection or recor-
ding of content data of specified communications transmitted by means of a computer system
to the extent permitted under their applicable treaties and domestic laws.
Title 3 — 24/7 Network
Article 35 — 24/7 Network
1 Each Party shall designate a point of contact available on a twenty-four hour, seven-day-a-week
basis, in order to ensure the provision of immediate assistance for the purpose of investigations
19
or proceedings concerning criminal offences related to computer systems and data, or for the
collection of evidence in electronic form of a criminal offence. Such assistance shall include
facilitating, or, if permitted by its domestic law and practice, directly carrying out the following
measures:
a the provision of technical advice ;
b the preservation of data pursuant to Articles 29 and 30;
c the collection of evidence, the provision of legal information, and locating of suspects.
2 a A Party's point of contact shall have the capacity to carry out communications with the
point of contact of another Party on an expedited basis.
b If the point of contact designated by a Party is not part of that Party's authority or authori-
ties responsible for international mutual assistance or extradition, the point of contact shall
ensure that it is able to co-ordinate with such authority or authorities on an expedited
basis.
3 Each Party shall ensure that trained and equipped personnel are available, in order to facilitate
the operation of the network.
Chapter IV — Final provisions
Article 36 — Signature and entry into force
1 This Convention shall be open for signature by the member States of the Council of Europe
and by non-member States which have participated in its elaboration.
2 This Convention is subject to ratification, acceptance or approval. Instruments of ratification,
acceptance or approval shall be deposited with the Secretary General of the Council of Europe.
3 This Convention shall enter into force on the first day of the month following the expiration of
a period of three months after the date on which five States, including at least three member
States of the Council of Europe, have expressed their consent to be bound by the Convention
in accordance with the provisions of paragraphs 1 and 2.
4 In respect of any signatory State which subsequently expresses its consent to be bound by it,
the Convention shall enter into force on the first day of the month following the expiration of
a period of three months after the date of the expression of its consent to be bound by the
Convention in accordance with the provisions of paragraphs 1 and 2.
Article 37 — Accession to the Convention
1 After the entry into force of this Convention, the Committee of Ministers of the Council of Europe,
after consulting with and obtaining the unanimous consent of the Contracting States to the
Convention, may invite any State which is not a member of the Council and which has not parti-
cipated in its elaboration to accede to this Convention. The decision shall be taken by the majority
provided for in Article 20.d. of the Statute of the Council of Europe and by the unanimous vote
of the representatives of the Contracting States entitled to sit on the Committee of Ministers.
2 In respect of any State acceding to the Convention under paragraph 1 above, the Convention
shall enter into force on the first day of the month following the expiration of a period of three
months after the date of deposit of the instrument of accession with the Secretary General of
the Council of Europe.
20
Article 38 — Territorial application
1 Any State may, at the time of signature or when depositing its instrument of ratification,
acceptance, approval or accession, specify the territory or territories to which this Convention
shall apply.
2 Any State may, at any later date, by a declaration addressed to the Secretary General of the
Council of Europe, extend the application of this Convention to any other territory specified in
the declaration. In respect of such territory the Convention shall enter into force on the first
day of the month following the expiration of a period of three months after the date of receipt
of the declaration by the Secretary General.
3 Any declaration made under the two preceding paragraphs may, in respect of any territory
specified in such declaration, be withdrawn by a notification addressed to the Secretary
General of the Council of Europe. The withdrawal shall become effective on the first day of the
month following the expiration of a period of three months after the date of receipt of such
notification by the Secretary General.
Article 39 — Effects of the Convention
1 The purpose of the present Convention is to supplement applicable multilateral or bilateral
treaties or arrangements as between the Parties, including the provisions of:
- the European Convention on Extradition, opened for signature in Paris, on 13 December 1957
(ETS No. 24) ;
- the European Convention on Mutual Assistance in Criminal Matters, opened for signature
in Strasbourg, on 20 April 1959 (ETS No. 30) ;
- the Additional Protocol to the European Convention on Mutual Assistance in Criminal Matters,
opened for signature in Strasbourg, on 17 March 1978 (ETS No. 99).
2 If two or more Parties have already concluded an agreement or treaty on the matters dealt
with in this Convention or have otherwise established their relations on such matters, or should
they in future do so, they shall also be entitled to apply that agreement or treaty or to regu-
late those relations accordingly. However, where Parties establish their relations in respect of
the matters dealt with in the present Convention other than as regulated therein, they shall do
so in a manner that is not inconsistent with the Convention's objectives and principles.
3 Nothing in this Convention shall affect other rights, restrictions, obligations and responsibilities
of a Party.
Article 40 — Declarations
By a written notification addressed to the Secretary General of the Council of Europe, any
State may, at the time of signature or when depositing its instrument of ratification, accep-
tance, approval or accession, declare that it avails itself of the possibility of requiring additio-
nal elements as provided for under Articles 2, 3, 6 paragraph 1.b, 7, 9 paragraph 3, and 27,
paragraph 9.e.
Article 41 — Federal clause
1 A federal State may reserve the right to assume obligations under Chapter II of this Convention
consistent with its fundamental principles governing the relationship between its central
government and constituent States or other similar territorial entities provided that it is still able
to co-operate under Chapter III.
21
2 When making a reservation under paragraph 1, a federal State may not apply the terms of
such reservation to exclude or substantially diminish its obligations to provide for measures set
forth in Chapter II. Overall, it shall provide for a broad and effective law enforcement capabi-
lity with respect to those measures.
3 With regard to the provisions of this Convention, the application of which comes under the
jurisdiction of constituent States or other similar territorial entities, that are not obliged by the
constitutional system of the federation to take legislative measures, the federal government
shall inform the competent authorities of such States of the said provisions with its favourable
opinion, encouraging them to take appropriate action to give them effect.
Article 42 — Reservations
By a written notification addressed to the Secretary General of the Council of Europe, any
State may, at the time of signature or when depositing its instrument of ratification, accep-
tance, approval or accession, declare that it avails itself of the reservation(s) provided for in
Article 4, paragraph 2, Article 6, paragraph 3, Article 9, paragraph 4, Article 10, paragraph 3,
Article 11, paragraph 3, Article 14, paragraph 3, Article 22, paragraph 2, Article 29, paragraph 4,
and Article 41, paragraph 1. No other reservation may be made.
Article 43 — Status and withdrawal of reservations
1 A Party that has made a reservation in accordance with Article 42 may wholly or partially with-
draw it by means of a notification addressed to the Secretary General of the Council of Europe.
Such withdrawal shall take effect on the date of receipt of such notification by the Secretary
General. If the notification states that the withdrawal of a reservation is to take effect on a date
specified therein, and such date is later than the date on which the notification is received by
the Secretary General, the withdrawal shall take effect on such a later date.
2 A Party that has made a reservation as referred to in Article 42 shall withdraw such reserva-
tion, in whole or in part, as soon as circumstances so permit.
3 The Secretary General of the Council of Europe may periodically enquire with Parties that have
made one or more reservations as referred to in Article 42 as to the prospects for withdrawing
such reservation(s).
Article 44 — Amendments
1 Amendments to this Convention may be proposed by any Party, and shall be communicated
by the Secretary General of the Council of Europe to the member States of the Council of
Europe, to the non-member States which have participated in the elaboration of this Convention
as well as to any State which has acceded to, or has been invited to accede to, this Convention
in accordance with the provisions of Article 37.
2 Any amendment proposed by a Party shall be communicated to the European Committee on
Crime Problems (CDPC), which shall submit to the Committee of Ministers its opinion on that
proposed amendment.
3 The Committee of Ministers shall consider the proposed amendment and the opinion submitted
by the CDPC and, following consultation with the non-member States Parties to this Convention,
may adopt the amendment.
4 The text of any amendment adopted by the Committee of Ministers in accordance with para-
graph 3 of this article shall be forwarded to the Parties for acceptance.
5 Any amendment adopted in accordance with paragraph 3 of this article shall come into force on the
thirtieth day after all Parties have informed the Secretary General of their acceptance thereof.
22
Article 45 — Settlement of disputes
1 The European Committee on Crime Problems (CDPC) shall be kept informed regarding the
interpretation and application of this Convention.
2 In case of a dispute between Parties as to the interpretation or application of this Convention,
they shall seek a settlement of the dispute through negotiation or any other peaceful means of
their choice, including submission of the dispute to the CDPC, to an arbitral tribunal whose
decisions shall be binding upon the Parties, or to the International Court of Justice, as agreed
upon by the Parties concerned.
Article 46 — Consultations of the Parties
1 The Parties shall, as appropriate, consult periodically with a view to facilitating :
a the effective use and implementation of this Convention, including the identification of
any problems thereof, as well as the effects of any declaration or reservation made under
this Convention ;
b the exchange of information on significant legal, policy or technological developments
pertaining to cybercrime and the collection of evidence in electronic form ;
c consideration of possible supplementation or amendment of the Convention.
2 The European Committee on Crime Problems (CDPC) shall be kept periodically informed
regarding the result of consultations referred to in paragraph 1.
3 The CDPC shall, as appropriate, facilitate the consultations referred to in paragraph 1 and take the
measures necessary to assist the Parties in their efforts to supplement or amend the Convention.
At the latest three years after the present Convention enters into force, the European Committee
on Crime Problems (CDPC) shall, in co-operation with the Parties, conduct a review of all of
the Convention's provisions and, if necessary, recommend any appropriate amendments.
4 Except where assumed by the Council of Europe, expenses incurred in carrying out the provi-
sions of paragraph 1 shall be borne by the Parties in the manner to be determined by them.
5 The Parties shall be assisted by the Secretariat of the Council of Europe in carrying out their
functions pursuant to this article.
Article 47 — Denunciation
1 Any Party may, at any time, denounce this Convention by means of a notification addressed
to the Secretary General of the Council of Europe.
2 Such denunciation shall become effective on the first day of the month following the expira-
tion of a period of three months after the date of receipt of the notification by the Secretary
General.
Article 48 — Notification
The Secretary General of the Council of Europe shall notify the member States of the Council of
Europe, the non-member States which have participated in the elaboration of this Convention
as well as any State which has acceded to, or has been invited to accede to, this Convention of:
a any signature ;
b the deposit of any instrument of ratification, acceptance, approval or accession ;
c any date of entry into force of this Convention in accordance with Articles 36 and 37;
d any declaration made under Article 40 or reservation made in accordance with Article 42 ;
e any other act, notification or communication relating to this Convention.
23
In witness whereof the undersigned, being
duly authorised thereto, have signed this
Convention.
Done at Budapest, this 23rd day of
November 2001, in English and in French,
both texts being equally authentic, in a
single copy which shall be deposited in the
archives of the Council of Europe. The
Secretary General of the Council of Europe
shall transmit certified copies to each
member State of the Council of Europe, to
the non-member States which have partic-
ipated in the elaboration of this Convention,
and to any State invited to accede to it.
En foi de quoi, les soussignés, dument
autorisés a cet effet, ont signé la présente
Convention.
Fait a Budapest, le 23 novembre 2001, en
français et en anglais, les deux textes
faisant également foi, en un seul exemplai-
re qui sera déposé dans les archives du
Conseil de l'Europe. Le Secretaire Général
du Conseil de l'Europe en communiquera
copie certifiée conforme a chacun des Etats
membres du Conseil de l'Europe, aux Etats
non membres qui ont participé a l'élabora-
tion de la Convention et a tout Etat invite
a y adhérer.
Certified a true copy of the sole original
document, in English and in French, de-
posited in the archives of the Council of
Europe.
Strasbourg, 18 janvier 2002
Copie certifiée conforme a l'exemplaire
original unique en langues française et
anglaise, déposé dans les archives du
Conseil de l'Europe.
The Director General of Legal Affairs Le Directeur Général des Affaires Juridiques
of the Council of Europe, du Conseil de l'Europe,
Guy DE VEL
24
NOTE: English text of Convention will be printed in this publication.

