For reply please quote IGR/AB 29436 - DOC/10/163679...and the Self-Defense Forces of Japan,...

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For reply please quote : IGR/AB - TF1101 29436 - DOC/10/163679 ® 2 MAR 2011 Mr Neil Laurie Clerk of the Parliament Parliament House George Street BRISBANE QLD 4000 Executive Building ioo George Street Brisbane PO Box 15185 City East Queensland 4002 Australia Telephone + 61 7 3224 4500 Facsimile +617 3221 3631 Email [email protected] Website www.thepremier.gld.gov.au In accordance with parliamentary procedures , I wish to table correspondence from the Federal Parliament ' s Joint Standing Committee on Treaties (JSCOT) in the Legislative Assembly. The attached material for tabling includes: a copy of the correspondence from the Chair of the JSCOT regarding the proposed international treaty actions tabled in both houses of Federal Parliament on 28 October, 24 and 25 November 2010, 9 and 10 February 2011 the Treaties and National Interest Analyses for the proposed treaty actions. Treaty tabled on 28 October 2010: Agreement between the Government of Australia and the Government of Japan concerning Reciprocal Provision of Supplies and Services between the Australian Defence Force and the Self-Defence Forces of Japan done at Tokyo, 19 May 2010. Treaties tabled on 24 November 2010: Air Services Agreement between the Government of Australia and the Government of the Federative Republic of Brazil, done at Brasilia on 21 April 2010 Agreement between the Government of Australia and the Government of the United Mexican States relating to Air Services, done at Mexico City on 9 April 2010 Air Services Agreement between the Government of Australia and the Government of the Republic of Turkey, done at Ankara on 28 April 2010 Protocol of 2002 to the Occupational Safety and Health Convention, 1981 (Geneva, 3 June 2002) ILO Convention 162, Asbestos, 1986 (Geneva, 4 June 1986) ILO C175 Part-Time Work Convention, 1994 (Geneva, 7 June 1994) Maritime Labour Convention, 2006 (No. 186) (Geneva, 7 February 2006). Queensland G overnment

Transcript of For reply please quote IGR/AB 29436 - DOC/10/163679...and the Self-Defense Forces of Japan,...

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For reply please quote : IGR/AB - TF110129436 - DOC/10/163679

® 2 MAR 2011

Mr Neil LaurieClerk of the ParliamentParliament HouseGeorge StreetBRISBANE QLD 4000

Executive Buildingioo George Street Brisbane

PO Box 15185 City EastQueensland 4002 Australia

Telephone +61 7 3224 4500Facsimile +617 3221 3631Email [email protected] www.thepremier.gld.gov.au

In accordance with parliamentary procedures , I wish to table correspondence from theFederal Parliament 's Joint Standing Committee on Treaties (JSCOT) in the LegislativeAssembly.

The attached material for tabling includes:

• a copy of the correspondence from the Chair of the JSCOT regarding theproposed international treaty actions tabled in both houses of Federal Parliamenton 28 October, 24 and 25 November 2010, 9 and 10 February 2011

• the Treaties and National Interest Analyses for the proposed treaty actions.

Treaty tabled on 28 October 2010:

• Agreement between the Government of Australia and the Government of Japanconcerning Reciprocal Provision of Supplies and Services between the AustralianDefence Force and the Self-Defence Forces of Japan done at Tokyo, 19 May2010.

Treaties tabled on 24 November 2010:

• Air Services Agreement between the Government of Australia and theGovernment of the Federative Republic of Brazil, done at Brasilia on 21 April 2010

• Agreement between the Government of Australia and the Government of theUnited Mexican States relating to Air Services, done at Mexico City on9 April 2010

• Air Services Agreement between the Government of Australia and theGovernment of the Republic of Turkey, done at Ankara on 28 April 2010

• Protocol of 2002 to the Occupational Safety and Health Convention, 1981(Geneva, 3 June 2002)

• ILO Convention 162, Asbestos, 1986 (Geneva, 4 June 1986)

• ILO C175 Part-Time Work Convention, 1994 (Geneva, 7 June 1994)

• Maritime Labour Convention, 2006 (No. 186) (Geneva, 7 February 2006).

QueenslandG overnment

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Treaty tabled on 25 November 2010:

• Resolution MEPC. 186(59), Adopted on 17 July 2009 Amendments to the Annex ofthe Protocol of 1978 Relating to the International Convention for the Prevention ofPollution from Ships, 1973 (London, 17 July 2009).

Treaties tabled on 9 February 2011:

• Third protocol Amending the Treaty of Amity and Cooperation in Southeast Asia(Hanoi, 23 July 2010)

• Agreement between Australia and the Slovak Republic on Social Security (NewYork, 21 September 2010)

• Amendments to the Convention Establishing the Multilateral InvestmentGuarantee Agency to Modernise the Mandate of the Multilateral InvestmentGuarantee Agency, Done at Seoul on 11 October 1985

• Amendments to the International Finance Corporation Articles of Agreement, doneat Washington DC on 20 July 1956

• Agreement between the Government of Australia and the government of NewZealand on Trans-Tasman Court Proceedings and Regulatory. Enforcement, doneat Christchurch on 24 July 2008 (Christchurch 24 July 2008)

• Agreement between the Government of Australia and the government of theRepublic of South Africa concerning the Co-Production of Films, done at Pretoriaon 18 June 2010 (Pretoria, 18 June 2010).

Treaty tabled on 10 February 2011:

• Treaty between Australia and the People's Republic of China concerning Transferof Sentenced Persons, (Sydney, 6 September 2007).

Thank you for your assistance in arranging the tabling of this material as soon aspossible.

Yours sincerely

ANNA BLIGH MPPREMIER OF QUEEN

*Encls

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Bronwyn Edmeades

From: SCOTSent : Friday, 3 December 2010 11:14 AMTo: SCOTSubject : Treaty tabled on 28 October 2010Attachments : japan_nia.pdf; japan_text.pdf

From : Luschtinetz, Heidi (REPS) [mailto•Heidi. Luschtinetz.Reps(Taph.gov.aul On Behalf Of Committee, Treaties

(REPS)Sent : Monday, 1 November 2010 11:21 AMTo: Andrew Kefford; SCOT; Graham Chandler; Jerome Partridge; Jonathan Faulkner; Kate Hastings; Kelly Sarah; LizDevelin; Lyn Genoni; Mark Duckworth; R Young; SA; SCOT Act; SCOT Tas; [email protected]; Stephanie PageSubject : Treaty tabled on 28 October 2010

TO MEMBERS OF SCOT

PROPOSED INTERNATIONAL TREATY ACTIONS

The Joint Standing Committee on Treaties invites comment on the following proposed treatywhich was tabled in both Houses of the Parliament:

Treaty tabled on 28 October 2010:

• Agreement between the Government of Australia and the Government of Japan concerningReciprocal Provision of Supplies and Services between the Australian Defence Force and the Self-

Defense Forces of Japan (Tokyo, 19 May 2010

Electronic copies of each of these agreements, and explanatory information about their purposesand impact, are available through the Committee's website athttp://www aphgo v au/house/committee/jsct/28october2Ol0/tor.htm

Hard copies of the documents can be requested by telephoning the Committee Secretariat on (02)

6277 4002.

The Committee would be pleased to receive your comments by Friday, 12 November 2010 if

possible. Please email to [email protected] or post to the mailing address below:

The SecretaryJoint Standing Committee on Treaties

PO Box 6021Parliament HouseCanberra ACT 2600

1

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Bronwyn Edmeades

From: SCOTSent : Friday, 3 December 2010 11:21 AMTo: SCOTSubject : TRIM: Treaties tabled on 24 and 25 November 2010Attachments : brazil _nia[1].pdf; brazil _text[1].pdf; ilo_asbestos_nia[1].pdf; ilo_asbestos_text[1].pdf;

ilo_health_nia[1 ].pdf; ilo_health_text[1 ].pdf; ilo_maritime_nia[1 ].pdf;ilo_maritime_text[1].pdf; ilo_work_nia[1].pdf; ilo_work_text[1].pdf; marpol_nia[1].pdf;marpol_text[1].pdf; mexico_nia[1].pdf; mexico_text[1].pdf; turkey_nia[1].pdf;turkey_text[1 ].pdf

From : Luschtinetz, Heidi (REPS) [mailto:Heidi. Luschtinetz.Reps©aph. oq v.auj On Behalf Of Committee, Treaties(REPS)Sent : Thursday, 25 November 2010 3:19 PMTo: Andrew Kefford; SCOT; Graham Chandler; Jerome Partridge; Jonathan Faulkner; Kelly Sarah; Liz Develin; LynGenoni; Mark Duckworth; R Young; SA; SCOT Act; SCOT Tas; SCOTCa?dpc.vic.gov.au; Stephanie PageSubject : TRIM: Treaties tabled on 24 and 25 November 2010

TO MEMBERS OF SCOT

PROPOSED INTERNATIONAL TREATY ACTIONS

The Joint Standing Committee on Treaties invites comment on the following proposed treatieswhich were tabled in both Houses of the Parliament:

Treaties tabled on 24 November 2010:

• Air Services Agreement between the Government of Australia and the Government of the FederativeRepublic of Brazil, done at Brasilia on 21 April 2010

• Agreement between the Government of Australia and the Government of the United Mexican Statesrelating to Air Services, done at Mexico City on 9 April 2010

• Air Services Agreement between the Government of Australia and the Government of the Republicof Turkey, done at Ankara on 28 April 2010

• Protocol of 2002 to the Occupational Safety and Health Convention, 1981 (Geneva, 3 June 2002)

• ILO Convention 162, Asbestos, 1986 (Geneva, 4 June 1986)

• ILO C175 Part-Time Work Convention, 1994 (Geneva, 7 June 1994)

• Maritime Labour Convention, 2006 (No. 186) (Geneva, 7 February 2006)

Treaty tabled on 25 November 2010:

• Resolution MEPC.186(59), Adopted on 17 July 2009 Amendments to the Annex of the Protocol of1978 Relating to the International Convention for the Prevention of Pollution from Ships, 1973(London, 17 July 2009)

Electronic copies of each of these agreements , and explanatory information about their purposesand impact, are available through the Committee's website atlttp:/ /www.aph. ov. au/house/ committee/jsct/24november2010 / tor.htm

1

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Hard copies of the documents can be requested by telephoning the Committee Secretariat on (02)

6277 4002.

The Committee would be pleased to receive your comments by Friday, 28 January 2011 ifpossible. Please email [email protected] or post to the mailing address below:

The SecretaryJoint Standing Committee on TreatiesPO Box 6021Parliament HouseCanberra ACT 2600

2

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Bronwyn Edmeades

From : Gillian CorlassSent : Wednesday, 16 February 2011 10:46 AMTo: SCOTSubject : FW: TRIM: Treaties tabled on 9 and 10 February 2011Attachments : china_nia[1].pdf; china _text[1].pdf; miga_nia[1].pdf; miga_text[1].pdf;

newzealand_nia[1].pdf; newzealand_text[1].pdf; slovak_republic_nia[1].pdf;slovak_republic_text[1].pdf; south_africa_nia[1].pdf; south_africa_text[1].pdf;southeast_asia_nia[1 ].pdf; southeast_asia_text[1 ].pdf

From : Luschtinetz, Heidi (REPS) imailto:Heidi. Luschtinetz.RepsCcbaph.gov.au1 On Behalf Of Committee, Treaties(REPS)Sent : Thursday, 10 February 2011 3:00 PMTo: Andrew Kefford; SCOT; Graham Chandler; Jerome Partridge; Jonathan Faulkner; Kelly Sarah; Liz Develin; LynGenoni; Mark Duckworth; R Young; SA; SCOT Act; SCOT Tas; SCOT(Upc.vic. oq v.au; Stephanie PageSubject : TRIM: Treaties tabled on 9 and 10 February 2011

TO MEMBERS OF SCOT

PROPOSED INTERNATIONAL TREATY ACTIONS

The Joint Standing Committee on Treaties invites comment on the following proposed treaties

which were tabled in both Houses of the Parliament:

Treaties tabled on 9 February 2011:

• Third Protocol Amending the Treaty of Amity and Cooperation in Southeast Asia (Hanoi, 23 July

2010)

• Agreement between Australia and the Slovak Republic on Social Security (New York, 21 September2010)

• Amendments to the Convention Establishing the Multilateral Investment Guarantee Agency toModernise the Mandate of the Multilateral Investment Guarantee Agency, done at Seoul on 11

October 1985Amendment to the International Finance Corporation Articles of Agreement, done at WashingtonDC on 20 July 1956

• Agreement between the Government of Australia and the Government of New Zealand on Trans-Tasman Court Proceedings and Regulatory Enforcement, done at Christchurch on 24 July 2008

(Christchurch 24 July 2008)

• Agreement between the Government of Australia and the Government of the Republic of SouthAfrica concerning the Co-Production of Films, done at Pretoria on 18 June 2010 (Pretoria, 18 June

2010)

Treaty tabled on 10 February 2011:

• Treaty between Australia and the People's Republic of China concerning Transfer of SentencedPersons, (Sydney, 6 September 2007)

1

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Electronic copies of each of these agreements, and explanatory information about their purposesand impact, are available through the Committee's website athttp://www.aph.gov.au house/committee/jsct/9februaro 2^/tor.htm

Hard copies of the documents can be requested by telephoning the Committee Secretariat on (02)

6277 4002.

The Committee would be pleased to receive your comments by Thursday, 10 March 2011 ifpossible. Please email to jsct@aph. og v.au or post to the mailing address below:

The SecretaryJoint Standing Committee on TreatiesPO Box 6021Parliament HouseCanberra ACT 2600

2

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DEPARTMENT OF FOREIGN AFFAIRS AND TRADE CANBERRA

AGREEMENT

BETWEEN

THE GOVERNMENT OF AUSTRALIA

AND

THE GOVERNMENT OF JAPAN

CONCERNING RECIPROCAL PROVISION

OF

SUPPLIES AND SERVICES

BETWEEN

THE AUSTRALIAN DEFENCE FORCE

AND

THE SELF-DEFENSE FORCES OF JAPAN

Tokyo, 19 May 2010

Not yet in force [2010] ATNIF 29

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AGREEMENT BETWEEN THE GOVERNMENT OF AUSTRALIA AND THE GOVERNMENT OF JAPAN CONCERNING RECIPROCAL PROVISION OF SUPPLIES AND SERVICES BETWEEN THE AUSTRALIAN DEFENCE FORCE AND THE SELF-DEFENSE FORCES OF JAPAN The Government of Australia and the Government of Japan (hereinafter referred to as the “Parties”), Recognizing that the establishment of a framework between the Australian Defence Force and the Self-Defense Forces of Japan concerning reciprocal provision of supplies and services in the field of logistic support (hereinafter referred to as the “supplies and services”) will promote close cooperation between the Australian Defence Force and the Self-Defense Forces of Japan, Understanding that the establishment of the above-mentioned framework will promote more efficient performance of the respective roles of the Australian Defence Force and the Self-Defense Forces of Japan in the field of United Nations Peacekeeping Operations, humanitarian international relief operations and other operations, and will actively contribute to the effort led by the United Nations toward international peace, Have agreed as follows:

Article I 1. The purpose of this Agreement is to establish basic terms and conditions for the reciprocal provision of supplies and services, between the Australian Defence Force and the Self-Defense Forces of Japan, necessary for the following activities: a. exercises and training with participation by

both of the Australian Defence Force and the Self-Defense Forces of Japan;

b. United Nations Peacekeeping Operations,

humanitarian international relief operations, or operations to cope with large scale disasters in the territory of either Party or a third country;

c. transportation of nationals of either Party or

others, if appropriate, for their evacuation from overseas in case of exigencies of the situation;

d. communication and coordination or other routine

activities (including visits of ships or aircraft

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of the forces of either Party to facilities in the territory of the other Party), with the exception of exercises and training conducted unilaterally by the forces of either Party.

2. This Agreement sets forth a framework for the provision of supplies and services on the basis of the principle of reciprocity. 3. The request, provision, receipt, and settlement of supplies and services under this Agreement shall be carried out by the Australian Defence Force and by the Self-Defense Forces of Japan.

Article II 1. When either Party requests, under this Agreement, the other Party to provide supplies and services necessary for the activities which are set forth in sub-paragraph 1 a. to d. of Article I, and are conducted by the Australian Defence Force or the Self-Defense Forces of Japan, the other Party, within its competence, may provide the supplies and services requested. 2. The supplies and services related to the following categories may be provided under this Article: food; water; billeting; transportation (including airlift); petroleum, oils, and lubricants; clothing; communications; medical services; base support; storage; use of facilities; training services; spare parts and components; repair and maintenance; and airport and seaport services. The supplies and services related to each category are specified in the Annex. 3. Paragraph 2 of this Article shall not be interpreted as to include the provision of weapons or ammunition by the Australian Defence Force or the Self-Defense Forces of Japan. 4. The provision of supplies and services between the Australian Defence Force and the Self-Defense Forces of Japan shall be conducted pursuant to the laws and regulations of the respective countries.

3

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Article III 1. The use of supplies and services provided under this Agreement shall be consistent with the Charter of the United Nations. 2. The Party that receives supplies and services under this Agreement (hereinafter referred to as the “receiving Party”) shall not transfer those supplies and services, either temporarily or permanently, by any means to those outside of the forces of the receiving Party, without prior written consent of the Party who provides them (hereinafter referred to as the “providing Party”).

Article IV 1. The settlement procedures for provision of supplies under this Agreement shall be as follows: a. The receiving Party shall, subject to

sub-paragraph b., return the supplies in question in a condition and manner which is satisfactory to the providing Party.

b. If the supplies provided are consumable or the

receiving Party cannot return the supplies in question in a condition and manner which is satisfactory to the providing Party, the receiving Party shall, subject to sub-paragraph c., return supplies of the same type and in the same quality and quantity in a condition and manner which is satisfactory to the providing Party.

c. If the receiving Party cannot return the supplies

of the same type and in the same quality and quantity as the supplies provided in a condition and manner which is satisfactory to the providing Party, the receiving Party shall reimburse in the currency specified by the providing Party.

2. In case of the settlement for provision of services under this Agreement, the services provided shall be reimbursed in the currency specified by the providing Party or settled by the provision of services of the same type and equivalent value. The manner of the settlement shall be agreed between the Parties prior to the provision of the services.

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3. Internal duties or taxes shall not be charged by either Party for supplies and services provided under this Agreement to the extent permitted by the laws of the respective countries.

Article V 1. The reciprocal provision of supplies and services under this Agreement shall be carried out in accordance with the Procedural Arrangement, as may be modified, which is subordinate to this Agreement and which shall specify procedures and supplementary details of terms and conditions to implement this Agreement. The Procedural Arrangement shall be made between the competent authorities of the Parties. 2. The price of the supplies and the services reimbursed in accordance with paragraph 1 c. and paragraph 2 of Article IV shall be determined pursuant to the relevant provisions set forth in the Procedural Arrangement.

Article VI 1. The provisions of this Agreement shall not apply to any activities conducted by the Australian Defence Force acting as a member of the United Nations Forces under the Agreement Regarding the Status of the United Nations Forces in Japan signed on February 19, 1954. 2. The Parties shall closely consult with each other regarding the implementation of this Agreement. 3. Any matter relating to the interpretation or application of this Agreement and the Procedural Arrangement shall be resolved solely through consultation between the Parties. 4. The competent authorities of the Parties shall settle disputes that may arise concerning the implementation of this Agreement in accordance with the procedures set forth in the Procedural Arrangement. 5. Where a dispute cannot be settled under the provisions of paragraph 4 of this Article, the dispute shall be settled in accordance with the provisions of paragraph 3 of this Article.

Article VII 1. This Agreement shall enter into force on the date upon

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which the Parties exchange diplomatic notes informing each other that their respective internal procedures necessary to give effect to this Agreement have been completed. This Agreement shall remain in force for a period of ten years, and shall thereafter be automatically extended for successive periods of ten years each, unless either Party notifies the other of its intention in writing to terminate this Agreement more than six months before the end of each period of ten years. 2. Notwithstanding the provisions of paragraph 1 of this Article, each Party may terminate this Agreement at any time by giving one year written notice to the other Party. 3. This Agreement may be amended by written agreement between the Parties. 4. Notwithstanding the termination of this Agreement, the provisions of Article III, IV, V and paragraphs 3, 4 and 5 of Article VI shall remain in force in respect of the reciprocal provision of supplies and services conducted under this Agreement. IN WITNESS WHEREOF, the undersigned, being duly authorized by their respective Governments, have signed this Agreement. DONE in duplicate, in the English and Japanese languages, both equally authentic, at Tokyo, this nineteenth day of May, two thousand ten. For the Government of Australia: Sen the Hon John Faulkner Minister for Defence

For the Government of Japan: Mr Katsuya Okada Minister for Foreign Affairs

6

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7

Annex

Category

Food food, provision of meals, cooking utensils, and the like

Water water, water supply, equipment necessary for water supply, and the like

Billeting use of billeting and bathing facilities, beddings, and the like

Transportation (including airlift)

transportation of persons and goods, transport equipment, and the like

Petroleum, oils, and lubricants

petroleum, oils, and lubricants, refueling, equipment necessary for refueling, and the like

Clothing clothing, mending of clothing, and the like

Communications use of communication facilities, communication services, communication equipment, and the like

Medical services medical treatment, medical equipment, and the like

Base support collection and disposal of waste, laundry, electric supply, environmental services, decontamination equipment and services, and the like

Storage temporary storage in warehouse or refrigerated storehouse, and the like

Use of facilities temporary use of buildings, facilities, and land, and the like

Training services dispatch of instructors, materials for educational and training purposes, consumables for training purposes, and the like

Spare parts and Components

spare parts and components of military aircraft, vehicles, and ships, and the like

Repair and Maintenance

repair and maintenance, equipment for repair and maintenance, and the like

Airport and seaport services

services for arrival and departure of aircraft and ships, loading and unloading, and the like

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National Interest Analysis [2010] ATNIA 54

with attachment on consultation

Agreement between the Government of Australia and the Government of Japan concerning Reciprocal Provision of Supplies and Services between the

Australian Defence Force and the Self-Defense Forces of Japan

done at Tokyo on 19 May 2010

[2010] ATNIF 29

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NATIONAL INTEREST ANALYSIS: CATEGORY 1 TREATY

SUMMARY PAGE

Agreement between the Government of Australia and the Government of Japan concerning Reciprocal Provision of Supplies and Services between the

Australian Defence Force and the Self-Defense Forces of Japan

done at Tokyo on 19 May 2010

[2010] ATNIF 29 Nature and timing of proposed treaty action 1. The proposed treaty action is to bring into force the Agreement between the Government of Australia and the Government of Japan Concerning Reciprocal Provision of Supplies and Services Between the Australian Defence Force and the Self-Defense Forces of Japan (the proposed Agreement). 2. The proposed Agreement was signed on 19 May 2010. Pursuant to Article VII, the proposed Agreement will enter into force on the date upon which the Government of Australia and the Government of Japan (the Parties) exchange diplomatic notes informing each other that their respective internal procedures necessary to give effect to the proposed Agreement have been completed. 3. It is proposed that Australia will send written notification to Japan as soon as practicable after the tabling of the proposed Agreement in Parliament and following a recommendation by the Joint Standing Committee on Treaties (JSCOT) that binding treaty action be taken. Overview and national interest summary 4. The purpose of the proposed Agreement is to establish basic terms and conditions for the reciprocal provision of supplies and services between the Australian Defence Force (ADF) and the Self-Defense Forces of Japan necessary for: exercises and training with participation by the ADF and the Self-Defense Forces of Japan; United Nations peacekeeping operations; humanitarian international relief operations; operations in response to large scale disasters in Australia, Japan or a third country; emergency evacuation of Australian or Japanese nationals, or others from third countries; and communication and coordination or other routine activities including visits of ships or aircraft of the ADF or the Self-Defense Forces of Japan. 5. The proposed Agreement would benefit Australia by formalising and enhancing the quality of, and potential for, defence cooperation with Japan.

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Reasons for Australia to take the proposed treaty action 6. The proposed Agreement will facilitate the reciprocal provision of supplies and services in the field of logistic support and will promote cooperation between the Self-Defense Forces of Japan and the ADF. 7. The proposed Agreement does not raise any domestic or international defence policy concerns. Obligations 8. Article I of the proposed Agreement outlines the bilateral activities covered by the proposed Agreement and emphasises the principle of reciprocity. The activities covered by the proposed Agreement are:

a) exercises and training with participation by the Self-Defense Forces of Japan and the ADF;

b) United Nations peacekeeping operations; c) humanitarian international relief operations; d) operations in response to large scale disasters in Australia, Japan or a third country; e) emergency evacuation of Australian or Japanese nationals, or others from third

countries; and f) communication and coordination, or other routine activities, including visits to the

territory of either Party of ships or aircraft of the forces of the other Party. 9. Exercises and training conducted unilaterally by the forces of either Party are excluded from the scope of the proposed Agreement. 10. Article II of the proposed Agreement lists the categories of supplies and services that may be provided by either Party, within each Party’s competence. The specific items falling within each of these categories are set out in the Annex to the proposed Agreement. Article II excludes from the operation of the proposed Agreement the provision of weapons or ammunition by the ADF or the Self-Defense Forces of Japan. In providing the supplies and services, each Party must act in accordance with its national laws and regulations. 11. Article III provides that supplies and services provided under the proposed Agreement must be used consistently with the Charter of the United Nations (the UN Charter). Notably, Article 2(4) of the UN Charter prohibits the threat or use of force against the territorial integrity or political independence of any state, or in any other manner inconsistent with the purposes of the UN. Article III of the proposed Agreement also provides that supplies and services are not to be transferred outside of the forces of the receiving Party without the prior written consent of the providing Party. 12. Article IV of the proposed Agreement sets out the possible settlement (reimbursement) procedures for the provision of supplies. Where possible, the receiving Party must return the supplies in a condition and manner satisfactory to the providing Party. Where the supplies provided are consumable or cannot be returned in a satisfactory condition, the receiving Party must give the providing Party supplies of the same type, quality and quantity and in a condition and manner that is satisfactory to the providing Party. Where neither option is

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possible, the receiving Party must reimburse the providing Party in a currency specified by the providing Party.

13. Article IV also sets out settlement procedures for the provision of services. The receiving Party may either reimburse the providing Party in its chosen currency, or provide services of the same type and equivalent value. The manner of settlement in relation to the provision of services must be agreed between the Parties prior to the provision of the services.

14. Article IV also provides that, to the extent permitted by their national laws, the Parties will not charge internal duties and taxes on the provision of supplies and services under the proposed Agreement. 15. Article V of the proposed Agreement provides that provision and receipt of supplies and services under the proposed Agreement must be carried out in accordance with the Procedural Arrangement. The Procedural Arrangement is a less-than-treaty status document concluded between competent authorities of the Parties (the Australian Department of Defence and the Japanese Ministry of Defense) that specifies procedures and supplementary detail to implement the proposed Agreement. 16. Article VI of the proposed Agreement sets out provisions relating to the implementation of the proposed Agreement. Specifically, paragraph 1 provides that the proposed Agreement will not apply to any ADF activities conducted by the ADF acting as a member of the United Nations Forces under the Agreement Regarding the Status of the United Nations Forces in Japan done at Tokyo on 19 February 1954. Paragraphs 2 and 3 require the Parties to consult with each other regarding the implementation of the proposed Agreement and to settle any disputes relating to the interpretation or application of the proposed Agreement and Procedural Arrangement through consultation. Paragraph 4 provides that the competent authorities of the Parties must settle disputes regarding the implementation of the proposed Agreement in accordance with the procedures set out in the Procedural Arrangement. The Procedural Arrangement sets out a dispute resolution mechanism based on consultation between the competent authorities of the Parties. Paragraph 5 of Article VI of the proposed Agreement provides that where disputes between the competent authorities cannot be settled in accordance with the Procedural Arrangement, they must be settled through consultation between the Parties. 17. Paragraph 1 of Article VII of the proposed Agreement provides that the proposed Agreement will enter into force when the Parties exchange diplomatic notes informing each other that their respective internal procedures necessary to give effect to the proposed Agreement have been completed. Paragraph 1 of Article VII also provides that the proposed Agreement will remain in force for ten years and will be automatically extended for successive periods of ten years unless either Party notifies the other of its intention in writing to terminate the proposed Agreement more than six months before the end of each period of ten years. Alternatively, paragraph 2 of Article VII provides that either Party may terminate the proposed Agreement at any time by providing one year’s written notice.

18. Paragraph 3 of Article VII provides that the proposed Agreement may be amended by written agreement between the Parties. Paragraph 4 of Article VII provides that Article III, IV, V and paragraphs 3, 4 and 5 of Article VI will remain in force with respect to supplies and services provided under the proposed Agreement, notwithstanding the termination of the proposed Agreement.

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Implementation 19. No changes to national laws, regulations or policies are required to implement the proposed Agreement. The proposed Agreement will not effect any change to the existing roles of the Commonwealth Government or the State and Territory Governments. Costs 20. There are no foreseeable financial costs to the Commonwealth Government in the implementation of the proposed Agreement. 21. Supplies and services provided by Japan to Australia will be settled in accordance with the provisions of Article IV, including cash payments where necessary.

Regulation Impact Statement 22. The Office of Best Practice Regulation, Department of Finance and Deregulation, has been consulted and confirms that a Regulation Impact Statement is not required. Future treaty action 23. The proposed Agreement does not provide for the negotiation of any future legally binding instruments. A Procedural Arrangement (a less-than-treaty status instrument), foreshadowed by Article V of the proposed Agreement, has been concluded between the competent authorities of the Parties to specify procedures and details of the terms and conditions to implement the proposed Agreement. 24. Under paragraph 3 of Article VII, the proposed Agreement (including the Annex) may be amended by written agreement between the Parties. Amendments to the proposed Agreement would be subject to Australia’s domestic treaty-making process, including tabling in Parliament and consideration by JSCOT. Withdrawal or denunciation 25. Under paragraph 1 of Article VII, the proposed Agreement will remain in force for a period of ten years and will be automatically extended for subsequent periods of ten years. The proposed Agreement may be terminated by either Party in writing at least six months before the end of each period of ten years. Alternatively, paragraph 2 of Article VII provides that either Party may terminate the proposed Agreement at any time by providing one year’s written notice. 26. Termination by Australia would be subject to Australia’s domestic treaty-making process, including tabling in Parliament and consideration by JSCOT. If the proposed Agreement is terminated, paragraph 4 of Article VII provides that Article III, IV, V and paragraphs 3, 4 and 5 of Article VI will remain in force with respect to supplies and services provided under the proposed Agreement.

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Contact details Director of International Logistics Strategic Logistics Branch Department of Defence

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ATTACHMENT ON CONSULTATION

Agreement between the Government of Australia and the Government of Japan concerning Reciprocal Provision of Supplies and Services between the

Australian Defence Force and the Self-Defense Forces of Japan

done at Tokyo on 19 May 2010

[2010] ATNIF 29

CONSULTATION 27. The Minister for Foreign Affairs provided approval for the Department of Defence to be the lead negotiating agency for the proposed Agreement. The Department of Defence consulted with the Department of Foreign Affairs and the Attorney-General’s Department throughout the negotiation process. Both the Minister for Foreign Affairs and the Attorney-General approved the final text of the proposed Agreement prior to its signature by the Minister for Defence.

28. The State and Territory Governments have been consulted through the Commonwealth-State-Territory Standing Committee on Treaties (SCOT). Information on the negotiation of the proposed Agreement was provided to State and Territory representatives through the bi-annual SCOT meetings throughout the course of the negotiations concerning the proposed Agreement. No requests for further information or comments on the proposed Agreement have been received to date from the State and Territory Governments.

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DEPARTMENT OF FOREIGN AFFAIRS AND TRADE CANBERRA

AIR SERVICES AGREEMENT

BETWEEN

THE GOVERNMENT OF AUSTRALIA

AND

THE GOVERNMENT OF THE FEDERATIVE REPUBLIC OF BRAZIL

Brasilia, 21 April 2010

Not yet in force [2010] ATNIF 38

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AIR SERVICES AGREEMENT

BETWEEN

THE GOVERNMENT OF AUSTRALIA

AND

THE GOVERNMENT OF THE FEDERATIVE REPUBLIC OF BRAZIL

The Government of Australia and the Government of the Federative Republic of Brazil (hereinafter referred to as the “Parties”);

Being parties to the Convention on International Civil Aviation opened for signature at Chicago on the seventh day of December 1944;

Desiring to contribute to the progress of international civil aviation;

Desiring to conclude an Agreement for the purpose of establishing air services between and beyond their respective territories, have agreed as follows:

ARTICLE 1

Definitions

For the purpose of this Agreement, unless otherwise stated, the term:

a. “aeronautical authorities” means, in the case of Brazil the National Civil Aviation Agency (ANAC) and in the case of Australia, the Department of Infrastructure, Transport, Regional Development and Local Government; or in both cases, any other authority or person empowered to perform the functions now exercised by the said authorities, as notified in writing from time to time by one Party to the other Party, through diplomatic channels;

b. “agreed services” means air services on the specified routes for the carriage of passengers, baggage, cargo and mail, separately or in combination;

c. “Agreement” means this Agreement, its Annex and any amendments thereto;

d. “air service”, “international air service”, “airline” and “stop for non-traffic purposes” have the meanings assigned to them in Article 96 of the Convention;

e. “Convention” means the Convention on International Civil Aviation, opened for signature at Chicago on the seventh day of December, 1944, and includes any Annex

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adopted under Article 90 of that Convention and any amendment of the Annexes or to the Convention under Article 90 and 94, insofar as such Annexes and amendments have entered into force for both Parties;

f. “designated airline” means an airline which has been designated and authorized in accordance with Article 3 (Designation and Authorization) of this Agreement;

g. “specified route” means one of the routes specified in the Annex to this Agreement;

h. “tariff” means any fare, rate or charge for the carriage of passengers, baggage and/or cargo, excluding mail, in air services including any other mode of transportation in connection therewith, charged by airlines, including their agents, and the conditions governing the availability of such fare, rate or charge;

i. “territory” in relation to a State has the meaning assigned to it in Article 2 of the Convention; and

j. “user charges” means a charge made to airlines by the competent authorities, or permitted by them to be made for the provision of airport property or facilities or of air navigation facilities or aviation security facilities or services, including related services and facilities, for aircraft, their crews, passengers, baggage and cargo.

ARTICLE 2

Grant of Rights

1. Each Party grants to the other Party the rights specified in this Agreement for the purpose of operating international air services on the routes specified in the Route Schedule.

2. Subject to the provisions of this Agreement, the airlines designated by each Party shall enjoy, while operating international air services:

a. the right to fly without landing across the territory of the other Party;

b. the right to make stops in the territory of the other Party for non-traffic purposes;

c. the right to embark and disembark in the said territory at the points on the specified routes passengers, baggage, cargo and mail, separately or in combination, destined for or coming from points in the territory of the other Party;

d. the rights otherwise specified in this Agreement.

3. The airlines of each Party operating scheduled air services, other than those designated under Article 3 (Designation and Authorization) of this Agreement, when operating scheduled air services, shall also enjoy the rights specified in Paragraphs 2 “a” and “b” of this Article.

4. Nothing in this Article shall be deemed to confer on the designated airlines of one Party the right of taking on board, in the territory of the other Party, passengers, baggage, cargo and mail for remuneration and destined for another point in the territory of the said Party.

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ARTICLE 3

Designation and Authorization

1. Each Party shall have the right to designate in writing, through diplomatic channels, to the other Party an airline or airlines to operate the agreed services and to withdraw or alter such designation.

2. On receipt of such a designation, and of an application from the designated airline, in the form and manner prescribed for operating authorizations, each Party shall grant the appropriate operating authorization with minimum procedural delay, provided that:

a. the majority ownership and effective control are vested in the Party designating the airline, nationals of that Party, or both;

b. the Party designating the airline is in compliance with the provisions set forth in Article 7 (Safety) and Article 8 (Aviation Security) of this Agreement; and

c. the designated airline is qualified to meet other conditions prescribed under the laws and regulations normally applied to the operation of international air services by the Party receiving the designation.

3. On receipt of the operating authorization as provided for in Paragraph 2, a designated airline may at any time begin to operate the agreed services for which it is so designated, provided that the airline complies with the applicable provisions of this Agreement.

ARTICLE 4

Withholding, Revocation, Suspension and Limitation of Authorization

1. The aeronautical authorities of each Party shall have the right to withhold the authorizations referred to in Article 3 (Designation and Authorization) of this Agreement with respect to an airline designated by the other Party, and to revoke, suspend or impose conditions on such authorizations, temporarily or permanently in the event:

a. that such authorities are not satisfied that substantial ownership and effective control are vested in the Party designating the airline, nationals of that Party, or both; or

b. of failure of the Party designating the airline to comply with the provisions set forth in Article 7 (Safety) and Article 8 (Aviation Security); or

c. of failure that such designated airline is qualified to meet other conditions prescribed under the laws and regulations normally applied to the operation of international air services by the Party receiving the designation.

2. Such a right shall be exercised only after consultation with the other Party, unless immediate revocation, suspension or imposition of the conditions provided for under Paragraph 1 of this Article is essential to prevent further infringements of laws and regulations.

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ARTICLE 5

Application of Laws

1. The laws and regulations of one Party governing entry into and departure from its territory of aircraft engaged in international air services, or the operation and navigation of such aircraft while within its territory, shall be applied to aircraft of the designated airline of the other Party.

2. The laws and regulations of one Party relating to the entry into, stay in and departure from its territory of passengers, crew, baggage, cargo and mail such as those regarding aviation security, immigration, customs, currency, quarantine and sanitary control shall apply to passengers, crew, baggage, cargo and mail carried by the aircraft of the designated airline of the other Party while they are within the said territory.