TREATIES AND OTHER INTERNATIONAL ACTS SERIES 13173

DEFENSE

Agreement Between the
UNITED STATES OF AMERICA
and JAPAN

Effected by Exchange of Notes
Dated at Tokyo November 16, 2001

NOTE BY THE DEPARTMENT OF STATE

Pursuant to Public Law 89—497, approved July 8, 1966
(80 Stat. 271; 1 U.S.C. 113)—

“. . .the Treaties and Other International Acts Series issued
under the authority of the Secretary of State shall be competent
evidence . . . of the treaties, international agreements other than
treaties, and proclamations by the President of such treaties and
international agreements other than treaties, as the case may be,
therein contained, in all the courts of law and equity and of maritime
jurisdiction, and in all the tribunals and public offices of the
United States, and of the several States, without any further proof
or authentication thereof.”

JAPAN

Defense

Agreement effected by exchange of notes
Dated at Tokyo November 16, 2001;
Entered into force November 16, 2001.

Translation
Tokyo, November 16, 2001
Excellency,
I have the honor to refer to Japan's Law Regarding
Special Measures Concerning Measures Taken by Japan in
Support of the Activities of Foreign Countries Aiming to
Achieve the Purposes of the Charter of the United Nations
in Response to the Terrorist Attacks Which Took Place on 11
September 2001 in the United States of America and
Subsequent Threats as well as concerning Humanitarian
Measures Based on Relevant Resolutions of the United
Nations or Requests made by International Bodies (Law
No.113 of 2001, hereinafter referred to as "the Law") which
provides, inter alia, that the Government of Japan may
contribute to the armed forces or other similar entities of
foreign countries supplies and services in the field of
logistic support as a cooperation and support activity
(hereinafter referred to as "logistic support, supplies and
services"), and to confirm, on behalf of the Government of
Japan, that the following is the understanding reached
between the Government of Japan and the Government of the
United States of America during the discussions concerning
the logistic support, supplies and services contributed to
the armed forces or other similar entities of the United
States of America in accordance with the Law:
1. The use of logistic support, supplies and services
contributed to and accepted by the armed forces or other
similar entities of the United States of America in
accordance with the Law shall be consistent with the
Charter of the United Nations.
2. The logistic support, supplies and services
contributed to and accepted by the armed forces or other
similar entities of the United States of America in
accordance with the Law shall not be transferred, either
temporarily or permanently, by any means to those outside
of the armed forces or other similar entities of the United
States of America, without prior consent of the Government
of Japan.
His Excellency
Mr. Howard H. Baker, Jr.
Ambassador Extraordinary
and Plenipotentiary of
the United States of America
3. The official, or officials of the Department of
Defense or other similar entities of the United States of
America with authority to accept logistic support, supplies
and services to be contributed in accordance with the Law
shall be informed, in writing, by the official, or
officials of the Government of Japan of the conditions
contained in Paragraphs 1 and 2 above.
I have further the honor to propose that, if the above
mentioned understanding is acceptable to the Government of
the United States of America, the present Note and Your
Excellency's reply on behalf of the Government of the
United States of America shall be regarded as constituting
an agreement between the two Governments which shall enter
into force on the date of Your Excellency's reply.
I avail myself of this opportunity to renew to Your
Excellency the assurance of my highest consideration.
Makiko Tanaka
Minister for Foreign Affairs
of Japan
EMBASSY OF THE
UNITED STATES OF AMERICA
No. 779
Excellency,
I have the honor to acknowledge the receipt of Your Excellency's Note of
today's date, which reads as follows:
"Excellency,
I have the honor to refer to Japan's Law Regarding Special Measures
Concerning Measures Taken by Japan in Support of the Activities of Foreign
Countries Aiming to Achieve the Purposes of the Charter of the United Nations
in Response to the Terrorist Attacks Which Took Place on September 11, 2001
in the United States of America and Subsequent Threats as well as Concerning
Humanitarian Measures Based on Relevant Resolutions of the United Nations or
Requests made by International Bodies (Law No.113 of 2001, hereinafter
referred to as "the Law") which provides, inter alia, that the Government of
Japan may contribute to the armed forces or other similar entities of foreign
countries supplies and services in the field of logistic support as a cooperation
and support activity (hereinafter referred to as "logistic support, supplies and
services"), and to confirm, on behalf of the Government of Japan, that the
following is the understanding reached between the Government of Japan and
the Government of the United States of America during the discussions
concerning the logistic support, supplies and services contributed to the armed
forces or other similar entities of the United States of America in accordance
with the Law:
1. The use of logistic support, supplies and services
contributed to and accepted by the armed forces or other
similar entities of the United States of America in
accordance with the Law shall be consistent with the
Charter of the United Nations.
2. The logistic support, supplies and services contributed to
and accepted by the armed forces or other similar entities
of the United States of America in accordance with the
Law shall not be transferred, either temporarily or
permanently, by any means to those outside of the armed
forces or other similar entities of the United States of
America, without prior consent of the Government of
Japan.
Her Excellency
Makiko Tanaka,
Minister for Foreign Affairs of Japan,
Tokyo.
2
3. The official, or officials of the Department of Defense or
other similar entities of the United States of America with
authority to accept logistic support, supplies and services
to be contributed in accordance with the Law shall be
informed, in writing, by the official, or officials of the
Government of Japan of the conditions contained in
Paragraphs 1 and 2 above.
I have further the honor to propose that, if the above mentioned
understanding is acceptable to the Government of the United States of
America, the present Note and Your Excellency's reply on behalf of the
Government of the United States of America shall be regarded as
constituting an agreement between the two Governments which shall enter
into force on the date of Your Excellency's reply.
I avail myself of this opportunity to renew to Your Excellency the
assurance of my highest consideration."
I have further the honor to confirm on behalf of the Government of the
United States of America that the understanding contained in Your Excellency's
Note is also the understanding of the Government of the United States of America
and confirm that Your Excellency's Note and this reply shall be regarded as
constituting an agreement between the two Governments which shall enter into
force on the date of this reply.
I avail myself of this opportunity to renew to Your Excellency the assurance
of my highest consideration.
Embassy of the United States of America,
Tokyo, Japan, November 16, 2001.

TREATIES AND OTHER INTERNATIONAL ACTS SERIES 13172

SPACE COOPERATION

Agreement Between the
UNITED STATES OF AMERICA
and NORWAY

Signed October 20, 2000 and November 14, 2001

with

Annex

and

Agreement Extending the Agreement

Signed October 23, 2006

NOTE BY THE DEPARTMENT OF STATE

Pursuant to Public Law 89—497, approved July 8, 1966
(80 Stat. 271; 1 U.S.C. 113)—

“. . .the Treaties and Other International Acts Series issued
under the authority of the Secretary of State shall be competent
evidence . . . of the treaties, international agreements other than
treaties, and proclamations by the President of such treaties and
international agreements other than treaties, as the case may be,
therein contained, in all the courts of law and equity and of maritime
jurisdiction, and in all the tribunals and public offices of the
United States, and of the several States, without any further proof
or authentication thereof.”

NORWAY

Space Cooperation

Agreement signed October 20, 2000 and November 14, 2001;
Entered into force November 14, 2001.
With annex.
And agreement extending the agreement.
Signed October 23, 2006;
Entered into force October 23, 2006.

AGREEMENT
BETWEEN
THE UNITED STATES OF AMERICA
AND
THE KINGDOM OF NORWAY
FOR COOPERATION IN
THE CIVIL USES OF OUTER SPACE
2
Table of Contents
Article 1
Article 2
Article 3
Article 4
Article 5
Scope of Activities
Implementing Arrangements 4
Consultation 5
Financial 5
Customs, Entry and Temporary Residence, 6
and Overflight
Article 6 Exchange of Technical Data and Goods 6
Article...7 Intellectual Property Rights 7
Article 8 Allocation of Risks 7
Article 9 Affect on Other Agreements 8
Article 10 Amendments 8
Article 11 Entry into Force and Duration 8
Article 12 Termination 9
Annex 10
3
The United States of America and the Kingdom of Norway, hereinafter referred to as "the
Parties";
Recognizing the history of strong mutual interest in the exploration and use of
outer space for peaceful purposes;
Recognizing the mutual benefit to be gained from working together for the
peaceful uses of outer space for the welfare of all humankind;
Recognizing the cooperation of both Parties in the areas of sounding rocket
activities, satellite and data acquisition, and tracking.
Noting, in particular, the cooperation between the U.S. National Aeronautics and
Space Administration (hereinafter referred to as "NASA"), and the Norwegian Space
Centre (hereinafter referred to as "NSC") pursuant to the Memorandum of Understanding
for Cooperative Sounding Rocket Activities; of October 3, 1994 (hereinafter referred to
as the "Sounding Rocket MOU");
Considering the desirability of enhanced cooperation between the Parties in
sounding rocket activities, space science, Earth science, satellite data acquisition and
tracking, and other space activities;
Considering the respective interests of the Parties in the potential for commercial
applications of space technologies for the benefit of the peoples of both countries;
Recognizing the value to international political harmony of combining efforts for
the efficient exploration of outer space;
Desiring to establish an overall legal framework for aerospace cooperation to
facilitate the conclusion of implementing arrangements or other agreements;
Recognizing their commitments as members of the Missile Technology Control
Regime (MTCR);
Have agreed as follows:
ARTICLE 1
SCOPE OF ACTIVITIES
1. The Parties shall identify areas of mutual interest and seek to develop cooperative
programs in the peaceful uses of outer space and shall work closely together to this end.
2. These cooperative progams may be undertaken, if mutually agreed and subject to the
general guidelines set forth in Article 2 and the provisions of this Agreement, in the
following areas:
4
(a) Exchanges of scientific data and researchers;
(b) Joint activities in the following:
1. Sounding rocket launches;
2. Satellite data acquisition and tacking;
3. Earth and atmospheric sciences;
4. Aeronautics and space transportation;
5. Human exploration and development of space;
6. Space science;
7. Space applications; and
8. Satellite communications research.
(c) Exploration of areas for possible complementary development of Norwegian
and U.S. scientific instruments in which there is mutual interest; and
(d) other areas of mutual interest.
3. These cooperative programs may be implemented using the following:
(a) Satellite instrument observations and measurements;
(b) Ground-based antennas and observations;
(c) Sounding rocket and balloon measurements;
(d) Aircraft measurements;
(e) On-orbit research facilities;
(f) Space-related research involving ground-based facilities; and
(g) Student and scientist exchange programs and educational activities.
4. NASA and NSC are currently engaged in cooperative programs involving sounding
rocket activities and satellite data acquisition and tracking. It is anticipated that such
programs will be continued in the future.
ARTICLE 2
IMPLEMENTING ARRANGEMENTS
The specific terms and conditions for such cooperative programs shall be set forth in
implementing arrangements, including memoranda of agreement and other instruments,
5
between the Implementing Agencies. NASA and the National Oceanic and Atmospheric
Administration (NOAA) have been identified as "Implementing Agencies" for this
Agreement by the United States of America. The Kingdom of Norway has identified
NSC as its Implementing Agency for this agreement. NASA and/or NSC may elect to
designate additional Implementing Agencies for specific cooperative programs under this
Agreement. These implementing arrangements shall include, as appropriate, provisions
related to the nature and scope of the program, and the individual and joint
responsibilities of the Agencies, customs clearance, transfer of technical data and goods,
invention and patent rights, liability, and financial arrangements, consistent with the
provisions of this Agreement. All implementing arrangements shall refer to and be
subject to this Agreement, unless agreed to otherwise by the Implementing Agencies.
ARTICLE 3
CONSULTATIONS
1. The Implementing Agencies shall consult, as deemed appropriate and necessary, to
review the implementation of activities undertaken, pursuant to this Agreement, and to
exchange views on potential areas of future cooperation.
2. Cooperative projects initiated, pursuant to the Sounding Rocket MOU and its
implementing arrangements, shall continue and will be subject to this Agreement upon its
entry into force.
3. In the event questions arise regarding the implementation of programs under this
Agreement, the questions will be resolved by the program managers of the programs
involved. If the program managers are unable to reach an agreement, then the matter will
be referred to a more senior level of the Implementing Agencies or to the representatives
of the Parties for joint resolution.
ARTICLE 4
FINANCIAL ARRANGEMENTS
1. The Parties shall be responsible for funding their respective activities under this
Agreement, unless otherwise agreed. Obligations under this Agreement and any
implementing arrangements hereunder shall be subject to the availability of appropriated
funds.
2. All activities under this Agreement shall be conducted in a manner consistent with the
respective national laws and regulations of each Party.
6
ARTICLE 5
CUSTOMS, ENTRY AND TEMPORARY RESIDENCE, AND OVERFLIGHT
1. In accordance with its laws and regulations, each Party shall arrange free customs
clearance and waiver of all applicable duties and taxes for equipment and related goods
necessary for the implementation of this Agreement. In the event that any customs fees
or taxes of any kind are nonetheless levied on such equipment and related goods, such
customs fees or taxes shall be borne by the Party levying such fees or taxes. The Parties'
obligation to ensure duty-free entry is fully reciprocal.
2. In accordance with its laws and regulations, each Party shall facilitate the provision of
the appropriate entry and residence documentation for the other Party's representatives
who enter, exit, and reside within their territories in order to carry out activities under
implementing arrangements established under this Agreement.
3. In accordance with its laws and regulations, each Party shall facilitate the provision of
aircraft overflight clearances, as necessary, in order to carry out activities under
implementing arrangements established under this Agreement.
These arrangements shall be implemented on a reciprocal basis.
ARTICLE 6
EXCHANGE OF TECHNICAL DATA AND GOODS
In implementing arrangements concluded under this Agreement, the Parties and their
Implementing Agencies shall be obligated to transfer only those technical data (including
software) and goods necessary to fulfill their respective responsibilities under those
implementing arrangements, in accordance with the following provisions:
a) The transfer of technical data for the purpose of discharging the Parties' or their
Implementing Agencies' responsibilities with regard to interface, integration, and
safety shall normally be made without restriction, except as required by national
laws and regulations relating to export control or the control of classified data. If
design, manufacturing, and processing data and associated software, which is
proprietary but not export controlled, is necessary for interface, integration, or
safety purposes, the transfer shall be made and the data and associated software
shall be appropriately marked. Nothing in this article requires the Parties or their
Implementing Agencies to transfer goods or technical data contrary to national
laws and regulations relating to export control or control of classified data.
b) All transfers of proprietary technical data and export-controlled goods and
technical data are subject to the following provisions: In the event a Party and/or
Implementing Agency finds it necessary to transfer goods which are subject to
export control or technical data which is proprietary or subject to export controls,
and for which protection is to be maintained, such goods shall be specifically
7
identified as such. All technical data shall be marked to indicate its use and
disclosure by the receiving Party or Implementing Agency and their related
entities (e.g., contractors and subcontractors), for the purposes of fulfilling the
receiving Party's or Implementing Agencies' program responsibilities
implemented under this Agreement. The identified goods and marked technical
data shall not be disclosed or re-transferred to any other entity without the prior
written permission of the furnishing Party or Implementing Agency. The
receiving Party or Implementing Agency shall abide by the terms of the notice,
and protect any such identified goods marked technical data from unauthorized
use and disclosure. The receiving Party or Implementing Agencies also agree to
obtain these same obligations from its related entities prior to any further transfer.
Nothing in this article requires the Parties or Implementing Agencies to transfer
goods or technical data contrary to national laws and regulations relating to export
control or control of classified data
c) All goods, marked proprietary data, and marked or unmarked technical data
subject to export control, which are transferred under the programs implemented
by this Agreement, shall be used by the receiving Party and its Implementing
Agency exclusively for the purposes of the programs implemented by this
Agreement.
ARTICLE 7
INTELLECTUAL PROPERTY RIGHTS
Nothing in this Agreement shall be construed as granting or implying any rights to, or
interest in, patents or inventions of the Parties, institutions acting on their behalf, or their
contractors or subcontractors for activities conducted under this Agreement. Matters
related to protection of intellectual property rights shall be addressed as appropriate in the
implementing arrangements.
ARTICLE 8
ALLOCATION OF RISKS
1. In the interest of encouraging participation in space exploration and investment,
aeronautical investigation, and scientific activities, the Parties, themselves, or through
their Implementing Agencies, commit to the establishment, as part of the implementing
arrangements, of a specific system of responsibility for losses, injuries, casualties and
damages, including mutual liability waivers where appropriate, between themselves, their
Implementing Agencies and their related entities, extending to contractors,
subcontractors, and participating entities associated with the Parties.
2. In furtherance of the objectives identified in paragraph 1, the Parties or Implementing
Agencies shall, in appropriate circumstances, establish a comprehensive cross-waiver of
liability between themselves and their related entities. The cross-waivers of liability shall
8
be broadly construed to achieve the objectives of paragraph 1. The terms of the cross-
waivers, and of liability waivers generally, may be modified by mutual agreement of the
Parties or the Implementing Agencies to take into account the particular characteristics,
risks, and benefits of the activities conducted under this Agreement.
ARTICLE 9
AFFECT ON OTHER AGREEMENTS
This Agreement shall not prejudice the ability of the Parties to conclude other agreements
or arrangements regarding matters outside or within the scope of this Agreement, as
mutually agreed. This Agreement shall furthermore not prejudice the cooperation of
either Party with other States and international organizations.
ARTICLE 10
AMENDMENTS
This Agreement may be amended upon mutual written agreement of the Parties.
ARTICLE 11
ENTRY INTO FORCE AND DURATION
This Agreement shall enter into force upon signature and shall remain in force for five (5)
years unless terminated in accordance with Article 12 or extended upon mutual written
agreement of the Parties.
9
ARTICLE 12
TERMINATION
Either party may elect to terminate this Agreement by providing (6) months written
notice to the other Party. Such termination shall not affect implementing arrangements
that are in effect at the time this Agreement is terminated.
The Annex to this Agreement entitled "Cooperative Sounding Rocket Activities," shall
form an integral part of the Agreement, and upon entry into force of this Agreement, shall
supercede and replace the Sounding Rocket MOU.
Done, in duplicate, in the English language.

FOR THE UNITED STATES FOR THE KINGDOM
OF AMERICA: OF NORWAY:
Date
OCT 20 2000
NOV 14 2001
Date
10
ANNEX
COOPERATIVE SOUNDING ROCKET ACTIVITIES
UNDER THE AGREEMENT
BETWEEN THE
UNITED STATES OF AMERICA
AND THE
KINGDOM OF NORWAY
ON COOPERATION IN THE CIVIL USES OF OUTER SPACE
1. Joint Implementation Plan
NASA and NSC will develop a Joint Implementation Plan (JIP) for each Joint
Science Campaign they undertake. The campaign-unique JIP will contain the
science objectives of the campaign, as well as the technical and programmatic
conditions under which NASA and NSC will carry out their responsibilities for
the campaign. The JIP will also address the arrangements for scientific
cooperation. The campaign-unique JIP's and any subsidiary documentation are
subject to and will conform to this Agreement and are subject to approval by
NASA and NSC. Subsidiary understandings among the scientists and scientific
institutions involved will conform with the campaign-specific JIP's and to this
Agreement and are subject to approval by NASA and NSC. In the event of
inconsistency between this Agreement, the JIP, and subsidiary understandings, the
inconsistency will be resolved by giving precedence first to the Agreement,
second to the JIP, and third to the subsidiary understanding.
2. Conditions on Participation
Cooperative sounding rocket activities planned and implemented under this
Agreement will meet the following criteria:
a) Each Joint Science Campaign will reflect the mutual scientific interests
of and rely on the known scientific, technical, and budgetary capabilities
of NASA and NSC. For each campaign, programmatic validity for both
Parties will be demonstrable;
b) Selection of scientific payloads and investigations will be based on
evaluation of scientific and technical merits and pertinence to the
established plans and objectives of the responsible program officers at
NASA and NSC. Such an evaluation will occur according to established
procedures for review and approval of new proposals;
c) NASA and NSC will each contribute to the science objectives in each
campaign;
11
d) NASA and NSC will provide for the free exchange of all scientific data
collected during a Joint Science Campaign between participating scientists
from the United States and Norway and for the collaboration in the
analysis of the data and publication of the results; and
e) All exports of goods or technologies must conform to Article VI of this
Agreement.
3. Responsibilities of NASA and NSC
a) Each Joint Science Campaign conducted pursuant to this Agreement will be
separate and distinct for purposes of determining responsibilities (i.e.,
contributions to the cooperative effort) and scientific return;
(b) To minimize complexity, the division of responsibilities between NASA and
NSC will reflect clearly defined and distinct managerial and technical interfaces.
NASA and NSC will each assume full responsibility for its contribution.
(c) The contributions and responsibilities of NASA and NSC to each Joint
Science Campaign, as agreed to and delineated in the campaign-specific JIP, will
include; but not be limited to, the following:
i) the provision of sounding rocket's and associated hardware;
ii) the design, fabrication, integration, test, and delivery of
scientific payloads and associated instrumentation;
iii) ground support services, launch services, equipment (at U.S. or
Norwegian ranges, depending on the science requirements for each
campaign), and data for range safety purposes;
iv) provision of tracking and telemetry support;
v) provision of specifications, requirements, and analyses necessary to
ensure ground and flight safety for launches;
vi) provision and operation of ground-based and airborne scientific
instrumentation for complementary observations;
vii) data acquisition and processing; and
viii) support of investigators for scientific data analysis.
(d) NASA and NSC will be responsible for the appropriate provision of relevant
technical, operational, and campaign-unique information and services necessary
12
for the implementation of the missions and exchange of services pursuant to this
Agreement, as agreed to in the applicable campaign-unique JIP and any
supplementary documentation.
4. Program Management
NASA and NSC will share primary program management responsibilities for
Joint Science Campaigns. A point of contact for the coordinating of functions and
responsibilities of NASA and NSC for each Joint Science Campaign will be
designated in the JIP.
5. Science and Data Rights
(a) NASA and NSC will have access to, and use of, scientific and mission
performance data for activities conducted under this Agreement as soon as such
data becomes available. The JIP's will establish, for each campaign, first
publication rights of the investigators.
(b) Following any exclusive use period established in the JIP, results of the
campaigns will be made available to the scientific community in general through
publication in appropriate journals or other established channels. In the event
such reports or publications are copyrighted, NASA and NSC will have royalty-
free rights under the copyright to reproduce, use, and distribute such copyrighted
work for their own purposes.
EXTENSION OF THE
AGREEMENT BETWEEN
THE UNITED STATES OF AMERICA
AND
THE KINGDOM OF NORWAY
FOR COOPERATION IN THE CIVIL USES OF OUTER SPACE
The United States of America and the Kingdom of Norway, pursuant to Article 11 of the
Agreement Between the United States of America and the Kingdom of Norway for
Cooperation in the Civil Uses of Outer Space, signed October 20, 2000 and
November 14, 2001, agree to extend the duration of this Agreement for 10 years, thus
extending the expiration date of the Agreement until November 14, 2016.
FOR THE UNITED STATES OF AMERICA: FOR THE KINGDOM OF NORWAY:
Date October 23, 2006
Mr. Michael O'Brien
Assistant Administrator
NASA Office of External Relations
Date October 23, 2006
His Excellency Knut Vollebaek
Ambassador Extraordinary and
Plenipotentiary

TREATIES AND OTHER INTERNATIONAL ACTS SERIES 13171

TAXATION

Shipping and Aircraft

Agreement Between the
UNITED STATES OF AMERICA
and GHANA

Effected by Exchange of Notes
Dated at Accra April 24 and
November 12, 2001

NOTE BY THE DEPARTMENT OF STATE

Pursuant to Public Law 89—497, approved July 8, 1966
(80 Stat. 271; 1 U.S.C. 113)—

“. . .the Treaties and Other International Acts Series issued
under the authority of the Secretary of State shall be competent
evidence . . . of the treaties, international agreements other than
treaties, and proclamations by the President of such treaties and
international agreements other than treaties, as the case may be,
therein contained, in all the courts of law and equity and of maritime
jurisdiction, and in all the tribunals and public offices of the
United States, and of the several States, without any further proof
or authentication thereof.”

GHANA

Taxation: Shipping and Aircraft

Agreement effected by exchange of notes
Dated at Accra April 24 and
November 12, 2001;
Entered into force November 12, 2001.