3. Neither Party shall give preference to its own or any other airline over a designated airline of the other Party engaged in similar international air services in the application of its aviation security, immigration, customs, quarantine and sanitary control and similar regulations.

4. Passengers, baggage and cargo in direct transit through the territory of either Party and not leaving the area of the airport reserved for such purpose shall not undergo any examination except for reasons of aviation security, narcotics control, immigration requirements, or in special circumstances. Baggage and cargo in direct transit shall be exempt from customs duties and other similar taxes.

ARTICLE 6

Recognition of Certificates and Licences

1. Certificates of airworthiness, certificates of competency and licences issued or rendered valid by one Party and still in force shall be recognized as valid by the other Party for the purpose of operating the agreed services provided that the requirements under which such certificates and licences were issued or rendered valid are equal to or above the minimum standards which may be established pursuant to the Convention.

2. If the privileges or conditions of the licences or certificates referred to in Paragraph 1 above, issued by the aeronautical authorities of one Party to any person or designated airline or in respect of an aircraft used in the operation of the agreed services, should permit a difference from the minimum standards established under the Convention, and which difference has been filed with the International Civil Aviation Organization, the other Party may request consultations between the aeronautical authorities with a view to clarifying the practice in question.

4

3. Each Party reserves the right, however, to refuse to recognize for the purpose of flights above or landing within its own territory, certificates of competency and licences granted to its own nationals or in relation to its registered aircraft by the other Party.

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ARTICLE 7

Safety

1. Each Party may request consultations at any time concerning safety standards in any area relating to aircrew, aircraft or their operation adopted by the other Party. Such consultations shall take place within 30 days of that request.

2. If, following such consultations, one Party finds that the other Party does not effectively maintain and administer safety standards in any such area that are at least equal to the minimum standards established at that time pursuant to the Convention, the first Party shall notify the other Party of those findings and the steps considered necessary to conform with those minimum standards, and that other Party shall take appropriate corrective action. Failure by the other Party to take appropriate action within 15 days or such longer period as may be agreed, shall be grounds for the application of Article 4 (Withholding, Revocation, Suspension and Limitation of Authorization) of this Agreement.

3. Notwithstanding the obligations mentioned in Article 33 of the Convention it is agreed that any aircraft operated by or, under a lease arrangement, on behalf of the airline or airlines of one Party on services to or from the territory of another Party may, while within the territory of the other Party, be made the subject of an examination by the authorized representatives of the other Party, on board and around the aircraft to check both the validity of the aircraft documents and those of its crew and the apparent condition of the aircraft and its equipment (in this Article called “ramp inspection”), provided this does not lead to unreasonable delay.

4. If any such ramp inspection or series of ramp inspections gives rise to:

a) serious concerns that an aircraft or the operation of an aircraft does not comply with the minimum standards established at that time pursuant to the Convention, or

b) serious concerns that there is a lack of effective maintenance and administration of

safety standards established at that time pursuant to the Convention,

the Party carrying out the inspection shall, for the purposes of Article 33 of the Convention, be free to conclude that the requirements under which the certificate or licences in respect of that aircraft or in respect of the crew of that aircraft had been issued or rendered valid, or that the requirements under which that aircraft is operated, are not equal to or above the minimum standards established pursuant to the Convention.

5. In the event that access for the purpose of undertaking a ramp inspection of an aircraft operated by or on behalf of the airline or airlines of one Party in accordance with paragraph 3 above is denied by the representative of that airline or airlines, the other

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Party shall be free to infer that serious concerns of the type referred to in paragraph 4 above arise and draw the conclusions referred in that paragraph.

6. Each Party reserves the right to suspend or vary the operating authorization of an airline or airlines of the other Party immediately in the event the first Party concludes, whether as a result of a ramp inspection, a series of ramp inspections, a denial of access for ramp inspection, consultation or otherwise, that immediate action is essential to the safety of an airline operation.

7. Any action by one Party in accordance with paragraphs 2 or 6 above shall be discontinued once the basis for the taking of that action ceases to exist.

ARTICLE 8

Aviation Security

1. Consistent with their rights and obligations under international law, the Parties reaffirm that their obligation to each other to protect the security of civil aviation against acts of unlawful interference forms an integral part of this Agreement. Without limiting the generality of their rights and obligations under international law, the Parties shall in particular act in conformity with the provisions of the Convention on Offences and Certain Other Acts Committed on Board Aircraft, signed at Tokyo on 14 September 1963, the Convention for the Suppression of Unlawful Seizure of Aircraft, signed at The Hague on 16 December 1970 and the Convention for the Suppression of Unlawful Acts against the Safety of Civil Aviation, signed at Montreal on 23 September 1971 and its Supplementary Protocol for the Suppression of Unlawful Acts of Violence at Airports Serving International Civil Aviation, signed at Montreal on 24 February 1988 as well as with any other Convention and Protocol relating to the security of civil aviation to which both Parties adhere.

2. The Parties shall provide upon request all appropriate assistance to each other to prevent acts of unlawful seizure of civil aircraft and other unlawful acts against the safety of such aircraft, their passengers and crew, airports and air navigation facilities, and any other threat to the security of civil aviation.

3. The Parties shall, in their mutual relations, act in conformity with the aviation security provisions established by ICAO and designated as Annexes to the Convention; they shall require that operators of aircraft of their registry or operators of aircraft who have their principal place of business or permanent residence in their territory and the operators of airports in their territory act in conformity with such aviation security provisions. Each Party shall advise the other Party of any difference between its national regulations and practices and the aviation security standards of the Annexes. Either Party may request immediate consultations with the other Party at any time to discuss any such differences.

4. Each Party agrees that such operators of aircraft may be required to observe the aviation security provisions referred to in Paragraph 3 above required by the other Party for entry

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into, departure from, or while within, the territory of that other Party. Each Party shall ensure that adequate measures are effectively applied within its territory to protect the aircraft and to inspect passengers, crew, carry-on items, baggage, cargo and aircraft stores prior to and during boarding or loading. Each Party shall also give sympathetic consideration to any request from the other Party for reasonable special security measures to meet a particular threat. In such case, these measures should be discussed in detail by both Parties.

5. When an incident or threat of an incident of unlawful seizure of civil aircraft or other unlawful acts against the safety of such aircraft, their passengers and crew, airports or air navigation facilities occurs, the Parties shall assist each other by facilitating communications and other appropriate measures intended to terminate rapidly and safely such incident or threat thereof.

6. Each Party shall have the right, within sixty (60) days following notice, or such shorter period as may be agreed between the aeronautical authorities, for its aeronautical authorities to conduct an assessment in the territory of the other Party of the security measures being carried out, or planned to be carried out, by aircraft operators in respect of flights arriving from, or departing to the territory of the first Party. The administrative arrangements for the conduct of such assessments shall be agreed between the aeronautical authorities and implemented without delay so as to ensure that assessments will be conducted expeditiously. All assessments should be covered by a special confidential agreement.

7. When a Party has reasonable grounds to believe that the other Party has departed from the provisions of this Article, the first Party may request immediate consultations. Such consultations shall start within fifteen (15) days of receipt of such a request from either Party. Failure to reach a satisfactory agreement within fifteen (15) days from the start of consultations shall constitute grounds for withholding, revoking, suspending or imposing conditions on the authorizations of the airline or airlines designated by the other Party. When justified by an emergency, or to prevent further non-compliance with the provisions of this Article, the first Party may take interim action at any time. Any action taken in accordance with this paragraph shall be discontinued upon compliance by the other Party with the security provisions of this Article.

ARTICLE 9

Customs Duties

1. Each Party shall on the basis of reciprocity exempt an aircraft operated in international air services by a designated airline of the other Party to the fullest extent possible under its national law from import restrictions, customs duties, excise taxes, inspection fees and other national duties and charges, not based on the cost of services provided in its territory, on aircraft, fuel, lubricants (including hydraulic fluids), consumable technical supplies, spare parts including engines, regular aircraft equipment and aircraft stores intended for use or used solely in connection with the operation or servicing of aircraft of the designated airline of such other Party operating the agreed services and provided such

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equipment and items are for use on board an aircraft and are re-exported. Aircraft stores include but are not limited to such items as food, beverages and products destined for sale to, or use by, passengers during flight.

2. Provided that in each case they are for use on board an aircraft in connection with the establishment or maintenance of international air services by the airline concerned, the exemptions granted by this Article shall apply to the items referred to in paragraph 1:

a) introduced into the territory of the Party by or on behalf of the designated airline of the other Party;

b) retained on board aircraft of the designated airline of one Party upon arrival in or leaving the territory of the other Party; or

c) taken on board aircraft of the designated airline of one Party in the territory of the other Party and intended for use in operating the agreed services;

whether or not such items are used or consumed wholly within the territory of the Party granting the exemption, provided the ownership of such items is not transferred in the territory of the said Party.

3. The regular aircraft equipment, as well as the materials and supplies normally retained on board the aircraft of a designated airline of either Party, may be unloaded in the territory of the other Party only with the approval of the customs authorities of that territory. In such case, they may be placed under the supervision of the said authorities up to such time, as they are re-exported or otherwise disposed of in accordance with customs regulations.

4. The exemptions provided for by this Article shall also be available in situations where a designated airline of one Party has entered into arrangements with another airline or airlines for the loan or transfer in the territory of the other Party of the regular equipment and the other items referred to in paragraph 1 of this Article, provided that that other airline or airlines similarly enjoy such exemptions from that other Party.

ARTICLE 10

Capacity

1. The total capacity to be provided on the agreed services by the designated airlines of the Parties shall be determined between the aeronautical authorities of the Parties before the commencement of the operations, and thereafter according to anticipated traffic requirements.

2. The agreed services to be operated by the designated airlines of the Parties shall have as their primary objective the provision of capacity at reasonable load factors adequate to meet the traffic requirements between the territories of the two Parties.

3. Each Party shall allow fair and equal opportunity for the designated airlines of both Parties to operate the agreed services between their respective territories.

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4. If, on review, the Parties fail to agree on the capacity to be provided on the agreed services, the capacity that may be provided by the designated airlines of the Parties shall not exceed the total capacity previously agreed to be provided.

ARTICLE 11

Tariffs

1. The tariffs to be applied by the designated airline or airlines of a Party for services covered by this Agreement shall be established at reasonable levels, due regard being paid to all relevant factors, including interests of users, cost of operation, characteristics of service, reasonable profit, tariffs of other airlines, and other commercial considerations in the market-place.

2. The aeronautical authorities of the Parties will give particular attention to tariffs which may be objectionable because they appear unreasonably discriminatory, unduly high or restrictive because of the abuse of a dominant position, artificially low because of direct or indirect subsidy or support, or predatory.

3. The aeronautical authorities of the Parties may require notification or filing of tariffs proposed by the designated airlines of both Parties for carriage to or from its territory. Such notification or filing may be required not more than thirty (30) days before the proposed date of introduction. In special cases, this period may be reduced.

4. The aeronautical authorities of the Parties shall have the right to approve or disapprove tariffs for one-way or round-trip carriage between the territories of the two Parties which commences in their own territory. The tariffs to be charged by a designated airline of one Party for carriage between the territory of the other Party and that of a third State on services covered by this Agreement shall be subject to the approval requirements of the other Party. The aeronautical authorities of neither Party shall take unilateral action to prevent the inauguration of proposed tariffs or the continuation of effective tariffs for one-way or round-trip carriage between the territories of the two Parties commencing in the territory of the other Party.

5. Approval of tariffs consequent upon the provisions of paragraph 4 above may be given expressly by the aeronautical authorities of either Party to the airlines filing the tariffs. However, if the aeronautical authority of the Party concerned has not given in writing to the aeronautical authority of the other Party notice of disapproval of such tariffs of the airlines of the other Party within twenty (20) days from the date of submission, the tariffs concerned shall be considered approved. In the event of the period of submission being reduced in accordance with Paragraph 3, the aeronautical authorities of the Parties may agree that the period within which any disapproval shall be given be reduced accordingly.

6. Where the aeronautical authorities of either Party believe that a tariff for carriage to their territory falls within the categories described in Paragraph 2 above, they shall give notice of dissatisfaction to the aeronautical authorities of the other Party, as soon as possible, and at least within thirty (30) days of the date of notification or filing of the tariff, and may avail themselves of the consultation procedures set out in paragraph 7 below.

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7. Each Party may request consultation regarding any tariff of an airline of either Party for services covered by this Agreement, including where the tariff concerned has been subject to a notice of disapproval or dissatisfaction. Such consultations shall be held not later than sixty (60) days after receipt of the request. Each Party shall cooperate in securing information necessary for reasoned resolution of the issues. If the Parties reach settlement, each of them shall use their best efforts to put that settlement into effect. If no settlement is reached, the decision of the Party in whose territory the carriage originates shall prevail.

ARTICLE 12

Safeguards

1. The following airline practices may be regarded as possible unfair competitive practices which may merit closer examination:

a) charging fares and rates on routes at levels which are, in the aggregate, insufficient to cover the costs of providing the services to which they relate;

b) the practices in question are sustained rather than temporary;

c) the practices in question have a serious economic effect on, or cause significant damage to, another airline;

d) the practices in question reflect an apparent intent or have the probable effect of crippling, excluding or driving another airline from the market; and

e) behaviour indicating an abuse of dominant position on the route.

2. Without limiting the application of competition and consumer law enacted by either Party, if the aeronautical authorities of one Party consider that an operation or operations intended or conducted by the designated airline of the other Party may constitute unfair competitive behaviour they may request consultation. Any such request shall be accompanied by notice of the reasons for the request, and the consultation, which may be conducted in person or through correspondence, shall begin within thirty (30) days of the request.

3. In undertaking the consultations outlined in this Article the Parties shall:

a. coordinate their actions with the relevant authorities;

b. consider alternative means which might also achieve the objectives of action consistent with general competition and consumer law; and

c. take into account the views of the other Party and the other Party’s obligations under other international agreements.

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ARTICLE 13

Commercial Activities

1. Each Party shall accord airlines of the other Party the right to sell and market international air services in its territory directly or through agents or other intermediaries of the airline's choice, including the right to establish offices, both on-line and off-line and to use their own transportation documents.

2. Each airline shall have the right to:

a. sell transportation in the currency of that territory or, subject to its national laws and regulations, in freely convertible currencies of other countries, and any person shall be free to purchase such transportation in currencies accepted by that airline;

b. use the services and personnel of any organisation, company or airline operating in the territory of the other Party; and

c. at their discretion, to pay for local expenses, including purchases of fuel, in the territory of the other Party in local currency or, provided this accords with local currency regulations, in any freely convertible currencies.

3. In accordance with the laws and regulations relating to entry, residence and employment in the other Party, the designated airline or airlines of one Party shall be allowed, on the basis of reciprocity, to bring into and to maintain in the territory of the other Party their representatives and commercial, operational and technical staff as required in connection with the operation of the agreed services.

4. These staff requirements may, at the option of the designated airline or airlines of one Party, be satisfied by its own personnel or by using the services of any other organization, company or airline operating in the territory of the other Party and authorized to perform such services for other airlines.

5. The representatives and staff shall be subject to the laws and regulations in force of the other Party, and consistent with such laws and regulations:

a. each Party shall, on the basis of reciprocity and with the minimum of delay, grant the necessary employment authorizations, visitor visas or other similar documents to the representatives and staff referred to in paragraph 3 of this Article; and

b. both Parties shall facilitate and expedite the processing of employment authorizations for personnel performing certain temporary duties not exceeding ninety (90) days.

ARTICLE 14

Conversion and Remittance of Revenues

1. Each Party shall permit airlines of the other Party to convert and transmit abroad to the airlines’ choice of State, on demand, all local revenues from the sale of air services in

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excess of sums locally disbursed, with conversion and remittance permitted promptly at the rate of exchange applicable as of the date of the request for conversion and remittance.

2. The conversion and remittance of such revenues shall be permitted in conformity with the applicable laws and regulations and are not subject to any administrative or exchange charges except those normally made by banks for the carrying out of such conversion and remittance.

3. The provisions of this Article do not exempt the airlines of both Parties of the duties, taxes and contributions they are subject.

ARTICLE 15

User Charges

1. Each Party shall use its best efforts to encourage those responsible for the provision of airport, airport environmental, air navigation, and aviation security facilities and services to levy charges on the airlines only on the basis that they are reasonable, non-discriminatory, and equitably apportioned amongst categories of users.

2. Reasonable charges reflect, but do not exceed, the full cost to the competent charging authorities of providing the facilities and services. This may include a reasonable return on assets, after depreciation. Facilities and services for which charges are made should be provided on an efficient and economic basis. For charges to be non discriminatory, they should be levied on foreign airlines at a rate no higher than the rate imposed on a Party’s own airlines operating similar international services.

3. Each Party shall encourage consultations on user charges between its competent charging authority and airlines using the service and facilities provided by those charging authorities, where practicable through those airlines' representative organizations.

ARTICLE 16

Statistics

The aeronautical authorities of each Party may require the designated airlines of the other Party to provide the aeronautical authorities of the other Party, upon request, periodic or other statements of statistics as may be reasonably required for the purpose of reviewing the capacity provided on the agreed services operated by the designated airlines of the first Party.

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ARTICLE 17

Approval of Schedules

1. The designated airlines of each Party shall submit their envisaged flight schedules for approval to the aeronautical authorities of the other Party at least thirty (30) days prior to the operation of the agreed services. The same procedure shall apply to any modification thereof.

2. For extra-section flights which the designated airline of one Party wishes to operate on the agreed services exceeding the number of frequencies of the approved timetable, to meet special traffic peaks, that airline must request prior permission from the aeronautical authorities of the other Party. Such requests shall usually be submitted at least fifteen (15) days prior to the operation of such flights.

ARTICLE 18

Consultations

1. In a spirit of close co-operation, the aeronautical authorities of the Parties may at any time request consultation with a view to ensuring the implementation, interpretation and satisfactory compliance with, the provisions of this Agreement.

2. Subject to Article 3 (Designation and Authorisation), Article 7 (Safety) and Article 8 (Aviation Security), such consultations, which may be through discussion or correspondence, shall begin within a period of sixty (60) days of the date of receipt of such a request, unless otherwise mutually decided by the aeronautical authorities.

ARTICLE 19

Amendments

Any amendment or modification of this Agreement, including the Annex, agreed by the Parties shall come into force on a date to be determined in an exchange of diplomatic notes, indicating that all necessary domestic procedures have been completed by both Parties.

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ARTICLE 20

Multilateral Agreement

If a multilateral agreement concerning air services comes into force in respect of both Parties, the present Agreement shall be deemed to be amended so as to conform with the provisions of that multilateral agreement.

ARTICLE 21

Settlement of Disputes

In the event of any dispute arising between the Parties relating to the interpretation or application of this Agreement, except those that may arise under Article 7 (Safety), Article 8 (Aviation Security) and Article 11 (Tariffs), the aeronautical authorities of the Parties shall endeavour to settle it by negotiations between themselves, failing which the dispute shall be referred to the Parties for settlement, through diplomatic channels.

ARTICLE 22

Termination

Either Party may, at any time, give notice in writing, through diplomatic channels, to the other Party of its decision to terminate this Agreement. Such notice shall be simultaneously communicated to ICAO. This Agreement shall terminate one year after the date of receipt of the notice by the other Party, unless the notice is withdrawn by agreement before the end of this period. In the absence of acknowledgement of receipt by the other Party, the notice shall be deemed to have been received fourteen (14) days after receipt of the notice by ICAO.

ARTICLE 23

Registration with ICAO

This Agreement and any amendment thereto shall be registered with the International Civil Aviation Organization.

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ARTICLE 24

Entry into Force

This Agreement will enter into force on a date to be determined in an exchange of diplomatic notes indicating that all necessary domestic procedures have been completed by both Parties.

In witness whereof the undersigned, being duly authorized by their respective Governments, have signed the present Agreement.

Done at Brasilia on this twenty-first day of April two thousand and ten, in English and Portuguese, each of which shall be of equal authenticity. For the Government of Australia

For the Government of the Federative Republic of Brazil

Hon Simon Crean Minister for Trade

HE Celso Luiz Nunes Amorim Minister for External Relations

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ANNEX

ROUTE SCHEDULE The designated airlines of each Party shall be entitled to perform international air services between points on the following routes: Route for the designated airlines of Brazil:

Points in Brazil

Intermediate Points

Points in Australia

Beyond Points

Any Any Any Any Route for the designated airlines of Australia:

Points in Australia

Intermediate Points

Points in Brazil

Beyond Points

Any Any Any Any Note:

1. The designated airlines of each Party may at their option omit points on any of the above routes or to perform services in either or both directions provided that the services commence or terminate in the territory of the Party designating the airline concerned.

2. The intermediate and beyond points on the above routes and the traffic rights which may be

exercised at such points by the designated airlines shall be jointly determined between the aeronautical authorities from time to time.

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ACORDO DE SERVIÇOS AÉREOS

ENTRE

O GOVERNO DA AUSTRÁLIA

E O GOVERNO DA REPÚBLICA FEDERATIVA DO BRASIL

O Governo da Austrália e o Governo da República Federativa do Brasil, (doravante referidos como Partes); Sendo Partes da Convenção sobre Aviação Civil Internacional, aberta para assinatura em Chicago no dia 7 de dezembro de 1944; Desejando contribuir para o progresso da aviação civil internacional; Desejando concluir um Acordo com o propósito de estabelecer serviços aéreos entre seus respectivos territórios e para além deles, acordam com o que se segue:

ARTIGO 1

Definições 

Para aplicação do presente Acordo, salvo disposições em contrário, o termo:

a) “autoridades aeronáuticas” significa, no caso do Brasil, a Agência Nacional de Aviação Civil (ANAC) e no caso da Austrália, o Departamento de Infra-estrutura, Transportes, Desenvolvimento Regional e Governo Local; ou em ambos os casos, qualquer outra autoridade ou pessoa autorizada a executar as funções ora exercidas pelas autoridades acima mencionadas, conforme notificação escrita feita periodicamente por uma Parte à outra Parte, por intermédio de canais diplomáticos;

b) “serviços acordados” significa serviços aéreos nas rotas especificadas para o transporte de passageiros, bagagem, carga e mala postal, separadamente ou em combinação;

c) “Acordo” significa este Acordo, seu Anexo e quaisquer emendas que venham a ser feitas;

d) “serviço aéreo”, “serviço aéreo internacional”, “empresa aérea” e “escala para fins não comerciais” têm os significados a eles atribuídos no Artigo 96 da Convenção;

e) “Convenção” significa a Convenção sobre Aviação Civil Internacional, aberta para assinatura em Chicago no dia 7 de dezembro de 1944, e inclui qualquer Anexo adotado de acordo com o Artigo 90 daquela Convenção e qualquer emenda aos Anexos ou à Convenção, de acordo com os Artigos 90 e 94, na medida em que esses Anexos e emendas tenham entrado em vigor para ambas as Partes;

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a) “empresa aérea designada” significa uma empresa aérea que tenha sido designada e autorizada em conformidade com o Artigo 3 (Designação e Autorização) deste Acordo;

b) “rota especificada” significa uma das rotas especificadas no Anexo a este Acordo;

c) “tarifa” significa os preços e encargos cobrados pelo transporte de passageiros, bagagem e/ou carga, exceto mala postal, no transporte aéreo, incluindo qualquer outro modo de transporte em conexão com o mesmo, cobrado pelas empresas aéreas, incluindo seus agentes, e as condições que regem a aplicação de tais preços e encargos;

d) “território”, em relação a um Estado tem o significado a ele atribuído no Artigo 2 da Convenção; e

e) “tarifa aeronáutica” significa o valor cobrado às empresas aéreas, pelas autoridades responsáveis, ou por estas autorizado a ser cobrado, pelo uso do aeroporto, ou de suas instalações e serviços, ou de instalações de navegação aérea, ou de instalações de segurança da aviação, incluindo as instalações e os serviços relacionados, por aeronaves, suas tripulações, passageiros, bagagem e carga.

ARTIGO 2

Concessão de Direitos 

1. Cada Parte concede à outra Parte os direitos especificados neste Acordo, com a finalidade

de operar serviços aéreos internacionais nas rotas especificadas no Quadro de Rotas.

2. Sujeitas às disposições deste Acordo, as empresas aéreas designadas por cada uma das Partes deverão gozar dos seguintes direitos na operação de serviços aéreos internacionais:

a) direito de sobrevoar o território da outra Parte sem pousar;

b) direito de fazer escalas no território da outra Parte, para fins não comerciais;

c) direito de fazer escalas nos pontos das rotas especificadas para embarcar e desembarcar tráfego internacional de passageiros, bagagem, carga ou mala postal separadamente ou em combinação, destinado ou originado de pontos no território da outra Parte;

d) direitos de outra maneira especificados neste Acordo.

3. As empresas aéreas de cada Parte, além daquelas designadas com base no Artigo 3 (Designação e Autorização) deste Acordo, na operação de serviços aéreos internacionais, também deverão gozar dos direitos especificados nas letras a) e b) do parágrafo 2 deste Artigo.

4. Nenhum dispositivo neste Artigo será considerado como concessão a uma empresa aérea designada de uma Parte do direito de embarcar, no território da outra Parte, passageiros, bagagem, carga e mala postal, mediante remuneração e destinados a outro ponto no território dessa outra Parte.

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ARTIGO 3

Designação e Autorização 

1. Cada Parte deverá ter o direito de designar por escrito à outra Parte, através dos canais diplomáticos, uma ou mais empresas aéreas para operar os serviços acordados e de revogar ou alterar tal designação.

2. Ao receber tal designação e o pedido de autorização de operação da empresa aérea designada, na forma e no modo prescrito, cada Parte deverá conceder a autorização de operação apropriada com a mínima demora de trâmites, desde que:

a) a propriedade majoritária e o controle efetivo da empresa aérea sejam da Parte que a designa, de seus nacionais, ou de ambos;

b) a Parte que designa a empresa aérea cumpra as disposições estabelecidas no Artigo 7 (Segurança de Voo) e no Artigo 8 (Segurança da Aviação) deste Acordo; e

c) a empresa aérea designada esteja qualificada para satisfazer outras condições determinadas segundo às leis e regulamentos normalmente aplicados à operação de serviços de transporte aéreo internacional pela Parte que recebe a designação.

3. Ao receber a autorização de operação constante do parágrafo 2, uma empresa aérea designada pode, a qualquer tempo, começar a operar os serviços acordados para os quais foi designada, desde que cumpra as disposições aplicáveis deste Acordo.

ARTIGO 4

Negação, Revogação, Suspensão e Limitação de Autorização 

1. As autoridades aeronáuticas de cada Parte deverão ter o direito de negar as autorizações mencionadas no Artigo 3 (Designação e Autorização) deste Acordo à empresa aérea designada pela outra Parte e de revogar, suspender ou impor condições a tais autorizações, temporária ou permanentemente, no caso em que:

a) tais autoridades não estejam convencidas de que a propriedade majoritária e o controle efetivo pertençam à Parte que designou a empresa aérea, seus nacionais ou a ambos; ou

b) a Parte que designa a empresa aérea não cumpra as disposições estabelecidas no Artigo 7 (Segurança de Voo) e no Artigo 8 (Segurança da Aviação); ou

c) tal empresa aérea designada não esteja qualificada para atender outras condições determinadas segundo às leis e regulamentos normalmente aplicados à operação de serviços de transporte aéreo internacional pela Parte que recebe a designação.

2. Tal direito será exercido somente após consulta com a outra Parte, a menos que a imediata revogação, suspensão ou imposição das condições estabelecidas no Parágrafo 1 deste Artigo seja essencial para evitar a violação das leis e regulamentos.

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ARTIGO 5

Aplicação de Leis 

1. As leis e regulamentos de uma Parte relativos à entrada ou saída de seu território de aeronave engajada em serviços aéreos internacionais, ou a operação e navegação de tal aeronave enquanto em seu território, deverão ser aplicados à aeronave de empresas aéreas designadas pela outra Parte.

2. As leis e regulamentos de uma Parte, relativos à entrada, permanência e saída de seu território, de passageiros, tripulantes, bagagem e carga, incluindo mala postal, tais como os relativos à segurança da aviação, imigração, alfândega, moeda, quarentena e controle sanitário deverão ser aplicados aos passageiros, tripulantes, bagagem, carga e mala postal, transportados por aeronaves da empresa aérea designada da outra Parte enquanto permanecerem no referido território.

3. Nenhuma Parte deverá dar preferência à sua própria empresa aérea ou a qualquer outra empresa aérea em relação à empresa aérea designada pela outra Parte engajada em transporte aéreo internacional similar, na aplicação de seus regulamentos de segurança, imigração, alfândega, quarentena e controle sanitário e regulamentos similares.

4. Passageiros, bagagem, carga e mala postal em trânsito direto através do território de qualquer das Partes e que não saiam da área do aeroporto reservada para tal fim não serão sujeitos ao controle, exceto por razões de segurança da aviação, controle de narcóticos, exigências da imigração, ou em circunstâncias especiais. Bagagem e carga em trânsito direto deverão ser isentas de taxas alfandegárias e outras taxas similares.

ARTIGO 6

Reconhecimento de Certificados e Licenças 

1. Certificados de aeronavegabilidade, certificados de habilitação e licenças, emitidos ou convalidados por uma Parte e ainda em vigor, deverão ser reconhecidos como válidos pela outra Parte para o objetivo de operar os serviços acordados, desde que os requisitos sob os quais tais certificados e licenças foram emitidos ou convalidados, sejam iguais ou superiores aos padrões mínimos estabelecidos segundo a Convenção.

2. Se os privilégios ou as condições das licenças ou certificados mencionados no parágrafo 1 acima, emitidos pelas autoridades aeronáuticas de uma Parte para qualquer pessoa ou empresa aérea designada, ou relativa a uma aeronave utilizada na operação dos serviços acordados, permitirem uma diferença dos padrões mínimos estabelecidos pela Convenção, e que tal diferença tenha sido notificada à Organização de Aviação Civil Internacional, a outra Parte pode pedir que se realizem consultas entre as autoridades aeronáuticas a fim de esclarecer a prática em questão.

3. Cada Parte, todavia, reserva-se o direito de recusar-se a reconhecer, para o objetivo de sobrevoo ou pouso em seu próprio território, certificados de habilitação e licenças concedidas aos seus próprios nacionais ou em relação a suas aeronaves registradas pela outra Parte.

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ARTIGO 7

Segurança de Voo 1. Cada Parte poderá solicitar, a qualquer momento, a realização de consultas sobre as

normas de segurança de voo aplicadas pela outra Parte nos aspectos relacionados com as tripulações de voo, aeronaves e operações de aeronaves adotadas pela outra Parte. Tais consultas deverão ser realizadas dentro dos trinta (30) dias após a apresentação da referida solicitação.

2. Se, depois de realizadas tais consultas, uma Parte chega à conclusão de que a outra Parte não mantém e administra de maneira efetiva as normas de segurança de voo em qualquer área com pelo menos os padrões mínimos estabelecidos nas normas em vigor, de conformidade com a Convenção, a primeira Parte deverá informar a outra Parte sobre tais conclusões e as medidas que se considerem necessárias para cumprir aqueles padrões mínimos, e a outra Parte deverá então, tomar as medidas corretivas para o caso. A falta de cumprimento das ações apropriadas pela outra Parte, no prazo de quinze (15) dias ou dentro de outro prazo mais longo acordado, será motivo para a aplicação do Artigo 4 (Negação, Revogação, Suspensão ou Limitação de Autorização) deste Acordo.

3. Não obstante as obrigações mencionadas no Artigo 33 da Convenção, fica acordado que qualquer aeronave operada por, ou sob contrato de arrendamento, em nome de uma empresa aérea de uma Parte, que preste serviços para ou do território de outra Parte poderá, quando se encontrar no território desta última, ser objeto de uma inspeção pelos representantes autorizados da outra Parte, dentro e fora da aeronave para verificar a validade da documentação pertinente da aeronave, as licenças de sua tripulação e se o equipamento da aeronave e a condição da mesma (neste Artigo denominada “inspeção de rampa”), estão conformes com as normas em vigor, desde que esta não cause demora desnecessária à operação da aeronave.

4. Se qualquer inspeção de rampa ou série de inspeções de rampa resultarem em:

a) séria preocupação de que a aeronave ou sua operação não cumpre as normas mínimas estabelecidas pela Convenção de Chicago, ou

b) séria preocupação de que existe falta de efetiva manutenção e administração das normas mínimas de segurança estabelecidas pela Convenção,

a Parte que realiza a inspeção terá, de acordo com o Artigo 33 da Convenção, liberdade para concluir que os requisitos sob os quais o certificado ou as licenças daquela aeronave ou tripulação tenham sido emitidos ou convalidados ou que os requisitos sob os quais a aeronave é operada não são iguais ou não atingem os padrões mínimos estabelecidos pela Convenção.

5. Caso o acesso para fins de realização de uma inspeção de rampa de uma aeronave operada pela empresa aérea de uma Parte, em conformidade com o parágrafo 3 deste Artigo, seja negado por um representante daquela empresa aérea, a outra Parte terá a liberdade para concluir que existe sério motivo de preocupação segundo o parágrafo 4 deste Artigo, e tirar as conclusões mencionadas no mesmo parágrafo.

6. Cada Parte reserva-se o direito de suspender ou modificar a autorização de operação de uma empresa aérea da outra Parte imediatamente caso a primeira Parte conclua, seja

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como resultado de uma inspeção de rampa, uma série de inspeções de rampa, negação de acesso para inspeção de rampa, consultas ou outro motivo, que é essencial uma ação imediata para fins de segurança da operação de uma empresa aérea.

7. Qualquer medida tomada por uma Parte, em conformidade com os parágrafos 2 e 6 deste Artigo, será interrompida caso a razão para tal ação deixe de existir.

ARTIGO 8

Segurança da Aviação 

1. Em conformidade com seus direitos e obrigações segundo o Direito Internacional, as Partes reafirmam que sua obrigação mútua de proteger a aviação civil contra atos de interferência ilícita constitui parte integrante do presente Acordo. Sem limitar a validade geral de seus direitos e obrigações resultantes do Direito Internacional, as Partes deverão atuar, em particular, segundo as disposições da Convenção sobre Infrações e Certos Outros Atos Praticados a Bordo de Aeronaves, assinada em Tóquio em 14 de setembro de 1963, da Convenção para a Repressão ao Apoderamento Ilícito de Aeronaves, assinada em Haia em 16 de dezembro de 1970 e da Convenção para a Repressão de Atos Ilícitos contra a Segurança da Aviação Civil, assinada em Montreal em 23 de setembro de 1971, e seu Protocolo Suplementar para Supressão de Atos Ilícitos de Violência em Aeroportos Utilizados pela Aviação Civil Internacional, assinado em Montreal em 24 de fevereiro de 1988, bem como qualquer outra convenção ou protocolo sobre segurança da aviação civil, aos quais ambas as Partes venham a aderir.

2. As Partes deverão fornecer, mediante solicitação, toda a assistência mútua necessária para a prevenção contra atos de apoderamento ilícito de aeronaves civis e outros atos ilícitos contra a segurança dessas aeronaves, seus passageiros e tripulações, aeroportos e instalações de navegação aérea, e qualquer outra ameaça à segurança da aviação civil.

3. As Partes deverão agir, em suas relações mútuas, segundo às disposições sobre segurança da aviação, estabelecidas pela OACI e designadas como Anexos à Convenção; deverão exigir que operadores de aeronaves por elas registradas, ou operadores de aeronaves que tenham sua sede comercial principal ou residência permanente em seu território e os operadores de aeroportos situados em seu território ajam em conformidade com as referidas disposições sobre a segurança da aviação. Cada Parte deverá notificar a outra Parte de toda diferença entre seus regulamentos e métodos nacionais e as normas de segurança da aviação dos Anexos. Qualquer das Partes poderá solicitar a qualquer momento a imediata realização de consultas com a outra Parte sobre tais diferenças.

4. Cada Parte concorda que a tais operadores de aeronaves pode ser exigido que observem as disposições sobre a segurança da aviação mencionadas no parágrafo 3 deste Artigo e exigidas pela outra Parte para a entrada, saída, ou permanência no território da outra Parte. Cada Parte deverá assegurar que medidas adequadas sejam efetivamente aplicadas em seu território para proteger a aeronave e para inspecionar passageiros, tripulações, bagagens de mão, bagagens, carga e provisões de bordo, antes e durante o embarque ou carregamento. Cada Parte deverá, também, considerar de modo favorável toda solicitação da outra Parte, com vistas a adotar medidas especiais e razoáveis de segurança

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para combater uma ameaça específica. Em tal caso essas medidas deverão ser discutidas em detalhes por ambas as Partes.

5. Quando ocorrer um incidente, ou ameaça de incidente de apoderamento ilícito de aeronave civil, ou outros atos ilícitos contra a segurança de tal aeronave, de seus passageiros e tripulações, de aeroportos ou instalações de navegação aérea, as Partes deverão assistir-se mutuamente, facilitando as comunicações e outras medidas apropriadas, destinadas a pôr termo, de forma rápida e segura, a tal incidente ou ameaça.

6. Cada Parte deverá ter o direito, dentro dos sessenta (60) dias seguintes à notificação, ou dentro de um menor período, conforme acordado entre as autoridades aeronáuticas, de que suas autoridades aeronáuticas efetuem uma avaliação no território da outra Parte das medidas de segurança sendo aplicadas ou que planejam aplicar, pelos operadores de aeronaves, com respeito aos voos que chegam procedentes do território da primeira Parte ou que sigam para o mesmo. Os entendimentos administrativos para a realização de tais avaliações deverão ser feitos entre as autoridades aeronáuticas e implementados sem demora a fim de se assegurar que as avaliações se realizem de maneira expedita. Todas as avaliações deverão estar cobertas por um acordo confidencial específico.