EMBASSY OF THE
UNITED STATES OF AMERICA
No. 2001-055
The Embassy of the United States of America presents its
compliments to the Ministry of Foreign Affairs of the Republic of Ghana,
and has the honor to propose that the two governments conclude an
agreement to exempt from income tax, on a reciprocal basis, certain
income derived from the international operation of a ship or ships and
aircraft as follows:
The Government of the United States of America, in accordance
with Sections 872(b) and 883(a) of the U.S. Internal Revenue Code of
1986, agrees to exempt from U.S. federal income tax gross income

derived from the international operation of a ship or ships or aircraft by
individuals who are residents of Ghana (other than U.S. citizens or
residents) and corporations that are organized in Ghana, in each case,
that are engaged in the international operation of a ship or ships or
aircraft. This exemption shall be granted on the basis of equivalent
exemptions granted by Ghana to individual residents of the United States
and to corporations organized in the United States.
- 2 -
In the case of a Ghanaian corporation, the exemption shall apply
only if the corporation meets the ownership or public trading requirements
of U.S. law. For purposes of such ownership requirements, the
Government of Ghana shall be treated as an individual resident of Ghana.
Gross income derived from the international operation of a ship or
ships or aircraft includes:
(i) Income from the rental on a full (time or voyage) basis of a
ship or ships or aircraft used in international transport;
(ii) Income from the rental on a bareboat basis of a ship or
ships or aircraft used in international transport;
(iii) Income from the rental of containers and related equipment
used in international transport that is incidental to income
from the international operation of a ship or ships or aircraft;
(iv) Gains from the sale or other alienation of a ship or ships or
aircraft used in international transport; and
(v) Income derived by an individual or corporation otherwise
engaged in the international operation of a ship or ships or
aircraft from active participation in a pool, an alliance, joint
venture, international operating agency, or other venture,
-3-
that is itself engaged in the international operation of a ship
or ships or aircraft.
The Embassy, on behalf of the Government of the United States of
America, proposes that if the foregoing is acceptable to the Government
of Ghana, this note and the Ministry's reply note shall constitute an
agreement between the two Governments, which shall enter into force on
the date of the Ministry's reply note and shall have effect with respect to
taxable years beginning on or after January 1, 2001. It shall remain in
force until terminated by either Government giving written notice to the
other Government through diplomatic channels.
The Embassy of the United States of America avails itself of this
opportunity to renew to the Ministry of Foreign Affairs of the Government
of Ghana the assurances of its highest consideration.
Enclosure:
1. Draft reply note
Embassy of the United States of America
Accra, April 24, 2001
SCR.TI/TA/USA
REPUBLIC OF GHANA
MINISTRY OF FOREIGN AFFAIRS
The Ministry of Foreign Affairs of the Republic of Ghana presents its
compliments to the Embassy of the United States of America and has the honour
to acknowledge with thanks the receipt of Note No. 2001-005 of April 24, 2001
proposing an agreement to exempt from Ghanaian tax gross income derived
from the international operation of a ship or ships or aircraft by individual
residents of the United States and by corporations organized in the United
States, in each case, that are engaged in the international operation of a ship or
ships or aircraft. This exemption shall be granted on the basis of equivalent
exemptions granted by the United States to individuals who are residents of
Ghana (other than U.S. citizens or residents) and to corporations that are
organized in Ghana.
The terms of the agreement are as follows:
The Government of Ghana agrees to exempt from Ghanaian tax gross
income derived from the international operations of a ship or ships or aircraft by
individuals who are residents of the United States and corporations that are
organized in the United States, in each case, that are engaged in the
international operation of a ship or ships or aircraft. This exemption is granted
on the basis of equivalent exemptions granted by the United States under the
terms of the Embassy's note of April 24, 2001.
Gross income derived from the international operation of a ship or ships or
aircraft includes:
^ Income from the rental on a full (time or voyage) basis of a ship or
ships or aircraft used in international transport;
^ Income from the rental on a bareboat basis of a ship or ships or
aircraft used in international transport;
^ Income from the rental of containers and related equipment used
in international transport that is incidental to income from the
international operation of a ship or ships or aircraft;
^ Gains from the sale or other alienation of a ship or ships or
aircraft used in international transport; and
^ Income derived by an individual or corporation otherwise engaged
in the international operation of a ship or ships or aircraft from
active participation in a pool, an alliance, joint venture,
international operating agency, or other venture, that is itself
engaged in the international operation of a ship or ships or
aircraft.
The Ministry of Foreign Affairs of the Republic of Ghana confirms that the
Government of Ghana accepts the proposal contained in the Embassy's Note
No. 2001-055 and that the Embassy's note and this note in reply constitute an
agreement between the two Governments, which shall enter into force on the
date of this note and shall have effect with respect to taxable years beginning on
or after January 1, 2001. It shall remain in force until terminated by either
Government giving written notice to the other Government through diplomatic
channels.
The Ministry of Foreign Affairs of the Government of Ghana avails itself of this
opportunity to renew to the Embassy of the United States the assurances of its
highest consideration.
Accra, 12th November, 2001
THE EMBASSY OF THE
UNITED STATES OF AMERICA,
ACCRA.

TREATIES AND OTHER INTERNATIONAL ACTS SERIES 13170

DEFENSE

Status of Forces

Agreement Between the
UNITED STATES OF AMERICA
and ROMANIA

Signed at Washington October 30, 2001

NOTE BY THE DEPARTMENT OF STATE

Pursuant to Public Law 89—497, approved July 8, 1966
(80 Stat. 271; 1 U.S.C. 113)—

“. . .the Treaties and Other International Acts Series issued
under the authority of the Secretary of State shall be competent
evidence . . . of the treaties, international agreements other than
treaties, and proclamations by the President of such treaties and
international agreements other than treaties, as the case may be,
therein contained, in all the courts of law and equity and of maritime
jurisdiction, and in all the tribunals and public offices of the
United States, and of the several States, without any further proof
or authentication thereof.”

ROMANIA

Defense: Status of Forces

Agreement signed at Washington October 30, 2001;
Entered into force June 10, 2002.

AGREEMENT BETWEEN
THE UNITED STATES OF AMERICA
AND ROMANIA
REGARDING THE STATUS OF
UNITED STATES FORCES IN ROMANIA
INDEX
Title Article
Preamble
Definitions I
Entry and Exit II
Criminal Jurisdiction III
Determination of Criminal IV
Jurisdiction
Custody and Access V
Confinement and Visitation VI
Discipline VII
Security VIII
Claims IX
Official Tax Exemptions X
Personal Tax Exemptions XI
Official Importation and Exemption XI I
Personal Importation and Exemption XI II
Motor Vehicles XIV
Drivers Licenses XV
Customs Procedures XVI
Military Service Activities XVII
Military Post Offices XVIII
Currency and Exchange XIX
Contracting Procedures XX
Status of Contractors XXI
Communications XXII
Implementation and Settlement of XXIII
Disputes
Entry into Force and Duration XXIV
PREAMBLE
The United States of America and Romania, hereinafter referred to as "Parties",
Considering that, by arrangements between the Parties, elements of the United States
forces, their civilian component and members of their families may be present in
Romania;
Considering that the purpose of the presence of such United States forces in Romania
is in furtherance of the efforts of the Parties to promote peace and security in areas of
mutual interest;
Considering the provisions of Article I and Article IV of the "Agreement among the
States Parties to the North Atlantic Treaty and the other States Participating in the
Partnership for Peace regarding the Status of their Forces done at Brussels on June 19,
1995", (PFP SOFA) and the second paragraph of the Preamble to the "Agreement
between the parties to the North Atlantic Treaty regarding the Status of their Forces,
signed at London on June 19, 1951" (NATO SOFA) provide for separate arrangements
supplementary to those agreements;
Desiring therefore to supplement the PFP SOFA, to which both countries are parties,
and which incorporates by reference the NATO SOFA,
Have agreed as follows:
ARTICLE I
Definitions
1. For the purpose of this Agreement, the term "civilian component" as defined in Article
I, paragraph 1 (b) of the NATO SOFA includes non-Romanian employees of a non-
commercial organization who are nationals of or ordinarily resident in the United States
and who, solely for the purpose of contributing to the welfare, morale or education of the
United States forces, are accompanying those forces in Romania. It shall also include
United States nationals or persons ordinarily resident in the United States who are
employed by United States contractors exclusively serving the United States forces in
Romania. Such personnel shall not be considered as having the status of members of
the civilian component for the purpose of Article VIII of the NATO SOFA. The term
"civilian component" also includes dependents when employed by the United States
forces or the organizations referred to above and in Article XVII.
2. For the purposes of this Agreement, the term "dependent" as defined in Article I,
paragraph 1 (c) of the NATO SOFA includes immediate members of the family of a
member of the force or of the civilian component who is financially, legally, or for
reasons of health dependent upon, and is supported by, such member, who shares the
quarters occupied by such member and who is present in Romania with the consent of
the authorities of the force.
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3. For the purposes of this agreement, the term "duty" shall include customs duties and
all other duties and taxes payable on importation or exportation, as the case may be. It
shall not include charges for services requested and received.
ARTICLE II
ENTRY AND EXIT
1. Unless otherwise mutually agreed, Romania waives its authority under Article III,
paragraph 2 (b) of the NATO SOFA to require countersignature of movement orders.
2. Romania shall not require passports or visas for entry into and departures from
Romania for members of the force holding a valid movement order that can be clearly
ascribed to its bearer, and visas shall not be required for members of the civilian
component and dependents. Romanian authorities shall make any annotations required
by Romanian law in the passports of such persons.
3. Members of the force, or civilian component and their dependents shall be exempt
from registration and control as aliens.
ARTICLE III
CRIMINAL JURISDICTION
1. Romania recognizes the particular importance of disciplinary control by the United
States military authorities over members of the force and the effect, which such control
has upon operational readiness. Accordingly, in furtherance of its commitment to
mutual defense, Romania exercises its sovereign discretion to waive its primary right to
exercise criminal jurisdiction as provided by paragraph 3 (c) of Article VII of the NATO
SOFA.
2. Subject to any particular arrangements which may be made for misdemeanors
punishable by fine or confinement of less than one year, the United States forces shall
notify the competent Romanian authorities of individual cases falling under the
provisions of paragraph 1 of this Article.
3. Where competent Romanian authorities hold the view that a serious case is of
particular importance and major interests of Romania make imperative the exercise of
Romanian jurisdiction, they may recall the waiver granted under Paragraph 1 of this
Article by a statement in writing to the competent U.S. military authorities within a period
of thirty days after receipt of the notification envisaged in paragraph 2 of this Article.
4. Members of the force or civilian component and their dependents shall not be tried in
absentia without their consent.
ARTICLE IV
DETERMINATION OF CRIMINAL JURISDICTION
1. Whenever, in the course of criminal or civil proceedings against a member of the
force or of the civilian component, it becomes necessary to determine whether an
alleged criminal offense or potential civil liability has arisen out of any act or omission
done in the performance of official duty, such determination shall be made by the
highest appropriate military authority of the United States in Romania who may submit
to the Romanian court or authority dealing with the case a certificate thereon. The
certificate will be considered to be sufficient evidence of the fact.
2. Upon notification to the competent Romanian authorities by United States authorities
that a question exists as to which authority will exercise jurisdiction with respect to an
offense, the Romanian authority dealing with the case shall suspend the proceedings
until determination by the Parties on the jurisdictional issue has been reached.
3. Whenever a member of the force or civilian component or a dependent is prosecuted
by Romanian authorities, only the civilian courts of ordinary jurisdiction will have
competence to try the individual.
ARTICLE V
CUSTODY AND ACCESS
1. The provisions of Romanian law pertaining to pretrial detention or requiring
confinement of the accused shall be discharged until the conclusion of all judicial
proceedings by a duly executed certificate of the United States military authorities
assuring the appearance of the member of the force before the competent Romanian
judicial authorities in any proceedings that may require the presence of such person. In
the event Romanian Judicial proceedings are not completed within one year the United
States military authorities shall be relieved of any obligations under this paragraph. In
such cases the provisions of Article III, paragraph 4 of this Agreement shall not apply.
2. When a member of the force has been convicted by a Romanian court and
unsuspended sentence to confinement is adjudged, the United States military
authorities shall maintain custody over the accused until the conclusion of all appellate
proceedings.
3. Any period of time spent in restraint exercised by Romanian Authorities or custody
exercised by United States military authorities shall be credited against any sentence to
confinement eventually adjudged.
4. When a member of the force, or civilian component, or a dependent is arrested,
detained, or confined by Romanian authorities representatives of the United States shall
have immediate access to that individual whenever requested.
ARTICLE VI
CONFINEMENT AND VISITATION
Confinement imposed by a Romanian court upon members of the force, or civilian
component, or dependents, shall be served in Romanian penal institutions designated
for such purposes by the Parties. Romanian authorities will permit the authorities of the
United States and families to visit such persons at any time and to provide them with
assistance necessary for their health, welfare and morale, such as clothing, food,
4
5
bedding, medical and dental care. The Convention on the Transfer of Sentenced
Persons, done at Strasbourg March 21, 1983, shall apply to the above persons who are
convicted by Romanian courts.
ARTICLE VII
DISCIPLINE
1. United States military authorities shall be responsible for maintenance of discipline
over members of the force.
2. In furtherance of the maintenance of discipline of United States forces, United States
military authorities may establish military police units on the facilities where United
States forces are located. United States military authorities may also authorize the use
of such units in communities situated in the immediate vicinity of the military facilities
where United States forces are located, in coordination with local authorities, under
procedures to be agreed upon by the Romanian and United States military authorities.
ARTICLE VIII
SECURITY
1. In accordance with Article VII, paragraph 11, of the NATO SOFA, Romania shall take
such measures as are necessary to ensure the adequate security and protection of the
United States forces, members of the force, the civilian component, and dependents
within Romania. In furtherance of this responsibility Romanian authorities shall
cooperate closely with United States authorities to ensure that adequate security is
provided and there is unhindered ingress to and egress from the facilities or areas
where United States forces are located.
2. If the safety of the United States forces, members of the force, or the civilian
component, or dependents is endangered, United States military authorities may take
appropriate measures to maintain or restore order and discipline in the facilities or areas
where United States forces are located.
3. Without prejudice to the provisions of paragraph 2 of this Article, the United States
military authorities shall exercise extreme caution in authorizing the use of force when
dealing with such security issues, especially when cooperation and/or support from
relevant Romanian authorities is not available immediately, given the imminent danger
against the safety of US personnel requiring immediate action.
ARTICLE IX
CLAIMS
1. Members of the force and of the civilian component shall not be subject to any
proceedings for civil claims arising out of acts or omissions attributable to such persons
done in the performance of their official duties. Such claims may be presented to the
appropriate Romanian authorities and processed according to the provisions contained
in Article VIII of the NATO SOFA.
2. Solely for the purpose of this Article, and Article VIII of the NATO SOFA, the term
"civilian component" also includes Romanian nationals and other civilians who are
United States employees acting in the performance of official duty assigned by the
United States forces but shall not include employees of the contractors and non-
commercial organizations.
3. Members of the force, or civilian component or dependents shall not suffer default
judgments or actions prejudicial to their interests when official duties or duly authorized
absence temporarily prevents their attendance at non-criminal proceedings to which
they are parties.
ARTICLE X
OFFICIAL TAX EXEMPTIONS
1. The United States forces and its contractors, identified in Article XXI, shall not be
subject to direct or indirect taxation in respect of matters falling exclusively within the
scope of their official or contract activities or in respect of property devoted to such
activities. Deliveries made and services rendered by the force or such contractors to
members of the force or civilian component and dependents also shall be regarded as
such activities. With respect to the value added tax (VAT), exemptions shall apply to
articles and services acquired by the United States forces, or by its contractors when
acting for or on behalf of U.S. forces. United States contractors in Romania solely for
the purpose of supporting the United States forces shall not be subject to any form of
income or profits tax by the Government of Romania or its political subdivisions.
2. Vehicles, vessels and aircraft owned or operated by or for the United States forces
shall not be subject to the payment of landing or port fees, pilotage charges, navigation,
overflight, or parking charges or light or harbor dues, or any other charges in connection
with carrying out missions related to its operations or with the use of state owned or
operated facilities in Romania; however, the United States shall pay reasonable charges
for services requested and received.
3. The provisions of Romanian laws and regulations pertaining to the withholding of
payment of income taxes and social security contribution shall not be applicable to
United States citizens and non-Romanian employees of the United States forces or
United States contractors exclusively serving the force in Romania.
6
ARTICLE XI
PERSONAL TAX EXEMPTIONS
1. With respect to Articles X and XI of the NATO SOFA, and in accordance with Article
X of this Agreement, members of the force, or of the civilian component shall not be
liable to pay any tax or similar charges, including the value added tax, in Romania on
the ownership, possessions, use, transfer amongst themselves, or transfer, in
connection with death, of their tangible movable property imported into Romania or
acquired there for their own personal use. Motor vehicles owned by a member of the
force, or civilian component or a dependent shall be exempt from Romanian circulation
taxes, registration or license fees, and similar charges.
2. The exemption from taxes on income provided by Article X of the NATO SOFA shall
also apply to income received by members of the force or civilian component or
dependents from employment with the organizations referred to in Article I, paragraph 1,
and Article XVII of this Agreement, and to income derived from sources outside
Romania.
ARTICLE XII
OFFICIAL IMPORTATION AND EXPORTATION
1. With reference to Article XI of the NATO SOFA, the importation of equipment,
supplies, provisions, and other goods into Romania by the United States forces or by
United States contractors for or on behalf of U.S. forces shall be exempt from all duties.
The United States forces shall be liable for the payment of charges for services
performed by the Romanian Government or any political subdivision thereof only when
such services have been requested and received.
2. Equipment, supplies, provisions and other goods shall be exempt from any tax or
other charge, which would otherwise be assessed upon such property after its
importation or acquisition by the United States forces.
3. The exportation from Romania by the United States forces of the equipment,
supplies, provisions, and other goods referred to in paragraph 1 of this Article shall be
exempt from all types of Romanian duties. In particular cases, such property may be
disposed of in Romania under terms and conditions, including payment of taxes,
imposed by authorities of Romania.
4. The exemptions provided in paragraphs 1,2, and 3 of this Article shall also apply to
services, equipment, supplies, provisions, and other property imported or acquired in
the Romanian domestic market by or on behalf of the United States forces for use by a
contractor executing a contract for such forces. The United States forces shall
cooperate fully with the appropriate Romanian authorities to prevent abuse of these
privileges.
5. Deposit of the certificate provided for in Article XI, paragraph 4 of the NATO SOFA
shall be accepted in lieu of a customs inspections by Romanian authorities of the items
imported or exported by or for the United States forces under this Article.
7
8
ARTICLE XIII
PERSONAL IMPORTATION AND EXPORTATION
1. The members of the force or civilian component and their dependents may import
their personal effects, furniture, private motor vehicles and other goods intended for
their personal or domestic use or consumption free of duty during their assignment in
Romania.
2. The property referred to in paragraph 1 of this Article and other goods acquired free
of taxes and duties may not be sold or otherwise transferred to persons in Romania not
entitled to import such property duty free, unless such transfer is agreed upon by the
appropriate Romanian authorities. This provision shall not apply to gifts to charity.
Members of the force, or civilian component and their dependents may freely transfer
such property amongst themselves and to or from the force, and such transfers shall be
free of tax or duty. The U.S. forces shall be responsible for maintaining records, which
will be accepted as proof by Romanian authorities of these transfers of tax or duty free
merchandise. Romanian authorities shall accept copies of duly filed police reports as
proof that duty free property of members of the force or civilian component or
dependents has been stolen, which shall relieve the individuals of any liability for
payment of the tax or duty.
3. Members of the force or civilian component and their dependents may re-export, free
of exit duties or charges, any goods imported by them into Romania or acquired by
them during their period of duty in Romania.
ARTICLE XIV
MOTOR VEHICLES
1. The Romanian authorities will honor the registration and licensing by United States
military and civilian authorities of motor vehicles and trailers of the force, or members of
the force, or the civilian component or dependents. Upon the request of United States
military authorities, the Romanian authorities shall issue license plates, without charge,
which are indistinguishable from those issued to the Romanian population at large.
2. The United States military authorities shall provide for the safety of motor vehicles
and trailers registered and licensed by them or used by the Force in Romania, and shall
cooperate with the Romanian authorities to safeguard the environment.
ARTICLE XV
DRIVERS' LICENSES
1. A license or other permit issued to a member of the force or of the civilian component
by United States military authorities empowering the holder to operate vehicles, vessels,
or aircraft of the force is valid for the operation of such vehicles, vessels or aircraft in
Romania.
2. Authorities of Romania will honor driving licenses issued by United States military
and civilian authorities for the operation of private motor vehicles by members of the
force or civilian component and their dependents if these authorities have determined
that, in addition to fitness to operate a motor vehicle, applicants possess adequate
knowledge of Romanian traffic regulations. In such cases international drivers' licenses
shall not be required.
3. (a) United States military authorities shall withdraw driving licenses valid in Romania,
in accordance with paragraphs 1 and 2 of this Article, if there is reasonable doubt
concerning the holders' reliability or fitness to operate a motor vehicle. They shall give
sympathetic consideration to requests made by Romanian authorities for the withdrawal
of such driving licenses. United States military authorities shall notify Romanian
authorities of all withdrawals made in accordance with this sub-paragraph and of all
cases where, after such withdrawal, a driving license has been re-issued.
(b) In cases where Romanian courts exercise jurisdiction pursuant to Article VII
of the NATO SOFA and Article IV of this Agreement, provisions of Romanian criminal
law relating to the withdrawal of permission to drive remain applicable with respect to
driving licenses referred to in paragraph 2 of this Article.
ARTICLE XVI
CUSTOMS PROCEDURES
1. Romania shall take all appropriate measures to ensure the smooth and rapid clearing
of imports and exports of the force, members of the force, the civilian component and
dependents by Romanian customs authorities.
2. Customs inspections under this Agreement will be carried out in the facilities in
accordance with procedures mutually agreed between the appropriate Romanian
authorities and the United States forces. Any inspection by Romanian customs
authorities of incoming or outgoing personal property of members of the force or civilian
component or dependents shall be conducted when the property is delivered to or
picked up from the individual's residence.
3. United States military authorities shall establish the necessary customs controls at
facilities where United States forces are located to prevent abuses of the rights granted
under the NATO SOFA and this Agreement. United States military authorities and
Romanian authorities shall cooperate in the investigation of any alleged offenses
involving customs violations.
ARTICLE XVII
MILITARY SERVICE ACTIVITIES
1. United States military authorities may establish, maintain and operate military service
exchanges, commissaries, other sales outlets, open messes, social and education
centers, and recreational service areas in Romania for use by members of the force or
civilian component and their dependents.
9
10
2. The organizations and activities referred to in paragraph 1 of this Article are integral
parts of the United States forces and shall be accorded the same fiscal and customs
exemptions granted to the force, including those provided in Articles X and XII of this
Agreement.
3. United States military authorities shall adopt appropriate measures to prevent the
sale of goods and property imported or acquired in Romania by the organizations
referred to in paragraph 1 of this Article to persons who are not authorized to patronize
such organizations.
ARTICLE XVIII
MILITARY POST OFFICES
1. The United States may establish, maintain and operate military post offices for use by
the force, members of the force, the civilian component, retirees of the United States
Armed Forces, and dependents.
2. Mail posted at such military post offices may bear stamps of the United States.
3. Official mail of the force shall be exempt from search or seizure by Romanian
authorities.
ARTICLE XIX
CURRENCY AND EXCHANGE
1. United States forces shall have the right to import, export and use United States
currency or instruments expressed in the currency of the United States in any amount.
2. United States military authorities may distribute to or exchange for members of the
force or civilian component and their dependents currency of, and instruments
denominated in the currency of:
(a) the United States;
(b) Romania; and
(c) any other country, to the extent required for the
purpose authorized travel, including travel on leave.
3. A member of the force or civilian component and a dependent may:
(a) import United States currency and instruments
denominated in currency of the United States; and
(b) export any currency other than that of Romania, and
instruments denominated in any such currency, provided
that such member or dependent has either imported such
currency or instruments, or received such currency or
instruments from the United States military
authorities.
11
4. United States military authorities shall, in cooperation with the authorities of Romania,
take appropriate measures in order to prevent any abuse of the rights granted under
this Article and to safeguard the system of foreign exchange Regulations of Romania
insofar as they apply to personnel covered by this Agreement.
ARTICLE XX
CONTRACTING PROCEDURES
1. In accordance with United States laws and regulations, the United States forces may
award contracts for the acquisition of articles and services, including construction, in
Romania. The United States forces may procure from any source.
2. United States forces may carry out construction works with their own personnel.
3. Individuals whose presence at a facility is required for the performance of a contract
shall be granted entrance into Romania within seven (7) working days of a request by
United States authorities. Such entrance may be denied or withdrawn for reasons of
security or due to the individual's misconduct. If the appropriate Romanian authorities
deny or withdraw such entrance they shall state the reasons for their decisions in writing
to the appropriate United States military authorities.
4. Romania shall accord to the force treatment in the matter of procurement of goods,
services and utilities not less favorable than is accorded to Romanian Armed Forces.
ARTICLE XXI
STATUS OF CONTRACTORS
United States citizens, firms, and third country nationals, firms, and corporations
exclusively serving the United States forces shall be exempt from the laws and
regulations of Romania, or any subdivision thereof, with respect to the terms and
conditions of their employment and licensing and registration of businesses and
corporations. Such contractors also shall be exempt from all income and corporate profit
taxes arising from the delivery to the United States forces of goods or services, or from
construction of facilities.
ARTICLE XXII
COMMUNICATIONS
The U. S. forces shall be allowed to operate telecommunications services, including
broadcast services. This shall include the right to utilize such means and services as are
required to ensure a full ability to communicate and the right to use, free of charge, such
frequencies all of the electro-magnetic spectrum as agreed upon for the purpose of this
Agreement. In implementing this right, the U.S. forces, in the interest of avoiding mutually
disruptive interference, as well as to assist Romania in fulfillment of its international
obligations, shall make every reasonable effort to coordinate the use of frequencies with the
relevant Romanian authorities.
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ARTICLE XXIII
IMPLEMENTATION AND SETTLEMENT OF DISPUTES
1. The Parties shall, by mutual agreement, develop such arrangements as are
necessary to carry out activities and operations under this Agreement, including the
modalities of entry into, stationing in, transit through and exit from the territory of
Romania of the United States forces, the civilian component and dependents.
2. Any disputes arising from the interpretation or implementation of this Agreement
shall be settled by consultations between the Parties, without recourse to any external
jurisdiction.
ARTICLE XXIV
ENTRY INTO FORCE AND DURATION
This Agreement shall enter into force on the date of the last notification by which the
Parties indicate that their internal legal requirements have been fulfilled. This
Agreement shall remain in force for an indefinite period.
Either Party may terminate this Agreement upon written notification to the other Party,
termination to be effective six months from the date of receipt of such notification.
This Agreement may be amended, at any time, by written agreement of the Parties. The
amendments shall enter into force according to the procedures set forth in the first
paragraph of this Article.
IN WITNESS WHEREOF, the undersigned, being duly authorized by their respective
governments, have signed this Agreement.
DONE at Washington, this 30th day of October, 2001, in duplicate, in the English and
Romanian languages, both texts being equally authentic. In case of disputes, the
English version of this Agreement will prevail.
FOR THE UNITED STATES OF AMERICA: FOR ROMANIA:

TREATIES AND OTHER INTERNATIONAL ACTS SERIES 13169

SOCIAL SECURITY

Agreement Between the
UNITED STATES OF AMERICA
and AUSTRALIA

Signed at Canberra September 27, 2001

with

Administrative Arrangement

NOTE BY THE DEPARTMENT OF STATE

Pursuant to Public Law 89—497, approved July 8, 1966
(80 Stat. 271; 1 U.S.C. 113)—

“. . .the Treaties and Other International Acts Series issued
under the authority of the Secretary of State shall be competent
evidence . . . of the treaties, international agreements other than
treaties, and proclamations by the President of such treaties and
international agreements other than treaties, as the case may be,
therein contained, in all the courts of law and equity and of maritime
jurisdiction, and in all the tribunals and public offices of the
United States, and of the several States, without any further proof
or authentication thereof.”

AUSTRALIA

Social Security

Agreement signed at Canberra September 27, 2001;
Entered into force October 1, 2002.
With administrative arrangement.

AGREEMENT
BETWEEN THE GOVERNMENT OF THE UNITED STATES OF
AMERICA
AND
THE GOVERNMENT OF AUSTRALIA
ON
SOCIAL SECURITY
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The Government of the United States of America and the Government of Australia
(hereinafter "the Parties"),
Being desirous of regulating the relationship between their two countries with
respect to social security benefits and coverage, have agreed as follows:
PART I
General Provisions
Article 1
Definitions
1. For the purpose of this Agreement:
(a) "Agency" means,
as regards the United States, the Social Security Administration,
and
as regards Australia, the institution or agency responsible for the
administration of the laws;
(b) "benefit" means, in relation to a Party, a benefit, pension or
allowance for which provision is made in the laws of that Party, and
includes any additional amount, increase or supplement for which a
beneficiary is qualified but, for Australia, does not include any
benefit, payment or entitlement under the law concerning the
superannuation guarantee;
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(c) "carer payment" means, in relation to Australia, a carer payment
payable to the partner of a person in receipt of an Australian benefit;
(d) "Competent Authority" means,
as regards the United States, the Commissioner of Social Security,
and
as regards Australia, the Secretary of the Commonwealth
Department responsible for the laws specified in subparagraph
1(b)(i) of Article 2 except in relation to the application of Part II of
the Agreement (including the application of other Parts of the
Agreement as they affect the application of that Part) where it
means the Commissioner of Taxation or an authorized
representative of the Commissioner;
(e) "laws" means,
as regards the United States, the laws and regulations specified in
subparagraph 1(a) of Article 2; and
as regards Australia, the laws specified in subparagraph 1(b)(i) of
Article 2 except in relation to the application of Part II of the
Agreement (including the application of other Parts of the
Agreement as they affect the application of that Part) where it
means the laws specified in subparagraph 1(b)(ii) of Article 2;
(f) "national" means,
as regards the United States, a national of the United States as
defined in Section 101, Immigration and Nationality Act, as
amended, and
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as regards Australia, a citizen of Australia;
(g) "period of Australian working life residence", in relation to a
person, means, unless otherwise provided in this Agreement, a
period:
(i) defined as such in the laws of Australia; and
(ii) during which the person was employed or self-employed or
the person's employer was subject to the laws specified in
subparagraph 1(b)(ii) of Article 2;
but does not include any United States period of coverage deemed
pursuant to Article 9 to be a period in which that person was an
Australian resident.
(h) "social security laws" means, in relation to Australia, all the Acts
forming the social security law without any limitation, including the
limitation imposed by Article 2;
(i) "United States period of coverage" means a period credited as a
quarter of coverage under the laws of the United States, or any
equivalent period that may be used to establish the right to a benefit
under the laws of the United States;
(j) "widowed person" means, in relation to Australia, a person who
stops being a partnered person because of the death of the person's
partner, but does not include a person who has a new partner.
2. Any term used in this Agreement and not defined in this Article shall have
the meaning assigned to it in the applicable laws.
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Article 2
Scope
1. For the purpose of this Agreement, the applicable laws are:
(a) As regards the United States, the laws governing the Federal old-
age, survivors, and disability insurance program:
Title II of the Social Security Act and regulations pertaining
thereto, except sections 226, 226A and 228 of that title and
regulations pertaining to those sections,
Chapters 2 and 21 of the Internal Revenue Code of 1986 and
regulations pertaining to those chapters;
(b) As regards Australia,
(i) the Acts forming the social security law insofar as the law
provides for, applies to or affects the following benefits:
(A) age pension;
(B) disability support pension for the severely disabled;
(C) pensions payable to widowed persons; and
(D) carer payment.
(ii) the law concerning the superannuation guarantee (which at
the time of signature of this Agreement is contained in the
Superannuation Guarantee (Administration) Act 1992, the
Superannuation Guarantee Charge Act 1992 and the
Superannuation Guarantee (Administration) Regulations).
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2. Notwithstanding the provisions of paragraph 1(b), this Agreement shall
apply to women who are receiving wife pension at the date this Agreement
comes into force and who are the wives of
(a) persons receiving age pension; or
(b) persons receiving disability support pension for the severely
disabled.
3. Unless otherwise provided in this Agreement, the laws referred to in
paragraph 1 shall not include treaties or other international agreements on
social security that may be concluded between one of the Parties and a third
State, or laws or regulations promulgated for their specific implementation.
4. This Agreement shall also apply to future laws which amend or supplement
the laws specified in paragraph 1 of this Article.
Article 3
Personal Scope
This Agreement shall apply to any person who:
(a) is or has been an Australian resident, or
(b) is or has been subject to the laws of Australia, or
(c) is or has been subject to the laws of the United States
and, where applicable, to other persons in regard to the rights they derive
from a person described above.
Article 4
Equality of Treatment
Persons designated in Article 3 who reside in the territory of a Party shall receive
equal treatment with nationals of that Party in the application of its laws regarding
eligibility for and the payment of benefits.
Article 5
Export of Benefits
1. Unless otherwise provided in this Agreement, any provision of the laws of
a Party which restricts entitlement to or payment of benefits solely because
the person resides outside or is absent from the territory of that Party shall
not be applicable to the persons who reside in the territory of the other
Party.
2. Where the laws of a Party provide or allow that a benefit be payable in a
third country, then that benefit, when payable by virtue of Part III, is also
payable in that third country.
3. Where qualification for an Australian benefit is subject to limitations as to
time, then references to Australia in those limitations shall be read also as
references to the United States when that benefit is payable by virtue of this
Agreement.
4. A benefit payable by a Party by virtue of this Agreement or under its laws
shall be paid by that Party without the deduction of administrative fees and
charges by the government or the corresponding Competent Authority for
processing and paying that benefit, when the person qualifying for the
benefit is in the territory of the other Party.
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5. Any provisions of Australian laws which prohibit the payment of an
Australian benefit to a former Australian resident who:
(a) returns to Australia to again become an Australian resident;
(b) claims an Australian benefit; and
(c) departs Australia within a period specified in that law,
shall not apply to a person who receives that benefit by virtue of the
Agreement.
6. Section 202(t)(11)(E) of the Social Security Act of the United States shall
not apply to an Australian national unless he or she is a resident of the
United States, Australia or a third country with which the United States has
a Social Security agreement in force concluded pursuant to section 233 of
the Social Security Act.
PART II
Provisions Concerning Applicable Laws
Article 6
Coverage Provisions
1. This Part only applies, with respect to an employee, or the employer of that
employee, where either or both of the following circumstances occur:
(a) without the application of this Part an employee or the employer of
that employee would otherwise be covered by both the laws of
Australia and the United States;
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(b) the employee has been sent from the territory of the United States to
the territory of Australia in accordance with paragraph 3 and, based
upon documentation issued by the Agency of the United States, the
employee and employer are subject to United States laws.
2. Except as otherwise provided in this Article, a person employed within the
territory of one of the Parties and the person's employer shall, with respect
to that employment, be subject to the laws of only that Party.
3. Where a person who is normally employed in the territory of one Party by
an employer in that territory is sent by that employer to the territory of the
other Party for a temporary period, the person and the person's employer
shall be subject to the laws of only the first Party as if the employee were
employed in the territory of the first Party provided that the period of
employment in the territory of the other Party is not expected to and does
not exceed 5 years. After 5 years, any further period of employment shall
be subject to the laws of the other Party.
4. For the purposes of applying paragraph 3 in the case of an employee who is
sent from the territory of the United States by an employer in that territory
to the territory of Australia, that employer and an affiliated company of the
employer (as defined under the laws of the United States) shall be
considered one and the same, provided that the employment would have
been covered under United States laws in the absence of this Agreement.
5. For the purposes of applying paragraph 3 in the case of an employee who is
sent from the territory of Australia by an employer in that territory to the
territory of the United States, that employer and a related entity of the
employer shall be considered one and the same. An entity is a related
entity of an employer if the entity and the employer are members of the
same wholly or majority owned group.
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6. Paragraph 3 shall apply where a person who has been sent by his or her
employer from the territory of a Party to the territory of a third State is
subsequently sent by that employer from the territory of the third State to
the territory of the other Party.
7. Where a person who is a resident of the United States works in the capacity
of a self-employed person, the person shall be subject to the laws of only
the United States.
8. Where a national of the United States who is a resident of Australia works
in the capacity of a self-employed person, the person shall not be subject to
the laws of the United States.
9. Where the same activity is considered to be self-employment under the
laws of one Party and employment under the laws of the other Party, that
activity shall be treated according to the provisions of this Article
concerning self-employment.
10. A person, or that person's employer, who would otherwise be covered
under the laws of both Parties with respect to employment of that person as
an officer or member of a crew on a ship or aircraft shall, with respect to
that employment, be subject only to the laws of the Party of which that
person is a resident.
11. This Agreement shall not affect the provisions of the Vienna Convention
on Diplomatic Relations of April 18, 1961, or of the Vienna Convention on
Consular Relations of April 24, 1963.
12. If an employee:
(i) is subject to the laws of one Party ("the first Party");
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(ii) was sent, whether before, on or after the entry into force of this
Agreement, by the Government of the first Party to work in the
territory of the other Party ("the second Party");
(iii) is working in the territory of the second Party in the employment of
the Government of the first Party;
(iv) is not working permanently in the territory of the second Party; and
(v) is not exempt from the laws of the second Party by virtue of the
conventions mentioned in paragraph 11;
the Government of the first Party and the employee shall be subject only to
the laws of the first Party, and, if the spouse of the employee also meets the
conditions specified in subparagraphs (iii)-(v), the spouse and the
Government of the first Party shall be subject only to the laws of the first
Party for that employment. For the purposes of this paragraph,
"Government" includes, in relation to the United States, an instrumentality
of the United States and, in relation to Australia, a political subdivision or
local authority of Australia.
13. The Competent Authorities of the two Parties may for the purposes of this
Article by agreement in writing:
(a) extend the period of 5 years referred to in paragraph 3 for any
employee; or
(b) provide that an employee is deemed to work in the territory of a
particular Party or on a ship or aircraft in international traffic under
the laws of a particular Party and is subject only to the laws of that
Party.
14. Any agreement made under paragraph 13 may apply to either or both of the
following:
(a) a class of employees;
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(b) particular work or a particular type of work (including work that has
not occurred at the time such agreement is made).
PART III
Provisions on Benefits
Article 7
United States Benefits
1. Where a person has completed at least six quarters of coverage under
United States laws, but does not have sufficient periods of coverage to
satisfy the requirements for entitlement to benefits under United States
laws, the Agency of the United States shall take into account, for the
purpose of establishing entitlement to benefits under this Article, periods of
Australian working life residence which do not coincide with periods of
coverage already credited under United States laws.
2. In determining eligibility for benefits under paragraph 1 of this Article, the
Agency of the United States shall credit one quarter of coverage for every
three months of Australian working life residence certified by the Agency
of Australia; however, no period of Australian working life residence shall
be credited for any calendar quarter already credited as a quarter of
coverage under United States laws. The total number of quarters of
coverage to be credited for a year shall not exceed four.
3. Where entitlement to a benefit under United States laws is established
according to the provisions of paragraph 1, the Agency of the United States
shall compute a pro rata Primary Insurance Amount in accordance with
United States laws based on (a) the person's average earnings credited
exclusively under United States laws and (b) the ratio of the duration of the
person's periods of coverage completed under United States laws to the
duration of a coverage lifetime as determined in accordance with
United States laws. Benefits payable under United States laws shall be
based on the pro rata Primary Insurance Amount.
4. Entitlement to a benefit from the United States which results from