7. Quando uma Parte tiver motivos razoáveis para acreditar que a outra Parte não cumpre as disposições deste Artigo, a primeira Parte poderá solicitar a realização imediata de consultas. Tais consultas deverão começar dentro dos quinze (15) dias seguintes ao recebimento de tal solicitação de qualquer das Partes. No caso de não se chegar a um acordo satisfatório dentro de quinze (15) dias a partir do começo das consultas, isto constituirá motivo para negar, revogar, suspender ou impor condições sobre as autorizações da empresa aérea ou empresas aéreas designadas pela outra Parte. Quando justificada por uma emergência ou para impedir que continue o descumprimento das disposições deste Artigo, a primeira Parte poderá adotar medidas temporárias a qualquer momento. Qualquer medida adotada de acordo com este parágrafo será interrompida mediante o cumprimento pela outra Parte das disposições sobre segurança de conformidade com este Artigo.

ARTIGO 9 

Direitos Alfandegários 

1. Cada Parte, com base na reciprocidade, deverá isentar aeronaves em transportes aéreos internacionais operadas por uma empresa aérea designada da outra Parte, no maior grau possível em conformidade com sua legislação nacional, de restrições sobre importações, direitos alfandegários, impostos indiretos, taxas de inspeção e outras taxas e gravames nacionais que não se baseiem no custo dos serviços proporcionados em seu território, sobre aeronaves, combustíveis, lubrificantes (incluindo fluidos hidráulicos), suprimentos técnicos de consumo, peças sobressalentes incluindo motores, equipamento de uso normal dessas aeronaves e provisões de bordo destinados ou usados exclusivamente na operação ou manutenção das aeronaves da empresa aérea designada da Parte que esteja operando os serviços acordados e desde que tal equipamento e itens sejam utilizados a bordo da aeronave e sejam reexportados. As provisões de bordo incluem, mas não se

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limitam a itens como alimentos, bebidas e produtos destinados à venda, ou uso, pelos passageiros durante o voo.

2. Desde que em cada caso, se destinem ao uso a bordo de aeronaves em relação ao estabelecimento ou manutenção de transporte aéreo internacional pela empresa aérea em questão, as isenções concedidas por este Artigo se aplicarão aos itens mencionados no parágrafo 1:

a) introduzidos no território de uma Parte por ou sob a responsabilidade da empresa

aérea designada pela outra Parte;

b) mantidos a bordo das aeronaves da empresa aérea designada de uma Parte, na chegada ou na saída do território da outra Parte; ou

c) embarcados nas aeronaves da empresa aérea designada de uma Parte no território da outra Parte e com o objetivo de serem usados na operação dos serviços acordados;

sejam ou não tais produtos utilizados ou consumidos totalmente dentro do território da Parte que outorga a isenção, sob a condição de que sua propriedade não seja transferida no território de tal Parte.

3. O equipamento de bordo de uso regular, bem como os materiais e suprimentos normalmente mantidos a bordo das aeronaves de uma empresa aérea designada de qualquer das Partes, somente poderão ser descarregados no território da outra Parte com a autorização das autoridades alfandegárias de tal território. Nesse caso, tais itens poderão ser colocados sob a supervisão das mencionadas autoridades até que sejam reexportados ou se lhes dê outro destino, conforme os regulamentos alfandegários.

4. As isenções segundo este Artigo também serão disponibilizadas em situações em que uma empresa aérea designada de uma Parte entre em acordo com outra empresa aérea ou empresas aéreas para o empréstimo ou transferência no território da outra Parte, do equipamento regular e outros itens mencionados no parágrafo 1 deste Artigo, desde que a outra empresa aérea ou empresas aéreas da mesma forma gozem destas isenções originadas da outra Parte.

ARTIGO 10 Capacidade

1. A capacidade total a ser ofertada pelas empresas aéreas designadas das Partes, nos

serviços acordados, deverá ser determinada entre suas autoridades aeronáuticas antes do começo das operações e, posteriormente, em função das exigências do tráfego previsto.

2. Os serviços acordados a serem operados pelas empresas aéreas designadas pelas Partes deverão ter como objetivo primário a oferta, com um razoável fator de ocupação, de capacidade adequada para satisfazer as necessidades do tráfego entre os territórios das duas Partes.

3. Cada Parte deverá conceder uma oportunidade justa e eqüitativa às empresas aéreas designadas de ambas as Partes para operar os serviços acordados entre seus respectivos territórios.

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4. Se, ao revisá-la, as Partes não chegarem a um acordo sobre a capacidade que deve ser oferecida nos serviços acordados, a capacidade que as empresas aéreas designadas das Partes poderão oferecer não deverá exceder aquela previamente acordada.

ARTIGO 11

Tarifas

1. As tarifas a serem aplicadas pelas empresas aéreas designadas de uma Parte nos serviços cobertos por este Acordo deverão ser estabelecidas em níveis razoáveis, levando-se devidamente em conta todos os fatores relevantes, incluindo interesse dos usuários, custo de operação, características do serviço, lucro razoável, tarifas de outras empresas aéreas e outras considerações comerciais próprias do mercado.

2. As autoridades aeronáuticas das Partes concordam em examinar com especial atenção as tarifas que podem ser questionáveis por parecerem discriminatórias sem razão, indevidamente elevadas ou restritivas por abuso de uma posição dominante, serem artificialmente baixas devido a subsídio ou apoio direto, indireto, ou predatórias.

3. As autoridades aeronáuticas das Partes poderão requerer a notificação ou o registro das tarifas propostas pelas empresas aéreas designadas de ambas as Partes pelo transporte de e para seu território. Tal notificação ou registro de tarifas pode ser requerido não mais do que trinta (30) dias antes da data de introdução proposta. Em casos especiais, esse período poderá ser reduzido.

4. As autoridades aeronáuticas das Partes terão o direito de aprovar ou desaprovar as tarifas dos serviços de ida ou de ida e volta entre os territórios de ambas as Partes que se iniciem em seu próprio território. As tarifas a serem cobradas por uma empresa aérea designada de uma Parte pelo transporte entre o território da outra Parte e o território de um terceiro Estado nos serviços cobertos por este Acordo deverão estar sujeitas aos requisitos de aprovação da outra Parte. As autoridades aeronáuticas de nenhuma das Partes deverão tomar medidas unilaterais para impedir que as tarifas propostas comecem a ser aplicadas ou continuem a ser aplicadas as tarifas vigentes para o transporte de ida ou de ida e volta entre os territórios de ambas as Partes que se iniciem no território da outra Parte.

5. A aprovação de tarifas em conseqüência das disposições do parágrafo 4 acima pode ser expressamente concedida pelas autoridades aeronáuticas de qualquer das Partes às empresas aéreas que as solicitem. Não obstante, se a autoridade aeronáutica da Parte envolvida não notificar por escrito a outra Parte sobre a desaprovação dessas tarifas das empresas aéreas da outra Parte dentro de um prazo de vinte (20) dias a partir da data em que foram apresentadas, as tarifas em questão deverão ser consideradas aprovadas. No caso em que o prazo para a apresentação seja reduzido conforme o disposto no parágrafo 3, as autoridades aeronáuticas das Partes poderão concordar que o prazo dentro do qual deva indicar-se a desaprovação seja, em conseqüência, reduzido.

6. Quando as autoridades aeronáuticas de qualquer uma das Partes entenderem que uma tarifa de transporte para seu território está compreendida nas categorias do parágrafo 2 acima, deverão notificar sobre sua insatisfação as autoridades aeronáuticas da outra Parte, o quanto antes possível, e pelo menos dentro dos trinta (30) dias seguintes à data de notificação ou apresentação da tarifa em questão, e poderão recorrer aos procedimentos de consulta estipulados no parágrafo 7 abaixo.

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7. As autoridades aeronáuticas de cada Parte poderão solicitar que se realizem consultas sobre qualquer tarifa de uma empresa aérea de qualquer das Partes para os serviços previstos no presente Acordo, inclusive no caso em que a tarifa em questão haja sido objeto de uma notificação de desaprovação ou insatisfação. Tais consultas deverão ser realizadas, no mais tardar, sessenta (60) dias após o recebimento da solicitação. As Partes deverão colaborar para assegurar as informações necessárias para a solução racional dos problemas. Se as Partes chegarem a um acordo, cada uma delas fará todo o possível para aplicar o dito acordo. Se não se chegar a nenhum acordo, deverá prevalecer a decisão da Parte em cujo território o transporte tenha origem.

ARTIGO 12

Salvaguardas 

1. As seguintes práticas das empresas aéreas podem ser consideradas como possíveis práticas competitivas desleais que podem justificar um exame mais minucioso:

a) cobrança de tarifas em níveis que são, no conjunto, insuficientes para cobrir os custos de proporcionar os serviços correspondentes, na rota voada;

b) as práticas em questão são continuadas em lugar de temporárias;

c) as práticas em questão afetam seriamente a economia de outra empresa aérea ou causam-lhe significativo prejuízo;

d) as práticas em questão refletem uma aparente intenção ou têm o provável efeito de prejudicar, excluir ou tirar outra empresa aérea do mercado; e

e) comportamento indicando um abuso da posição dominante na rota.

2. Sem limitar a aplicação das leis que regem a concorrência e o consumidor, promulgadas por qualquer uma das Partes, se as autoridades aeronáuticas de uma Parte considerarem que uma ou várias operações pretendidas ou realizadas pelas empresas aéreas designadas da outra Parte podem constituir um comportamento competitivo desleal, poderão solicitar a realização de consultas. Em tal solicitação devem ser indicados os motivos correspondentes e as consultas, que poderão ser conduzidas pessoalmente ou através de correspondência, deverão ser iniciadas até trinta (30) dias após a solicitação.

3. Ao dar início às consultas explicitadas neste Artigo, as Partes deverão:

a) coordenar suas ações com as autoridades responsáveis;

b) considerar meios alternativos que possam também atingir os objetivos de ação, compatíveis com as leis gerais que regem a concorrência e o consumidor; e

c) levar em consideração o ponto de vista da outra Parte e as obrigações da outra Parte no contexto de outros acordos internacionais.

ARTIGO 13 Atividades Comerciais

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1. Cada Parte deverá conceder às empresas aéreas da outra Parte o direito de vender e

comercializar em seu território, serviços de transporte aéreo internacional, diretamente ou por meio de agentes ou outros intermediários, à escolha da empresa aérea, incluindo o direito de estabelecer seus próprios escritórios, tanto como empresa operadora como não operadora, e usar sua própria documentação de transporte.

2. Cada empresa aérea deverá ter o direito de: a) vender serviços de transporte na moeda daquele território ou, sujeita às leis e

regulamentos nacionais, em moedas livremente conversíveis de outros países, e qualquer pessoa deverá poder adquirir tais serviços de transporte em moedas aceitas por aquela empresa aérea;

b) usar os serviços e pessoal de qualquer organização, companhia ou empresa aérea que opere no território da outra Parte; e

c) a seu próprio critério, pagar despesas locais, incluindo compras de combustível, no território da outra Parte em moeda local ou, desde que isto esteja de acordo com os regulamentos do país, em quaisquer moedas livremente conversíveis.

3. De acordo com as leis e regulamentos que regem a entrada, residência e emprego para a

outra Parte, a empresa aérea ou empresas aéreas designadas de uma Parte poderão, com base na reciprocidade, trazer e manter no território da outra Parte seus representantes e pessoal comercial, operacional e técnico necessário à operação dos serviços acordados.

4. Essas necessidades de pessoal podem, a critério das empresas aéreas designadas de uma

Parte, ser satisfeitas com pessoal próprio ou usando os serviços de qualquer outra organização, companhia ou empresa aérea que opere no território da outra Parte, autorizadas a prestar esses serviços para outras empresas aéreas.

5. Os representantes e os auxiliares deverão estar sujeitos às leis e regulamentos em vigor da outra Parte e de acordo com tais leis e regulamentos:

a) cada Parte deverá conceder, com base na reciprocidade e com o mínimo de demora,

as autorizações de emprego, os vistos de visitantes ou outros documentos similares necessários para os representantes e os auxiliares mencionados no parágrafo 3 deste Artigo; e

b) ambas as Partes deverão facilitar e acelerar o processamento das autorizações de emprego necessárias ao pessoal que desempenhe certos serviços temporários que não excedam noventa (90) dias.

ARTIGO 14

Conversão de Divisas e Remessa de Receitas 

1. Cada Parte deverá permitir às empresas aéreas designadas da outra Parte converter e remeter para o exterior, a pedido, ao Estado que escolherem, todas as receitas locais

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provenientes da venda de serviços de transporte aéreo que excedam as somas localmente desembolsadas, permitindo-se sua rápida conversão e remessa à taxa de câmbio do dia do pedido para a conversão e remessa.

2. A conversão e a remessa de tais receitas deverão ser permitidas em conformidade com a legislação vigente, e não estarão sujeitas a quaisquer encargos administrativos ou cambiais, exceto aqueles normalmente cobrados pelos bancos para a sua execução.

3. O disposto neste Artigo não desobriga as empresas aéreas de ambas as Partes do pagamento dos impostos, taxas e contribuições a que estejam sujeitas.

ARTIGO 15 Tarifas Aeronáuticas

1. Cada Parte deverá envidar todos os esforços para encorajar os responsáveis pelo fornecimento de instalações e serviços aeroportuários, ambientais, de navegação aérea e segurança da aviação, a cobrar tarifas das empresas aéreas que sejam razoáveis, não discriminatórias, e igualmente proporcionais entre as categorias de usuários.

2. Tarifas razoáveis refletem, porém não excedem o custo total para as autoridades arrecadadoras responsáveis do fornecimento das instalações e serviços. Isto poderá incluir um retorno razoável sobre os ativos, após a depreciação. As instalações e serviços para os quais são designadas as tarifas devem ser fornecidos em bases eficientes e econômicas. Para que as tarifas não sejam discriminatórias, devem ser arrecadadas das empresas estrangeiras em níveis que não sejam mais altos do que os níveis impostos às próprias empresas aéreas de uma Parte que opere serviços internacionais similares.

3. Cada Parte deverá encorajar a realização de consultas sobre tarifas aeronáuticas entre suas autoridades arrecadadoras responsáveis e as empresas aéreas que utilizam os serviços e instalações, proporcionados por aquelas autoridades arrecadadoras, quando for factível por meio das organizações representativas de tais empresas aéreas.

ARTIGO 16

Estatísticas 

As autoridades aeronáuticas de cada Parte poderão solicitar às empresas aéreas designadas da outra Parte que proporcionem às autoridades aeronáuticas da outra Parte, a pedido, as estatísticas periódicas ou eventuais, que possam ser razoavelmente necessárias, com o propósito de rever a capacidade ofertada nos serviços acordados operados pelas empresas aéreas designadas da primeira Parte.

ARTIGO 17 Aprovação de Horários

1. As empresas aéreas designadas de cada Parte deverão submeter suas previsões de horários de voos à aprovação das autoridades aeronáuticas da outra Parte, pelo menos

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trinta (30) dias antes da operação dos serviços acordados. O mesmo procedimento deverá ser aplicado para qualquer modificação dos horários.

2. Para os voos de reforço que a empresa aérea designada de uma Parte deseje operar nos serviços acordados, fora do quadro horário aprovado, a fim de atender demandas especiais de tráfego, essa empresa aérea deverá solicitar autorização prévia das autoridades aeronáuticas da outra Parte. Tais solicitações deverão ser submetidas pelo menos quinze (15) dias antes da operação de tais voos

ARTIGO 18

Consultas  1. Em um espírito de estreita cooperação, as autoridades aeronáuticas das Partes poderão a

qualquer momento solicitar a realização de consultas com o objetivo de garantir a implementação, interpretação e o cumprimento satisfatório das disposições do presente Acordo.

2. Sujeito ao Artigo 3 (Designação e Autorização), Artigo 7 (Segurança de Voo) e Artigo 8 (Segurança da Aviação), tais consultas, que poderão ser realizadas através de entendimentos verbais ou correspondência, deverão iniciar-se dentro de um prazo de sessenta (60) dias a partir da data de recebimento de tal solicitação, a menos que de outra forma mutuamente decidido pelas autoridades aeronáuticas.

ARTIGO 19 Emendas

Qualquer emenda ou modificação a este Acordo, incluindo o Anexo, acordado pelas Partes entrará em vigor na data determinada por troca de notas diplomáticas, indicando que todos os procedimentos internos necessários foram completados por ambas as Partes.

ARTIGO 20 Acordos Multilaterais

Se um acordo multilateral relativo a transporte aéreo entrar em vigor em relação a ambas as Partes, o presente Acordo deverá ser emendado para conformar-se às disposições de tal acordo multilateral.

ARTIGO 21

Solução de Controvérsias 

No caso de qualquer controvérsia que possa surgir entre as Partes, relativa à interpretação ou aplicação deste Acordo, com exceção das que possam surgir decorrentes dos Artigos 7

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(Segurança de Voo), Artigo 8 (Segurança da Aviação) e Artigo 11 (Tarifas), as autoridades aeronáuticas das Partes deverão buscar resolvê-las por meio de negociações mútuas, e caso não cheguem a um acordo, a controvérsia deverá ser solucionada através dos canais diplomáticos.

ARTIGO 22 Denúncia

Qualquer das Partes poderá, a qualquer tempo, notificar a outra Parte por escrito, por via diplomática, sua decisão de denunciar este Acordo. Tal notificação deverá ser feita simultaneamente à OACI. Este Acordo deverá expirar um ano após a data de recebimento da notificação pela outra Parte, a menos que se retire tal notificação, mediante acordo, antes de concluído tal prazo. Se a outra Parte não acusar recebimento, deverá ser considerado que a notificação foi recebida quatorze (14) dias depois de seu recebimento pela OACI.

 

ARTIGO 23 Registro na OACI

Este Acordo e quaisquer emendas ao mesmo serão registrados na Organização de Aviação Civil Internacional.

ARTIGO 24 Entrada em Vigor

Este Acordo deverá entrar em vigor em data a ser determinada em troca de notas diplomáticas indicando que todos os procedimentos internos necessários foram completados pelas Partes.

Em testemunho do que os abaixo assinados, estando devidamente autorizados pelos seus respectivos Governos, assinaram o presente Acordo.

Feito em Brasilia, em 21 abril 2010, em Inglês e Português, sendo ambos os textos igualmente idênticos.

Pelo Governo da Austrália

Pelo Governo da República Federativa do Brasil

Hon Simon Crean Minisitro do Comércio

HE Celso Luiz Nunes Amorim Minisitro das Relaçōes Exteriores

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ANEXO

QUADRO DE ROTAS

As empresas aéreas designadas das Partes poderão operar serviços aéreos internacionais entre pontos nas seguintes rotas: Rota para as empresas aéreas designadas do Brasil: Pontos no Brasil Pontos Intermediários Pontos na Austrália Pontos Além Qualquer ponto Qualquer ponto Qualquer ponto Qualquer ponto Rota para as empresas aéreas designadas da Austrália: Pontos na Austrália Pontos Intermediários Pontos no Brasil Pontos Além Qualquer ponto Qualquer ponto Qualquer ponto Qualquer ponto

Nota: 1. As empresas aéreas designadas de cada Parte poderão, a seu próprio critério, omitir

pontos em quaisquer das rotas acima ou operar serviços em qualquer uma ou em ambas as direções desde que tais serviços se iniciem ou terminem no território da Parte que designou a empresa aérea em questão.

2. Os pontos intermediários e pontos além nas rotas acima e os direitos de tráfego que podem ser exercidos em tais pontos pelas empresas aéreas designadas serão periodicamente determinados, conjuntamente entre as autoridades aeronáuticas.

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National Interest Analysis [2010] ATNIA 55

with attachment on consultation

Air Services Agreement between the Government of the Federative Republic of Brazil and the Government of Australia,

done at Brasilia on 21 April 2010

[2010] ATNIF 38

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NATIONAL INTEREST ANALYSIS: CATEGORY 2 TREATY

SUMMARY PAGE

Air Services Agreement between the Government of the Federative Republic of Brazil and the Government of Australia,

done at Brasilia on 21 April 2010 [2010] ATNIF 38

Nature and timing of treaty action 1. The proposed treaty action is to bring into force the Air Services Agreement between the Government of the Federative Republic of Brazil and the Government of Australia (the Agreement). 2. The Agreement was signed on 21 April 2010.

3. Pursuant to Article 24, the Agreement will enter into force when the Parties have notified each other in writing that their respective requirements for its entry into force have been satisfied. Subject to the Joint Standing Committee on Treaties’ (JSCOT) issuing a report recommending the treaty action, the Australian Government will provide its notification to the Government of the Federative Republic of Brazil (Brazil) after the Agreement has been tabled in both houses of Parliament for 15 sitting days. 4. The Agreement will establish for the first time a treaty level air services relationship between Australia and Brazil. It will allow the airlines of Australia and Brazil to develop international air services between the two countries.

5. The Agreement was preceded by aviation arrangements of less than treaty status, in the form of Memoranda of Understanding (MOUs) signed in 2006 and 2008. In accordance with established Australian and international practice these MOUs applied the provisions of the Agreement on a non-legally binding basis until the Agreement enters into force. Overview and national interest summary 6. The purpose of the Agreement is to provide a binding legal framework to support the operation of air services between Australia and Brazil. The Agreement will facilitate trade and tourism between the two countries and will provide greater opportunities for airlines to develop expanded air travel options for consumers.

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Reasons for Australia to take the treaty action 7. The Agreement grants access for Australian airlines to the Brazilian aviation market and allows for the establishment of air services between the two countries. The Agreement will enable Australian and Brazilian carriers to provide services between any point in Australia and any point in Brazil, based on capacity levels decided from time to time between the aeronautical authorities of the Parties. 8. Australian travellers and Australian businesses, particularly in the tourism and export industries, will benefit from this Agreement through the opening of increased opportunities. Obligations 9. Australia and Brazil are both Parties to the Convention on International Civil Aviation ([1957] ATS 5) (the Chicago Convention). The Agreement was made in accordance with and pursuant to the Chicago Convention opened for signature at Chicago on 7 December 1944. 10. The Agreement obliges Australia and Brazil to allow the designated airlines of each country to operate scheduled air services carrying passengers and cargo between the two countries on specified routes in accordance with the provisions of the Agreement. To facilitate these services, the Agreement also includes reciprocal provisions on a range of aviation-related matters such as safety, security, customs regulation and the commercial aspects of airline operations, including the ability to establish offices in the territory of each Party and to sell fares to the public. 11. Under Article 2 of the Agreement, each Party grants to the designated airlines of the other Party the right to fly across its territory without landing and to make stops in its territory for non-traffic purposes. Article 2 also provides the right for designated airlines to operate on the routes specified in the Route Schedule for the purpose of taking on board and discharging passengers, cargo and mail. 12. Article 3 of the Agreement allows each Party to designate any number of airlines to operate the agreed services. On receipt of the designation, the authorising Party must grant the authorisation provided that, amongst other things the Party designating the airline complies with the conditions for ownership and the safety and security provisions of the Agreement. If the Party designating the airline fails to comply with the conditions specified in Article 3, Article 4 provides that the other Party has the right to withhold the authorisation and to revoke, suspend or impose conditions on such authorisations. 13. Article 5 of the Agreement confirms that each Party’s domestic laws and regulations relating to the operation and navigation of aircraft apply to the designated airlines when they are entering, within or leaving the territory of that Party. Article 5 also applies each Party’s laws and regulations relating to, for example, aviation security, immigration and customs to the passengers, crew, baggage, cargo and mail carried by the aircraft while they are within that Party’s territory. Passengers, baggage and cargo in direct transit shall be exempt from customs duties and other similar taxes. In applying their laws, the Parties are prevented from giving preference to their own or any other airline. 14. Under Article 6, each Party is required to recognise certificates of airworthiness, competency and licences issued by the other Party, provided the standards under which such

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documents were issued conform to the standards established by the International Civil Aviation Organization (ICAO). This requirement does not apply to the Party’s own nationals or to its registered aircraft by the other Party. 15. Under Article 7, each Party may request consultations with the other Party at any time concerning the safety standards maintained by the other Party. If required, the other Party shall be informed of the corrective action required to be undertaken to conform with the minimum standards. The Article also provides that each Party may, in its territory, arrange inspections of aircraft of the other Party to verify the validity of the relevant aircraft documents and those of its crew and ensure that the aircraft equipment and the condition of the aircraft conform to ICAO standards. Each Party can take immediate action essential to ensure the safety of an airline operation if it considers such action to be necessary. If access for the purpose of conducting an aircraft inspection is denied to one Party, that Party may infer serious concerns and shall be free to conclude that the Party does not meet minimum safety ICAO standards. 16. Under Article 8, both Parties are required to protect the security of civil aviation against acts of unlawful interference and, in particular, to act in conformity with multilateral conventions relating to aviation security. A Party may require the designated airlines of the other Party to observe the Party’s aviation security provisions for entry into, departure from or while within the territory of that Party and shall ensure that adequate measures are applied to protect the aircraft and to inspect passengers, crew, carry-on items, baggage, cargo and aircraft stores prior to and during boarding or loading. The Parties shall assist each other in the event of an incident or threat of an incident. Each aeronautical authority may request to conduct a security assessment in the other Party’s territory. Such assessments are to be conducted in accordance with arrangements agreed between the aeronautical authorities without delay. All assessments should be covered by a special confidential agreement. 17. Article 9 lists the equipment and stores used in the operation of the agreed services that the Parties are required, in accordance with international practice, to exempt from customs duties, excise taxes, inspection fees and other related charges. 18. Under Article 10, both Parties are obliged to ensure that there is a fair and equal opportunity for the designated airlines of both Parties to operate the agreed services. The capacity that can be operated between the two countries shall be decided between the aeronautical authorities before the services commence. The capacity was initially settled in an MOU signed in February 2006, when the Agreement was negotiated. These capacity arrangements are intended to continue once the Agreement enters into force.

19. Article 11 allows the designated airlines of a Party to set their own fares after having due regard to the relevant factors outlined in the Article. The Article also provides a framework for the aeronautical authorities to regulate air fares and other charges. The decision to regulate airfares is a policy consideration for the aeronautical authorities of each Party, in accordance with domestic legislation. 20. Under Article 12, the aeronautical authorities of one Party may request consultation with the other Party if the Party considers that a designated airline of the other Party is engaged in unfair competitive practices, such as those listed in Article 12. When undertaking such consultation, both Parties are required to coordinate their actions with the relevant

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21. Article 13 provides a framework that allows designated airlines of one Party to conduct business in the territory of the other Party. The framework includes provisions allowing designated airlines to establish offices, bring in and employ staff, sell air transport services to the public and use the services and personnel of any organisation, company or airline operating in the territory of the other Party to conduct its business. 22. Article 14 outlines the conditions under which airlines can convert and move currencies. The provisions in the Article do not exempt the airlines of both Parties from duties, taxes and other contributions to which they may be subjected. 23. Article 15 requires that each Party encourage those responsible for airport, airport environmental, air navigation and aviation security facilities and services to not levy charges that are unreasonable, inequitable or discriminatory. 24. Article 16 provides that a Party may request statistics from the other Party’s designated airlines. 25. Under Article 17, the designated airlines of each Party must submit their planned flight schedules to the aeronautical authority of the other Party for approval. If a designated airline wishes to depart from the planned flight schedules to meet special travel peaks, the airline must request prior permission from the aeronautical authority of the other Party. 26. Article 18 provides that each Party may at any time request consultations on the implementation, interpretation and compliance with the provisions of the Agreement. 27. Article 21 provides for dispute resolution, with the exception of disputes concerning safety and air fares, between the aeronautical authorities of the Parties. If the aeronautical authorities of the Parties fail to resolve any dispute by negotiation, it is to be settled by the Parties through diplomatic channels. 28. The Annex contains a route schedule which specifies the routes that may be operated by designated airlines. Implementation 29. The Agreement is to be implemented through existing legislation, including the Air Navigation Act 1920 and the Civil Aviation Act 1988. The International Air Services Commission Act 1992 provides for the allocation of capacity to Australian airlines. No amendments to these Acts or any other legislation are required for the implementation of the Agreement. Costs 30. No direct financial costs to the Australian Government are anticipated in the implementation of the Agreement. There are no financial implications for State or Territory Governments.

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Regulation Impact Statement 31. The Office of Best Practice Regulation, Department of Finance and Deregulation, has been consulted and confirms that a Regulation Impact Statement is not required. Future treaty action 32. Article 19 provides that any amendment to the Agreement, including the Annex, shall enter into force when the two Parties have notified each other, through an exchange of diplomatic notes, that they have completed their domestic procedures for entry into force of the amendments. Article 20 provides that the Agreement will be deemed to be amended so far as is necessary to comply with any multilateral air services agreement concerning air services that may come into force for both Parties. 33. Any amendment to the Agreement will be subject to Australia's domestic treaty-making process, including tabling in Parliament and consideration by JSCOT. Withdrawal or denunciation 34. Article 22 provides for termination of the Agreement. Either Party may give notice in writing at any time to the other Party of its decision to terminate the Agreement and must also lodge a notice of termination with ICAO. The Agreement shall terminate one year after the date of receipt of the notice of termination by the other Party, unless the notice is withdrawn by agreement before the end of the termination period. 35. Any notification of withdrawal from the Agreement by Australia will be subject to Australia's domestic treaty-making process, including tabling in Parliament and consideration by JSCOT. Contact details Aviation Industry Policy Branch Aviation and Airports Business Division Department of Infrastructure, Transport, Regional Development and Local Government

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ATTACHMENT ON CONSULTATION

Air Services Agreement between the Government of the Federative Republic of Brazil and the Government of Australia,

done at Brasilia on 21 April 2010 [2010] ATNIF 38

CONSULTATION 36. It is the practice ahead of negotiations of an air services agreement for the Department of Infrastructure, Transport, Regional Development and Local Government to consult government and non-government bodies that may have an interest in the outcome of the negotiations and to take into account their views in developing a negotiating position for the Minister’s approval. 37. Prior to the negotiation of the Agreement, extensive consultations were held with industry and Commonwealth and State and Territory government agencies. The following stakeholders were advised by letter and/or email of the proposal to negotiate an agreement between Australia and Brazil and invited to comment on issues of importance to them:

Commonwealth Government Agencies

Attorney-General's Department Australian Customs and Border Security Service Australian Quarantine and Inspection Service Austrade Civil Aviation Safety Authority Department of Foreign Affairs and Trade Department of Finance and Deregulation Department of Immigration and Citizenship Department of Industry, Tourism and Resources Department of Prime Minister and Cabinet The Treasury Tourism Australia

State Government Agencies

ACT Government Chief Minister’s Department Queensland Government Department of Employment, Economic Development

and Innovation, Aviation Steering Committee NSW Government Department of Planning, Infrastructure and Natural Resources NSW Government Ministry of Transport Industry and Investment NSW South Australian Government Department of Transport, Energy and Infrastructure Tasmanian Department of Infrastructure, Energy & Resources Victorian Government Department of Innovation, Industry and Regional

Development Western Australian Government Department of Transport Northern Territory Government Department of Planning and Infrastructure Queensland Government Department of Transport

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Victorian Government Department of Primary Industries Tourism New South Wales Tourism South Australia Tourism Queensland Tourism Tasmania Tourism Victoria Tourism Northern Territory Tourism Western Australia

Industry

Adelaide Airport Limited Alice Springs Airport Australian Airports Association Australian and International Pilots Association Australian Aviation Council Australian Federation of Travel Agents Australian Federation of International Forwarders Australian Local Government Association Australian Tourism Export Council Australia's North West Tourism Avalon Airport Australia Pty Ltd & Essendon Airport Pty Ltd Aviation Australia Board of Airline Representatives of Australia Brisbane Airport Corporation Ltd Broome International Airport Holdings Burnie Airport Corporation Pty Ltd/Wynyard Aerodrome Cairns Airport Canberra International Airport Chamber of Commerce Northern Territory Essendon Airport Flinders Ports South Australia Global Aviation Services Gold Coast Airport Ltd Hobart International Airport Launceston Airport Melbourne Airport Mildura City Council Moorabbin Airport National Food Industry Strategy Ltd National Jet Systems Pty Ltd National Tourism Alliance Newcastle Airport Ltd Northern Territory Airports Pty Ltd Northern Territory Transport Perth Airport Qantas Airways Ltd Queensland Airports Ltd Queensland Tourism Industry Corporation Regional Aviation Association of Australia

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Sky Air World Sydney Airport Corporation Ltd Tasmanian Freight Logistics Council Tourism and Transport Forum (TTF) Australia Tourism Top End Townsville Airport Tropical Tourism North Queensland Virgin Blue Westralia Airports Corporation Pty Ltd

38. Comments were received from: Qantas, Virgin Blue, Sydney Airport, the Aviation Steering Committee of the Queensland Government, Tourism New South Wales, Tourism Victoria and the Australian Government Department of Resources, Energy and Tourism. 39. Stakeholders who provided comment supported the negotiation of a new air services agreement with Brazil to open market access for airlines in both countries. 40. Comments provided by Sydney Airport, the Australian Government Department of Resources, Energy and Tourism and Tourism Victoria were all confidential. 41. Qantas supported negotiations of arrangements including liberal cooperative marketing provisions and route rights. Virgin Blue supported the negotiations. 42. The Aviation Steering Committee of the Queensland Government and Tourism New South Wales indicated that they would welcome the Agreement which would provide flexibility to Australian and foreign carriers to serve these states. 43. Comments on the Agreement were received from the Attorney-General’s Department, the Department of Foreign Affairs and Trade, the Treasury, Customs, the Civil Aviation Safety Authority, the Australian Competition and Consumer Commission and the Department of Immigration and Citizenship. These agencies cleared the text of the Agreement prior to its approval by the Federal Executive Council. 44. The Agreement was included in the Schedule of Treaties provided to the Commonwealth-State/Territory Standing Committee on Treaties in September 2008 and in July 2009 prior to signature of the Agreement. 45. The Agreement was approved for signature by the Federal Executive Council on 14 November 2008.

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National Interest Analysis [2010] ATNIA 54

with attachment on consultation

Agreement between the Government of Australia and the Government of Japan concerning Reciprocal Provision of Supplies and Services between the

Australian Defence Force and the Self-Defense Forces of Japan

done at Tokyo on 19 May 2010

[2010] ATNIF 29

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NATIONAL INTEREST ANALYSIS: CATEGORY 1 TREATY

SUMMARY PAGE

Agreement between the Government of Australia and the Government of Japan concerning Reciprocal Provision of Supplies and Services between the

Australian Defence Force and the Self-Defense Forces of Japan

done at Tokyo on 19 May 2010

[2010] ATNIF 29 Nature and timing of proposed treaty action 1. The proposed treaty action is to bring into force the Agreement between the Government of Australia and the Government of Japan Concerning Reciprocal Provision of Supplies and Services Between the Australian Defence Force and the Self-Defense Forces of Japan (the proposed Agreement). 2. The proposed Agreement was signed on 19 May 2010. Pursuant to Article VII, the proposed Agreement will enter into force on the date upon which the Government of Australia and the Government of Japan (the Parties) exchange diplomatic notes informing each other that their respective internal procedures necessary to give effect to the proposed Agreement have been completed. 3. It is proposed that Australia will send written notification to Japan as soon as practicable after the tabling of the proposed Agreement in Parliament and following a recommendation by the Joint Standing Committee on Treaties (JSCOT) that binding treaty action be taken. Overview and national interest summary 4. The purpose of the proposed Agreement is to establish basic terms and conditions for the reciprocal provision of supplies and services between the Australian Defence Force (ADF) and the Self-Defense Forces of Japan necessary for: exercises and training with participation by the ADF and the Self-Defense Forces of Japan; United Nations peacekeeping operations; humanitarian international relief operations; operations in response to large scale disasters in Australia, Japan or a third country; emergency evacuation of Australian or Japanese nationals, or others from third countries; and communication and coordination or other routine activities including visits of ships or aircraft of the ADF or the Self-Defense Forces of Japan. 5. The proposed Agreement would benefit Australia by formalising and enhancing the quality of, and potential for, defence cooperation with Japan.

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Reasons for Australia to take the proposed treaty action 6. The proposed Agreement will facilitate the reciprocal provision of supplies and services in the field of logistic support and will promote cooperation between the Self-Defense Forces of Japan and the ADF. 7. The proposed Agreement does not raise any domestic or international defence policy concerns. Obligations 8. Article I of the proposed Agreement outlines the bilateral activities covered by the proposed Agreement and emphasises the principle of reciprocity. The activities covered by the proposed Agreement are:

a) exercises and training with participation by the Self-Defense Forces of Japan and the ADF;

b) United Nations peacekeeping operations; c) humanitarian international relief operations; d) operations in response to large scale disasters in Australia, Japan or a third country; e) emergency evacuation of Australian or Japanese nationals, or others from third

countries; and f) communication and coordination, or other routine activities, including visits to the

territory of either Party of ships or aircraft of the forces of the other Party. 9. Exercises and training conducted unilaterally by the forces of either Party are excluded from the scope of the proposed Agreement. 10. Article II of the proposed Agreement lists the categories of supplies and services that may be provided by either Party, within each Party’s competence. The specific items falling within each of these categories are set out in the Annex to the proposed Agreement. Article II excludes from the operation of the proposed Agreement the provision of weapons or ammunition by the ADF or the Self-Defense Forces of Japan. In providing the supplies and services, each Party must act in accordance with its national laws and regulations. 11. Article III provides that supplies and services provided under the proposed Agreement must be used consistently with the Charter of the United Nations (the UN Charter). Notably, Article 2(4) of the UN Charter prohibits the threat or use of force against the territorial integrity or political independence of any state, or in any other manner inconsistent with the purposes of the UN. Article III of the proposed Agreement also provides that supplies and services are not to be transferred outside of the forces of the receiving Party without the prior written consent of the providing Party. 12. Article IV of the proposed Agreement sets out the possible settlement (reimbursement) procedures for the provision of supplies. Where possible, the receiving Party must return the supplies in a condition and manner satisfactory to the providing Party. Where the supplies provided are consumable or cannot be returned in a satisfactory condition, the receiving Party must give the providing Party supplies of the same type, quality and quantity and in a condition and manner that is satisfactory to the providing Party. Where neither option is

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possible, the receiving Party must reimburse the providing Party in a currency specified by the providing Party.

13. Article IV also sets out settlement procedures for the provision of services. The receiving Party may either reimburse the providing Party in its chosen currency, or provide services of the same type and equivalent value. The manner of settlement in relation to the provision of services must be agreed between the Parties prior to the provision of the services.

14. Article IV also provides that, to the extent permitted by their national laws, the Parties will not charge internal duties and taxes on the provision of supplies and services under the proposed Agreement. 15. Article V of the proposed Agreement provides that provision and receipt of supplies and services under the proposed Agreement must be carried out in accordance with the Procedural Arrangement. The Procedural Arrangement is a less-than-treaty status document concluded between competent authorities of the Parties (the Australian Department of Defence and the Japanese Ministry of Defense) that specifies procedures and supplementary detail to implement the proposed Agreement. 16. Article VI of the proposed Agreement sets out provisions relating to the implementation of the proposed Agreement. Specifically, paragraph 1 provides that the proposed Agreement will not apply to any ADF activities conducted by the ADF acting as a member of the United Nations Forces under the Agreement Regarding the Status of the United Nations Forces in Japan done at Tokyo on 19 February 1954. Paragraphs 2 and 3 require the Parties to consult with each other regarding the implementation of the proposed Agreement and to settle any disputes relating to the interpretation or application of the proposed Agreement and Procedural Arrangement through consultation. Paragraph 4 provides that the competent authorities of the Parties must settle disputes regarding the implementation of the proposed Agreement in accordance with the procedures set out in the Procedural Arrangement. The Procedural Arrangement sets out a dispute resolution mechanism based on consultation between the competent authorities of the Parties. Paragraph 5 of Article VI of the proposed Agreement provides that where disputes between the competent authorities cannot be settled in accordance with the Procedural Arrangement, they must be settled through consultation between the Parties. 17. Paragraph 1 of Article VII of the proposed Agreement provides that the proposed Agreement will enter into force when the Parties exchange diplomatic notes informing each other that their respective internal procedures necessary to give effect to the proposed Agreement have been completed. Paragraph 1 of Article VII also provides that the proposed Agreement will remain in force for ten years and will be automatically extended for successive periods of ten years unless either Party notifies the other of its intention in writing to terminate the proposed Agreement more than six months before the end of each period of ten years. Alternatively, paragraph 2 of Article VII provides that either Party may terminate the proposed Agreement at any time by providing one year’s written notice.

18. Paragraph 3 of Article VII provides that the proposed Agreement may be amended by written agreement between the Parties. Paragraph 4 of Article VII provides that Article III, IV, V and paragraphs 3, 4 and 5 of Article VI will remain in force with respect to supplies and services provided under the proposed Agreement, notwithstanding the termination of the proposed Agreement.

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Implementation 19. No changes to national laws, regulations or policies are required to implement the proposed Agreement. The proposed Agreement will not effect any change to the existing roles of the Commonwealth Government or the State and Territory Governments. Costs 20. There are no foreseeable financial costs to the Commonwealth Government in the implementation of the proposed Agreement. 21. Supplies and services provided by Japan to Australia will be settled in accordance with the provisions of Article IV, including cash payments where necessary.

Regulation Impact Statement 22. The Office of Best Practice Regulation, Department of Finance and Deregulation, has been consulted and confirms that a Regulation Impact Statement is not required. Future treaty action 23. The proposed Agreement does not provide for the negotiation of any future legally binding instruments. A Procedural Arrangement (a less-than-treaty status instrument), foreshadowed by Article V of the proposed Agreement, has been concluded between the competent authorities of the Parties to specify procedures and details of the terms and conditions to implement the proposed Agreement. 24. Under paragraph 3 of Article VII, the proposed Agreement (including the Annex) may be amended by written agreement between the Parties. Amendments to the proposed Agreement would be subject to Australia’s domestic treaty-making process, including tabling in Parliament and consideration by JSCOT. Withdrawal or denunciation 25. Under paragraph 1 of Article VII, the proposed Agreement will remain in force for a period of ten years and will be automatically extended for subsequent periods of ten years. The proposed Agreement may be terminated by either Party in writing at least six months before the end of each period of ten years. Alternatively, paragraph 2 of Article VII provides that either Party may terminate the proposed Agreement at any time by providing one year’s written notice. 26. Termination by Australia would be subject to Australia’s domestic treaty-making process, including tabling in Parliament and consideration by JSCOT. If the proposed Agreement is terminated, paragraph 4 of Article VII provides that Article III, IV, V and paragraphs 3, 4 and 5 of Article VI will remain in force with respect to supplies and services provided under the proposed Agreement.

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Contact details Director of International Logistics Strategic Logistics Branch Department of Defence

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ATTACHMENT ON CONSULTATION

Agreement between the Government of Australia and the Government of Japan concerning Reciprocal Provision of Supplies and Services between the

Australian Defence Force and the Self-Defense Forces of Japan

done at Tokyo on 19 May 2010

[2010] ATNIF 29

CONSULTATION 27. The Minister for Foreign Affairs provided approval for the Department of Defence to be the lead negotiating agency for the proposed Agreement. The Department of Defence consulted with the Department of Foreign Affairs and the Attorney-General’s Department throughout the negotiation process. Both the Minister for Foreign Affairs and the Attorney-General approved the final text of the proposed Agreement prior to its signature by the Minister for Defence.

28. The State and Territory Governments have been consulted through the Commonwealth-State-Territory Standing Committee on Treaties (SCOT). Information on the negotiation of the proposed Agreement was provided to State and Territory representatives through the bi-annual SCOT meetings throughout the course of the negotiations concerning the proposed Agreement. No requests for further information or comments on the proposed Agreement have been received to date from the State and Territory Governments.

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DEPARTMENT OF FOREIGN AFFAIRS AND TRADE CANBERRA

AIR SERVICES AGREEMENT

BETWEEN

THE GOVERNMENT OF AUSTRALIA

AND

THE GOVERNMENT OF THE FEDERATIVE REPUBLIC OF BRAZIL

Brasilia, 21 April 2010

Not yet in force [2010] ATNIF 38

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AIR SERVICES AGREEMENT

BETWEEN

THE GOVERNMENT OF AUSTRALIA

AND

THE GOVERNMENT OF THE FEDERATIVE REPUBLIC OF BRAZIL

The Government of Australia and the Government of the Federative Republic of Brazil (hereinafter referred to as the “Parties”);

Being parties to the Convention on International Civil Aviation opened for signature at Chicago on the seventh day of December 1944;

Desiring to contribute to the progress of international civil aviation;

Desiring to conclude an Agreement for the purpose of establishing air services between and beyond their respective territories, have agreed as follows:

ARTICLE 1

Definitions

For the purpose of this Agreement, unless otherwise stated, the term:

a. “aeronautical authorities” means, in the case of Brazil the National Civil Aviation Agency (ANAC) and in the case of Australia, the Department of Infrastructure, Transport, Regional Development and Local Government; or in both cases, any other authority or person empowered to perform the functions now exercised by the said authorities, as notified in writing from time to time by one Party to the other Party, through diplomatic channels;

b. “agreed services” means air services on the specified routes for the carriage of passengers, baggage, cargo and mail, separately or in combination;

c. “Agreement” means this Agreement, its Annex and any amendments thereto;

d. “air service”, “international air service”, “airline” and “stop for non-traffic purposes” have the meanings assigned to them in Article 96 of the Convention;

e. “Convention” means the Convention on International Civil Aviation, opened for signature at Chicago on the seventh day of December, 1944, and includes any Annex

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adopted under Article 90 of that Convention and any amendment of the Annexes or to the Convention under Article 90 and 94, insofar as such Annexes and amendments have entered into force for both Parties;

f. “designated airline” means an airline which has been designated and authorized in accordance with Article 3 (Designation and Authorization) of this Agreement;

g. “specified route” means one of the routes specified in the Annex to this Agreement;

h. “tariff” means any fare, rate or charge for the carriage of passengers, baggage and/or cargo, excluding mail, in air services including any other mode of transportation in connection therewith, charged by airlines, including their agents, and the conditions governing the availability of such fare, rate or charge;

i. “territory” in relation to a State has the meaning assigned to it in Article 2 of the Convention; and

j. “user charges” means a charge made to airlines by the competent authorities, or permitted by them to be made for the provision of airport property or facilities or of air navigation facilities or aviation security facilities or services, including related services and facilities, for aircraft, their crews, passengers, baggage and cargo.

ARTICLE 2

Grant of Rights

1. Each Party grants to the other Party the rights specified in this Agreement for the purpose of operating international air services on the routes specified in the Route Schedule.

2. Subject to the provisions of this Agreement, the airlines designated by each Party shall enjoy, while operating international air services:

a. the right to fly without landing across the territory of the other Party;

b. the right to make stops in the territory of the other Party for non-traffic purposes;

c. the right to embark and disembark in the said territory at the points on the specified routes passengers, baggage, cargo and mail, separately or in combination, destined for or coming from points in the territory of the other Party;

d. the rights otherwise specified in this Agreement.

3. The airlines of each Party operating scheduled air services, other than those designated under Article 3 (Designation and Authorization) of this Agreement, when operating scheduled air services, shall also enjoy the rights specified in Paragraphs 2 “a” and “b” of this Article.

4. Nothing in this Article shall be deemed to confer on the designated airlines of one Party the right of taking on board, in the territory of the other Party, passengers, baggage, cargo and mail for remuneration and destined for another point in the territory of the said Party.

2

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ARTICLE 3

Designation and Authorization

1. Each Party shall have the right to designate in writing, through diplomatic channels, to the other Party an airline or airlines to operate the agreed services and to withdraw or alter such designation.

2. On receipt of such a designation, and of an application from the designated airline, in the form and manner prescribed for operating authorizations, each Party shall grant the appropriate operating authorization with minimum procedural delay, provided that:

a. the majority ownership and effective control are vested in the Party designating the airline, nationals of that Party, or both;

b. the Party designating the airline is in compliance with the provisions set forth in Article 7 (Safety) and Article 8 (Aviation Security) of this Agreement; and

c. the designated airline is qualified to meet other conditions prescribed under the laws and regulations normally applied to the operation of international air services by the Party receiving the designation.

3. On receipt of the operating authorization as provided for in Paragraph 2, a designated airline may at any time begin to operate the agreed services for which it is so designated, provided that the airline complies with the applicable provisions of this Agreement.

ARTICLE 4

Withholding, Revocation, Suspension and Limitation of Authorization

1. The aeronautical authorities of each Party shall have the right to withhold the authorizations referred to in Article 3 (Designation and Authorization) of this Agreement with respect to an airline designated by the other Party, and to revoke, suspend or impose conditions on such authorizations, temporarily or permanently in the event:

a. that such authorities are not satisfied that substantial ownership and effective control are vested in the Party designating the airline, nationals of that Party, or both; or

b. of failure of the Party designating the airline to comply with the provisions set forth in Article 7 (Safety) and Article 8 (Aviation Security); or

c. of failure that such designated airline is qualified to meet other conditions prescribed under the laws and regulations normally applied to the operation of international air services by the Party receiving the designation.

2. Such a right shall be exercised only after consultation with the other Party, unless immediate revocation, suspension or imposition of the conditions provided for under Paragraph 1 of this Article is essential to prevent further infringements of laws and regulations.

3

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ARTICLE 5

Application of Laws

1. The laws and regulations of one Party governing entry into and departure from its territory of aircraft engaged in international air services, or the operation and navigation of such aircraft while within its territory, shall be applied to aircraft of the designated airline of the other Party.

2. The laws and regulations of one Party relating to the entry into, stay in and departure from its territory of passengers, crew, baggage, cargo and mail such as those regarding aviation security, immigration, customs, currency, quarantine and sanitary control shall apply to passengers, crew, baggage, cargo and mail carried by the aircraft of the designated airline of the other Party while they are within the said territory.

3. Neither Party shall give preference to its own or any other airline over a designated airline of the other Party engaged in similar international air services in the application of its aviation security, immigration, customs, quarantine and sanitary control and similar regulations.

4. Passengers, baggage and cargo in direct transit through the territory of either Party and not leaving the area of the airport reserved for such purpose shall not undergo any examination except for reasons of aviation security, narcotics control, immigration requirements, or in special circumstances. Baggage and cargo in direct transit shall be exempt from customs duties and other similar taxes.

ARTICLE 6

Recognition of Certificates and Licences

1. Certificates of airworthiness, certificates of competency and licences issued or rendered valid by one Party and still in force shall be recognized as valid by the other Party for the purpose of operating the agreed services provided that the requirements under which such certificates and licences were issued or rendered valid are equal to or above the minimum standards which may be established pursuant to the Convention.

2. If the privileges or conditions of the licences or certificates referred to in Paragraph 1 above, issued by the aeronautical authorities of one Party to any person or designated airline or in respect of an aircraft used in the operation of the agreed services, should permit a difference from the minimum standards established under the Convention, and which difference has been filed with the International Civil Aviation Organization, the other Party may request consultations between the aeronautical authorities with a view to clarifying the practice in question.

4

3. Each Party reserves the right, however, to refuse to recognize for the purpose of flights above or landing within its own territory, certificates of competency and licences granted to its own nationals or in relation to its registered aircraft by the other Party.

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ARTICLE 7

Safety

1. Each Party may request consultations at any time concerning safety standards in any area relating to aircrew, aircraft or their operation adopted by the other Party. Such consultations shall take place within 30 days of that request.

2. If, following such consultations, one Party finds that the other Party does not effectively maintain and administer safety standards in any such area that are at least equal to the minimum standards established at that time pursuant to the Convention, the first Party shall notify the other Party of those findings and the steps considered necessary to conform with those minimum standards, and that other Party shall take appropriate corrective action. Failure by the other Party to take appropriate action within 15 days or such longer period as may be agreed, shall be grounds for the application of Article 4 (Withholding, Revocation, Suspension and Limitation of Authorization) of this Agreement.

3. Notwithstanding the obligations mentioned in Article 33 of the Convention it is agreed that any aircraft operated by or, under a lease arrangement, on behalf of the airline or airlines of one Party on services to or from the territory of another Party may, while within the territory of the other Party, be made the subject of an examination by the authorized representatives of the other Party, on board and around the aircraft to check both the validity of the aircraft documents and those of its crew and the apparent condition of the aircraft and its equipment (in this Article called “ramp inspection”), provided this does not lead to unreasonable delay.

4. If any such ramp inspection or series of ramp inspections gives rise to:

a) serious concerns that an aircraft or the operation of an aircraft does not comply with the minimum standards established at that time pursuant to the Convention, or

b) serious concerns that there is a lack of effective maintenance and administration of

safety standards established at that time pursuant to the Convention,

the Party carrying out the inspection shall, for the purposes of Article 33 of the Convention, be free to conclude that the requirements under which the certificate or licences in respect of that aircraft or in respect of the crew of that aircraft had been issued or rendered valid, or that the requirements under which that aircraft is operated, are not equal to or above the minimum standards established pursuant to the Convention.

5. In the event that access for the purpose of undertaking a ramp inspection of an aircraft operated by or on behalf of the airline or airlines of one Party in accordance with paragraph 3 above is denied by the representative of that airline or airlines, the other

5

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Party shall be free to infer that serious concerns of the type referred to in paragraph 4 above arise and draw the conclusions referred in that paragraph.

6. Each Party reserves the right to suspend or vary the operating authorization of an airline or airlines of the other Party immediately in the event the first Party concludes, whether as a result of a ramp inspection, a series of ramp inspections, a denial of access for ramp inspection, consultation or otherwise, that immediate action is essential to the safety of an airline operation.

7. Any action by one Party in accordance with paragraphs 2 or 6 above shall be discontinued once the basis for the taking of that action ceases to exist.

ARTICLE 8

Aviation Security

1. Consistent with their rights and obligations under international law, the Parties reaffirm that their obligation to each other to protect the security of civil aviation against acts of unlawful interference forms an integral part of this Agreement. Without limiting the generality of their rights and obligations under international law, the Parties shall in particular act in conformity with the provisions of the Convention on Offences and Certain Other Acts Committed on Board Aircraft, signed at Tokyo on 14 September 1963, the Convention for the Suppression of Unlawful Seizure of Aircraft, signed at The Hague on 16 December 1970 and the Convention for the Suppression of Unlawful Acts against the Safety of Civil Aviation, signed at Montreal on 23 September 1971 and its Supplementary Protocol for the Suppression of Unlawful Acts of Violence at Airports Serving International Civil Aviation, signed at Montreal on 24 February 1988 as well as with any other Convention and Protocol relating to the security of civil aviation to which both Parties adhere.

2. The Parties shall provide upon request all appropriate assistance to each other to prevent acts of unlawful seizure of civil aircraft and other unlawful acts against the safety of such aircraft, their passengers and crew, airports and air navigation facilities, and any other threat to the security of civil aviation.

3. The Parties shall, in their mutual relations, act in conformity with the aviation security provisions established by ICAO and designated as Annexes to the Convention; they shall require that operators of aircraft of their registry or operators of aircraft who have their principal place of business or permanent residence in their territory and the operators of airports in their territory act in conformity with such aviation security provisions. Each Party shall advise the other Party of any difference between its national regulations and practices and the aviation security standards of the Annexes. Either Party may request immediate consultations with the other Party at any time to discuss any such differences.

4. Each Party agrees that such operators of aircraft may be required to observe the aviation security provisions referred to in Paragraph 3 above required by the other Party for entry

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into, departure from, or while within, the territory of that other Party. Each Party shall ensure that adequate measures are effectively applied within its territory to protect the aircraft and to inspect passengers, crew, carry-on items, baggage, cargo and aircraft stores prior to and during boarding or loading. Each Party shall also give sympathetic consideration to any request from the other Party for reasonable special security measures to meet a particular threat. In such case, these measures should be discussed in detail by both Parties.

5. When an incident or threat of an incident of unlawful seizure of civil aircraft or other unlawful acts against the safety of such aircraft, their passengers and crew, airports or air navigation facilities occurs, the Parties shall assist each other by facilitating communications and other appropriate measures intended to terminate rapidly and safely such incident or threat thereof.

6. Each Party shall have the right, within sixty (60) days following notice, or such shorter period as may be agreed between the aeronautical authorities, for its aeronautical authorities to conduct an assessment in the territory of the other Party of the security measures being carried out, or planned to be carried out, by aircraft operators in respect of flights arriving from, or departing to the territory of the first Party. The administrative arrangements for the conduct of such assessments shall be agreed between the aeronautical authorities and implemented without delay so as to ensure that assessments will be conducted expeditiously. All assessments should be covered by a special confidential agreement.

7. When a Party has reasonable grounds to believe that the other Party has departed from the provisions of this Article, the first Party may request immediate consultations. Such consultations shall start within fifteen (15) days of receipt of such a request from either Party. Failure to reach a satisfactory agreement within fifteen (15) days from the start of consultations shall constitute grounds for withholding, revoking, suspending or imposing conditions on the authorizations of the airline or airlines designated by the other Party. When justified by an emergency, or to prevent further non-compliance with the provisions of this Article, the first Party may take interim action at any time. Any action taken in accordance with this paragraph shall be discontinued upon compliance by the other Party with the security provisions of this Article.

ARTICLE 9

Customs Duties

1. Each Party shall on the basis of reciprocity exempt an aircraft operated in international air services by a designated airline of the other Party to the fullest extent possible under its national law from import restrictions, customs duties, excise taxes, inspection fees and other national duties and charges, not based on the cost of services provided in its territory, on aircraft, fuel, lubricants (including hydraulic fluids), consumable technical supplies, spare parts including engines, regular aircraft equipment and aircraft stores intended for use or used solely in connection with the operation or servicing of aircraft of the designated airline of such other Party operating the agreed services and provided such

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equipment and items are for use on board an aircraft and are re-exported. Aircraft stores include but are not limited to such items as food, beverages and products destined for sale to, or use by, passengers during flight.

2. Provided that in each case they are for use on board an aircraft in connection with the establishment or maintenance of international air services by the airline concerned, the exemptions granted by this Article shall apply to the items referred to in paragraph 1:

a) introduced into the territory of the Party by or on behalf of the designated airline of the other Party;

b) retained on board aircraft of the designated airline of one Party upon arrival in or leaving the territory of the other Party; or

c) taken on board aircraft of the designated airline of one Party in the territory of the other Party and intended for use in operating the agreed services;

whether or not such items are used or consumed wholly within the territory of the Party granting the exemption, provided the ownership of such items is not transferred in the territory of the said Party.

3. The regular aircraft equipment, as well as the materials and supplies normally retained on board the aircraft of a designated airline of either Party, may be unloaded in the territory of the other Party only with the approval of the customs authorities of that territory. In such case, they may be placed under the supervision of the said authorities up to such time, as they are re-exported or otherwise disposed of in accordance with customs regulations.

4. The exemptions provided for by this Article shall also be available in situations where a designated airline of one Party has entered into arrangements with another airline or airlines for the loan or transfer in the territory of the other Party of the regular equipment and the other items referred to in paragraph 1 of this Article, provided that that other airline or airlines similarly enjoy such exemptions from that other Party.

ARTICLE 10

Capacity

1. The total capacity to be provided on the agreed services by the designated airlines of the Parties shall be determined between the aeronautical authorities of the Parties before the commencement of the operations, and thereafter according to anticipated traffic requirements.

2. The agreed services to be operated by the designated airlines of the Parties shall have as their primary objective the provision of capacity at reasonable load factors adequate to meet the traffic requirements between the territories of the two Parties.

3. Each Party shall allow fair and equal opportunity for the designated airlines of both Parties to operate the agreed services between their respective territories.

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4. If, on review, the Parties fail to agree on the capacity to be provided on the agreed services, the capacity that may be provided by the designated airlines of the Parties shall not exceed the total capacity previously agreed to be provided.

ARTICLE 11

Tariffs

1. The tariffs to be applied by the designated airline or airlines of a Party for services covered by this Agreement shall be established at reasonable levels, due regard being paid to all relevant factors, including interests of users, cost of operation, characteristics of service, reasonable profit, tariffs of other airlines, and other commercial considerations in the market-place.

2. The aeronautical authorities of the Parties will give particular attention to tariffs which may be objectionable because they appear unreasonably discriminatory, unduly high or restrictive because of the abuse of a dominant position, artificially low because of direct or indirect subsidy or support, or predatory.

3. The aeronautical authorities of the Parties may require notification or filing of tariffs proposed by the designated airlines of both Parties for carriage to or from its territory. Such notification or filing may be required not more than thirty (30) days before the proposed date of introduction. In special cases, this period may be reduced.

4. The aeronautical authorities of the Parties shall have the right to approve or disapprove tariffs for one-way or round-trip carriage between the territories of the two Parties which commences in their own territory. The tariffs to be charged by a designated airline of one Party for carriage between the territory of the other Party and that of a third State on services covered by this Agreement shall be subject to the approval requirements of the other Party. The aeronautical authorities of neither Party shall take unilateral action to prevent the inauguration of proposed tariffs or the continuation of effective tariffs for one-way or round-trip carriage between the territories of the two Parties commencing in the territory of the other Party.

5. Approval of tariffs consequent upon the provisions of paragraph 4 above may be given expressly by the aeronautical authorities of either Party to the airlines filing the tariffs. However, if the aeronautical authority of the Party concerned has not given in writing to the aeronautical authority of the other Party notice of disapproval of such tariffs of the airlines of the other Party within twenty (20) days from the date of submission, the tariffs concerned shall be considered approved. In the event of the period of submission being reduced in accordance with Paragraph 3, the aeronautical authorities of the Parties may agree that the period within which any disapproval shall be given be reduced accordingly.

6. Where the aeronautical authorities of either Party believe that a tariff for carriage to their territory falls within the categories described in Paragraph 2 above, they shall give notice of dissatisfaction to the aeronautical authorities of the other Party, as soon as possible, and at least within thirty (30) days of the date of notification or filing of the tariff, and may avail themselves of the consultation procedures set out in paragraph 7 below.

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7. Each Party may request consultation regarding any tariff of an airline of either Party for services covered by this Agreement, including where the tariff concerned has been subject to a notice of disapproval or dissatisfaction. Such consultations shall be held not later than sixty (60) days after receipt of the request. Each Party shall cooperate in securing information necessary for reasoned resolution of the issues. If the Parties reach settlement, each of them shall use their best efforts to put that settlement into effect. If no settlement is reached, the decision of the Party in whose territory the carriage originates shall prevail.

ARTICLE 12

Safeguards

1. The following airline practices may be regarded as possible unfair competitive practices which may merit closer examination:

a) charging fares and rates on routes at levels which are, in the aggregate, insufficient to cover the costs of providing the services to which they relate;

b) the practices in question are sustained rather than temporary;

c) the practices in question have a serious economic effect on, or cause significant damage to, another airline;

d) the practices in question reflect an apparent intent or have the probable effect of crippling, excluding or driving another airline from the market; and

e) behaviour indicating an abuse of dominant position on the route.

2. Without limiting the application of competition and consumer law enacted by either Party, if the aeronautical authorities of one Party consider that an operation or operations intended or conducted by the designated airline of the other Party may constitute unfair competitive behaviour they may request consultation. Any such request shall be accompanied by notice of the reasons for the request, and the consultation, which may be conducted in person or through correspondence, shall begin within thirty (30) days of the request.

3. In undertaking the consultations outlined in this Article the Parties shall:

a. coordinate their actions with the relevant authorities;

b. consider alternative means which might also achieve the objectives of action consistent with general competition and consumer law; and

c. take into account the views of the other Party and the other Party’s obligations under other international agreements.

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ARTICLE 13

Commercial Activities

1. Each Party shall accord airlines of the other Party the right to sell and market international air services in its territory directly or through agents or other intermediaries of the airline's choice, including the right to establish offices, both on-line and off-line and to use their own transportation documents.

2. Each airline shall have the right to:

a. sell transportation in the currency of that territory or, subject to its national laws and regulations, in freely convertible currencies of other countries, and any person shall be free to purchase such transportation in currencies accepted by that airline;

b. use the services and personnel of any organisation, company or airline operating in the territory of the other Party; and

c. at their discretion, to pay for local expenses, including purchases of fuel, in the territory of the other Party in local currency or, provided this accords with local currency regulations, in any freely convertible currencies.

3. In accordance with the laws and regulations relating to entry, residence and employment in the other Party, the designated airline or airlines of one Party shall be allowed, on the basis of reciprocity, to bring into and to maintain in the territory of the other Party their representatives and commercial, operational and technical staff as required in connection with the operation of the agreed services.

4. These staff requirements may, at the option of the designated airline or airlines of one Party, be satisfied by its own personnel or by using the services of any other organization, company or airline operating in the territory of the other Party and authorized to perform such services for other airlines.

5. The representatives and staff shall be subject to the laws and regulations in force of the other Party, and consistent with such laws and regulations:

a. each Party shall, on the basis of reciprocity and with the minimum of delay, grant the necessary employment authorizations, visitor visas or other similar documents to the representatives and staff referred to in paragraph 3 of this Article; and

b. both Parties shall facilitate and expedite the processing of employment authorizations for personnel performing certain temporary duties not exceeding ninety (90) days.

ARTICLE 14

Conversion and Remittance of Revenues

1. Each Party shall permit airlines of the other Party to convert and transmit abroad to the airlines’ choice of State, on demand, all local revenues from the sale of air services in

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excess of sums locally disbursed, with conversion and remittance permitted promptly at the rate of exchange applicable as of the date of the request for conversion and remittance.

2. The conversion and remittance of such revenues shall be permitted in conformity with the applicable laws and regulations and are not subject to any administrative or exchange charges except those normally made by banks for the carrying out of such conversion and remittance.

3. The provisions of this Article do not exempt the airlines of both Parties of the duties, taxes and contributions they are subject.

ARTICLE 15

User Charges

1. Each Party shall use its best efforts to encourage those responsible for the provision of airport, airport environmental, air navigation, and aviation security facilities and services to levy charges on the airlines only on the basis that they are reasonable, non-discriminatory, and equitably apportioned amongst categories of users.

2. Reasonable charges reflect, but do not exceed, the full cost to the competent charging authorities of providing the facilities and services. This may include a reasonable return on assets, after depreciation. Facilities and services for which charges are made should be provided on an efficient and economic basis. For charges to be non discriminatory, they should be levied on foreign airlines at a rate no higher than the rate imposed on a Party’s own airlines operating similar international services.

3. Each Party shall encourage consultations on user charges between its competent charging authority and airlines using the service and facilities provided by those charging authorities, where practicable through those airlines' representative organizations.

ARTICLE 16

Statistics

The aeronautical authorities of each Party may require the designated airlines of the other Party to provide the aeronautical authorities of the other Party, upon request, periodic or other statements of statistics as may be reasonably required for the purpose of reviewing the capacity provided on the agreed services operated by the designated airlines of the first Party.

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ARTICLE 17

Approval of Schedules

1. The designated airlines of each Party shall submit their envisaged flight schedules for approval to the aeronautical authorities of the other Party at least thirty (30) days prior to the operation of the agreed services. The same procedure shall apply to any modification thereof.

2. For extra-section flights which the designated airline of one Party wishes to operate on the agreed services exceeding the number of frequencies of the approved timetable, to meet special traffic peaks, that airline must request prior permission from the aeronautical authorities of the other Party. Such requests shall usually be submitted at least fifteen (15) days prior to the operation of such flights.

ARTICLE 18

Consultations

1. In a spirit of close co-operation, the aeronautical authorities of the Parties may at any time request consultation with a view to ensuring the implementation, interpretation and satisfactory compliance with, the provisions of this Agreement.

2. Subject to Article 3 (Designation and Authorisation), Article 7 (Safety) and Article 8 (Aviation Security), such consultations, which may be through discussion or correspondence, shall begin within a period of sixty (60) days of the date of receipt of such a request, unless otherwise mutually decided by the aeronautical authorities.

ARTICLE 19

Amendments

Any amendment or modification of this Agreement, including the Annex, agreed by the Parties shall come into force on a date to be determined in an exchange of diplomatic notes, indicating that all necessary domestic procedures have been completed by both Parties.

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ARTICLE 20

Multilateral Agreement

If a multilateral agreement concerning air services comes into force in respect of both Parties, the present Agreement shall be deemed to be amended so as to conform with the provisions of that multilateral agreement.

ARTICLE 21

Settlement of Disputes

In the event of any dispute arising between the Parties relating to the interpretation or application of this Agreement, except those that may arise under Article 7 (Safety), Article 8 (Aviation Security) and Article 11 (Tariffs), the aeronautical authorities of the Parties shall endeavour to settle it by negotiations between themselves, failing which the dispute shall be referred to the Parties for settlement, through diplomatic channels.

ARTICLE 22

Termination

Either Party may, at any time, give notice in writing, through diplomatic channels, to the other Party of its decision to terminate this Agreement. Such notice shall be simultaneously communicated to ICAO. This Agreement shall terminate one year after the date of receipt of the notice by the other Party, unless the notice is withdrawn by agreement before the end of this period. In the absence of acknowledgement of receipt by the other Party, the notice shall be deemed to have been received fourteen (14) days after receipt of the notice by ICAO.

ARTICLE 23

Registration with ICAO

This Agreement and any amendment thereto shall be registered with the International Civil Aviation Organization.

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ARTICLE 24

Entry into Force

This Agreement will enter into force on a date to be determined in an exchange of diplomatic notes indicating that all necessary domestic procedures have been completed by both Parties.

In witness whereof the undersigned, being duly authorized by their respective Governments, have signed the present Agreement.

Done at Brasilia on this twenty-first day of April two thousand and ten, in English and Portuguese, each of which shall be of equal authenticity. For the Government of Australia

For the Government of the Federative Republic of Brazil

Hon Simon Crean Minister for Trade

HE Celso Luiz Nunes Amorim Minister for External Relations

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ANNEX

ROUTE SCHEDULE The designated airlines of each Party shall be entitled to perform international air services between points on the following routes: Route for the designated airlines of Brazil:

Points in Brazil

Intermediate Points

Points in Australia

Beyond Points

Any Any Any Any Route for the designated airlines of Australia:

Points in Australia

Intermediate Points

Points in Brazil

Beyond Points

Any Any Any Any Note:

1. The designated airlines of each Party may at their option omit points on any of the above routes or to perform services in either or both directions provided that the services commence or terminate in the territory of the Party designating the airline concerned.

2. The intermediate and beyond points on the above routes and the traffic rights which may be

exercised at such points by the designated airlines shall be jointly determined between the aeronautical authorities from time to time.

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ACORDO DE SERVIÇOS AÉREOS

ENTRE

O GOVERNO DA AUSTRÁLIA

E O GOVERNO DA REPÚBLICA FEDERATIVA DO BRASIL

O Governo da Austrália e o Governo da República Federativa do Brasil, (doravante referidos como Partes); Sendo Partes da Convenção sobre Aviação Civil Internacional, aberta para assinatura em Chicago no dia 7 de dezembro de 1944; Desejando contribuir para o progresso da aviação civil internacional; Desejando concluir um Acordo com o propósito de estabelecer serviços aéreos entre seus respectivos territórios e para além deles, acordam com o que se segue:

ARTIGO 1

Definições 

Para aplicação do presente Acordo, salvo disposições em contrário, o termo:

a) “autoridades aeronáuticas” significa, no caso do Brasil, a Agência Nacional de Aviação Civil (ANAC) e no caso da Austrália, o Departamento de Infra-estrutura, Transportes, Desenvolvimento Regional e Governo Local; ou em ambos os casos, qualquer outra autoridade ou pessoa autorizada a executar as funções ora exercidas pelas autoridades acima mencionadas, conforme notificação escrita feita periodicamente por uma Parte à outra Parte, por intermédio de canais diplomáticos;

b) “serviços acordados” significa serviços aéreos nas rotas especificadas para o transporte de passageiros, bagagem, carga e mala postal, separadamente ou em combinação;

c) “Acordo” significa este Acordo, seu Anexo e quaisquer emendas que venham a ser feitas;

d) “serviço aéreo”, “serviço aéreo internacional”, “empresa aérea” e “escala para fins não comerciais” têm os significados a eles atribuídos no Artigo 96 da Convenção;

e) “Convenção” significa a Convenção sobre Aviação Civil Internacional, aberta para assinatura em Chicago no dia 7 de dezembro de 1944, e inclui qualquer Anexo adotado de acordo com o Artigo 90 daquela Convenção e qualquer emenda aos Anexos ou à Convenção, de acordo com os Artigos 90 e 94, na medida em que esses Anexos e emendas tenham entrado em vigor para ambas as Partes;

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a) “empresa aérea designada” significa uma empresa aérea que tenha sido designada e autorizada em conformidade com o Artigo 3 (Designação e Autorização) deste Acordo;

b) “rota especificada” significa uma das rotas especificadas no Anexo a este Acordo;

c) “tarifa” significa os preços e encargos cobrados pelo transporte de passageiros, bagagem e/ou carga, exceto mala postal, no transporte aéreo, incluindo qualquer outro modo de transporte em conexão com o mesmo, cobrado pelas empresas aéreas, incluindo seus agentes, e as condições que regem a aplicação de tais preços e encargos;

d) “território”, em relação a um Estado tem o significado a ele atribuído no Artigo 2 da Convenção; e

e) “tarifa aeronáutica” significa o valor cobrado às empresas aéreas, pelas autoridades responsáveis, ou por estas autorizado a ser cobrado, pelo uso do aeroporto, ou de suas instalações e serviços, ou de instalações de navegação aérea, ou de instalações de segurança da aviação, incluindo as instalações e os serviços relacionados, por aeronaves, suas tripulações, passageiros, bagagem e carga.

ARTIGO 2

Concessão de Direitos 

1. Cada Parte concede à outra Parte os direitos especificados neste Acordo, com a finalidade

de operar serviços aéreos internacionais nas rotas especificadas no Quadro de Rotas.

2. Sujeitas às disposições deste Acordo, as empresas aéreas designadas por cada uma das Partes deverão gozar dos seguintes direitos na operação de serviços aéreos internacionais:

a) direito de sobrevoar o território da outra Parte sem pousar;

b) direito de fazer escalas no território da outra Parte, para fins não comerciais;

c) direito de fazer escalas nos pontos das rotas especificadas para embarcar e desembarcar tráfego internacional de passageiros, bagagem, carga ou mala postal separadamente ou em combinação, destinado ou originado de pontos no território da outra Parte;

d) direitos de outra maneira especificados neste Acordo.

3. As empresas aéreas de cada Parte, além daquelas designadas com base no Artigo 3 (Designação e Autorização) deste Acordo, na operação de serviços aéreos internacionais, também deverão gozar dos direitos especificados nas letras a) e b) do parágrafo 2 deste Artigo.

4. Nenhum dispositivo neste Artigo será considerado como concessão a uma empresa aérea designada de uma Parte do direito de embarcar, no território da outra Parte, passageiros, bagagem, carga e mala postal, mediante remuneração e destinados a outro ponto no território dessa outra Parte.

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ARTIGO 3

Designação e Autorização 

1. Cada Parte deverá ter o direito de designar por escrito à outra Parte, através dos canais diplomáticos, uma ou mais empresas aéreas para operar os serviços acordados e de revogar ou alterar tal designação.

2. Ao receber tal designação e o pedido de autorização de operação da empresa aérea designada, na forma e no modo prescrito, cada Parte deverá conceder a autorização de operação apropriada com a mínima demora de trâmites, desde que:

a) a propriedade majoritária e o controle efetivo da empresa aérea sejam da Parte que a designa, de seus nacionais, ou de ambos;

b) a Parte que designa a empresa aérea cumpra as disposições estabelecidas no Artigo 7 (Segurança de Voo) e no Artigo 8 (Segurança da Aviação) deste Acordo; e

c) a empresa aérea designada esteja qualificada para satisfazer outras condições determinadas segundo às leis e regulamentos normalmente aplicados à operação de serviços de transporte aéreo internacional pela Parte que recebe a designação.

3. Ao receber a autorização de operação constante do parágrafo 2, uma empresa aérea designada pode, a qualquer tempo, começar a operar os serviços acordados para os quais foi designada, desde que cumpra as disposições aplicáveis deste Acordo.

ARTIGO 4

Negação, Revogação, Suspensão e Limitação de Autorização 

1. As autoridades aeronáuticas de cada Parte deverão ter o direito de negar as autorizações mencionadas no Artigo 3 (Designação e Autorização) deste Acordo à empresa aérea designada pela outra Parte e de revogar, suspender ou impor condições a tais autorizações, temporária ou permanentemente, no caso em que:

a) tais autoridades não estejam convencidas de que a propriedade majoritária e o controle efetivo pertençam à Parte que designou a empresa aérea, seus nacionais ou a ambos; ou

b) a Parte que designa a empresa aérea não cumpra as disposições estabelecidas no Artigo 7 (Segurança de Voo) e no Artigo 8 (Segurança da Aviação); ou

c) tal empresa aérea designada não esteja qualificada para atender outras condições determinadas segundo às leis e regulamentos normalmente aplicados à operação de serviços de transporte aéreo internacional pela Parte que recebe a designação.

2. Tal direito será exercido somente após consulta com a outra Parte, a menos que a imediata revogação, suspensão ou imposição das condições estabelecidas no Parágrafo 1 deste Artigo seja essencial para evitar a violação das leis e regulamentos.

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ARTIGO 5

Aplicação de Leis 

1. As leis e regulamentos de uma Parte relativos à entrada ou saída de seu território de aeronave engajada em serviços aéreos internacionais, ou a operação e navegação de tal aeronave enquanto em seu território, deverão ser aplicados à aeronave de empresas aéreas designadas pela outra Parte.

2. As leis e regulamentos de uma Parte, relativos à entrada, permanência e saída de seu território, de passageiros, tripulantes, bagagem e carga, incluindo mala postal, tais como os relativos à segurança da aviação, imigração, alfândega, moeda, quarentena e controle sanitário deverão ser aplicados aos passageiros, tripulantes, bagagem, carga e mala postal, transportados por aeronaves da empresa aérea designada da outra Parte enquanto permanecerem no referido território.

3. Nenhuma Parte deverá dar preferência à sua própria empresa aérea ou a qualquer outra empresa aérea em relação à empresa aérea designada pela outra Parte engajada em transporte aéreo internacional similar, na aplicação de seus regulamentos de segurança, imigração, alfândega, quarentena e controle sanitário e regulamentos similares.

4. Passageiros, bagagem, carga e mala postal em trânsito direto através do território de qualquer das Partes e que não saiam da área do aeroporto reservada para tal fim não serão sujeitos ao controle, exceto por razões de segurança da aviação, controle de narcóticos, exigências da imigração, ou em circunstâncias especiais. Bagagem e carga em trânsito direto deverão ser isentas de taxas alfandegárias e outras taxas similares.

ARTIGO 6

Reconhecimento de Certificados e Licenças 

1. Certificados de aeronavegabilidade, certificados de habilitação e licenças, emitidos ou convalidados por uma Parte e ainda em vigor, deverão ser reconhecidos como válidos pela outra Parte para o objetivo de operar os serviços acordados, desde que os requisitos sob os quais tais certificados e licenças foram emitidos ou convalidados, sejam iguais ou superiores aos padrões mínimos estabelecidos segundo a Convenção.

2. Se os privilégios ou as condições das licenças ou certificados mencionados no parágrafo 1 acima, emitidos pelas autoridades aeronáuticas de uma Parte para qualquer pessoa ou empresa aérea designada, ou relativa a uma aeronave utilizada na operação dos serviços acordados, permitirem uma diferença dos padrões mínimos estabelecidos pela Convenção, e que tal diferença tenha sido notificada à Organização de Aviação Civil Internacional, a outra Parte pode pedir que se realizem consultas entre as autoridades aeronáuticas a fim de esclarecer a prática em questão.

3. Cada Parte, todavia, reserva-se o direito de recusar-se a reconhecer, para o objetivo de sobrevoo ou pouso em seu próprio território, certificados de habilitação e licenças concedidas aos seus próprios nacionais ou em relação a suas aeronaves registradas pela outra Parte.

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ARTIGO 7

Segurança de Voo 1. Cada Parte poderá solicitar, a qualquer momento, a realização de consultas sobre as

normas de segurança de voo aplicadas pela outra Parte nos aspectos relacionados com as tripulações de voo, aeronaves e operações de aeronaves adotadas pela outra Parte. Tais consultas deverão ser realizadas dentro dos trinta (30) dias após a apresentação da referida solicitação.

2. Se, depois de realizadas tais consultas, uma Parte chega à conclusão de que a outra Parte não mantém e administra de maneira efetiva as normas de segurança de voo em qualquer área com pelo menos os padrões mínimos estabelecidos nas normas em vigor, de conformidade com a Convenção, a primeira Parte deverá informar a outra Parte sobre tais conclusões e as medidas que se considerem necessárias para cumprir aqueles padrões mínimos, e a outra Parte deverá então, tomar as medidas corretivas para o caso. A falta de cumprimento das ações apropriadas pela outra Parte, no prazo de quinze (15) dias ou dentro de outro prazo mais longo acordado, será motivo para a aplicação do Artigo 4 (Negação, Revogação, Suspensão ou Limitação de Autorização) deste Acordo.

3. Não obstante as obrigações mencionadas no Artigo 33 da Convenção, fica acordado que qualquer aeronave operada por, ou sob contrato de arrendamento, em nome de uma empresa aérea de uma Parte, que preste serviços para ou do território de outra Parte poderá, quando se encontrar no território desta última, ser objeto de uma inspeção pelos representantes autorizados da outra Parte, dentro e fora da aeronave para verificar a validade da documentação pertinente da aeronave, as licenças de sua tripulação e se o equipamento da aeronave e a condição da mesma (neste Artigo denominada “inspeção de rampa”), estão conformes com as normas em vigor, desde que esta não cause demora desnecessária à operação da aeronave.

4. Se qualquer inspeção de rampa ou série de inspeções de rampa resultarem em:

a) séria preocupação de que a aeronave ou sua operação não cumpre as normas mínimas estabelecidas pela Convenção de Chicago, ou

b) séria preocupação de que existe falta de efetiva manutenção e administração das normas mínimas de segurança estabelecidas pela Convenção,

a Parte que realiza a inspeção terá, de acordo com o Artigo 33 da Convenção, liberdade para concluir que os requisitos sob os quais o certificado ou as licenças daquela aeronave ou tripulação tenham sido emitidos ou convalidados ou que os requisitos sob os quais a aeronave é operada não são iguais ou não atingem os padrões mínimos estabelecidos pela Convenção.

5. Caso o acesso para fins de realização de uma inspeção de rampa de uma aeronave operada pela empresa aérea de uma Parte, em conformidade com o parágrafo 3 deste Artigo, seja negado por um representante daquela empresa aérea, a outra Parte terá a liberdade para concluir que existe sério motivo de preocupação segundo o parágrafo 4 deste Artigo, e tirar as conclusões mencionadas no mesmo parágrafo.

6. Cada Parte reserva-se o direito de suspender ou modificar a autorização de operação de uma empresa aérea da outra Parte imediatamente caso a primeira Parte conclua, seja

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como resultado de uma inspeção de rampa, uma série de inspeções de rampa, negação de acesso para inspeção de rampa, consultas ou outro motivo, que é essencial uma ação imediata para fins de segurança da operação de uma empresa aérea.

7. Qualquer medida tomada por uma Parte, em conformidade com os parágrafos 2 e 6 deste Artigo, será interrompida caso a razão para tal ação deixe de existir.

ARTIGO 8

Segurança da Aviação 

1. Em conformidade com seus direitos e obrigações segundo o Direito Internacional, as Partes reafirmam que sua obrigação mútua de proteger a aviação civil contra atos de interferência ilícita constitui parte integrante do presente Acordo. Sem limitar a validade geral de seus direitos e obrigações resultantes do Direito Internacional, as Partes deverão atuar, em particular, segundo as disposições da Convenção sobre Infrações e Certos Outros Atos Praticados a Bordo de Aeronaves, assinada em Tóquio em 14 de setembro de 1963, da Convenção para a Repressão ao Apoderamento Ilícito de Aeronaves, assinada em Haia em 16 de dezembro de 1970 e da Convenção para a Repressão de Atos Ilícitos contra a Segurança da Aviação Civil, assinada em Montreal em 23 de setembro de 1971, e seu Protocolo Suplementar para Supressão de Atos Ilícitos de Violência em Aeroportos Utilizados pela Aviação Civil Internacional, assinado em Montreal em 24 de fevereiro de 1988, bem como qualquer outra convenção ou protocolo sobre segurança da aviação civil, aos quais ambas as Partes venham a aderir.

2. As Partes deverão fornecer, mediante solicitação, toda a assistência mútua necessária para a prevenção contra atos de apoderamento ilícito de aeronaves civis e outros atos ilícitos contra a segurança dessas aeronaves, seus passageiros e tripulações, aeroportos e instalações de navegação aérea, e qualquer outra ameaça à segurança da aviação civil.

3. As Partes deverão agir, em suas relações mútuas, segundo às disposições sobre segurança da aviação, estabelecidas pela OACI e designadas como Anexos à Convenção; deverão exigir que operadores de aeronaves por elas registradas, ou operadores de aeronaves que tenham sua sede comercial principal ou residência permanente em seu território e os operadores de aeroportos situados em seu território ajam em conformidade com as referidas disposições sobre a segurança da aviação. Cada Parte deverá notificar a outra Parte de toda diferença entre seus regulamentos e métodos nacionais e as normas de segurança da aviação dos Anexos. Qualquer das Partes poderá solicitar a qualquer momento a imediata realização de consultas com a outra Parte sobre tais diferenças.

4. Cada Parte concorda que a tais operadores de aeronaves pode ser exigido que observem as disposições sobre a segurança da aviação mencionadas no parágrafo 3 deste Artigo e exigidas pela outra Parte para a entrada, saída, ou permanência no território da outra Parte. Cada Parte deverá assegurar que medidas adequadas sejam efetivamente aplicadas em seu território para proteger a aeronave e para inspecionar passageiros, tripulações, bagagens de mão, bagagens, carga e provisões de bordo, antes e durante o embarque ou carregamento. Cada Parte deverá, também, considerar de modo favorável toda solicitação da outra Parte, com vistas a adotar medidas especiais e razoáveis de segurança

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para combater uma ameaça específica. Em tal caso essas medidas deverão ser discutidas em detalhes por ambas as Partes.

5. Quando ocorrer um incidente, ou ameaça de incidente de apoderamento ilícito de aeronave civil, ou outros atos ilícitos contra a segurança de tal aeronave, de seus passageiros e tripulações, de aeroportos ou instalações de navegação aérea, as Partes deverão assistir-se mutuamente, facilitando as comunicações e outras medidas apropriadas, destinadas a pôr termo, de forma rápida e segura, a tal incidente ou ameaça.

6. Cada Parte deverá ter o direito, dentro dos sessenta (60) dias seguintes à notificação, ou dentro de um menor período, conforme acordado entre as autoridades aeronáuticas, de que suas autoridades aeronáuticas efetuem uma avaliação no território da outra Parte das medidas de segurança sendo aplicadas ou que planejam aplicar, pelos operadores de aeronaves, com respeito aos voos que chegam procedentes do território da primeira Parte ou que sigam para o mesmo. Os entendimentos administrativos para a realização de tais avaliações deverão ser feitos entre as autoridades aeronáuticas e implementados sem demora a fim de se assegurar que as avaliações se realizem de maneira expedita. Todas as avaliações deverão estar cobertas por um acordo confidencial específico.

7. Quando uma Parte tiver motivos razoáveis para acreditar que a outra Parte não cumpre as disposições deste Artigo, a primeira Parte poderá solicitar a realização imediata de consultas. Tais consultas deverão começar dentro dos quinze (15) dias seguintes ao recebimento de tal solicitação de qualquer das Partes. No caso de não se chegar a um acordo satisfatório dentro de quinze (15) dias a partir do começo das consultas, isto constituirá motivo para negar, revogar, suspender ou impor condições sobre as autorizações da empresa aérea ou empresas aéreas designadas pela outra Parte. Quando justificada por uma emergência ou para impedir que continue o descumprimento das disposições deste Artigo, a primeira Parte poderá adotar medidas temporárias a qualquer momento. Qualquer medida adotada de acordo com este parágrafo será interrompida mediante o cumprimento pela outra Parte das disposições sobre segurança de conformidade com este Artigo.

ARTIGO 9 

Direitos Alfandegários 

1. Cada Parte, com base na reciprocidade, deverá isentar aeronaves em transportes aéreos internacionais operadas por uma empresa aérea designada da outra Parte, no maior grau possível em conformidade com sua legislação nacional, de restrições sobre importações, direitos alfandegários, impostos indiretos, taxas de inspeção e outras taxas e gravames nacionais que não se baseiem no custo dos serviços proporcionados em seu território, sobre aeronaves, combustíveis, lubrificantes (incluindo fluidos hidráulicos), suprimentos técnicos de consumo, peças sobressalentes incluindo motores, equipamento de uso normal dessas aeronaves e provisões de bordo destinados ou usados exclusivamente na operação ou manutenção das aeronaves da empresa aérea designada da Parte que esteja operando os serviços acordados e desde que tal equipamento e itens sejam utilizados a bordo da aeronave e sejam reexportados. As provisões de bordo incluem, mas não se

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limitam a itens como alimentos, bebidas e produtos destinados à venda, ou uso, pelos passageiros durante o voo.

2. Desde que em cada caso, se destinem ao uso a bordo de aeronaves em relação ao estabelecimento ou manutenção de transporte aéreo internacional pela empresa aérea em questão, as isenções concedidas por este Artigo se aplicarão aos itens mencionados no parágrafo 1:

a) introduzidos no território de uma Parte por ou sob a responsabilidade da empresa

aérea designada pela outra Parte;

b) mantidos a bordo das aeronaves da empresa aérea designada de uma Parte, na chegada ou na saída do território da outra Parte; ou

c) embarcados nas aeronaves da empresa aérea designada de uma Parte no território da outra Parte e com o objetivo de serem usados na operação dos serviços acordados;

sejam ou não tais produtos utilizados ou consumidos totalmente dentro do território da Parte que outorga a isenção, sob a condição de que sua propriedade não seja transferida no território de tal Parte.

3. O equipamento de bordo de uso regular, bem como os materiais e suprimentos normalmente mantidos a bordo das aeronaves de uma empresa aérea designada de qualquer das Partes, somente poderão ser descarregados no território da outra Parte com a autorização das autoridades alfandegárias de tal território. Nesse caso, tais itens poderão ser colocados sob a supervisão das mencionadas autoridades até que sejam reexportados ou se lhes dê outro destino, conforme os regulamentos alfandegários.

4. As isenções segundo este Artigo também serão disponibilizadas em situações em que uma empresa aérea designada de uma Parte entre em acordo com outra empresa aérea ou empresas aéreas para o empréstimo ou transferência no território da outra Parte, do equipamento regular e outros itens mencionados no parágrafo 1 deste Artigo, desde que a outra empresa aérea ou empresas aéreas da mesma forma gozem destas isenções originadas da outra Parte.

ARTIGO 10 Capacidade

1. A capacidade total a ser ofertada pelas empresas aéreas designadas das Partes, nos

serviços acordados, deverá ser determinada entre suas autoridades aeronáuticas antes do começo das operações e, posteriormente, em função das exigências do tráfego previsto.

2. Os serviços acordados a serem operados pelas empresas aéreas designadas pelas Partes deverão ter como objetivo primário a oferta, com um razoável fator de ocupação, de capacidade adequada para satisfazer as necessidades do tráfego entre os territórios das duas Partes.

3. Cada Parte deverá conceder uma oportunidade justa e eqüitativa às empresas aéreas designadas de ambas as Partes para operar os serviços acordados entre seus respectivos territórios.

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4. Se, ao revisá-la, as Partes não chegarem a um acordo sobre a capacidade que deve ser oferecida nos serviços acordados, a capacidade que as empresas aéreas designadas das Partes poderão oferecer não deverá exceder aquela previamente acordada.

ARTIGO 11

Tarifas

1. As tarifas a serem aplicadas pelas empresas aéreas designadas de uma Parte nos serviços cobertos por este Acordo deverão ser estabelecidas em níveis razoáveis, levando-se devidamente em conta todos os fatores relevantes, incluindo interesse dos usuários, custo de operação, características do serviço, lucro razoável, tarifas de outras empresas aéreas e outras considerações comerciais próprias do mercado.

2. As autoridades aeronáuticas das Partes concordam em examinar com especial atenção as tarifas que podem ser questionáveis por parecerem discriminatórias sem razão, indevidamente elevadas ou restritivas por abuso de uma posição dominante, serem artificialmente baixas devido a subsídio ou apoio direto, indireto, ou predatórias.

3. As autoridades aeronáuticas das Partes poderão requerer a notificação ou o registro das tarifas propostas pelas empresas aéreas designadas de ambas as Partes pelo transporte de e para seu território. Tal notificação ou registro de tarifas pode ser requerido não mais do que trinta (30) dias antes da data de introdução proposta. Em casos especiais, esse período poderá ser reduzido.

4. As autoridades aeronáuticas das Partes terão o direito de aprovar ou desaprovar as tarifas dos serviços de ida ou de ida e volta entre os territórios de ambas as Partes que se iniciem em seu próprio território. As tarifas a serem cobradas por uma empresa aérea designada de uma Parte pelo transporte entre o território da outra Parte e o território de um terceiro Estado nos serviços cobertos por este Acordo deverão estar sujeitas aos requisitos de aprovação da outra Parte. As autoridades aeronáuticas de nenhuma das Partes deverão tomar medidas unilaterais para impedir que as tarifas propostas comecem a ser aplicadas ou continuem a ser aplicadas as tarifas vigentes para o transporte de ida ou de ida e volta entre os territórios de ambas as Partes que se iniciem no território da outra Parte.

5. A aprovação de tarifas em conseqüência das disposições do parágrafo 4 acima pode ser expressamente concedida pelas autoridades aeronáuticas de qualquer das Partes às empresas aéreas que as solicitem. Não obstante, se a autoridade aeronáutica da Parte envolvida não notificar por escrito a outra Parte sobre a desaprovação dessas tarifas das empresas aéreas da outra Parte dentro de um prazo de vinte (20) dias a partir da data em que foram apresentadas, as tarifas em questão deverão ser consideradas aprovadas. No caso em que o prazo para a apresentação seja reduzido conforme o disposto no parágrafo 3, as autoridades aeronáuticas das Partes poderão concordar que o prazo dentro do qual deva indicar-se a desaprovação seja, em conseqüência, reduzido.

6. Quando as autoridades aeronáuticas de qualquer uma das Partes entenderem que uma tarifa de transporte para seu território está compreendida nas categorias do parágrafo 2 acima, deverão notificar sobre sua insatisfação as autoridades aeronáuticas da outra Parte, o quanto antes possível, e pelo menos dentro dos trinta (30) dias seguintes à data de notificação ou apresentação da tarifa em questão, e poderão recorrer aos procedimentos de consulta estipulados no parágrafo 7 abaixo.

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7. As autoridades aeronáuticas de cada Parte poderão solicitar que se realizem consultas sobre qualquer tarifa de uma empresa aérea de qualquer das Partes para os serviços previstos no presente Acordo, inclusive no caso em que a tarifa em questão haja sido objeto de uma notificação de desaprovação ou insatisfação. Tais consultas deverão ser realizadas, no mais tardar, sessenta (60) dias após o recebimento da solicitação. As Partes deverão colaborar para assegurar as informações necessárias para a solução racional dos problemas. Se as Partes chegarem a um acordo, cada uma delas fará todo o possível para aplicar o dito acordo. Se não se chegar a nenhum acordo, deverá prevalecer a decisão da Parte em cujo território o transporte tenha origem.

ARTIGO 12

Salvaguardas 

1. As seguintes práticas das empresas aéreas podem ser consideradas como possíveis práticas competitivas desleais que podem justificar um exame mais minucioso:

a) cobrança de tarifas em níveis que são, no conjunto, insuficientes para cobrir os custos de proporcionar os serviços correspondentes, na rota voada;

b) as práticas em questão são continuadas em lugar de temporárias;

c) as práticas em questão afetam seriamente a economia de outra empresa aérea ou causam-lhe significativo prejuízo;

d) as práticas em questão refletem uma aparente intenção ou têm o provável efeito de prejudicar, excluir ou tirar outra empresa aérea do mercado; e

e) comportamento indicando um abuso da posição dominante na rota.

2. Sem limitar a aplicação das leis que regem a concorrência e o consumidor, promulgadas por qualquer uma das Partes, se as autoridades aeronáuticas de uma Parte considerarem que uma ou várias operações pretendidas ou realizadas pelas empresas aéreas designadas da outra Parte podem constituir um comportamento competitivo desleal, poderão solicitar a realização de consultas. Em tal solicitação devem ser indicados os motivos correspondentes e as consultas, que poderão ser conduzidas pessoalmente ou através de correspondência, deverão ser iniciadas até trinta (30) dias após a solicitação.

3. Ao dar início às consultas explicitadas neste Artigo, as Partes deverão:

a) coordenar suas ações com as autoridades responsáveis;

b) considerar meios alternativos que possam também atingir os objetivos de ação, compatíveis com as leis gerais que regem a concorrência e o consumidor; e

c) levar em consideração o ponto de vista da outra Parte e as obrigações da outra Parte no contexto de outros acordos internacionais.

ARTIGO 13 Atividades Comerciais

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1. Cada Parte deverá conceder às empresas aéreas da outra Parte o direito de vender e

comercializar em seu território, serviços de transporte aéreo internacional, diretamente ou por meio de agentes ou outros intermediários, à escolha da empresa aérea, incluindo o direito de estabelecer seus próprios escritórios, tanto como empresa operadora como não operadora, e usar sua própria documentação de transporte.

2. Cada empresa aérea deverá ter o direito de: a) vender serviços de transporte na moeda daquele território ou, sujeita às leis e

regulamentos nacionais, em moedas livremente conversíveis de outros países, e qualquer pessoa deverá poder adquirir tais serviços de transporte em moedas aceitas por aquela empresa aérea;

b) usar os serviços e pessoal de qualquer organização, companhia ou empresa aérea que opere no território da outra Parte; e

c) a seu próprio critério, pagar despesas locais, incluindo compras de combustível, no território da outra Parte em moeda local ou, desde que isto esteja de acordo com os regulamentos do país, em quaisquer moedas livremente conversíveis.

3. De acordo com as leis e regulamentos que regem a entrada, residência e emprego para a

outra Parte, a empresa aérea ou empresas aéreas designadas de uma Parte poderão, com base na reciprocidade, trazer e manter no território da outra Parte seus representantes e pessoal comercial, operacional e técnico necessário à operação dos serviços acordados.

4. Essas necessidades de pessoal podem, a critério das empresas aéreas designadas de uma

Parte, ser satisfeitas com pessoal próprio ou usando os serviços de qualquer outra organização, companhia ou empresa aérea que opere no território da outra Parte, autorizadas a prestar esses serviços para outras empresas aéreas.

5. Os representantes e os auxiliares deverão estar sujeitos às leis e regulamentos em vigor da outra Parte e de acordo com tais leis e regulamentos:

a) cada Parte deverá conceder, com base na reciprocidade e com o mínimo de demora,

as autorizações de emprego, os vistos de visitantes ou outros documentos similares necessários para os representantes e os auxiliares mencionados no parágrafo 3 deste Artigo; e

b) ambas as Partes deverão facilitar e acelerar o processamento das autorizações de emprego necessárias ao pessoal que desempenhe certos serviços temporários que não excedam noventa (90) dias.

ARTIGO 14

Conversão de Divisas e Remessa de Receitas 

1. Cada Parte deverá permitir às empresas aéreas designadas da outra Parte converter e remeter para o exterior, a pedido, ao Estado que escolherem, todas as receitas locais

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provenientes da venda de serviços de transporte aéreo que excedam as somas localmente desembolsadas, permitindo-se sua rápida conversão e remessa à taxa de câmbio do dia do pedido para a conversão e remessa.

2. A conversão e a remessa de tais receitas deverão ser permitidas em conformidade com a legislação vigente, e não estarão sujeitas a quaisquer encargos administrativos ou cambiais, exceto aqueles normalmente cobrados pelos bancos para a sua execução.

3. O disposto neste Artigo não desobriga as empresas aéreas de ambas as Partes do pagamento dos impostos, taxas e contribuições a que estejam sujeitas.

ARTIGO 15 Tarifas Aeronáuticas

1. Cada Parte deverá envidar todos os esforços para encorajar os responsáveis pelo fornecimento de instalações e serviços aeroportuários, ambientais, de navegação aérea e segurança da aviação, a cobrar tarifas das empresas aéreas que sejam razoáveis, não discriminatórias, e igualmente proporcionais entre as categorias de usuários.

2. Tarifas razoáveis refletem, porém não excedem o custo total para as autoridades arrecadadoras responsáveis do fornecimento das instalações e serviços. Isto poderá incluir um retorno razoável sobre os ativos, após a depreciação. As instalações e serviços para os quais são designadas as tarifas devem ser fornecidos em bases eficientes e econômicas. Para que as tarifas não sejam discriminatórias, devem ser arrecadadas das empresas estrangeiras em níveis que não sejam mais altos do que os níveis impostos às próprias empresas aéreas de uma Parte que opere serviços internacionais similares.

3. Cada Parte deverá encorajar a realização de consultas sobre tarifas aeronáuticas entre suas autoridades arrecadadoras responsáveis e as empresas aéreas que utilizam os serviços e instalações, proporcionados por aquelas autoridades arrecadadoras, quando for factível por meio das organizações representativas de tais empresas aéreas.

ARTIGO 16

Estatísticas 

As autoridades aeronáuticas de cada Parte poderão solicitar às empresas aéreas designadas da outra Parte que proporcionem às autoridades aeronáuticas da outra Parte, a pedido, as estatísticas periódicas ou eventuais, que possam ser razoavelmente necessárias, com o propósito de rever a capacidade ofertada nos serviços acordados operados pelas empresas aéreas designadas da primeira Parte.

ARTIGO 17 Aprovação de Horários

1. As empresas aéreas designadas de cada Parte deverão submeter suas previsões de horários de voos à aprovação das autoridades aeronáuticas da outra Parte, pelo menos

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trinta (30) dias antes da operação dos serviços acordados. O mesmo procedimento deverá ser aplicado para qualquer modificação dos horários.

2. Para os voos de reforço que a empresa aérea designada de uma Parte deseje operar nos serviços acordados, fora do quadro horário aprovado, a fim de atender demandas especiais de tráfego, essa empresa aérea deverá solicitar autorização prévia das autoridades aeronáuticas da outra Parte. Tais solicitações deverão ser submetidas pelo menos quinze (15) dias antes da operação de tais voos

ARTIGO 18

Consultas  1. Em um espírito de estreita cooperação, as autoridades aeronáuticas das Partes poderão a

qualquer momento solicitar a realização de consultas com o objetivo de garantir a implementação, interpretação e o cumprimento satisfatório das disposições do presente Acordo.

2. Sujeito ao Artigo 3 (Designação e Autorização), Artigo 7 (Segurança de Voo) e Artigo 8 (Segurança da Aviação), tais consultas, que poderão ser realizadas através de entendimentos verbais ou correspondência, deverão iniciar-se dentro de um prazo de sessenta (60) dias a partir da data de recebimento de tal solicitação, a menos que de outra forma mutuamente decidido pelas autoridades aeronáuticas.

ARTIGO 19 Emendas

Qualquer emenda ou modificação a este Acordo, incluindo o Anexo, acordado pelas Partes entrará em vigor na data determinada por troca de notas diplomáticas, indicando que todos os procedimentos internos necessários foram completados por ambas as Partes.

ARTIGO 20 Acordos Multilaterais

Se um acordo multilateral relativo a transporte aéreo entrar em vigor em relação a ambas as Partes, o presente Acordo deverá ser emendado para conformar-se às disposições de tal acordo multilateral.

ARTIGO 21

Solução de Controvérsias 

No caso de qualquer controvérsia que possa surgir entre as Partes, relativa à interpretação ou aplicação deste Acordo, com exceção das que possam surgir decorrentes dos Artigos 7

13

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14

(Segurança de Voo), Artigo 8 (Segurança da Aviação) e Artigo 11 (Tarifas), as autoridades aeronáuticas das Partes deverão buscar resolvê-las por meio de negociações mútuas, e caso não cheguem a um acordo, a controvérsia deverá ser solucionada através dos canais diplomáticos.

ARTIGO 22 Denúncia

Qualquer das Partes poderá, a qualquer tempo, notificar a outra Parte por escrito, por via diplomática, sua decisão de denunciar este Acordo. Tal notificação deverá ser feita simultaneamente à OACI. Este Acordo deverá expirar um ano após a data de recebimento da notificação pela outra Parte, a menos que se retire tal notificação, mediante acordo, antes de concluído tal prazo. Se a outra Parte não acusar recebimento, deverá ser considerado que a notificação foi recebida quatorze (14) dias depois de seu recebimento pela OACI.

 

ARTIGO 23 Registro na OACI

Este Acordo e quaisquer emendas ao mesmo serão registrados na Organização de Aviação Civil Internacional.

ARTIGO 24 Entrada em Vigor

Este Acordo deverá entrar em vigor em data a ser determinada em troca de notas diplomáticas indicando que todos os procedimentos internos necessários foram completados pelas Partes.

Em testemunho do que os abaixo assinados, estando devidamente autorizados pelos seus respectivos Governos, assinaram o presente Acordo.

Feito em Brasilia, em 21 abril 2010, em Inglês e Português, sendo ambos os textos igualmente idênticos.

Pelo Governo da Austrália

Pelo Governo da República Federativa do Brasil

Hon Simon Crean Minisitro do Comércio

HE Celso Luiz Nunes Amorim Minisitro das Relaçōes Exteriores

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ANEXO

QUADRO DE ROTAS

As empresas aéreas designadas das Partes poderão operar serviços aéreos internacionais entre pontos nas seguintes rotas: Rota para as empresas aéreas designadas do Brasil: Pontos no Brasil Pontos Intermediários Pontos na Austrália Pontos Além Qualquer ponto Qualquer ponto Qualquer ponto Qualquer ponto Rota para as empresas aéreas designadas da Austrália: Pontos na Austrália Pontos Intermediários Pontos no Brasil Pontos Além Qualquer ponto Qualquer ponto Qualquer ponto Qualquer ponto

Nota: 1. As empresas aéreas designadas de cada Parte poderão, a seu próprio critério, omitir

pontos em quaisquer das rotas acima ou operar serviços em qualquer uma ou em ambas as direções desde que tais serviços se iniciem ou terminem no território da Parte que designou a empresa aérea em questão.

2. Os pontos intermediários e pontos além nas rotas acima e os direitos de tráfego que podem ser exercidos em tais pontos pelas empresas aéreas designadas serão periodicamente determinados, conjuntamente entre as autoridades aeronáuticas.

15

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National Interest Analysis [2010] ATNIA 55

with attachment on consultation

Air Services Agreement between the Government of the Federative Republic of Brazil and the Government of Australia,

done at Brasilia on 21 April 2010

[2010] ATNIF 38

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NATIONAL INTEREST ANALYSIS: CATEGORY 2 TREATY

SUMMARY PAGE

Air Services Agreement between the Government of the Federative Republic of Brazil and the Government of Australia,

done at Brasilia on 21 April 2010 [2010] ATNIF 38

Nature and timing of treaty action 1. The proposed treaty action is to bring into force the Air Services Agreement between the Government of the Federative Republic of Brazil and the Government of Australia (the Agreement). 2. The Agreement was signed on 21 April 2010.

3. Pursuant to Article 24, the Agreement will enter into force when the Parties have notified each other in writing that their respective requirements for its entry into force have been satisfied. Subject to the Joint Standing Committee on Treaties’ (JSCOT) issuing a report recommending the treaty action, the Australian Government will provide its notification to the Government of the Federative Republic of Brazil (Brazil) after the Agreement has been tabled in both houses of Parliament for 15 sitting days. 4. The Agreement will establish for the first time a treaty level air services relationship between Australia and Brazil. It will allow the airlines of Australia and Brazil to develop international air services between the two countries.

5. The Agreement was preceded by aviation arrangements of less than treaty status, in the form of Memoranda of Understanding (MOUs) signed in 2006 and 2008. In accordance with established Australian and international practice these MOUs applied the provisions of the Agreement on a non-legally binding basis until the Agreement enters into force. Overview and national interest summary 6. The purpose of the Agreement is to provide a binding legal framework to support the operation of air services between Australia and Brazil. The Agreement will facilitate trade and tourism between the two countries and will provide greater opportunities for airlines to develop expanded air travel options for consumers.

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Reasons for Australia to take the treaty action 7. The Agreement grants access for Australian airlines to the Brazilian aviation market and allows for the establishment of air services between the two countries. The Agreement will enable Australian and Brazilian carriers to provide services between any point in Australia and any point in Brazil, based on capacity levels decided from time to time between the aeronautical authorities of the Parties. 8. Australian travellers and Australian businesses, particularly in the tourism and export industries, will benefit from this Agreement through the opening of increased opportunities. Obligations 9. Australia and Brazil are both Parties to the Convention on International Civil Aviation ([1957] ATS 5) (the Chicago Convention). The Agreement was made in accordance with and pursuant to the Chicago Convention opened for signature at Chicago on 7 December 1944. 10. The Agreement obliges Australia and Brazil to allow the designated airlines of each country to operate scheduled air services carrying passengers and cargo between the two countries on specified routes in accordance with the provisions of the Agreement. To facilitate these services, the Agreement also includes reciprocal provisions on a range of aviation-related matters such as safety, security, customs regulation and the commercial aspects of airline operations, including the ability to establish offices in the territory of each Party and to sell fares to the public. 11. Under Article 2 of the Agreement, each Party grants to the designated airlines of the other Party the right to fly across its territory without landing and to make stops in its territory for non-traffic purposes. Article 2 also provides the right for designated airlines to operate on the routes specified in the Route Schedule for the purpose of taking on board and discharging passengers, cargo and mail. 12. Article 3 of the Agreement allows each Party to designate any number of airlines to operate the agreed services. On receipt of the designation, the authorising Party must grant the authorisation provided that, amongst other things the Party designating the airline complies with the conditions for ownership and the safety and security provisions of the Agreement. If the Party designating the airline fails to comply with the conditions specified in Article 3, Article 4 provides that the other Party has the right to withhold the authorisation and to revoke, suspend or impose conditions on such authorisations. 13. Article 5 of the Agreement confirms that each Party’s domestic laws and regulations relating to the operation and navigation of aircraft apply to the designated airlines when they are entering, within or leaving the territory of that Party. Article 5 also applies each Party’s laws and regulations relating to, for example, aviation security, immigration and customs to the passengers, crew, baggage, cargo and mail carried by the aircraft while they are within that Party’s territory. Passengers, baggage and cargo in direct transit shall be exempt from customs duties and other similar taxes. In applying their laws, the Parties are prevented from giving preference to their own or any other airline. 14. Under Article 6, each Party is required to recognise certificates of airworthiness, competency and licences issued by the other Party, provided the standards under which such

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documents were issued conform to the standards established by the International Civil Aviation Organization (ICAO). This requirement does not apply to the Party’s own nationals or to its registered aircraft by the other Party. 15. Under Article 7, each Party may request consultations with the other Party at any time concerning the safety standards maintained by the other Party. If required, the other Party shall be informed of the corrective action required to be undertaken to conform with the minimum standards. The Article also provides that each Party may, in its territory, arrange inspections of aircraft of the other Party to verify the validity of the relevant aircraft documents and those of its crew and ensure that the aircraft equipment and the condition of the aircraft conform to ICAO standards. Each Party can take immediate action essential to ensure the safety of an airline operation if it considers such action to be necessary. If access for the purpose of conducting an aircraft inspection is denied to one Party, that Party may infer serious concerns and shall be free to conclude that the Party does not meet minimum safety ICAO standards. 16. Under Article 8, both Parties are required to protect the security of civil aviation against acts of unlawful interference and, in particular, to act in conformity with multilateral conventions relating to aviation security. A Party may require the designated airlines of the other Party to observe the Party’s aviation security provisions for entry into, departure from or while within the territory of that Party and shall ensure that adequate measures are applied to protect the aircraft and to inspect passengers, crew, carry-on items, baggage, cargo and aircraft stores prior to and during boarding or loading. The Parties shall assist each other in the event of an incident or threat of an incident. Each aeronautical authority may request to conduct a security assessment in the other Party’s territory. Such assessments are to be conducted in accordance with arrangements agreed between the aeronautical authorities without delay. All assessments should be covered by a special confidential agreement. 17. Article 9 lists the equipment and stores used in the operation of the agreed services that the Parties are required, in accordance with international practice, to exempt from customs duties, excise taxes, inspection fees and other related charges. 18. Under Article 10, both Parties are obliged to ensure that there is a fair and equal opportunity for the designated airlines of both Parties to operate the agreed services. The capacity that can be operated between the two countries shall be decided between the aeronautical authorities before the services commence. The capacity was initially settled in an MOU signed in February 2006, when the Agreement was negotiated. These capacity arrangements are intended to continue once the Agreement enters into force.

19. Article 11 allows the designated airlines of a Party to set their own fares after having due regard to the relevant factors outlined in the Article. The Article also provides a framework for the aeronautical authorities to regulate air fares and other charges. The decision to regulate airfares is a policy consideration for the aeronautical authorities of each Party, in accordance with domestic legislation. 20. Under Article 12, the aeronautical authorities of one Party may request consultation with the other Party if the Party considers that a designated airline of the other Party is engaged in unfair competitive practices, such as those listed in Article 12. When undertaking such consultation, both Parties are required to coordinate their actions with the relevant

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21. Article 13 provides a framework that allows designated airlines of one Party to conduct business in the territory of the other Party. The framework includes provisions allowing designated airlines to establish offices, bring in and employ staff, sell air transport services to the public and use the services and personnel of any organisation, company or airline operating in the territory of the other Party to conduct its business. 22. Article 14 outlines the conditions under which airlines can convert and move currencies. The provisions in the Article do not exempt the airlines of both Parties from duties, taxes and other contributions to which they may be subjected. 23. Article 15 requires that each Party encourage those responsible for airport, airport environmental, air navigation and aviation security facilities and services to not levy charges that are unreasonable, inequitable or discriminatory. 24. Article 16 provides that a Party may request statistics from the other Party’s designated airlines. 25. Under Article 17, the designated airlines of each Party must submit their planned flight schedules to the aeronautical authority of the other Party for approval. If a designated airline wishes to depart from the planned flight schedules to meet special travel peaks, the airline must request prior permission from the aeronautical authority of the other Party. 26. Article 18 provides that each Party may at any time request consultations on the implementation, interpretation and compliance with the provisions of the Agreement. 27. Article 21 provides for dispute resolution, with the exception of disputes concerning safety and air fares, between the aeronautical authorities of the Parties. If the aeronautical authorities of the Parties fail to resolve any dispute by negotiation, it is to be settled by the Parties through diplomatic channels. 28. The Annex contains a route schedule which specifies the routes that may be operated by designated airlines. Implementation 29. The Agreement is to be implemented through existing legislation, including the Air Navigation Act 1920 and the Civil Aviation Act 1988. The International Air Services Commission Act 1992 provides for the allocation of capacity to Australian airlines. No amendments to these Acts or any other legislation are required for the implementation of the Agreement. Costs 30. No direct financial costs to the Australian Government are anticipated in the implementation of the Agreement. There are no financial implications for State or Territory Governments.

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Regulation Impact Statement 31. The Office of Best Practice Regulation, Department of Finance and Deregulation, has been consulted and confirms that a Regulation Impact Statement is not required. Future treaty action 32. Article 19 provides that any amendment to the Agreement, including the Annex, shall enter into force when the two Parties have notified each other, through an exchange of diplomatic notes, that they have completed their domestic procedures for entry into force of the amendments. Article 20 provides that the Agreement will be deemed to be amended so far as is necessary to comply with any multilateral air services agreement concerning air services that may come into force for both Parties. 33. Any amendment to the Agreement will be subject to Australia's domestic treaty-making process, including tabling in Parliament and consideration by JSCOT. Withdrawal or denunciation 34. Article 22 provides for termination of the Agreement. Either Party may give notice in writing at any time to the other Party of its decision to terminate the Agreement and must also lodge a notice of termination with ICAO. The Agreement shall terminate one year after the date of receipt of the notice of termination by the other Party, unless the notice is withdrawn by agreement before the end of the termination period. 35. Any notification of withdrawal from the Agreement by Australia will be subject to Australia's domestic treaty-making process, including tabling in Parliament and consideration by JSCOT. Contact details Aviation Industry Policy Branch Aviation and Airports Business Division Department of Infrastructure, Transport, Regional Development and Local Government

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ATTACHMENT ON CONSULTATION

Air Services Agreement between the Government of the Federative Republic of Brazil and the Government of Australia,

done at Brasilia on 21 April 2010 [2010] ATNIF 38

CONSULTATION 36. It is the practice ahead of negotiations of an air services agreement for the Department of Infrastructure, Transport, Regional Development and Local Government to consult government and non-government bodies that may have an interest in the outcome of the negotiations and to take into account their views in developing a negotiating position for the Minister’s approval. 37. Prior to the negotiation of the Agreement, extensive consultations were held with industry and Commonwealth and State and Territory government agencies. The following stakeholders were advised by letter and/or email of the proposal to negotiate an agreement between Australia and Brazil and invited to comment on issues of importance to them:

Commonwealth Government Agencies

Attorney-General's Department Australian Customs and Border Security Service Australian Quarantine and Inspection Service Austrade Civil Aviation Safety Authority Department of Foreign Affairs and Trade Department of Finance and Deregulation Department of Immigration and Citizenship Department of Industry, Tourism and Resources Department of Prime Minister and Cabinet The Treasury Tourism Australia

State Government Agencies

ACT Government Chief Minister’s Department Queensland Government Department of Employment, Economic Development

and Innovation, Aviation Steering Committee NSW Government Department of Planning, Infrastructure and Natural Resources NSW Government Ministry of Transport Industry and Investment NSW South Australian Government Department of Transport, Energy and Infrastructure Tasmanian Department of Infrastructure, Energy & Resources Victorian Government Department of Innovation, Industry and Regional

Development Western Australian Government Department of Transport Northern Territory Government Department of Planning and Infrastructure Queensland Government Department of Transport

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Victorian Government Department of Primary Industries Tourism New South Wales Tourism South Australia Tourism Queensland Tourism Tasmania Tourism Victoria Tourism Northern Territory Tourism Western Australia

Industry

Adelaide Airport Limited Alice Springs Airport Australian Airports Association Australian and International Pilots Association Australian Aviation Council Australian Federation of Travel Agents Australian Federation of International Forwarders Australian Local Government Association Australian Tourism Export Council Australia's North West Tourism Avalon Airport Australia Pty Ltd & Essendon Airport Pty Ltd Aviation Australia Board of Airline Representatives of Australia Brisbane Airport Corporation Ltd Broome International Airport Holdings Burnie Airport Corporation Pty Ltd/Wynyard Aerodrome Cairns Airport Canberra International Airport Chamber of Commerce Northern Territory Essendon Airport Flinders Ports South Australia Global Aviation Services Gold Coast Airport Ltd Hobart International Airport Launceston Airport Melbourne Airport Mildura City Council Moorabbin Airport National Food Industry Strategy Ltd National Jet Systems Pty Ltd National Tourism Alliance Newcastle Airport Ltd Northern Territory Airports Pty Ltd Northern Territory Transport Perth Airport Qantas Airways Ltd Queensland Airports Ltd Queensland Tourism Industry Corporation Regional Aviation Association of Australia

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Sky Air World Sydney Airport Corporation Ltd Tasmanian Freight Logistics Council Tourism and Transport Forum (TTF) Australia Tourism Top End Townsville Airport Tropical Tourism North Queensland Virgin Blue Westralia Airports Corporation Pty Ltd

38. Comments were received from: Qantas, Virgin Blue, Sydney Airport, the Aviation Steering Committee of the Queensland Government, Tourism New South Wales, Tourism Victoria and the Australian Government Department of Resources, Energy and Tourism. 39. Stakeholders who provided comment supported the negotiation of a new air services agreement with Brazil to open market access for airlines in both countries. 40. Comments provided by Sydney Airport, the Australian Government Department of Resources, Energy and Tourism and Tourism Victoria were all confidential. 41. Qantas supported negotiations of arrangements including liberal cooperative marketing provisions and route rights. Virgin Blue supported the negotiations. 42. The Aviation Steering Committee of the Queensland Government and Tourism New South Wales indicated that they would welcome the Agreement which would provide flexibility to Australian and foreign carriers to serve these states. 43. Comments on the Agreement were received from the Attorney-General’s Department, the Department of Foreign Affairs and Trade, the Treasury, Customs, the Civil Aviation Safety Authority, the Australian Competition and Consumer Commission and the Department of Immigration and Citizenship. These agencies cleared the text of the Agreement prior to its approval by the Federal Executive Council. 44. The Agreement was included in the Schedule of Treaties provided to the Commonwealth-State/Territory Standing Committee on Treaties in September 2008 and in July 2009 prior to signature of the Agreement. 45. The Agreement was approved for signature by the Federal Executive Council on 14 November 2008.

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National Interest Analysis [2010] ATNIA 54

with attachment on consultation

Agreement between the Government of Australia and the Government of Japan concerning Reciprocal Provision of Supplies and Services between the

Australian Defence Force and the Self-Defense Forces of Japan

done at Tokyo on 19 May 2010

[2010] ATNIF 29

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NATIONAL INTEREST ANALYSIS: CATEGORY 1 TREATY

SUMMARY PAGE

Agreement between the Government of Australia and the Government of Japan concerning Reciprocal Provision of Supplies and Services between the

Australian Defence Force and the Self-Defense Forces of Japan

done at Tokyo on 19 May 2010

[2010] ATNIF 29 Nature and timing of proposed treaty action 1. The proposed treaty action is to bring into force the Agreement between the Government of Australia and the Government of Japan Concerning Reciprocal Provision of Supplies and Services Between the Australian Defence Force and the Self-Defense Forces of Japan (the proposed Agreement). 2. The proposed Agreement was signed on 19 May 2010. Pursuant to Article VII, the proposed Agreement will enter into force on the date upon which the Government of Australia and the Government of Japan (the Parties) exchange diplomatic notes informing each other that their respective internal procedures necessary to give effect to the proposed Agreement have been completed. 3. It is proposed that Australia will send written notification to Japan as soon as practicable after the tabling of the proposed Agreement in Parliament and following a recommendation by the Joint Standing Committee on Treaties (JSCOT) that binding treaty action be taken. Overview and national interest summary 4. The purpose of the proposed Agreement is to establish basic terms and conditions for the reciprocal provision of supplies and services between the Australian Defence Force (ADF) and the Self-Defense Forces of Japan necessary for: exercises and training with participation by the ADF and the Self-Defense Forces of Japan; United Nations peacekeeping operations; humanitarian international relief operations; operations in response to large scale disasters in Australia, Japan or a third country; emergency evacuation of Australian or Japanese nationals, or others from third countries; and communication and coordination or other routine activities including visits of ships or aircraft of the ADF or the Self-Defense Forces of Japan. 5. The proposed Agreement would benefit Australia by formalising and enhancing the quality of, and potential for, defence cooperation with Japan.

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Reasons for Australia to take the proposed treaty action 6. The proposed Agreement will facilitate the reciprocal provision of supplies and services in the field of logistic support and will promote cooperation between the Self-Defense Forces of Japan and the ADF. 7. The proposed Agreement does not raise any domestic or international defence policy concerns. Obligations 8. Article I of the proposed Agreement outlines the bilateral activities covered by the proposed Agreement and emphasises the principle of reciprocity. The activities covered by the proposed Agreement are:

a) exercises and training with participation by the Self-Defense Forces of Japan and the ADF;

b) United Nations peacekeeping operations; c) humanitarian international relief operations; d) operations in response to large scale disasters in Australia, Japan or a third country; e) emergency evacuation of Australian or Japanese nationals, or others from third

countries; and f) communication and coordination, or other routine activities, including visits to the

territory of either Party of ships or aircraft of the forces of the other Party. 9. Exercises and training conducted unilaterally by the forces of either Party are excluded from the scope of the proposed Agreement. 10. Article II of the proposed Agreement lists the categories of supplies and services that may be provided by either Party, within each Party’s competence. The specific items falling within each of these categories are set out in the Annex to the proposed Agreement. Article II excludes from the operation of the proposed Agreement the provision of weapons or ammunition by the ADF or the Self-Defense Forces of Japan. In providing the supplies and services, each Party must act in accordance with its national laws and regulations. 11. Article III provides that supplies and services provided under the proposed Agreement must be used consistently with the Charter of the United Nations (the UN Charter). Notably, Article 2(4) of the UN Charter prohibits the threat or use of force against the territorial integrity or political independence of any state, or in any other manner inconsistent with the purposes of the UN. Article III of the proposed Agreement also provides that supplies and services are not to be transferred outside of the forces of the receiving Party without the prior written consent of the providing Party. 12. Article IV of the proposed Agreement sets out the possible settlement (reimbursement) procedures for the provision of supplies. Where possible, the receiving Party must return the supplies in a condition and manner satisfactory to the providing Party. Where the supplies provided are consumable or cannot be returned in a satisfactory condition, the receiving Party must give the providing Party supplies of the same type, quality and quantity and in a condition and manner that is satisfactory to the providing Party. Where neither option is

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possible, the receiving Party must reimburse the providing Party in a currency specified by the providing Party.

13. Article IV also sets out settlement procedures for the provision of services. The receiving Party may either reimburse the providing Party in its chosen currency, or provide services of the same type and equivalent value. The manner of settlement in relation to the provision of services must be agreed between the Parties prior to the provision of the services.

14. Article IV also provides that, to the extent permitted by their national laws, the Parties will not charge internal duties and taxes on the provision of supplies and services under the proposed Agreement. 15. Article V of the proposed Agreement provides that provision and receipt of supplies and services under the proposed Agreement must be carried out in accordance with the Procedural Arrangement. The Procedural Arrangement is a less-than-treaty status document concluded between competent authorities of the Parties (the Australian Department of Defence and the Japanese Ministry of Defense) that specifies procedures and supplementary detail to implement the proposed Agreement. 16. Article VI of the proposed Agreement sets out provisions relating to the implementation of the proposed Agreement. Specifically, paragraph 1 provides that the proposed Agreement will not apply to any ADF activities conducted by the ADF acting as a member of the United Nations Forces under the Agreement Regarding the Status of the United Nations Forces in Japan done at Tokyo on 19 February 1954. Paragraphs 2 and 3 require the Parties to consult with each other regarding the implementation of the proposed Agreement and to settle any disputes relating to the interpretation or application of the proposed Agreement and Procedural Arrangement through consultation. Paragraph 4 provides that the competent authorities of the Parties must settle disputes regarding the implementation of the proposed Agreement in accordance with the procedures set out in the Procedural Arrangement. The Procedural Arrangement sets out a dispute resolution mechanism based on consultation between the competent authorities of the Parties. Paragraph 5 of Article VI of the proposed Agreement provides that where disputes between the competent authorities cannot be settled in accordance with the Procedural Arrangement, they must be settled through consultation between the Parties. 17. Paragraph 1 of Article VII of the proposed Agreement provides that the proposed Agreement will enter into force when the Parties exchange diplomatic notes informing each other that their respective internal procedures necessary to give effect to the proposed Agreement have been completed. Paragraph 1 of Article VII also provides that the proposed Agreement will remain in force for ten years and will be automatically extended for successive periods of ten years unless either Party notifies the other of its intention in writing to terminate the proposed Agreement more than six months before the end of each period of ten years. Alternatively, paragraph 2 of Article VII provides that either Party may terminate the proposed Agreement at any time by providing one year’s written notice.

18. Paragraph 3 of Article VII provides that the proposed Agreement may be amended by written agreement between the Parties. Paragraph 4 of Article VII provides that Article III, IV, V and paragraphs 3, 4 and 5 of Article VI will remain in force with respect to supplies and services provided under the proposed Agreement, notwithstanding the termination of the proposed Agreement.

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Implementation 19. No changes to national laws, regulations or policies are required to implement the proposed Agreement. The proposed Agreement will not effect any change to the existing roles of the Commonwealth Government or the State and Territory Governments. Costs 20. There are no foreseeable financial costs to the Commonwealth Government in the implementation of the proposed Agreement. 21. Supplies and services provided by Japan to Australia will be settled in accordance with the provisions of Article IV, including cash payments where necessary.

Regulation Impact Statement 22. The Office of Best Practice Regulation, Department of Finance and Deregulation, has been consulted and confirms that a Regulation Impact Statement is not required. Future treaty action 23. The proposed Agreement does not provide for the negotiation of any future legally binding instruments. A Procedural Arrangement (a less-than-treaty status instrument), foreshadowed by Article V of the proposed Agreement, has been concluded between the competent authorities of the Parties to specify procedures and details of the terms and conditions to implement the proposed Agreement. 24. Under paragraph 3 of Article VII, the proposed Agreement (including the Annex) may be amended by written agreement between the Parties. Amendments to the proposed Agreement would be subject to Australia’s domestic treaty-making process, including tabling in Parliament and consideration by JSCOT. Withdrawal or denunciation 25. Under paragraph 1 of Article VII, the proposed Agreement will remain in force for a period of ten years and will be automatically extended for subsequent periods of ten years. The proposed Agreement may be terminated by either Party in writing at least six months before the end of each period of ten years. Alternatively, paragraph 2 of Article VII provides that either Party may terminate the proposed Agreement at any time by providing one year’s written notice. 26. Termination by Australia would be subject to Australia’s domestic treaty-making process, including tabling in Parliament and consideration by JSCOT. If the proposed Agreement is terminated, paragraph 4 of Article VII provides that Article III, IV, V and paragraphs 3, 4 and 5 of Article VI will remain in force with respect to supplies and services provided under the proposed Agreement.

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Contact details Director of International Logistics Strategic Logistics Branch Department of Defence

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ATTACHMENT ON CONSULTATION

Agreement between the Government of Australia and the Government of Japan concerning Reciprocal Provision of Supplies and Services between the

Australian Defence Force and the Self-Defense Forces of Japan

done at Tokyo on 19 May 2010

[2010] ATNIF 29

CONSULTATION 27. The Minister for Foreign Affairs provided approval for the Department of Defence to be the lead negotiating agency for the proposed Agreement. The Department of Defence consulted with the Department of Foreign Affairs and the Attorney-General’s Department throughout the negotiation process. Both the Minister for Foreign Affairs and the Attorney-General approved the final text of the proposed Agreement prior to its signature by the Minister for Defence.

28. The State and Territory Governments have been consulted through the Commonwealth-State-Territory Standing Committee on Treaties (SCOT). Information on the negotiation of the proposed Agreement was provided to State and Territory representatives through the bi-annual SCOT meetings throughout the course of the negotiations concerning the proposed Agreement. No requests for further information or comments on the proposed Agreement have been received to date from the State and Territory Governments.

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DEPARTMENT OF FOREIGN AFFAIRS AND TRADE CANBERRA

AGREEMENT

BETWEEN

THE GOVERNMENT OF AUSTRALIA

AND

THE GOVERNMENT OF THE UNITED MEXICAN STATES

RELATING TO AIR SERVICES

Done at Mexico City on 9 April 2010

Not yet in force [2010] ATNIF 25

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AGREEMENT BETWEEN THE GOVERNMENT OF AUSTRALIA

AND THE GOVERNMENT OF THE UNITED MEXICAN STATES RELATING TO AIR SERVICES

The Government of Australia and the Government of the United Mexican States (hereinafter, "the Parties"); Being Parties to the Convention on International Civil Aviation, opened for signature at Chicago on December 7, 1944; Wishing to conclude a complementary Agreement to the aforementioned Convention in order to establish regular air services between their respective territories; Desiring to ensure the highest degree of safety and security in international air transport and reaffirming their grave concern about acts or threats against the security of aircraft, which jeopardise the safety of persons or property, adversely affect the operation of air transport, and undermine public confidence in the safety of civil aviation; Have agreed as follows:

ARTICLE 1

Definitions For the purpose of this Agreement, unless otherwise stated, the term: (a) “Aeronautical Authorities” means for each Party the authority or

authorities as notified in writing from time to time by one Party to the other Party;

(b) “Agreed services” means services for the uplift and discharge of traffic

as defined in Article 3, subparagraph 1 (c); (c) “Agreement” means this Agreement, its Annexes, and any

amendments thereto; (d) “Air transportation” means the public carriage by aircraft of passengers,

baggage, cargo, and mail, separately or in combination, for remuneration or hire;

(e) “Airline” means any air transport enterprise marketing or operating air

transportation; (f) “Capacity” is the amount(s) of services provided under the Agreement,

usually measured in the number of flights (frequencies), or seats or

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tonnes of cargo offered in a market (city pair, or country -to-country) or on a route during a specific period, such as daily, weekly, seasonally or annually;

(g) “Code–share” means the use of the flight designator code of one airline

on a service performed by a second airline, which service is usually also identified as a service of, and being performed by, the second airline;

(h) “Convention” means the Convention on International Civil Aviation, opened for signature at Chicago on December 7th, 1944, and includes:

(i) any Annex or any amendment thereto adopted under Article 90

of the Convention, insofar as such Annex or amendment is at any given time in force for both Parties; and

(ii) any amendment which has entered into force under Article 94(a)

of the Convention and has been ratified by both Parties; (i) “Customs duties” means all duties, taxes, fees or any other charges

which are levied in the territories of the Contracting Parties in application of customs law and regulations, but not including fees and charges for services rendered;

(j) “Designated airline” means an airline(s) designated and authorised in accordance with Article 2 (Designation, Authorisation and Revocation) of this Agreement;

(k) “Ground-handling” includes but is not limited to passenger, cargo and

baggage handling, and the provision of catering facilities and/or services;

(l) “ICAO” means the International Civil Aviation Organization; (m) “International air transportation” means air transportation which passes

through the air space over the territory of more than one State; (n) “Marketing airline” means an airline that offers air transportation on an

aircraft operated by another airline, through code-sharing; (o) “Operating airline” means an airline that operates an aircraft in order to

provide air transportation – it may own or lease the aircraft; (p) “Slots” means the right to schedule an aircraft movement at an airport; (q) “Tariff” means the price charged by airline(s), including their agents, for

the transportation, including air transportation, of passengers, baggage and cargo, as well as the conditions and rules that regulate the application of the transportation cost depending on the characteristics of the service rendered, under which that amount shall be applied,

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excluding the remuneration and other conditions relative to the carriage of mail;

(r) “Territory” and “Stop for non-traffic purposes” have the meaning

respectively assigned to them in Articles 2 and 96 of the Convention; and

(s) “User charges” means a charge made to airline(s) by a service provider

for the provision of airport, airport environmental, air navigation and aviation security facilities and services.

ARTICLE 2 Designation, Authorisation and Revocation

1. Each Party shall have the right to designate up to three airlines for the purpose of operating the services agreed upon in the routes specified in the Route Schedule in the Annex, as well as to change those designations. Each Party shall notify the other Party in writing, via diplomatic channels, of the airlines designated, including any changes thereto. No more than two designated airlines of each Party can operate between any city pair. 2. Upon receiving that designation, the other Party shall grant without undue delay to the designated airline, and subject to provisions of paragraph 3 of this Article, the authorisation to operate. 3. The Aeronautical Authorities of one Party shall request the designated airline of the other Party to satisfy the obligations pursuant to provisions of the Convention and that:

(a) substantial ownership and effective control of that airline are vested in the Party that has designated it or to the nationals of that Party;

(b) the designated airline complies with the laws and regulations that

are normally and reasonably applied by those Authorities to the operation of international air transportation;

(c) the designated airline holds the necessary operating permits; and (d) the designated airline operates pursuant to the conditions within

this Agreement. 4. Each Party shall have the right to revoke authorisation to operate, or suspend the exercise of rights of the designated airline of the other Party, under Article 3 of this Agreement, or to limit the conditions that it deems necessary on the exercise of these rights if the conditions specified in sub paragraphs 3(a) to 3(d) are not met.

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5. Unless immediate action is essential to prevent further non-compliance with subparagraphs 3(a) to 3(d) of this Article, the rights established by paragraph 4 of this Article shall be exercisable only after consultation with the other Party. 6. This Article does not limit the rights of either Party to withhold, revoke, limit or impose conditions on the operating authorisation or technical permission of an airline(s) of the other Party in accordance with the provisions of Article 5 (Safety) or Article 6 (Aviation Security) of this Agreement.

ARTICLE 3 Grant of Rights

1. Each Party grants to the other Party the following rights for the conduct of international air transportation by the designated airline(s) of the other Party:

(a) to fly across its territory without landing; (b) to make stops in its territory for non-traffic purposes; (c) to operate services on the route specified in the Annex and to

make stops in its territory for the purpose of taking on board and discharging passengers, cargo and mail, hereinafter called the “agreed services”; and

(d) the rights otherwise specified in this Agreement.

2. Nothing in this Article shall be deemed to confer on the designated airline(s) of one Party the rights to uplift and discharge between points in the territory of the other Party, passengers, their baggage, cargo, or mail carried for compensation. 3. The provisions of this Agreement shall also be applicable to non-scheduled international air transportation performed by the designated airline(s) of each Party, including airlines not designated under Article 2, except with respect to the following:

Article 2, Article 3 sub-paragraph 1 (c), Article 10, Article 11 and the Annex.

ARTICLE 4 Application of Laws and Regulations

1. While entering, within, or leaving the territory of one Party, its laws, regulations and rules relating to the operation and navigation of aircraft shall be complied with by the other Party's designated airline(s).

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2. While entering, within, or leaving the territory of one Party, its laws, regulations and rules relating to the admission to or departure from its territory of passengers, crew, cargo and aircraft (including regulations and rules relating to entry, clearance, aviation security, immigration, passports, advance passenger information, customs and quarantine or, in the case of mail, postal regulations) shall be complied with by, or on behalf of, such passengers and crew and in relation to such cargo of the other Party's designated airline(s).

3. Neither Party shall give preference to its own or any other designated airline(s) over a designated airline(s) of the other Party engaged in similar international air transportation in the application of its entry, clearance, aviation security, immigration, passports, advance passenger information, customs and quarantine, postal and similar regulations.

4. Passengers, baggage and cargo in direct transit through the territory of either Party and not leaving the area of the airport reserved for such purpose may be subject to examination in respect of aviation security, narcotics control and immigration requirements, or in other special cases where such examination is required having regard to the laws and regulations of the relevant Party and to the particular circumstances.

ARTICLE 5 Safety

1. Certificates of airworthiness, certificates of competency and licences issued or rendered valid by one Party and still in force shall be recognised as valid by the other Party for the purpose of operating the agreed services provided that the requirements under which such certificates and licences were issued or rendered valid are equal to or above the minimum standards which may be established pursuant to the Convention. 2. If the privileges or conditions of the licences or certificates referred to in paragraph 1 above, issued by the Aeronautical Authorities of one Party to any person or designated airline or in respect of an aircraft used in the operation of the agreed services, should permit a difference from the minimum standards established under the Convention, and which difference has been filed with ICAO, the other Party may request consultations between the Aeronautical Authorities with a view to clarifying the practice in question. 3. Each Party reserves the right, however, to refuse to recognise for the purpose of flights above or landing within its own territory, certificates of competency and licences granted to its own nationals or in relation to its registered aircraft by the other Party. 4. Each Party may request consultations at any time concerning the safety standards maintained by the other Party in areas relating to aeronautical facilities, flight crew, aircraft and the operation of aircraft. Such consultations shall take place within thirty (30) days of that request.

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5. If, following such consultations, one Party finds that the other Party does not effectively maintain and administer safety standards in the areas referred to in paragraph 4 that meet the standards established at that time pursuant to the Convention, the other Party shall be informed of such findings and of the steps considered necessary to conform with those standards. The other Party shall take appropriate corrective action within a time period agreed by the Parties. 6. Paragraphs 7 to 10 of this Article supplement paragraphs 1 to 5 of this Article and the obligations of the Parties under Article 33 of the Convention. 7. Pursuant to Article 16 of the Convention, it is further agreed that, any aircraft operated by, or on behalf of a designated airline(s) of one Party, on service to or from the territory of the other Party may, while within the territory of the other Party, be the subject of a search by the authorised representatives of the other Party, provided this does not cause unreasonable delay in the operation of the aircraft. The purpose of this search is to verify the validity of the relevant aircraft documentation, the licensing of its crew, and that the aircraft equipment and the condition of the aircraft conform to the standards established at the time pursuant to the Convention. 8. When urgent action is essential to ensure the safety of an airline operation, each Party reserves the right to immediately suspend or vary the operating authorisation of an airline(s) of the other Party. 9. Any action by one Party in accordance with paragraph 8 above shall be discontinued once the basis for the taking of that action ceases to exist. 10. With reference to paragraph 5 of this Article, if one Party determines that the other Party remains non-compliant with the relevant standards when the agreed time period has lapsed, the first-mentioned Party should advise the Secretary General of ICAO thereof. The Secretary General should also be advised by the first-mentioned Party of the subsequent satisfactory resolution of the situation.

ARTICLE 6 Aviation Security

1. Consistent with their rights and obligations under international law, the Parties reaffirm that their obligation to each other to protect the security of civil aviation against acts of unlawful interference forms an integral part of this Agreement. Without limiting the generality of their rights and obligations under international law, the Parties shall in particular act in conformity with the provisions of the Convention on Offences and Certain Other Acts Committed on Board Aircraft, signed at Tokyo on 14 September 1963, the Convention for the Suppression of Unlawful Seizure of Aircraft,

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signed at The Hague on 16 December 1970 and the Convention for the Suppression of Unlawful Acts against the Safety of Civil Aviation, signed at Montreal on 23 September 1971, its Supplementary Protocol for the Suppression of Unlawful Acts of Violence at Airports Serving International Civil Aviation, signed at Montreal on 24 February 1988, as well as with any other convention and protocol relating to the security of civil aviation which both Parties adhere to. 2. The Parties shall provide upon request all necessary assistance to each other to prevent acts of unlawful seizure of civil aircraft and other unlawful acts against the safety of such aircraft, their passengers and crew, airports and air navigation facilities, and any other threat to security of civil aviation. 3. The Parties shall, in their mutual relations, act in conformity with the aviation security provisions established by ICAO and designated as Annexes to the Convention; they shall require that operators of aircraft of their registry or operators of aircraft who have their principal place of business or permanent residence in their territory and the operators of airports in their territory act in conformity with such aviation security provisions. Each Party shall advise the other Party of any difference between its national regulations and practices and the aviation security standards of the Annexes. Either Party may request consultations with the other Party at any time to discuss any such differences. 4. Such operators of aircraft may be required to observe the aviation security provisions referred to in paragraph 3 above required by the other Party for entry into, departure from, or while within the territory of that other Party. Each Party shall ensure that adequate measures are effectively applied within its territory to protect the aircraft and to inspect passengers, crew, carry-on items, baggage, cargo and aircraft stores prior to and during boarding or loading. Each Party shall also give positive consideration to any request from the other Party for reasonable special security measures to meet a particular threat. 5. When an incident or threat of an incident of unlawful seizure of civil aircraft or other unlawful acts against the safety of such aircraft, their passengers and crew, airports or air navigation facilities occurs, the Parties shall assist each Other by facilitating communications and other appropriate measures intended to terminate rapidly and safely such incident or threat thereof. 6. Each Party shall have the right, within sixty (60) days following notice (or such shorter period as may be agreed between the Aeronautical Authorities), for its Aeronautical Authorities to conduct an assessment in the territory of the other Party of the security measures being carried out, or planned to be carried out, by aircraft operators in respect of flights arriving from, or departing to the territory of the first Party. The administrative arrangements for the conduct of such assessments shall be mutually

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determined by the Aeronautical Authorities and implemented without undue delay so as to ensure that assessments will be conducted expeditiously. 7. When a Party has reasonable grounds to believe that the other Party has departed from the provisions of this Article, the first Party may request immediate consultations. Such consultations shall start within fifteen (15) days of receipt of such a request from either Party. Failure to reach a satisfactory agreement within fifteen (15) days from the start of consultations shall constitute grounds for withholding, revoking, suspending or imposing conditions on the authorisations of the designated airline(s) by the other Party. When justified by an emergency, or to prevent further non-compliance with the provisions of this Article, the first Party may take interim action at any time. Any action taken in accordance with this paragraph shall be discontinued upon compliance by the other Party with the security provisions of this Article.

ARTICLE 7 User Charges

1. Each Party shall use its best efforts to encourage those responsible for the provision of airport, airport environmental, air navigation, and aviation security facilities and services to levy charges on the designated airline(s) only on the basis that they are reasonable, non-discriminatory, and equitably apportioned amongst categories of users. 2. Reasonable charges reflect the full cost to the competent charging authorities of providing the facilities and services. This may include a reasonable return on assets, after depreciation. Facilities and services for which charges are made should be provided on an efficient and economic basis. For charges to be non-discriminatory, they should be levied on foreign airlines at a rate no higher than the rate imposed on a Party’s own airlines operating similar international services, in accordance with their respective laws and regulations. 3. The Parties shall encourage the exchange of such information between the competent charging authorities and the airlines as may be necessary to permit a full assessment of the reasonableness of, justification for, and apportionment of the charges in accordance with paragraphs 1 and 2 of this Article. 4. Increased or new charges should only follow adequate consultations between the competent charging authorities and the airlines. Reasonable notice of any proposals for changes in user charges should be given to users to enable them to express their views before changes are made.

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ARTICLE 8 Statistics

1. The Aeronautical Authorities of one Party may require a designated airline(s) of the other Party to provide statements of statistics related to the traffic carried by that airline(s) on services performed under this Agreement. 2. The Aeronautical Authorities of each Party may determine the nature of the statistics required to be provided by designated airline(s) under the above paragraph, and shall apply these requirements on a non-discriminatory basis.

ARTICLE 9 Customs Duties and other Charges

1. When an aircraft operated on the agreed services by the designated airline(s) of one Party arrives in the territory of the other Party, said aircraft and its regular equipment, spare parts (including engines), fuels, oil (including hydraulic fluids, lubricants) and aircraft stores (including food, beverages and products used for sale to, or use by, passengers during flight) on board such aircraft shall be exempt on the basis of reciprocity from all customs duties, inspections fees, excise taxes and other similar fees and charges, provided that such equipment and items are for use on board the aircraft until they are re-exported/returned.

2. The following equipment and items shall also be exempt by the other Party on the basis of reciprocity from all customs duties, inspection fees, excise taxes and other similar fees and charges, including:

a) regular equipment, spare parts (including engines), fuels, oil (including hydraulic fluids, lubricants) and aircraft stores (including food, beverages and products used for sale to, or use by, passengers during flight) carried into the territory of the other Party and intended for use on the aircraft operated on the agreed services by the designated airline(s) even when such equipment and items are to be used on part of the journey performed over the territory of the other Party; and

b) spare parts (including engines) introduced into the territory of

the other Party for the maintenance or for the repair of aircraft operated on the agreed services by the designated airlines.

3. The equipment and items referred to in paragraphs 1 and 2 of this Article may be unloaded in the territory of the other Party only with the approval of the customs authorities of the other Party. Such equipment and items may be required to be kept under the supervision or control of the customs authorities of the other Party, until they are re-exported/returned, or

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otherwise disposed of in accordance with customs laws and regulations in force in the territory of the other Party.

4. Baggage, cargo and mail in direct transit shall be exempt from all customs duties, inspection fees, excise taxes and other similar fees and charges with the exception of the charges corresponding to the services provided, on the basis of reciprocity. 5. The exemptions provided for by this Article shall also be available in situations where a designated airline of one Party has entered into arrangements with another airline(s), which similarly enjoy(s) such exemptions in the territory of the other Party, for the loan or transfer in the territory of the other Party, of the regular equipment and items referred to in paragraphs 1 and 2 of this Article.

ARTICLE 10 Tariffs

1. The tariffs of the designated airline(s) of the Parties for transportation of traffic will be freely determined by the designated airline(s) at a reasonable level considering relevant factors such as cost of operation, service characteristics, reasonable profitability, tariffs of other airlines for any part of the specified routes, the interests of users of air transportation, market and competition considerations.

2. The tariffs shall be submitted for the double approval of the Aeronautical Authorities of both Parties, at least fifteen (15) working days before the proposed starting date of the services. For a tariff to become effective, it will be necessary that it be approved by both Parties. 3. If the Aeronautical Authorities of either Party consider that a proposed tariff filed, is, or may be excessive, or the charging of the tariff may be anti-competitive, they may, within fifteen (15) days of the proposed tariff being filed, request consultations, which may be through correspondence and which will be completed within sixty (60) days of being requested. The tariff will not take effect at the end of that period unless the Aeronautical Authorities of both Parties approve it.

4. Any tariff so filed will be treated as having been approved unless within fifteen (15) days of the tariff being filed, the Aeronautical Authorities of either Party have informed each other in writing that they do not approve the proposed tariff.

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ARTICLE 11 Capacity

1. The designated airline(s) of each Party shall enjoy fair and equal opportunities to operate the agreed services in accordance with this Agreement. 2. In the operation of the agreed services, the capacity which may be provided by the designated airline(s) of each Party shall be such as is decided between the Aeronautical Authorities of the Parties before the commencement of such services by the airlines concerned and from time to time thereafter.

ARTICLE 12 Commercial Opportunities

1. The designated airline(s) of each Party shall have the following rights in the territory of the other Party:

(a) to establish offices for the promotion, sale and management of

air transportation; (b) to engage in the sale and marketing of air transportation to any

person directly and, at its discretion, through its agents or intermediaries, using its own transportation documents; and

(c) to use the services and personnel of any organisation, company

or designated airline operating in the territory of the other Party, in accordance with the laws and regulations of the Party where the services operate.

2. In accordance with the laws and regulations relating to entry, residence and employment of the other Party, the designated airline(s) of each Party shall be entitled to bring in and maintain in the territory of the other Party those of their own managerial, sales, technical, operational and other specialist staff which the airline reasonably considers necessary for the provision of air transportation. 3. The designated airline(s) of each Party shall have the right to sell air transportation, and any person shall be free to purchase such transportation, in local or freely convertible currencies. The designated airline(s) shall have the right to convert their funds into any freely convertible currency and to transfer them from the territory of the other Party at will. Subject to the national laws and regulations and policy of the other Party, conversion and transfer of funds obtained in the ordinary course of their operations shall be permitted at the foreign exchange market rates for payments prevailing at the time of submission of the requests for conversion or transfer and shall not be subject to any charges except normal service charges levied for such transactions.

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4. The designated airline(s) of each Party shall have the right at their discretion to pay for local expenses, including purchases of fuel, in the territory of the other Party in local currency or, provided this accords with local currency regulations, in freely convertible currencies. 5. Upon operating or offering the agreed services on the specified Routes in the Annex, the designated airline(s) of each Party acting as operating airlines or offering their services as marketing airlines, by placing their code on flights operated by other airlines, may enter into code-sharing, blocked space or other cooperative marketing agreements. In operating or holding out international air transportation, the airlines of each Party shall have the right over any part of their Route in the Annex to enter into code – sharing, blocked space or other marketing agreements with;

(a) a designated airline(s) of the same Party; or

(b) one or more designated airline(s) of the other Party; or (c) one or more airline(s) of a third country.

6. With respect to subparagraph 5(c) neither of the Parties shall, for the code-sharing services to be effectively operated by the designated airline(s) of the other Party, require the existence of a code-sharing agreement with the third country. 7. There shall be no limit imposed by the Aeronautical Authorities of Australia on the capacity to be offered by the designated airline(s) by the United Mexican States on code-share services on flights operated by an airline(s) of Australia, the United Mexican States and/or of any third country. There shall be no limit imposed by the Aeronautical Authorities of the United Mexican States on the capacity to be offered by the designated airline(s) by Australia on code-share services on flights operated by an airline(s) of the United Mexican States, Australia, and/or of any third country. 8. Airline(s) operating services in accordance with subparagraphs 5(a) to 5(c) shall:

(a) obtain the respective rights to use the concerned route or leg of route;

(b) comply with the requirements which may be routinely applied to

code-sharing agreements and services, particularly those related to passenger information and protection, as well as those related to air operation safety and security;

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(c) ensure that the marketing airlines offering their services on a code-sharing basis, shall guarantee that the passengers be informed at the point of the sale, the airlines that shall operate each leg of the route;

(d) as marketing airlines exercise third and fourth freedom traffic

rights and may exercise own international or domestic stop–over rights at any point;

(e) be able to market code share services on domestic flights

operated within the territory of the other Party provided that such services form part of a through international journey; and

(f) ensure that the designated airline(s) of the Party entering into

code-sharing agreements shall submit for the consideration of, and, if applicable, for the approval of the Aeronautical Authorities of the other Party the schedules and timetables, to meet the respective requirements of each Party.

9. The designated airline(s) of each Party shall have the right to perform their own ground-handling in the territory of the other Party, or contract with a competing agent of their choice, including any other airlines which perform ground-handling, for such services in whole or in part. Each airline shall also have the right, in the territory of the other Party, to offer its services as a ground-handling agent, in whole or part, to any other airline. These rights shall be subject only to restrictions resulting from considerations of airport safety. Where such considerations preclude a designated airline(s) from performing its own ground-handling or contracting with an agent of its choice for ground-handling services, these services shall be made available to that airline on a basis of equality with all other airlines. 10. The designated airline(s) of each Party shall be permitted to conduct international air transportation using aircraft owned, dry leased (aircraft only) or under any ownership title, provided only that the operating aircraft meets the applicable operating and safety standards and requirements. 11. The Parties recognise that to give effect to the rights and entitlements embodied in the Agreement the designated airline(s) of each Party must have the opportunity to access airports in the territory of the other Party on a non-discriminatory basis, in accordance with the laws and regulations of the Party where the services operate. 12. In respect of the allocation and grant of time slots to designated airline(s) at their national airports, each Party will:

(a) in accordance with local slot allocation rules, procedures or practices which are in effect or otherwise permitted, ensure that the designated airline(s) of the other Party:

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(i) are permitted fair and equal opportunity to secure slots; and

(ii) are afforded no less favourable treatment than any other airline in securing slots; and

(b) ensure that in the event of any arrangement, procedure or

practice which is either established with any third Party in relation to the grant of slots to the airlines of that Party or is otherwise permitted for a particular foreign international airline(s) such opportunities are extended to the airlines of the other Party.

13. The terms of paragraph 12 of this Article will be subject to the

provisions of any laws or regulations introduced by the Parties for the allocation of slots at their national airports.

ARTICLE 13 Competition

1. The competition laws of each Party, as amended from time to time, shall apply to the operation of the designated airline(s) within the jurisdiction of the respective Party. Where permitted under those laws, a Party or its competition authority may, however, unilaterally exempt commercial agreements between designated airline(s) from the application of its domestic competition law. This does not obligate a Party or its competition authority to provide a reciprocal exemption. 2. Without limiting the application of competition and consumer law by either Party, if the Aeronautical Authorities of either Party consider that the designated airline(s) of either Party are being subjected to discrimination or unfair practices in the territory of either Party, they may give notice to this effect to the Aeronautical Authorities of the other Party. Consultations between the Aeronautical Authorities shall be entered into as soon as possible after notice is given unless the first Party is satisfied that the matter has been resolved in the meantime. 3. In undertaking the consultations outlined in this Article the Parties shall:

(a) coordinate their actions with the relevant authorities; (b) consider alternative means which might also achieve the

objectives of action consistent with general competition and consumer law; and

(c) take into account the views of the other Party and the other

Party’s obligations under other international agreements.

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4. Notwithstanding anything in paragraphs 1 to 3 above, this Article does not preclude unilateral action by the designated airline(s) or the competition authorities of either Party.

ARTICLE 14 Consultations

1. Either Party may at any time request consultations on the implementation, interpretation, application or amendment of this Agreement. 2. Subject to Articles 2 (Designation, Authorisation and Revocation), 5 (Safety) and 6 (Aviation Security), such consultations, which may be through discussion or correspondence, shall begin within a period of sixty (60) days of the date of receipt of such a request, unless otherwise mutually decided.

ARTICLE 15 Amendment of the Agreement

1. This Agreement may be amended or modified by agreement in writing between the Parties, formalised through diplomatic channels. 2. Any such amendment or modification shall enter into force when the Parties have notified each other in writing through diplomatic channels that their respective requirements for the entry into force of an amendment or modification have been met. 3. If a multilateral convention concerning air transportation comes into force in respect of both Parties, this Agreement shall be deemed to be amended so far as is necessary to conform with the provisions of that convention.

ARTICLE 16 Settlement of Disputes

1. Any dispute between the Parties concerning the interpretation or application of this Agreement, with the exception of any dispute concerning the application of national competition laws or tariffs, which cannot be settled by consultations or negotiations, or where agreed by mediation, shall, at the request of either Party, be submitted to an arbitral tribunal. 2. Within a period of thirty (30) days from the date of receipt by either Party from the other Party of a note through the diplomatic channel requesting arbitration of the dispute by a tribunal, each Party shall nominate an arbitrator. Within a period of thirty (30) days from the appointment of the arbitrator last appointed, the two arbitrators shall appoint a president who

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shall be a national of a third State. If within thirty (30) days after one of the Parties has nominated its arbitrator, the other Party has not nominated its own or, if within thirty (30) days following the nomination of the second arbitrator, both arbitrators have not agreed on the appointment of the president, either Party may request the President of the Council of ICAO to appoint an arbitrator or arbitrators as the case requires. If the President of the Council is of the same nationality as one of the Parties, the most senior Vice President who is not disqualified on that ground shall make the appointment. 3. Except as otherwise determined by the Parties or prescribed by the tribunal, each Party shall submit a memorandum within thirty (30) days after the tribunal is fully constituted. Replies shall be due within thirty (30) days. The tribunal shall hold a hearing at the request of either Party, or at its discretion, within thirty (30) days after replies are due. 4. The tribunal shall give a written award within thirty (30) days after completion of the hearing, or, if no hearing is held, after the date both replies are submitted. The award shall be taken by a majority vote. 5. The Parties may submit requests for clarification of the award within fifteen (15) days after it is received and such clarification shall be issued within fifteen (15) days of such request. 6. The award of the arbitral tribunal shall be final and binding upon the Parties to the dispute. 7. The expenses of arbitration under this Article shall be shared equally between the Parties. 8. If and for so long as either Party fails to comply with an award under paragraph 6 of this Article, the other Party may limit, suspend or revoke any rights or privileges which it has granted by virtue of this Agreement to the Party in default.

ARTICLE 17 Termination

1. This Agreement shall remain in force indefinitely unless either Party gives notice in writing to the other Party of its decision to terminate this Agreement. Such notice shall be communicated simultaneously to ICAO. The Agreement shall cease to be in effect one (1) year after the date of receipt of the written notice through diplomatic channels informing the decision to terminate the Agreement. 2. In default of acknowledgement of receipt of a notice of termination by the other Party, the notice shall be deemed to have been received fourteen (14) days after the date on which ICAO acknowledged receipt thereof.

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ARTICLE 18

Registration with ICAO

This Agreement and any amendment thereto shall be registered with ICAO.

ARTICLE 19 Entry into Force

This Agreement shall enter into force thirty (30) days after the date of the last communication whereby both Parties have notified, through diplomatic channels, that their respective requirements for the entry into force of the Agreement have been met.

IN WITNESS THEREOF, the undersigned, duly authorised thereto by their respective Governments, have signed this Agreement.

Done at Mexico City, on the ninth day of April two thousand and ten, in duplicate, in the English and Spanish languages, both texts being equally authentic. For the Government of Australia ………………………………………

For the Government of the United Mexican States ………………………………………

Hon Simon Crean Minister for Trade

C. Juan Francisco Molinar Horcasitas Secretario de Comunicaciones y Transportes

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ANNEX Section 1 ROUTE SCHEDULE The designated airlines of each Party shall be entitled to perform international air transportation between points on the following routes: Route for the designated airline(s) of the United Mexican States: Points in Mexico

Intermediate Points

Points in Australia Beyond Points

Any Any Any Any Route for the designated airline(s) of Australia: Points in Australia

Intermediate Points

Points in Mexico

Beyond Points

Any Any Any Any Notes: 1. The designated airline(s) of each Party may at their option omit points on any of the above routes provided that the services commence or terminate in the territory of the Party where the designated airline has its principal place of business. 2. The intermediate and beyond points on the above routes, and the traffic rights which may be exercised at such points by the designated airline(s), shall be jointly determined between the Aeronautical Authorities from time to time. Section 2 OPERATIONAL FLEXIBILITY Subject to Section 1 of this Annex, the designated airline(s) of each Party may, on any or all services and at the option of each designated airline: (a) perform services in either or both directions; (b) combine different flight numbers within one aircraft operation, without directional or geographic limitation and without loss of any right to carry traffic otherwise permissible under this Agreement.

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Index to Agreement Preamble 1. Definitions 2. Designation, Authorisation and Revocation 3. Grant of Rights 4. Application of Laws and Regulations 5. Safety 6. Aviation Security 7. User Charges 8. Statistics 9. Customs Duties and other Charges 10. Tariffs 11. Capacity 12. Commercial Opportunities 13. Competition 14. Consultations 15. Amendment to the Agreement 16. Settlement of Disputes 17. Termination 18. Registration with ICAO 19. Entry into Force ANNEX Section 1 Route Schedule Section 2 Operational Flexibility

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CONVENIO ENTRE EL GOBIERNO DE AUSTRALIA Y EL GOBIERNO DE LOS ESTADOS UNIDOS MEXICANOS

SOBRE SERVICIOS AÉREOS

El Gobierno de Australia y el Gobierno de los Estados Unidos Mexicanos (en adelante "las Partes");

SIENDO Partes de la Convención sobre Aviación Civil Internacional, abierta a firma en Chicago el 7 de diciembre de 1944;

DESEANDO concluir un Convenio complementario a la mencionada Convención con el propósito de establecer servicios aéreos regulares entre sus respectivos territorios; DESEANDO garantizar el más alto nivel de seguridad operacional y de seguridad aérea en materia de transporte aéreo internacional y reafirmando su profunda preocupación por actos o amenazas contra la seguridad de las aeronaves, que ponen en riesgo la seguridad de individuos o bienes, afectan en forma negativa las operaciones de transporte aéreo y atentan contra la confianza del público respecto de la seguridad que brinda la aviación civil; Han acordado lo siguiente:

ARTÍCULO 1 Definiciones

Para los propósitos del presente Convenio, a menos que se establezca de otra forma, los términos: (t) “Autoridades Aeronáuticas” significa, la autoridad o las autoridades que

cualquiera de las Partes notifique oportunamente por escrito a la otra Parte;

(u) “Servicios convenidos” significa servicios de embarque y desembarque

de tráfico según la definición del Artículo 3, numeral 1 (c); (v) “Convenio” significa el presente Convenio, sus Anexos y cualquier

enmienda a los mismos; (w) “Transporte aéreo” significa el transporte público aéreo de pasajeros,

equipaje, carga y correo, por separado o en combinación, sujeto a remuneración o contratación;

(x) “Línea aérea” significa cualquier empresa de transporte aéreo que

comercialice u opere servicios de transporte aéreo;

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(y) “Capacidad” es la cantidad de servicios brindados en virtud del Convenio, que comúnmente se mide en número de vuelos (frecuencias), o asientos, o toneladas de carga, ofrecidos en un mercado (par de ciudades, o de país-a-país) o en una ruta en un período determinado como diario, semanal, por temporada o anual;

(z) “Código compartido” significa el uso del código del designador de vuelo

de una línea aérea para un servicio efectuado por una segunda línea aérea del servicio que suele identificarse como perteneciente y efectuado por esta última.

(aa) “Convención” significa la Convención sobre Aviación Civil

Internacional, abierta a firma en Chicago el 7 de diciembre de 1944, e incluye:

(i) todo Anexo o enmienda a la Convención adoptados en virtud de

su Artículo 90, siempre que dicho Anexo o enmienda rija para ambas Partes en cualquier momento dado; y

(ii) toda enmienda que hubiera entrado en vigor en virtud del

Artículo 94 (a) de la Convención y que hubiera sido ratificada por ambas Partes;

(bb) “Derechos aduaneros” significa todos los derechos, impuestos, cuotas

o cualquier otro cargo que sea cobrado en el territorio de las Partes Contratantes en aplicación de la Legislación y Reglamentación Aduanera, sin incluir las cuotas o tarifas por servicios prestados.

(cc) “Línea aérea designada” significa una línea aérea o líneas aéreas

designadas y autorizadas de conformidad con el Artículo 2 (Designación, Autorización y Revocación) del presente Convenio;

(dd) “Asistencia en tierra” incluye, pero no se limita, al manejo de pasajeros,

carga y equipaje y a la facilitación de instalaciones y/o servicios para el abastecimiento de provisiones a bordo;

(ee) “OACI” significa la Organización de Aviación Civil Internacional; (ff) "Transporte aéreo internacional” significa el transporte aéreo que cruza

el espacio aéreo que comprende el territorio de más de un Estado; (gg) “Línea aérea comercializadora” significa una línea aérea que brinda

transporte aéreo en una aeronave operada por otra línea aérea, mediante código compartido;

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“Operador aéreo” significa una línea aérea que opera una aeronave con el propósito de brindar transporte aéreo, que puede ser propietaria o arrendadora de la aeronave; (hh) “Slots” significa el derecho a programar el movimiento de una

aeronave dentro de un aeropuerto; (ii) “Tarifa” significa el precio a ser cobrado, por la(s) línea(s) aérea(s) o

por sus representantes por la transportación, incluidos el transporte aéreo de pasajeros, equipaje y carga, así como las condiciones y reglas que regulan la aplicación del precio del transporte, según las características del servicio que se proporciona, bajo las cuales las cantidades son cobradas, excluyéndose la remuneración y otras condiciones relativas al transporte de correo;

(jj) “Territorio” y “Escala con fines no comerciales” tienen el significado asignado, respectivamente, en los Artículos 2 y 96 de la Convención; y

(kk) “Tasas de usuarios” significa un cargo efectuado a las líneas aéreas por un determinado proveedor de servicios por concepto de prestación de instalaciones y servicios aeroportuarios, ambientales aeroportuarios, aeronavegación y seguridad aérea.

ARTÍCULO 2 Designación, Autorización y Revocación

1. Cada Parte tendrá el derecho de designar hasta tres (3) líneas aéreas, con el propósito de que operen los servicios convenidos en las rutas especificadas en el Cuadro de Rutas que se integra como Anexo, así como de cambiar dichas designaciones. Cada Parte deberá notificar a la otra Parte por escrito, a través de la vía diplomática, las aerolíneas designadas, o cualquier cambio de las mismas. No más de dos aerolíneas designadas por cada Parte podrán operar en cualquier par de ciudades.

2. Al recibir la designación, la otra Parte concederá, sin demora, a la línea aérea designada la autorización para operar, sujeta a las disposiciones del numeral 3 del presente Artículo.

3. Las Autoridades Aeronáuticas de una de las Partes deberán solicitar a la línea aérea designada por la otra Parte, el cumplimiento de las obligaciones de conformidad con las disposiciones de la Convención, y que:

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la propiedad substancial y control efectivo de esa línea aérea se encuentren en poder de la Parte que la ha designado o en poder de los nacionales de esa Parte;

(a) la línea aérea designada cumple con las leyes y reglamentos

que normal y razonablemente son aplicados por tales Autoridades para la operación del transporte aéreo internacional;

(b) la línea aérea designada cuente con los permisos de operación

necesarios; y (c) la línea aérea designada opere de conformidad con las

disposiciones del presente Convenio.

4. Cada Parte tendrá derecho a revocar la autorización de operación o suspender el ejercicio de los derechos especificados en el Artículo 3 del presente Convenio, concedidos a la línea aérea designada por la otra Parte, o a imponer las condiciones que se consideren necesarias respecto al ejercicio de tales derechos, si las condiciones especificadas en los numerales 3(a) al 3(d) no son cumplidas.

5. A menos que sea necesario tomar acción inmediata para prevenir el incumplimiento de los numerales 3(a) al 3(d) del presente Artículo, los derechos establecidos en el numeral 4 de este Artículo deberán ser ejercidos solamente después de haber consultado con la otra Parte.

6. El presente Artículo no limita los derechos de cualquiera de las Partes a retirar, revocar, limitar o imponer condiciones a la autorización de la operación o los permisos técnicos de una(s) línea(s) aérea(s) de la otra Parte, de conformidad con lo dispuesto en el Artículo 5 (Seguridad Operacional) o Artículo 6 (Seguridad Aérea) del presente Convenio.

ARTÍCULO 3 Otorgamiento de Derechos

1. Cada Parte concede a la otra Parte los siguientes derechos, para permitir a la(s) línea(s) aérea(s) designada(s) por la otra Parte desarrollar servicios de transporte aéreo internacional:

(a) sobrevolar su territorio sin aterrizar en el mismo;

(b) hacer escalas para fines no comerciales en dicho territorio;

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(c) operar servicios en la ruta especificada en el Anexo y a efectuar escalas en su territorio con el fin de embarcar y desembarcar pasajeros, carga y correo en adelante denominados “servicios convenidos”; y

(d) los demás derechos especificados en el presente

Convenio.

2. Se considerará que nada de lo establecido en el presente Artículo conferirá a la(s) línea(s) aérea(s) designada(s) por una de las Partes el derecho a embarcar y desembarcar pasajeros, su equipaje, carga o correo, sujeto a pago, entre puntos dentro del territorio de la otra Parte.

3. Las disposiciones del presente Convenio se aplicarán también al transporte aéreo internacional no regular de fletamento, realizado por la(s) línea(s) aérea(s) designada(s) por cada Parte, incluidas las líneas aéreas no designadas en virtud del Artículo 2, a excepción de lo señalado en las disposiciones siguientes:

Artículo 2, Artículo 3 numeral 1 (c), Artículo 10, Artículo 11 y el Anexo.

ARTÍCULO 4 Aplicación de Leyes y Reglamentos

1. Las leyes, reglamentos y reglas de una Parte relativos a la operación y la navegación de aeronaves, deberán ser cumplidos por la(s) línea(s) aérea(s) designada(s) por la otra Parte, durante su entrada, permanencia y salida del territorio de la Parte mencionada en primer lugar.

2. Las leyes, reglamentos y reglas de una Parte relativos a la entrada o salida de su territorio de pasajeros, tripulación, carga y aeronaves (incluidos los reglamentos y reglas relativos a la entrada, trámites aduaneros, seguridad aérea, migración, pasaportes, información anticipada sobre los pasajeros, aduanas y cuarentena o, en el caso de correo, reglamentos postales) deberán ser cumplidos por, o en nombre de, dichos pasajeros y tripulación, así como en lo relativo a la carga, por la(s) línea(s) aérea(s) designada(s) por la otra Parte, durante su ingreso, permanencia o salida del territorio de la Parte mencionada en primer lugar. 3. Ninguna de las Partes deberá dar preferencia a sus propias o a cualesquiera otra(s) línea(s) aérea(s) designada(s) sobre las líneas aéreas designadas por la otra Parte dedicadas al transporte aéreo internacional similar, respecto de la aplicación de los reglamentos de entrada, trámites aduaneros, seguridad aérea, migración, pasaportes, información anticipada sobre los pasajeros, aduanas y cuarentena, correo y reglamentos similares.

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4. Los pasajeros, equipaje y carga que crucen en tránsito directo el territorio de cualquiera de las Partes, y que no abandonen el área del aeropuerto reservada a dicho propósito, podrán ser examinados por razones de seguridad aérea, control de narcóticos y requisitos migratorios, o en aquellos otros casos especiales en los que estos controles se requieran de conformidad con las leyes y reglamentos de la Parte pertinente, y sean necesarios por circunstancias particulares.

ARTÍCULO 5 Seguridad Operacional

1. Los certificados de aeronavegabilidad, certificados de competencia y las licencias expedidos o convalidados por una Parte y vigentes, serán reconocidos como válidos por la otra Parte, para operar los servicios convenidos, siempre que los requisitos bajo los que tales certificados y licencias fueron expedidos o convalidados, sean iguales o superiores a las normas mínimas establecidas en la Convención. 2. Si los privilegios o las condiciones de las licencias o certificados a los que se refiere el numeral 1 anterior, otorgados por las Autoridades Aeronáuticas de una Parte a cualquier persona o línea aérea designada, o respecto de una aeronave utilizada en la operación de los servicios convenidos, permitieran una diferencia respecto de las normas mínimas establecidas en virtud de la Convención, diferencia que ya se hubiera registrado ante la OACI, la otra Parte podrá solicitar consultas entre las Autoridades Aeronáuticas a fin de esclarecer la práctica en cuestión. 3. No obstante lo anterior, cada Parte se reserva el derecho de no reconocer la validez de los certificados de competencia y licencias expedidos por la otra Parte a sus nacionales o en relación a sus aeronaves registradas, para los vuelos sobre su propio territorio o aterrizajes en el mismo. 4. Cada Parte podrá solicitar, en cualquier momento, la realización de consultas sobre las normas de seguridad mantenidas por la otra Parte en lo relativo a instalaciones aeronáuticas, tripulación de vuelo, aeronaves y operación de aeronaves. Dichas consultas tendrán lugar dentro de los treinta (30) días siguientes a la fecha de la solicitud. 5. Si después de realizadas tales consultas, una de las Partes considera que la otra Parte no aplica, ni administra eficazmente los estándares de seguridad en las materias referidas en el numeral 4, que cumplan con los estándares establecidos en ese momento en la Convención, deberá notificar a la otra Parte sus conclusiones y las medidas que considere necesarias para ajustarse a los citados estándares. La otra Parte deberá tomar medidas correctivas adecuadas dentro del plazo convenido por las Partes.

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6. Los numerales 7 a 10 del presente Artículo complementan los numerales 1 a 5 del mismo, así como las obligaciones de las Partes a de conformidad con el Artículo 33 de la Convención.

7. De conformidad con el Artículo 16 de la Convención, en adelante se acuerda que, toda aeronave operada por, o en nombre de una(s) línea(s) aérea(s) designada(s) por una de las Partes, que preste servicios hacia o desde el territorio de la otra Parte, podrá, cuando se encuentre en el territorio de la otra Parte, ser objeto de inspección por los representantes autorizados de esa Parte, siempre que ello no cause demoras innecesarias en la operación de la aeronave. Esta inspección se hará con el propósito de verificar la validez de la documentación pertinente de la aeronave, las licencias de su tripulación y que el equipo y las condiciones de la aeronave estén de conformidad con los estándares establecidos en ese momento de acuerdo con la Convención.

8. Cada Parte se reserva el derecho de suspender o modificar inmediatamente la autorización de operación otorgada a la(s) línea(s) aérea(s) de la otra Parte, cuando se considere necesario adoptar medidas urgentes para garantizar la seguridad de la operación de una línea aérea.

9. Cualquier medida adoptada por una Parte de conformidad con el numeral 8, deberá suspenderse una vez que deje de existir el motivo que dio lugar a la adopción de tal medida.

10. En relación con el numeral 5 del presente Artículo, si una Parte considera que la otra Parte continúa incumpliendo con los estándares pertinentes cuando el período convenido haya concluido, la primera de las Partes mencionadas deberá notificar de dicha situación al Secretario General de la OACI. Asimismo, se deberá notificar al Secretario General cuando la Parte mencionada en primer término resuelva satisfactoriamente tal situación.

ARTÍCULO 6 Seguridad Aérea

1. De conformidad con los derechos y obligaciones que les impone el derecho internacional, las Partes ratifican que su obligación mutua de proteger la seguridad de la aviación civil contra actos de interferencia ilícita, constituye parte integral del presente Convenio. Sin limitar la validez general de sus derechos y obligaciones en virtud del derecho internacional, las Partes deberán actuar, en particular, de conformidad con las disposiciones del Convenio sobre las Infracciones y Ciertos otros Actos Cometidos a Bordo de las Aeronaves, firmado en Tokio el 14 de septiembre de 1963, el Convenio para la Represión del Apoderamiento Ilícito de Aeronaves, firmado en La Haya el 16 de diciembre de 1970, el Convenio para la Represión de Actos

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Ilícitos Contra la Seguridad de la Aviación Civil, firmado en Montreal el 23 de septiembre de 1971 y su Protocolo Complementario para la Represión de Actos Ilícitos de Violencia en Aeropuertos que Presten Servicio a la Aviación Civil Internacional, firmado en Montreal el 24 de febrero de 1988, así como cualquier otro convenio o protocolo relacionado con la seguridad de la aviación civil ratificado por ambas Partes.

2. Las Partes deberán prestarse toda la ayuda necesaria que soliciten para prevenir actos de apoderamiento ilícito de aeronaves civiles y otros actos ilícitos contra la seguridad de dichas aeronaves, sus pasajeros y tripulación, aeropuertos e instalaciones de navegación aérea y cualquiera otra amenaza contra la seguridad de la aviación civil. 3. Las Partes deberán actuar en sus relaciones mutuas, de conformidad con las disposiciones sobre seguridad de la aviación establecidas por la OACI, que se denominan Anexos a la Convención. Asimismo, las Partes deberán exigir que los operadores de aeronaves de su registro, o los operadores de aeronaves que tengan su centro principal de negocios o residencia permanente en su territorio y los operadores de aeropuertos situados en su territorio, actúen de conformidad con dichas disposiciones sobre seguridad de la aviación. Cada Parte deberá notificar a la otra Parte sobre cualquier discrepancia entre sus reglamentos y prácticas nacionales y las normas de seguridad de la aviación contenidas en los Anexos. Cualquiera de las Partes podrá solicitar consultas a la otra Parte para tratar cualquier discrepancia, en todo momento. 4. Cada Parte podrá exigir a los operadores de aeronaves que observen las disposiciones sobre seguridad de la aviación que se mencionan en el numeral 3, exigidas por la otra Parte para la entrada, permanencia o salida del territorio de esa otra Parte. Cada Parte se asegurará de que en su territorio se apliquen efectivamente las medidas adecuadas para proteger a la aeronave e inspeccionar a los pasajeros, la tripulación, el equipaje de a bordo, el equipaje, la carga y los suministros de la aeronave, antes y durante el embarque o la estiba. Cada una de las Partes deberá estar también favorablemente dispuesta a atender toda solicitud de la otra Parte relacionada con la adopción de medidas especiales de seguridad, razonables, con el fin de afrontar una amenaza determinada. 5. Cuando se produzca un incidente o amenaza de apoderamiento ilícito de aeronaves civiles u otro acto ilícito contra la seguridad de tales aeronaves, sus pasajeros y tripulación, aeropuertos o instalaciones de navegación aérea, las Partes deberán asistirse mutuamente facilitando las comunicaciones y otras medidas apropiadas destinadas a poner término, en forma rápida y segura, a dicho incidente o amenaza. 6. Cada Parte tendrá el derecho, dentro de los sesenta (60) días siguientes contados a partir de la fecha de la notificación (o un período menor que llegaran a acordar las Autoridades Aeronáuticas), a que sus Autoridades Aeronáuticas realicen una evaluación en el territorio de la otra Parte de las

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medidas de seguridad observadas, o que se planee aplicar a los operadores de aeronaves respecto de los vuelos que arriben o salgan del territorio de aquella Parte. Los arreglos administrativos para la realización de dichas evaluaciones serán determinados conjuntamente por las Autoridades Aeronáuticas e implementados sin demora con el fin de garantizar que las evaluaciones se realicen en forma expedita. 7. Cuando una Parte tenga motivos razonables para considerar que la otra Parte no ha cumplido con las disposiciones del presente Artículo, esa Parte podrá solicitar inmediatamente consultas. Tales consultas se realizarán dentro de los quince (15) días siguientes contados a partir de recibida la solicitud por cualquiera de las Partes. De no alcanzar un acuerdo satisfactorio dentro de los quince (15) días a partir del inicio de las consultas, se dará motivo para retener, revocar, suspender o imponer condiciones a la autorización de las líneas aéreas designadas por la otra Parte. Cuando una emergencia así lo justifique, o con el fin de evitar el incumplimiento de las disposiciones del presente Artículo, la Parte mencionada, podrá tomar medidas preventivas en cualquier momento. Cualquier medida que se adopte de conformidad con este numeral, quedará sin efecto cuando la otra Parte cumpla con las disposiciones de seguridad del presente Artículo.

ARTÍCULO 7 Cargos a los Usuarios

1. Cada Parte realizará su mejor esfuerzo para alentar a los responsables de proporcionar las instalaciones y servicios aeroportuarios, ambientales aeroportuarios, de navegación aérea y de seguridad de la aviación, a que los cargos a la(s) línea(s) aérea(s) designadas se imputen sobre una base razonable, no discriminatoria y que se distribuyan en forma equitativa entre las categorías de usuarios. 2. Los cargos razonables deberán reflejar el costo total de la prestación de instalaciones y servicios por las autoridades competentes. Estos pueden incluir una devolución razonable sobre los activos, después de deducir la depreciación. Las instalaciones y servicios por los cuales se cobran los cargos se deberán prestar de manera eficiente y económica. Para que los cargos no resulten discriminatorios, éstos se deberán imputar a la(s) línea(s) aérea(s) extranjeras a una tasa no mayor a aquella impuesta a las propias líneas aéreas de una de las Partes que operen servicios internacionales similares, de conformidad con sus respectivas leyes y reglamentos.

3. Las Partes deberán alentar el intercambio de información que sea necesaria, entre las autoridades competentes y las líneas aéreas, a fin de posibilitar una evaluación exhaustiva de la razonabilidad, justificación y distribución de los cargos, de conformidad con los numerales 1 y 2 del presente Artículo.

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4. Todo incremento o cargo nuevo sólo se podrá llevar a cabo después de realizar las consultas que correspondan entre las autoridades competentes y las líneas aéreas. Se deberá informar a los usuarios, con una antelación razonable, sobre toda propuesta de cambios en los cargos a los usuarios, de tal manera que puedan expresar sus opiniones antes de que se introduzcan los cambios.

ARTÍCULO 8 Estadísticas

1. Las Autoridades Aeronáuticas de una Parte podrán requerir a cualesquiera línea(s) aérea(s) designada(s) por la otra Parte, los datos estadísticos relacionados con el volumen del tráfico transportado por la línea aérea mencionada en los servicios prestados de conformidad con el presente Convenio.

2. Las Autoridades Aeronáuticas de cada Parte podrán determinar la naturaleza de los datos estadísticos requeridos a la(s) línea(s) aérea(s) designada(s), en virtud del numeral anterior y estos requerimientos deberán aplicarse sobre una base no discriminatoria.

ARTÍCULO 9 Derechos Aduaneros y otros cargos

1. Cuando una aeronave de cualquiera de la(s) línea(s) aérea(s) designada(s) por una Parte, que opera de conformidad con los servicios convenidos, llegue al territorio de la otra Parte, dicha aeronave y el equipo con que cuente regularmente, piezas de repuesto (incluidos motores), combustible, aceite (incluidos fluidos hidráulicos, lubricantes) y provisiones (incluidos alimentos, bebidas y productos destinados para venta o uso de los pasajeros durante el vuelo) a bordo de tal aeronave, estarán exentos, sobre bases de reciprocidad, de todos los derechos aduaneros, cuotas de inspección, impuestos al consumo interno y otras cuotas o cargos similares, siempre que el equipo y los objetos mencionados permanezcan a bordo de la aeronave hasta el momento en que sean re-exportados/retornados. 2. Estarán igualmente exentos, sobre bases de reciprocidad, de todos los derechos aduaneros, cuotas de inspección, impuestos al consumo interno y otras cuotas o cargos similares, el equipo y objetos siguientes:

a) el equipo con que regularmente cuente la aeronave, piezas de repuesto (incluidos motores), combustible, aceites (incluidos fluidos hidráulicos, lubricantes) y provisiones de la aeronave (incluidos alimentos, bebidas y productos destinados para venta o uso de los pasajeros durante el

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vuelo) introducidos al territorio de la otra Parte y con la intención de ser utilizados en la aeronave operada de conformidad con los servicios convenidos por la(s) línea(s) aérea(s) designada(s), aún cuando dicho equipo y objetos sean utilizados en una parte del viaje realizado sobre el territorio de la otra Parte; y

b) las piezas de repuesto (incluidos motores) introducidos al

territorio de la otra Parte para el mantenimiento o reparación de la(s) aeronave(s) operada(s) de conformidad con los servicios convenidos por las líneas aéreas designadas.

3. El equipo y objetos a que se refieren los numerales 1 y 2 del presente Artículo podrán ser desembarcados en el territorio de la otra Parte sólo con la autorización de las autoridades aduaneras de dicha Parte. Podrá requerirse que el equipo y objetos, queden almacenados bajo la supervisión o control de las autoridades aduaneras de la otra Parte hasta en tanto sean re-exportados/retornados, o se disponga de ellos de otra manera de conformidad con las disposiciones aduaneras vigentes en el territorio de la otra Parte. 4. El equipaje, la carga y el correo en tránsito directo estarán exentos de los derechos aduaneros, cuotas de inspección, impuestos al consumo interno y otras cuotas o cargos similares con excepción de los cargos correspondientes a los servicios prestados, sobre bases de reciprocidad. 5. Las exenciones previstas en este Artículo también se aplicarán cuando una línea aérea designada por una Parte haya celebrado acuerdos con otra(s) aerolínea(s), las cuales disfrutan de exenciones similares en el territorio de la otra Parte, por el préstamo o transferencia en el territorio de la otra Parte, del equipo regular y otros artículos especificados en los numerales 1 y 2 del presente Artículo.

ARTÍCULO 10 Tarifas

1. Las tarifas aplicables por las líneas aéreas designadas por las Partes, para el transporte de tráfico, serán establecidas libremente por las mismas, a niveles razonables, teniendo en cuenta todos los elementos de valoración relevantes, tales como costo de operación, características del servicio, ganancias razonables, tarifas de otras líneas aéreas para cualquier tramo de las rutas especificadas, los intereses de los usuarios del transporte aéreo y consideraciones de mercado y de competencia.

2. Las tarifas se someterán a la doble aprobación de las Autoridades Aeronáuticas de ambas Partes, al menos con quince (15) días hábiles de

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antelación a la fecha propuesta para el inicio de servicios. Para la entrada en vigor de una tarifa, será necesaria la aprobación previa de ambas Partes.

3. Si las Autoridades Aeronáuticas de alguna de las Partes considera que una tarifa propuesta es o podría ser excesiva, o el monto de la tarifa podría resultar anticompetitivo, podrán solicitar consultas dentro de los quince (15) días siguientes, contados a partir de la presentación de la tarifa propuesta, las cuales podrán realizarse a través de correspondencia y serán concluidas dentro de un período de sesenta (60) días contados a partir de la solicitud de consulta. La tarifa no entrará en vigor al final de ese periodo a menos que las Autoridades Aeronáuticas de ambas Partes la aprueben.

4. Cualquier tarifa presentada de esta manera será considerada como aprobada a menos que dentro de los quince (15) días siguientes, contados a partir de la presentación de la solicitud de la tarifa, las Autoridades Aeronáuticas de una de las Partes hayan informado por escrito a la Otra que no aprueban la tarifa propuesta.

ARTÍCULO 11 Capacidad

1. La(s) línea(s) aérea(s) designada(s) por cada una de las Partes gozarán de oportunidades justas y equitativas para operar los servicios convenidos de conformidad con el presente Convenio. 2. En cuanto a la operación de los servicios convenidos, la capacidad que podrán proporcionar la(s) línea(s) aérea(s) designada(s) por cada una de las Partes, será la que decidan entre las Autoridades Aeronáuticas de las Partes, previo al inicio de dichos servicios por parte de las líneas aéreas mencionadas y ocasionalmente a partir de dicho momento.

ARTÍCULO 12 Oportunidades Comerciales

1. La(s) línea(s) aérea(s) designada(s) por cada Parte gozarán de los siguientes derechos en el territorio de la otra Parte:

(d) establecer oficinas, para la promoción, venta y administración del transporte aéreo;

(e) vender y comercializar los servicios de transporte aéreo a

cualquier persona en forma directa y, a su discreción, mediante sus representantes o intermediarios, a través de sus propios documentos de transporte; y

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(f) utilizar los servicios y personal de cualquier organización,

empresa o línea aérea designada que opere en el territorio de la otra Parte, de conformidad con las leyes y reglamentos de la Parte donde los servicios sean operados.

2. De conformidad con las leyes y reglamentos de la otra Parte relativos a la entrada, residencia y empleo, la(s) línea(s) aérea(s) designada(s) por cada Parte tendrán derecho a ingresar y mantener en el territorio de la otra Parte, al personal ejecutivo, de ventas, técnico, operativo y otros especialistas que consideren razonablemente necesario para la prestación de los servicios de transporte aéreo.

3. La(s) línea(s) aérea(s) designada(s) por cada Parte tendrán el derecho de vender servicios de transporte aéreo y cualquier persona tendrá la libertad de comprar dichos servicios, en divisa local o de libre uso. Cada línea aérea designada tendrá el derecho de convertir sus fondos a cualquier divisa de libre uso y a transferirlos fuera del territorio de la otra Parte a su voluntad. Sujeto a las leyes, reglamentos y políticas nacionales de la otra Parte, se deberá permitir la conversión y transferencia de los fondos obtenidos en el desarrollo habitual de sus operaciones, al tipo de cambio de mercado para pagos vigente al momento de presentar las solicitudes de conversión o transferencia y no estarán sujetos a ningún cargo más allá de los cargos administrativos normales para este tipo de operaciones. 4. La(s) línea(s) aérea(s) designada(s) por cada Parte tendrán derecho, a su discreción, a pagar los gastos locales, incluida la compra de combustible, en el territorio de la otra Parte con moneda nacional o en divisa de libre uso, siempre que esto no implique una infracción a las normas locales sobre regulación monetaria. 5. Para la operación u oferta de los servicios convenidos en las rutas especificadas en el Anexo, las líneas aéreas designadas por cada Parte, ofreciendo sus servicios como línea aérea operadora u ofreciendo sus servicios como línea aérea comercializadora, colocando su código en los vuelos operados por otras líneas aéreas, podrán formalizar acuerdos comerciales de código compartido, bloqueo de espacios u otros acuerdos de cooperación para la comercialización. En la operación o comercialización de transporte aéreo internacional, las líneas aéreas de cada Parte tendrán el derecho de formalizar acuerdos de código compartido, bloqueo de espacios u otros acuerdos de comercialización, sobre cualquier punto de su ruta en el Anexo, con:

a) una línea(s) aérea(s) designada(s) por la misma Parte; o

b) una o más línea(s) aérea(s) designada(s) por la otra Parte; o

c) una o más línea(s) aérea(s) de un tercer país.

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6. Con respecto al numeral 5 (c), ninguna de las Partes deberá requerir la existencia de un acuerdo de código compartido con el tercer país, para que los servicios de código compartido efectivamente sean operados por las líneas aéreas designadas por la otra Parte.

7. Las Autoridades Aeronáuticas de Australia no podrán imponer límite en cuanto a la capacidad a ser ofrecida por las líneas aéreas designadas por los Estados Unidos Mexicanos, en servicios de código compartido en vuelos operados por líneas aéreas de Australia, los Estados Unidos Mexicanos y/o de cualquier tercer país. Las Autoridades Aeronáuticas de los Estados Unidos Mexicanos no podrán imponer límite en cuanto a la capacidad a ser ofrecida por líneas aéreas designadas por Australia, en servicios de código compartido en vuelos operados por líneas aéreas de los Estados Unidos Mexicanos, Australia y/o de cualquier tercer país.

8. La(s) línea(s) aérea(s) que operen servicios de conformidad con los numerales 5(a) al 5(c) deberán:

(a) obtener los derechos respectivos para ejercerlos en la ruta en cuestión o segmento de ruta;

(b) cumplir con los requisitos que puedan ser normalmente aplicados a los

acuerdos y servicios de código compartido, particularmente a aquellos relacionados con la información y protección de los pasajeros, así como aquellos relacionados con la seguridad operacional y aérea;

(c) asegurar que las líneas aéreas comercializadoras, que ofrezcan sus

servicios en código compartido garanticen que los pasajeros sean informados en el punto de venta, sobre las líneas aéreas que operarán cada segmento de la ruta;

(d) ejercer, como líneas aéreas comercializadoras, derechos de tráfico de tercera y cuarta libertad y podrán ejercer sus propios derechos de parada-estancia nacionales o internacionales en cualquier punto;

(e) poder comercializar servicios de código compartido en vuelos

nacionales operados dentro del territorio de la otra Parte, en el entendido de que tales servicios formen parte de un viaje internacional directo; y

(f) asegurar que la(s) línea(s) aérea(s) designada(s) por cada Parte que celebren acuerdos de código compartido, de ser aplicable, sometan para aprobación de las Autoridades Aeronáuticas de la otra Parte los horarios e itinerarios, para cumplir con los requisitos de cada Parte.

9. La(s) línea(s) aérea(s) designada(s) por cada Parte tendrán derecho a realizar sus propias actividades de asistencia en tierra dentro del territorio de la otra Parte, o a contratar los servicios de un agente competidor de su

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elección, incluida cualquier otra línea aérea que brinde servicios de asistencia en tierra, para cumplir con la totalidad o una parte de dichos servicios. Cada línea aérea tendrá además el derecho, dentro del territorio de la otra Parte, a ofrecer sus servicios como agente de asistencia en tierra en forma total o parcial, a cualquier otra línea aérea. Estos derechos estarán sujetos únicamente a las restricciones que resulten de las consideraciones en materia de seguridad aeroportuaria. En los casos en que dichas consideraciones impidan a una línea(s) aérea(s) designada(s) cumplir con sus propios servicios de asistencia en tierra o contratar un agente de su elección para que éste cumpla con los servicios de asistencia en tierra, dichos servicios deberán estar disponibles para dicha línea aérea de manera equitativa a todas las demás líneas aéreas. 10. Las líneas aéreas designadas por cada Parte estarán autorizadas a operar servicios de transporte aéreo internacional utilizando sus propias aeronaves, en arrendamiento seco (sólo aeronaves) o bajo cualquier otro título de propiedad, en el entendido de que las aeronaves que operan cumplen con los requisitos y estándares de seguridad aplicables a la operación. 11. Las Partes reconocen que, para que los derechos contenidos en el presente Convenio entren en vigor, la(s) línea(s) aérea(s) designada(s) por cada Parte deberán tener la oportunidad de acceso a los aeropuertos dentro del territorio de la otra Parte, sobre bases no discriminatorias, de conformidad con las leyes y reglamentos de la Parte donde operan los servicios. 12. Con respecto a la asignación y el otorgamiento de tiempos de slots a la(s) línea(s) aérea(s) en sus aeropuertos nacionales, cada Parte:

(a) de conformidad con los reglamentos, procedimientos o prácticas locales para la asignación de slots vigentes o autorizados, se asegurará de que las líneas aéreas designadas por la otra Parte:

(iii) gocen de oportunidades justas y equitativas para obtener

slots; y (iv) no reciban un tratamiento menos favorable que cualquier

otra línea aérea para la obtención de slots; y

(c) asegurarse de que en caso de que cualquier acuerdo, procedimiento o práctica se establezca para una tercera parte en relación al otorgamiento de slots a las líneas aéreas de dicha Parte o se permita a una línea aérea o líneas aéreas internacionales extranjeras en particular, dichas oportunidades se extiendan a las líneas aéreas de la otra Parte.

13. Los términos del numeral 12 del presente Artículo estarán sujetos a las disposiciones de toda ley o reglamento incorporado por las Partes para la asignación de slots en sus aeropuertos nacionales.

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ARTÍCULO 13 Competencia

1. Las leyes de competencia de cada Parte y sus enmiendas, se aplicarán a la operación de la(s) línea(s) aérea(s) designada(s) en la jurisdicción de la Parte respectiva. No obstante, cuando tales leyes así lo permitan, una Parte o su autoridad de competencia podrán, en forma unilateral, eximir de la aplicación de sus leyes nacionales de competencia a los acuerdos comerciales entre las líneas aéreas designadas. Esto no obligará a una de las Partes o a su autoridad de competencia a conceder una exención recíproca. 2. Sin restringir la aplicación de las leyes de competencia y de protección al consumidor de cualquiera de las Partes, si las Autoridades Aeronáuticas de una de las Partes considera que la(s) línea(s) aérea(s) designada(s) por esa Parte están siendo objeto de discriminación o de prácticas injustas en el territorio de la otra Parte, podrán notificar esta situación a las Autoridades Aeronáuticas de dicha Parte. Las consultas entre Autoridades Aeronáuticas se iniciarán lo más pronto posible después de presentada la notificación, salvo que la primera Parte esté satisfecha con la resolución que se pudiera haber logrado sobre el tema durante ese tiempo. 3. Al realizar las consultas mencionadas en el presente Artículo, las Partes deberán:

(a) coordinar sus acciones con las autoridades competentes; (d) considerar opciones alternativas que también puedan lograr los

objetivos de acción de conformidad con las leyes generales de competencia y de protección al consumidor; y

(e) tener en cuenta las opiniones y las obligaciones de la otra Parte

en virtud de otros acuerdos internacionales.

4. Sin perjuicio de lo dispuesto en los numerales 1 a 3 anteriores, el contenido del presente Artículo no impedirá que la(s) línea(s) aérea(s) designada(s) o las autoridades de competencia de cualquiera de las Partes adopten medidas unilaterales.

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ARTÍCULO 14 Consultas

1. Cualquiera de las Partes podrá, en cualquier momento, solicitar consultas en relación con la implementación, interpretación, aplicación o enmienda del presente Convenio.

2. Sujeto a los Artículos 2 (Designación, Autorización y Revocación), 5 (Seguridad Operacional) y 6 (Seguridad Aérea), tales consultas, que podrán llevarse a cabo mediante conversaciones o por correspondencia, deberán realizarse dentro de un período de sesenta (60) días a partir de la fecha de recepción de su solicitud, a menos de que se convenga de otra manera.

ARTÍCULO 15 Enmiendas al Convenio

1. El presente Convenio podrá ser enmendado o modificado, por escrito, por mutuo acuerdo entre las Partes, formalizado a través de la vía diplomática. 2. Toda enmienda o modificación entrará en vigor cuando las Partes se hayan notificado mutuamente, por escrito y a través de la vía diplomática, que han cumplido con sus respectivos requerimientos legales para tal efecto. 3. Si una convención multilateral sobre transporte aéreo entrara en vigor para ambas Partes, el presente Convenio se considerará enmendado de conformidad con las disposiciones de dicha convención.

ARTÍCULO 16 Solución de Controversias

1. Cualquier controversia que pudiera surgir entre las Partes respecto a la interpretación o aplicación del presente Convenio, con excepción de aquellas diferencias relativas a la aplicación de las leyes nacionales de competencia o tarifas, que no puedan ser resueltas mediante consultas o negociaciones o, en el caso en que se acuerde por mediación, deberán someterse, a solicitud de cualquiera de las Partes, a un tribunal arbitral. 2. Cada una de las Partes designará un árbitro dentro de un plazo de treinta (30) días a partir de la fecha en que cualquiera de las Partes reciba de la Otra una Nota, a través de la vía diplomática en la que solicite el arreglo de una controversia mediante arbitraje. En un plazo de treinta (30) días después del nombramiento del último de los dos árbitros, éstos nombrarán, de común acuerdo, al tercer árbitro, quien será nacional de un tercer Estado y fungirá como Presidente. Si dentro del plazo de treinta (30) días después de nombrado el árbitro de una de las Partes, la otra Parte aún no ha designado

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su propio árbitro o, si dentro del plazo de treinta (30) días después de nombrado el segundo árbitro, ambos árbitros no han llegado a un acuerdo respecto del tercer árbitro, cualquiera de las Partes podrá solicitar al Presidente del Consejo de la OACI que designe un árbitro o árbitros según las necesidades del caso. En caso de que el Presidente del Consejo tenga la nacionalidad de una de las Partes, será el Vicepresidente de mayor antigüedad, que no esté impedido en ese sentido, quien realizará el nombramiento. 3. A menos que las Partes lo determinen de otra forma o que el Tribunal dictamine lo contrario, cada Parte deberá enviar un memorando dentro de los treinta (30) días de constituido el Tribunal. Las resoluciones serán entregadas en un plazo de treinta (30) días. El Tribunal realizará una audiencia a solicitud de cualquiera de las Partes, o a su discreción, dentro de los treinta (30) días siguientes a la entrega de las resoluciones. 4. El Tribunal deberá emitir su fallo por escrito dentro de los treinta (30) días siguientes a la conclusión de la audiencia o, de no haber audiencia, después de la fecha en que hayan sido enviadas las resoluciones. El fallo se decidirá por mayoría de votos.

5. Las Partes podrán presentar solicitudes de aclaración del fallo dentro de los quince (15) días después de recibirlo y la aclaración se deberá emitir dentro de los quince (15) días de dicha solicitud.

6. El fallo del Tribunal de Arbitraje será inapelable y obligatorio para ambas Partes. 7. Los gastos que resulten del arbitraje, de conformidad con el presente Artículo, serán compartidos por partes iguales entre las Partes. 8. En caso de que una de las Partes no cumpla con un fallo según lo dispuesto en el numeral 6 anterior, la otra Parte podrá limitar, suspender o revocar cualquier derecho o privilegio que otorgara en virtud del presente Convenio a la Parte que no cumpla.

ARTÍCULO 17 Terminación

1. El presente Convenio tendrá una vigencia indefinida, a menos que cualquiera de las Partes notifique por escrito a la otra Parte su decisión de darlo por terminado. Esta notificación deberá ser comunicada simultáneamente a la OACI. El presente Convenio dejará de estar en vigor un (1) año después de la fecha de recepción, por la vía diplomática, de la notificación comunicando la decisión de dar por terminado el Convenio.

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2. En ausencia de acuse de recibo de dicha notificación por la otra Parte, ésta se considerará recibida catorce (14) días después de que la OACI haya acusado recibo de la misma.

ARTÍCULO 18 Registro ante la OACI

El presente Convenio y toda modificación al mismo, deberán registrarse ante la OACI.

ARTÍCULO 19 Entrada en vigor

El presente Convenio entrará en vigor treinta (30) días después de la fecha de la última comunicación a través de las cuales ambas Partes se hayan notificado, vía diplomática, que han cumplido sus respectivos requisitos para su entrada en vigor. EN FE DE LO CUAL, los infrascritos, estando debidamente autorizados por sus respectivos Gobiernos, han suscrito el presente Convenio. Hecho en México, el noveno día de abril de dos mil diez, en duplicado, en idiomas español e inglés, siendo ambos textos igualmente auténticos. POR EL GOBIERNO DE AUSTRALIA ……………………………………….….

POR EL GOBIERNO DE LOS ESTADOS UNIDOS MEXICANOS …………………………………………..

Hon Simon Crean Ministro para el comercio

C. Juan Francisco Molinar Horcasotas Secretario de Comunicaciones y Transportes

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ANEXO Sección 1 CUADRO DE RUTAS Las líneas aéreas designadas por cada Parte tendrán derecho a operar servicios de transporte aéreo internacional entre puntos sobre las siguientes rutas:

Ruta para la(s) línea(s) aérea(s) designada(s) por los Estados Unidos Mexicanos:

Puntos en México

Puntos Intermedios

Puntos en Australia Puntos más allá

Cualesquiera Cualesquiera Cualesquiera Cualesquiera Ruta para la(s) línea(s) aérea(s) designada(s) por Australia: Puntos en Australia

Puntos Intermedios

Puntos en México

Puntos más allá

Cualesquiera Cualesquiera Cualesquiera Cualesquiera Observaciones: 1. La(s) línea(s) aérea(s) designada(s) por cada Parte podrán, a su elección, omitir puntos en cualquiera de las rutas mencionadas, con la condición de que los servicios comiencen o terminen en el territorio en donde dicha línea aérea tenga su centro principal de negocios.

2. Los puntos intermedios y puntos más allá de las rutas mencionadas, y los derechos de tráfico que la(s) línea(s) aérea(s) designada(s) pudieran ejercer en dichos puntos, deberán ser determinados de mutuo acuerdo entre las Autoridades Aeronáuticas.

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Sección 2

FLEXIBILIDAD OPERATIVA

Sujeto a la Sección 1 del presente Anexo, la(s) línea(s) aérea(s) designada(s) por cada Parte podrán, en cualquier servicio o en todos los servicios y a elección de cada línea aérea designada: (a) brindar servicios en una o ambas direcciones; (b) combinar diferentes números de vuelos dentro de la operación de una

aeronave; sin limitaciones de dirección o geográficas y sin perder por ello el derecho a transportar tráfico permitido en virtud del presente Convenio.

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National Interest Analysis [2010] ATNIA 56

with attachment on consultation

Agreement between the Government of Australia and the Government of the United Mexican States

relating to Air Services, done at Mexico City on 9 April 2010

[2010] ATNIF 25

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NATIONAL INTEREST ANALYSIS: CATEGORY 2 TREATY

SUMMARY PAGE

Agreement between the Government of Australia and the Government of the United Mexican States

relating to Air Services, done at Mexico City on 9 April 2010

[2010] ATNIF 25

Nature and timing of proposed treaty action 1. The treaty action proposed is to bring into force the Agreement between the Government of Australia and the Government of the United Mexican States relating to Air Services (the Agreement). 2. The Agreement was signed on 9 April 2010. 3. Pursuant to Article 19, the Agreement will enter into force thirty days after the Parties have notified each other in writing that their respective requirements for its entry into force have been satisfied. Subject to the Joint Standing Committee on Treaties’ (JSCOT) issuing a report recommending the proposed treaty action, the Australian Government will provide its notification to the Government of the United Mexican States (Mexico) after the Agreement has been tabled in both houses of Parliament for 15 sitting days. 4. The Agreement will establish for the first time a treaty level air services relationship between Australia and Mexico. It will allow the airlines of Australia and Mexico to develop international air services between the two countries. 5. The Agreement was preceded by aviation arrangements of less than treaty status, in the form of a Memorandum of Understanding (MOU) signed in 2005. In accordance with established Australian and international practice this MOU applied the provisions of the Agreement on a non-legally binding basis until the Agreement enters into force. Overview and national interest summary 6. The purpose of the Agreement is to provide a binding legal framework to support the operation of air services between Australia and Mexico. The Agreement will facilitate trade and tourism between the two countries and will provide greater opportunities for airlines to develop expanded air travel options for consumers.

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Reasons for Australia to take the proposed treaty action 7. The Agreement grants access for Australian airlines to the Mexican aviation market and allows for the establishment of air services between the two countries. The Agreement will enable Australian and Mexican carriers to provide services between any point in Australia and any point in Mexico, based on capacity levels decided from time to time between the aeronautical authorities of the Parties. 8. Australian travellers and Australian businesses, particularly in the tourism and export industries, will benefit from this Agreement through the opening of increased opportunities. Obligations 9. Australia and Mexico are both Parties to the Convention on International Civil Aviation ([1957] ATS 5) (the Chicago Convention) which opened for signature at Chicago on 7 December 1944. This Agreement was made in accordance with and pursuant to the Chicago Convention. 10. The Agreement obliges Australia and Mexico to allow the designated airlines of each country to operate scheduled air services carrying passengers and cargo between the two countries on specified routes in accordance with the provisions of the Agreement. To facilitate these services, the Agreement also includes reciprocal provisions on a range of aviation-related matters such as safety, security, customs regulation and the commercial aspects of airline operations, including the ability to establish offices in the territory of the other Party and to sell fares to the public. 11. Article 2 of the Agreement allows each Party to designate up to three airlines to operate the agreed services. No more than two designated airlines of each Party can operate between any city pair. Either Party has the right to revoke, suspend or limit the operating authorisations of any airline that fails to maintain conditions for ownership, regulatory control, safety or security as outlined in the Agreement. 12. Under Article 3 of the Agreement, each Party grants to the designated airlines of the other Party the right to fly across its territory without landing and to make stops in its territory for non-traffic purposes. Article 3 also provides the right for designated airlines to operate on the routes specified in the Route Schedule for the purpose of taking on board and discharging passengers, cargo and mail. 13. Article 4 of the Agreement confirms that each Party’s domestic laws, regulations and rules relating to the operation and navigation of aircraft apply to the designated airlines when they are entering, within or leaving the territory of that Party. Article 4 also applies each Party’s laws, regulations and rules relating to, for example, aviation security, immigration and customs to the passengers, crew, cargo and aircraft while they are within that Party’s territory. In applying their laws, the Parties are prevented from giving preference to their own or any other airline. 14. Under Article 5, each Party is required to recognise certificates of airworthiness, competency and licences issued by the other Party, provided the standards under which such documents were issued conform to the standards established by the International Civil

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15. Article 5 also provides that each Party may request consultations with the other Party at any time concerning the safety standards maintained by the other Party. If required, the other Party shall be informed of the corrective action required to be undertaken to conform with the minimum standards. The Article also provides that each Party may, in its territory, arrange inspections of aircraft of the other Party to verify the validity of the relevant aircraft documents and those of its crew and ensure that the aircraft equipment and the condition of the aircraft conform to ICAO standards. Each Party can take immediate action essential to ensure the safety of an airline operation if it considers such action to be necessary. Each Party is entitled to suspend the operating authorisation of the other Party’s airlines if they consider urgent action is required to ensure the safety of airline operation. In the event of non-compliance, the complaining Party should advise the Secretary-General of the ICAO. 16. Under Article 6, both Parties are required to protect the security of civil aviation against acts of unlawful interference and, in particular, to act in conformity with multilateral conventions relating to aviation security. A Party may require the designated airlines of the other Party to observe the Party’s aviation security provisions for entry into, departure from or while within the territory of that Party and shall ensure that adequate measures are applied to protect the aircraft and to inspect passengers, crew, carry-on items, baggage, cargo and aircraft stores prior to and during boarding or loading. The Parties shall assist each other in the event of an incident or threat of an incident. Each aeronautical authority may request to conduct a security assessment of the other Party’s territories. Such assessments are to be conducted in accordance with arrangements agreed between the aeronautical authorities without delay. Each Party may request immediate consultations if it believes that the other Party has departed from the provisions of this Article. 17. Article 7 requires that each Party encourage those responsible for airport, airport environmental, air navigation and aviation security facilities and services to not levy charges that are unreasonable, inequitable or discriminatory. 18. Article 8 provides that a Party may request statistics from the other Party’s designated airlines. 19. Article 9 lists the equipment and stores that the Parties are required, in accordance with international practice, to exempt from customs duties, excise taxes, inspection fees and other related charges. Baggage, cargo and mail in direct transit shall be exempt from customs duties and other similar taxes. 20. Article 10 allows the designated airlines of a Party to set their own fares after having due regard to the relevant factors outlined in the Article. This Article also provides a framework for the aeronautical authorities to regulate air fares and other charges. The decision to regulate air fares is a policy consideration for the aeronautical authorities of each Party, in accordance with domestic legislation. 21. Under Article 11, both Parties are obliged to ensure that there is a fair and equal opportunity for the designated airlines of both Parties to operate the agreed services. The capacity that can be operated between the two countries shall be decided between the aeronautical authorities before the services commence. The capacity was initially settled in

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the MOU signed in March 2005, when the Agreement was negotiated. These capacity arrangements are intended to continue once the Agreement enters into force. 22. Article 12 provides a framework that allows designated airlines of one Party to conduct business in the territory of the other Party. The framework includes provisions allowing designated airlines to establish offices, bring in and employ staff, sell air transport services to the public, perform ground handling and use the services and personnel of any organisation, company or airline operating in the territory of the other Party, to conduct its business. Each Party shall permit airlines of the other Party to freely convert and move currency. The Article allows airlines to utilise leased aircraft to conduct their services, provided they meet the applicable operating and safety standards and requirements of the Parties. Designated airlines may also enter into code share arrangements with any other appropriately authorised airline. 23. Article 13 confirms that each Party’s competition laws apply to the operation of designated airlines within their respective jurisdictions. It also requires each Party to coordinate their actions with the relevant authorities, consider alternative options and take into account the views and international obligations of the other Party when undertaking consultations on the issues of discrimination and unfair practices. 24. Article 14 provides that each Party may at any time request consultations on the implementation, interpretation, application or amendment of the Agreement. 25. Article 16 provides for dispute resolution between the Parties. With the exception of disputes concerning air fares or the application of national competition laws, if the Parties fail to resolve any dispute by consultation, negotiation, or mediation (if previously agreed), there is provision for the dispute to be submitted to an arbitral tribunal. Awards of the arbitral tribunal are binding. If and for so long as either Party fails to comply with an award, the other Party may limit, suspend or revoke any rights or privileges granted pursuant to the Agreement. 26. The Annex contains a route schedule which specifies the routes that may be operated by designated airlines. Implementation 27. The Agreement is to be implemented through existing legislation, including the Air Navigation Act 1920 and the Civil Aviation Act 1988. The International Air Services Commission Act 1992 provides for the allocation of capacity to Australian airlines. No amendments to these Acts or any other legislation are required for the implementation of the Agreement. Costs 28. No direct financial costs to the Australian Government are anticipated in the implementation of the Agreement. There are no financial implications for State or Territory Governments.

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Regulation Impact Statement 29. The Office of Best Practice Regulation, Department of Finance and Deregulation, has been consulted and confirms that a Regulation Impact Statement is not required. Future treaty action 30. Article 15 provides that any amendment to the Agreement, including the Annex, shall enter into force when the two Parties have notified each other, through an exchange of diplomatic notes, that they have completed their domestic procedures for entry into force of the amendment. Article 15 also provides that the Agreement will be deemed to be amended so far as is necessary to comply with any multilateral air transportation agreement that may come into force for both Parties. 31. Any amendment to the Agreement will be subject to Australia's domestic treaty procedures, including consideration by JSCOT. Withdrawal or denunciation 32. Article 17 provides for termination of the Agreement. Either Party may give notice in writing at any time to the other Party of its decision to terminate the Agreement and must also lodge a notice of termination with ICAO. The Agreement shall terminate one year after the date of receipt of the notice of termination. 33. Any notification of withdrawal from the treaty by Australia will be subject to Australia's domestic treaty-making processes, including tabling in Parliament and consideration by JSCOT. Contact details Aviation Industry Policy Branch Aviation and Airports Business Division Department of Infrastructure and Transport

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ATTACHMENT ON CONSULTATION

Agreement between the Government of Australia and the Government of the United Mexican States

relating to Air Services, done at Mexico City on 9 April 2010

[2010] ATNIF 25

CONSULTATION 34. It is the practice ahead of negotiations of an air services agreement for the Department of Infrastructure and Transport to consult government and non-government bodies that may have an interest in the outcome of the negotiations and to take into account their views in developing a negotiating position for the Minister’s approval. 35. Prior to the negotiation of the Agreement, extensive consultations were held with industry and Commonwealth and State and Territory government agencies. The following stakeholders were advised by letter and/or email of the proposal to negotiate an Agreement between Australia and Mexico and invited to comment on issues of importance to them:

Commonwealth Government Agencies

Attorney-General's Department Austrade Australian Competition and Consumer Commission Australian Customs and Border Security Service Australian Quarantine and Inspection Service Civil Aviation Safety Authority Department of Agriculture, Fisheries and Forestry Department of Finance and Deregulation Department of Foreign Affairs and Trade Department of Immigration and Citizenship Department of Industry, Tourism and Resources Department of Prime Minister and Cabinet International Air Services Commission The Treasury Tourism Australia

State Government Agencies

ACT Government Chief Minister’s Department Cairns Port Authority Queensland Government Aviation Secretariat Queensland Government Department of Transport NSW Government Ministry of Transport and Department of State and Regional

Development South Australian Government Department of Transport and Urban Planning Tasmanian Government Department of Infrastructure, Energy & Resources Victorian Government Department of Innovation, Industry and Regional

Development

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Victorian Government Department of Infrastructure Western Australian Government Department of Transport Western Australian Government Department of Planning and Infrastructure NT Department of Transport and Works South Australian Tourism Commission Tourism New South Wales Tourism Queensland Tourism Tasmania Tourism Victoria Tourism Northern Territory Tourism Western Australia

Industry

Adelaide Airport Limited Alice Springs Airport Pty Ltd Australian Federation of International Forwarders Air Freight Export Council of NSW Inc Air Freight Council of Queensland Ltd Australian Airports Association Australian and International Pilots Association Australian Aviation Australian Federation of Travel Agents Australian Seafood Industry Council Australian Tourism Export Council Backpackers Xpress Board of Airline Representatives of Australia Brisbane Airport Corporation Ltd Broome International Airport Holdings Canberra International Airport Darwin International Airport Pty Ltd Global Aviation Services Gold Coast Airport Ltd Hobart International Airport Horticulture Australia Kimberley Tourism Association Launceston Airport Melbourne Airport National Food Industry Strategy Ltd National Tourism Alliance Newcastle Airport Ltd Northern Territory Airports Pty Ltd Overnight Airfreight Operators’ Association Perishables Taskforce to the Victorian Airfreight Council Perth Airport Qantas Airways Ltd Queensland Tourism Industry Corporation Regional Aviation Association of Australia South Australian Freight Export Council Inc Sydney Airport Corporation Ltd

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Tasmanian Export Council Travel Compensation Fund Tourism Council of the Chamber of Commerce- Northern Territory Tourism Task Force Tourism Top End Townsville Airport Townsville Enterprise Ltd Tropical Tourism North Queensland Virgin Blue Westralia Airports Corporation Pty Ltd

36. Comments were received from: Qantas, Tourism Queensland, the South Australian Department of Transport and Urban Planning, the Australian Government Department of Industry, Tourism and Resources and the Treasury.

37. Stakeholders who provided comments supported the negotiation of a new air services agreement with Mexico to open market access for airlines of both sides. 38. Qantas supported arrangements including liberal cooperative marketing provisions and route rights.

39. Tourism Queensland supported establishing a comprehensive set of aviation rights with Mexico. The South Australian Department of Transport and Urban Planning indicated that it would welcome the Agreement which would provide flexibility to Australian and foreign carriers to serve the State. The Department of Industry, Tourism and Resources, together with Tourism Australia, supported a formal air services agreement with Mexico so as to provide the framework to undertake commercial relationships which would have marketing benefits and to promote more seamless travel options and tourism growth.

40. Comments on the Agreement were received from the Attorney-General’s Department, the Department of Foreign Affairs and Trade, the Treasury, CASA, Customs and the Department of Immigration and Citizenship. These agencies cleared the text of the Agreement prior to its approval by the Federal Executive Council. 41. The Agreement was included in the Schedule of Treaties provided to the Commonwealth-State/Territory Standing Committee on Treaties in January 2008, September 2008 and July 2009 prior to signature of the Agreement. 42. The Agreement was approved for signature by the Federal Executive Council on 17 September 2009.

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DEPARTMENT OF FOREIGN AFFAIRS AND TRADE CANBERRA

AIR SERVICES AGREEMENT

BETWEEN

THE GOVERNMENT OF AUSTRALIA

AND

THE GOVERNMENT OF THE REPUBLIC OF TURKEY

Done at Ankara, 28 April 2010

Not yet in force [2010] ATNIF 36

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Index to Agreement Preamble 1. Definitions 2. Designation, Authorisation and Revocation 3. Grant of Rights 4. Application of Laws 5. Safety 6. Aviation Security 7. User Charges 8. Statistics 9. Customs Duties and Other Charges 10. Tariffs 11. Capacity 12. Commercial Opportunities 13. Competition 14. Consultations and Amendment 15. Mediation Process and Settlement of Disputes 16. Termination 17. Registration with ICAO 18. Conformity with Multilateral Conventions Concerning Air Transportation 19. Titles 20. Entry into Force ANNEX 1 Section 1 Route Schedule Section 2 Operational Flexibility Section 3 Change of Gauge

2

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AGREEMENT BETWEEN

THE GOVERNMENT OF AUSTRALIA

AND THE GOVERNMENT OF THE REPUBLIC OF TURKEY

RELATING TO AIR SERVICES

The Government of Australia and the Government of the Republic of Turkey (hereinafter, "the Parties");

Being parties to the Convention on International Civil Aviation and the International Air Services Transit Agreement, both opened for signature at Chicago on December 7, 1944; Desiring to promote an international aviation system based on competition among airlines in the marketplace and wishing to encourage airlines to develop and implement innovative and competitive services; Desiring to ensure the highest degree of safety and security in international air transport and reaffirming their grave concern about acts or threats against the security of aircraft, which jeopardise the safety of persons or property, adversely affect the operation of air transport, and undermine public confidence in the safety of civil aviation; Have agreed as follows:

ARTICLE 1

Definitions For the purpose of this Agreement, unless otherwise stated, the term: (a) “Aeronautical authorities” means in the case of the Republic of Turkey, the

Ministry of Transport and Communications and any person or body authorized to perform any functions exercised by the said Ministry, and in the case of Australia, the Department of Infrastructure, Transport, Regional Development and Local Government or the authority or authorities as notified in writing from time to time, or any person or body authorized to perform a particular function to which this Agreement relates.

(b) “Agreed services” means services for the uplift and discharge of traffic as

defined in Article 3, subparagraph 1 (c); (c) “Agreement” means this Agreement, its Annex, and any amendments thereto;

3

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(d) “Air transportation” means the public carriage by aircraft of passengers, baggage, cargo, and mail, separately or in combination, for remuneration or hire;

(e) “Airline” means any air transport enterprise marketing or operating air

transportation; (f) “Capacity” is the amount(s) of services provided under the Agreement, usually

measured in the number of flights (frequencies), or seats or tonnes of cargo offered in a market (city pair, or country -to-country) or on a route during a specific period, such as daily, weekly, seasonally or annually;

(g) “Convention” means the Convention on International Civil Aviation, opened

for signature at Chicago on 7 December 1944, and includes:

(i) any Annex or any amendment thereto adopted under Article 90 of the Convention, insofar as such Annex or amendment is at any given time in force for both Parties; and

(ii) any amendment which has entered into force under Article 94(a) of the

Convention and has been ratified by both Parties; (h) “Designated airline” means an airline or airlines designated and authorised in

accordance with Article 2 (Designation, Authorisation and Revocation) of this Agreement;

(i) “Ground-handling” includes but is not limited to passenger, cargo and baggage

handling, and the provision of catering facilities and/or services; (j) “ICAO” means the International Civil Aviation Organization; (k) “International air transportation” means air transportation which passes

through the air space over the territory of more than one State; (l) “Marketing airline” means an airline that offers air transportation on an

aircraft operated by another airline, through code-sharing; (m) “Operating airline” means an airline that operates an aircraft in order to

provide air transportation – it may own or lease the aircraft; (n) “Slots” means the right to schedule an aircraft movement at an airport; (o) “Tariffs” means any price, fare, rate or charge for the carriage of passengers

(and their baggage) and/or cargo (excluding mail) in international air transportation, including transportation on an intra-or interline basis, charged by airlines, including their agents, and the conditions governing the availability of such price, fare, rate or charge;

(p) “Territory” and “Stop for non-traffic purposes” have the meaning respectively

assigned to them in Articles 2 and 96 of the Convention; and

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(q) “User charges” means a charge made to airlines by a service provider for the

provision of airport, airport environmental, air navigation and aviation security facilities and services.

ARTICLE 2

Designation, Authorisation and Revocation 1. Each Party shall have the right to designate as many airlines as it wishes to conduct international air transportation in accordance with this Agreement, and to withdraw or alter such designations. Such designations shall be transmitted to the other Party in writing through diplomatic channels. Designation shall not be required for airlines exercising the rights provided for in Article 3, subparagraphs 1 (a) and 1 (b). 2. On receipt of such a designation, and of applications from a designated airline, in the form and manner prescribed for operating authorisations and technical permissions relating to the operation and navigation of the aircraft, the other Party shall grant appropriate authorisations without delay, provided that:

a) substantial ownership and effective control of that airline are vested in the Party designating the airline or in its nationals;

b) the airline is incorporated and has its principal place of business in the

territory of the Party designating the airline; c) the airline is qualified to meet the conditions prescribed under the laws,

regulations and rules normally and reasonably applied to the operation of international air transportation by the Party considering the application or applications, in conformity with the provisions of the Convention;

d) the airline holds the necessary operating permits; and

e) the Party designating the airline is maintaining and administering the

standards set forth in Article 5 (Safety) and Article 6 (Aviation Security) of this Agreement.

3. When an airline has been so designated and authorised it may commence international air transportation, provided that the airline complies with the applicable provisions of this Agreement. 4. Either Party may withhold, revoke, suspend or limit the operating authorisations or technical permissions of an airline designated by the other Party, at any time, if the conditions specified in paragraph 2 of this Article are not met, or if the airline otherwise fails to operate in accordance with the conditions prescribed under this Agreement.

5

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5. Unless immediate action is essential to prevent further non-compliance with subparagraphs 2 (b) to 2 (d) of this Article, the rights established by paragraph 4 of this Article shall be exercised only after consultation with the other Party. 6. This Article does not limit the rights of either Party to withhold, revoke, limit or impose conditions on the operating authorisation or technical permission of an airline or airlines of the other Party in accordance with the provisions of Article 5 (Safety) or Article 6 (Aviation Security) of this Agreement.

ARTICLE 3

Grant of Rights

1. Each Party grants to the other Party the following rights for the conduct of international air transportation by the airlines of the other Party:

a) the right to fly across its territory without landing;

b) the right to make stops in its territory for non-traffic