paragraph 1 shall terminate with the acquisition of sufficient periods of
coverage under United States laws to establish entitlement to an equal or
higher benefit without the need to invoke the provision of paragraph 1 of
this Article.
Article 8
Residence or Presence in the United States or a Third State for Australian Benefits
1. Where a person would be qualified under the laws of Australia or by virtue
of this Agreement for a benefit except for not being an Australian resident
and in Australia on the date on which the claim for that benefit is lodged,
but:
(a) is an Australian resident or residing in the United States or a third
State with which Australia has concluded an agreement on social
security that includes provision for cooperation in the assessment
and determination of claims for benefits; and
(b) is in Australia, or the United States or that third State,
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14
that person, so long as he or she has been an Australian resident at some
time, shall be deemed, for the purpose of lodging that claim, to be an
Australian resident and in Australia on that date.
2. For the purposes of qualification for a carer payment as defined in this
Agreement, which is payable by virtue of this Agreement, a person who is
in the United States shall be regarded as being in Australia.
Article 9
Totalization in Relation to Australian Benefits
1. Where a person to whom this Agreement applies has claimed an Australian
benefit under this Agreement and has accumulated:
(a) a period as an Australian resident that is less than the period
required to qualify that person, on that ground, for that benefit
under the laws of Australia;
(b) a period of Australian working life residence equal to or greater
than the period identified in accordance with paragraph 4 for that
person; and
(c) a United States period of coverage,
then for the purposes of a claim for that Australian benefit, that United
States period of coverage shall be deemed, only for the purposes of meeting
any minimum qualifying periods for that benefit set out in the laws of
Australia, to be a period as an Australian resident.
2. For the purposes of paragraph 1, where a person:
15
(a) has been an Australian resident for a continuous period which is
less than the minimum continuous period required by the laws of
Australia for entitlement of that person to a benefit; and
(b) has accumulated United States periods of coverage in two or more
separate periods that equal or exceed in total the period referred to
in subparagraph (a),
the total of the United States periods of coverage shall be deemed to be one
continuous period.
3. For all purposes of this Article, where a period as an Australian resident
and a United States period of coverage coincide, the period of coincidence
shall be taken into account once only by Australia as a period as an
Australian resident but when it is not possible for the United States Agency
to determine the time when specific periods of coverage were completed in
any one calendar year, it shall be assumed that those periods of coverage do
not coincide with periods in that year as an Australian resident but in no
case shall the total of all those periods exceed one calendar year.
4. The minimum period of Australian working life residence to be taken into
account for the purposes of paragraph 1 shall be:
(a) for the purposes of an Australian benefit that is payable to a person
who is outside Australia, the minimum period required shall be 12
months, of which at least 6 months must be continuous; and
(b) for the purpose of an Australian benefit that is payable to a person
who is in Australia, there shall be no minimum period.
Article 10
Calculation of Australian Pro-Rata Benefits
1. Subject to paragraphs 2, 3 and 4, where an Australian benefit is payable by
virtue of this Agreement or otherwise, to a person who is outside Australia
the rate of that benefit shall be determined according to the laws of
Australia but, when assessing the income of that person for the purposes of
calculating the rate of the Australian benefit, only a proportion of any
United States benefit paid to that person under the laws specified in Article
2(1)(a) shall be regarded as income. That proportion shall be calculated by
multiplying the number of whole months accumulated by that person in a
period of working life residence in Australia (not exceeding 300) by the
amount of that United States benefit and dividing that product by 300.
2. A person referred to in paragraph 1 shall be entitled to receive the
concessional assessment of income described in that paragraph only for any
period during which the rate of that person's Australian benefit is
proportionalized under the laws of Australia.
3. When an Australian benefit is payable by virtue of this Agreement or
otherwise to a person who is outside Australia, benefits payable under the
Supplemental Security Income program of the United States and other
benefits of a similar character payable under the laws of the United States
or any political subdivision thereof shall not be counted as income for the
purposes of calculating the rate of an Australian benefit.
4. The provisions in paragraphs 1 and 3 shall continue to apply for 26 weeks
where a person returns temporarily to Australia.
5. Subject to the provisions of paragraphs 6 and 7, where an Australian benefit
is payable by virtue of this Agreement to a person who is in Australia, the
rate of that benefit shall be determined by:
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17
(a) calculating that person's income according to the laws of Australia
but disregarding in that calculation any United States benefit
received by that person and by the partner of that person;
(b) deducting the amount of the United States benefit received by that
person from the maximum rate of that Australian benefit; and
(c) applying to the remaining benefit obtained under subparagraph (b)
the relevant rate calculation set out in the laws of Australia, using as
the person's income the amount calculated under subparagraph (a).
6. The provisions in paragraph 5 shall continue to apply for 26 weeks where a
person departs temporarily from Australia.
7. Where the rate of a benefit calculated in accordance with paragraph 5 is
less than the rate of that benefit which would be payable under paragraph 1
if the person concerned were outside Australia, the first-mentioned rate
shall be increased to an amount equivalent to the second-mentioned rate.
8. Where a member of a couple is, or both that person and his or her partner
are, entitled to a United States benefit or benefits, each of them shall be
deemed, for the purpose of paragraphs 1 and 5 and for the laws of
Australia, to be entitled to half of either the amount of that benefit or total
of both of those benefits, as the case may be.
Article 11
Australian Working Life Residence
For the purposes of Articles 9 and 10, a period of Australian working life residence
in relation to a person means a period defined as such in the laws of Australia.
PART IV
Miscellaneous Provisions
Article 12
Administrative Arrangements
The Competent Authorities of the two Parties shall:
(a) make all necessary administrative arrangements for the
implementation of this Agreement and designate liaison agencies;
(b) communicate to each other information concerning the measures
taken for the application of this Agreement; and
(c) communicate to each other, as soon as possible, information
concerning all changes in their respective laws which may affect the
application of this Agreement.
Article 13
Exchange of Information and Mutual Assistance
1. The Competent Authorities and the Agencies of the Parties, within the
scope of their respective authorities, shall assist each other in implementing
this Agreement. This assistance shall be free of charge, subject to
exceptions to be agreed upon in an administrative arrangement.
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19
2. Unless otherwise required by the national statutes of a Party, information
about an individual which is transmitted in accordance with the Agreement
to that Party by the other Party shall be used exclusively for purposes of
implementing the Agreement. Such information received by a Party shall
be governed by the national statutes of that Party for the protection of
privacy and confidentiality of personal data.
3. In no case shall paragraphs 1 or 2 be construed so as to impose on the
Competent Authority or an Agency of a Party the obligation:
(a) to carry out administrative measures at variance with the statutes or
the administrative practice of that or of the other Party; or
(b) to furnish information which is not obtainable under the statutes or
in the normal course of the administrative practice of that or of the
other Party.
Article 14
Documents
1. Where the laws of a Party provide that any document which is submitted to
the Competent Authority or Agency of that Party shall be exempted, wholly
or partly, from fees or charges, including consular and administrative fees,
the exemption shall also apply to corresponding documents which are
submitted to the Competent Authority or Agency of the other Party in the
application of this Agreement.
2. Documents and certificates which are presented for purposes of this
Agreement shall be exempted from requirements for authentication by
diplomatic or consular authorities.
20
3. Copies of documents which are certified as true and exact copies by the
Agency of one Party shall be accepted as true and exact copies by the
Agency of the other Party, without further certification. The Agency of
each Party shall be the final judge of the probative value of the evidence
submitted to it from whatever source.
Article 15
Correspondence
The Competent Authorities and Agencies of the Parties may correspond directly
with each other and with any person wherever the person may reside whenever it is
necessary for the administration of this Agreement.
Article 16
Applications for Benefits
1. A written application for benefits filed with the Agency of one Party shall
protect the rights of the claimants under the laws of the other Party if the
applicant requests that it be considered an application under the laws of the
other Party.
2. If an applicant has filed a written application for benefits with the Agency
of one Party and has not explicitly requested that the application be
restricted to benefits under the laws of that Party, the application shall also
protect the rights of the claimants under the laws of the other Party if the
applicant provides information at the time of filing indicating that the
person on whose record benefits are claimed has completed periods under
the laws of the other Party, as defined in subparagraphs 1(g)(i) or 1(i) of
Article 1.
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3. The provisions of Part III shall apply to benefits under United States laws
only if an application is filed on or after the date this Agreement enters into
force.
Article 17
Determination of Claims
1. In determining the eligibility or entitlement of a person to a benefit by
virtue of this Agreement:
(a) a period as an Australian resident and a United States period of
coverage; and
(b) any event which is relevant to that eligibility or entitlement,
shall, subject to this Agreement, be taken into account to the extent that
those periods or those events are applicable in regard to that person and
whether they were accumulated or occurred before, on or after the date on
which this Agreement enters into force. However, neither Party shall take
into account such periods of coverage or residence that occurred prior to
the earliest date for which periods of coverage or residence may be credited
under its laws.
2. Where:
(a) a benefit is paid by the United States to a person in respect of a past
period whether by virtue of this Agreement or otherwise; and
(b) for all or part of that period, Australia has paid to that person a
pension, benefit or allowance under its social security laws; and
22
(c) the amount of the pension, benefit or allowance paid by Australia
would have been reduced had the benefit paid by the United States
been paid during that period;
then
(d) the amount that would not have been paid by Australia had the
benefit described in subparagraph (a) been paid on a periodical
basis throughout that past period, shall be a debt due by that person
to Australia and may be recovered by Australia; and
(e) Australia may recover all or part of that debt under the provisions of
the Acts forming the social security law of Australia.
3. This Agreement shall not establish any claim to payment of a benefit for
any period before the date of the entry into force of the Agreement, or to a
lump-sum death benefit under United States laws if the person died before
the date of entry into force of the Agreement.
Article 18
Prescribed Time Limits and Appeals
1. Any claim, notice or written appeal which, under the laws of one Party,
must have been filed within a prescribed period with the Agency of that
Party, but which is instead filed within the same period with the Agency of
the other Party, shall be considered to have been filed on time.
2. A written appeal against a decision made by the Agency of one Party may
be validly filed with the Agency of either Party. The appeal shall be dealt
with according to the procedure and laws of the Party whose decision is
being appealed.
3. In relation to a decision made by the Agency of Australia, the reference in
paragraph 2 to a written appeal is a reference to an appeal that may be made
to an administrative body established by, or administratively for the
purposes of, the social security laws of Australia.
Article 19
Currency
1. Payments under this Agreement may be made in the currency of the Party
making the payments.
2. In case provisions designed to restrict the exchange or exportation of
currencies are introduced by either Party, the Governments of both Parties
shall immediately take measures necessary to ensure the transfer of sums
owed by either Party under this Agreement.
Article 20
Resolution of Disputes
Any disagreement regarding the interpretation or application of this Agreement
shall be resolved by consultation between the Competent Authorities.
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Article 21
Supplementary Agreements
This Agreement may be amended in the future by supplementary agreements
which, from their entry into force, shall be considered an integral part of this
Agreement. Such agreements may be given retroactive effect if they so specify.
Article 22
Review of Agreement
Where a Party requests the other to meet to review this Agreement, the Parties
shall meet for that purpose no later than 6 months after that request was made and,
unless the Parties otherwise agree, their meeting shall be held in the country to
which that request was made.
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PART V
Transitional and Final Provisions
Article 23
Transitional Provisions
1. In applying paragraph 3 of Article 6, in the case of persons who were sent
to the territory of a Party prior to the date of entry into force of this
Agreement, the period of employment referred to in that paragraph shall be
considered to begin on that date.
2. Determinations concerning entitlement to benefits which were made before
the entry into force of this Agreement shall not affect rights arising under it.
Article 24
Entry into Force and Termination
1. This Agreement shall enter into force on the first day of the third month
following the month in which notes are exchanged by the Parties through
the diplomatic channel notifying each other that all constitutional or
legislative matters as are necessary to give effect to this Agreement have
been finalized
2. Subject to paragraph 3, this Agreement shall remain in force until the
expiration of 12 months from the date on which either Party received from
the other a note through the diplomatic channel indicating the intention of
the other Party to terminate this Agreement.
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26
3. In the event that this Agreement is terminated in accordance with paragraph
2, the Agreement shall continue to have effect in relation to the benefit
entitlements of all persons who:
(a) at the date of termination, are in receipt of benefits; or

(b) prior to the expiry of the period referred to in that paragraph, have
lodged claims for, and would be entitled to receive, benefits by
virtue of this Agreement.
IN WITNESS WHEREOF, the undersigned, being duly authorized thereto, have
signed the present Agreement.
DONE in duplicate at Canberra this twenty seventh day of September 2001.
FOR THE GOVERNMENT OF THE FOR THE GOVERNMENT OF
UNITED STATES OF AMERICA: AUSTRALIA:
ADMINISTRATIVE ARRANGEMENT
FOR THE IMPLEMENTATION OF THE AGREEMENT
BETWEEN
THE GOVERNMENT OF THE UNITED STATES OF AMERICA
AND
THE GOVERNMENT OF AUSTRALIA
ON SOCIAL SECURITY
The Competent Authority of the United States of America and
the Competent Authority of Australia,
In conformity with Article 12, paragraph (a), of the Agreement between the United States
of America and Australia on Social Security of this date, hereinafter referred to as the
"Agreement", have agreed as follows:
CHAPTER I
General Provisions
Article 1
The terms used in this Administrative Arrangement shall have the same meaning as in the
Agreement.
Article 2
1. The liaison agencies referred to in Article 12, paragraph (a), of the Agreement shall
be:
(a) for the United States, the Social Security Administration,
(b) for Australia, Centrelink, except in relation to the application of Part II of
the Agreement (including the application of other Parts of the Agreement
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3
as they affect the application of that Part) where it means the Australian
Taxation Office.
2. The liaison agencies designated in paragraph 1 shall agree upon the joint
procedures and forms necessary for the implementation of the Agreement and this
Administrative Arrangement.
CHAPTER II
Provisions on Coverage
Article 3
1. Where the laws of a Party are applicable in accordance with any of the provisions
of Article 6 of the Agreement, the Agency of that Party, upon request of the
employer or self-employed person, shall, in circumstances agreed upon by the
Parties, issue a certificate stating that the employee, or the employer with respect
to that employee, or self-employed person is subject to those laws and indicating
the duration for which the certificate shall be valid. This certificate shall be proof
that the named worker and the employer in respect of the named worker are
exempt from the laws on compulsory coverage of the other Party.
2. The certificate referred to in paragraph 1 shall be issued:
(a) in the United States, by the Social Security Administration,
(b) in Australia, by the Commissioner of Taxation or an authorized
representative of the Commissioner.
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3. The Agency of a Party which issues a certificate referred to in paragraph 1 shall
furnish a copy of the certificate or agreed details of the certificate to the liaison
agency of the other Party as needed by the latter Agency.
CHAPTER III
Provisions on Benefits
Article 4
1. Applications for benefits under the Agreement shall be submitted on forms to be
agreed upon by the liaison agencies of the two Parties.
2. The Agency of the Party with which an application for benefits is first filed in
accordance with Article 16 of the Agreement shall provide the liaison agency of
the other Party with such evidence and other information as may be required to
complete action on the claim.
3. The Agency of a Party which receives an application that was first filed with an
Agency of the other Party shall without delay provide the liaison agency of that
other Party with such evidence and other available information as may be required
for it to complete action on the claim.
4. The Agency of the Party with which an application for benefits has been filed shall
verify the information pertaining to the applicant and the applicant's family
members. The types of information to be verified shall be agreed upon by the
liaison agencies of both Parties.
CHAPTER IV
Miscellaneous Provisions
Article 5
In accordance with measures to be agreed upon pursuant to Article 2, paragraph 2, of this
Administrative Arrangement, the Agency of one Party shall, upon request of the Agency
of the other Party, furnish available information relating to the claim of any specified
individual for the purpose of administering the Agreement.
Article 6
The liaison agencies of the two Parties shall exchange statistics on the number of
certificates issued under Article 3 of this Administrative Arrangement and on the
payments made to beneficiaries under the Agreement. These statistics shall be furnished
annually in a form to be agreed upon.
Article 7
1. Where administrative assistance is requested under Article 13 of the Agreement,
expenses other than regular personnel and operating costs of the Agency providing
the assistance shall be reimbursed, except as may be agreed to by the Competent
Authorities or liaison agencies of the Parties.
5
6
2. Upon request, the liaison agency of either Party shall furnish without cost to the
liaison agency of the other Party any medical information and documentation in its
possession relevant to the disability of the claimant or beneficiary.
3. Where the Agency of a Party requires that a person in the territory of the other
Party who is receiving or applying for benefits under the Agreement submit to a
medical examination, such examination, if requested by that Agency, shall be
arranged by the liaison agency of the other Party in accordance with the rules of
the Agency making the arrangements and at the expense of the Agency which
requests the examination.
4. The liaison agency of one Party shall reimburse amounts owed under paragraph 1
or 3 of this Article upon presentation of a statement of expenses by the liaison
agency of the other Party.
Article 8
This Administrative Arrangement shall enter into force on the date of entry into force of
the Agreement and shall have the same period of validity.
DONE in duplicate at Canberra on this twenty seventh day of September 2001.
For the Competent Authority
of the United States of America:
For the Competent Authority of
Australia:

TREATIES AND OTHER INTERNATIONAL ACTS SERIES 13168

ATOMIC ENERGY

Cooperation

Protocol Between the
UNITED STATES OF AMERICA
and MOROCCO

Amending the Agreement of May 30, 1980

Signed at Rabat September 20, 2001

NOTE BY THE DEPARTMENT OF STATE

Pursuant to Public Law 89—497, approved July 8, 1966
(80 Stat. 271; 1 U.S.C. 113)—

“. . .the Treaties and Other International Acts Series issued
under the authority of the Secretary of State shall be competent
evidence . . . of the treaties, international agreements other than
treaties, and proclamations by the President of such treaties and
international agreements other than treaties, as the case may be,
therein contained, in all the courts of law and equity and of maritime
jurisdiction, and in all the tribunals and public offices of the
United States, and of the several States, without any further proof
or authentication thereof.”

MOROCCO

Atomic Energy: Cooperation

Protocol amending the agreement of May 30, 1980.
Signed at Rabat September 20, 2001;
Entered into force August 9, 2002.

PROTOCOL AMENDING THE AGREEMENT FOR COOPERATION
BETWEEN THE GOVERNMENT OF THE UNITED STATES OF AMERICA
AND THE GOVERNMENT OF THE KINGDOM OF MOROCCO
CONCERNING PEACEFUL USES OF NUCLEAR ENERGY
The Government of the United States of America and the
Government of the Kingdom of Morocco ("the Parties");
Desiring to amend the Agreement for Cooperation Between the
Government of the United States of America and the
Government of the Kingdom of Morocco Concerning Peaceful
Uses of Nuclear Energy, signed at Washington on May 30,
1980 ("the Agreement");
Have agreed as follows:
ARTICLE 1
Paragraph 2 of Article 7 of the Agreement is amended to
read in its entirety:
"2. To fulfill the requirement in paragraph 1, each party
shall apply measures in accordance with levels of physical
protection at least equivalent to the recommendations
published in IAEA document INFCIRC/225/Rev.4 entitled 'The
Physical Protection of Nuclear Material and Nuclear
Facilities,' and subsequent revisions of that document as
agreed by the parties."
ARTICLE 2
Paragraph 1 of Article 12 of the Agreement is amended to
read in its entirety:
"1. This Agreement shall enter into force on the date on
which the parties notify each other by exchange of
diplomatic notes that they have satisfied their legal
requirements. It shall remain in force until May 16, 2021,
and shall continue in force thereafter for additional
periods of five years each. Either party may, by giving at
least six months' written notice to the other party,
terminate this Agreement on May 16, 2021, or at the end of
any subsequent five-year period."
ARTICLE 3
The Annex to the Agreement, the table attached to the
Annex, and, in the Agreed Minute to the Agreement, the
heading "Transitional Arrangements" and the paragraph
following that heading are deleted from the Agreement.
ARTICLE 4
This Protocol shall enter into force on the date on which
the Parties exchange diplomatic notes informing each other
that they have complied with all applicable requirements
for its entry into force.
IN WITNESS WHEREOF the undersigned, being duly authorized,
have signed this Protocol.
DONE at RABAT, this 2Oth day of September, 2001, in
duplicate, in the English, Arabic and French languages, all
texts being equally authentic.
FOR THE GOVERNMENT OF FOR THE GOVERNMENT OF
THE UNITED STATES OF AMERICA: THE KINGDOM OF MOROCCO: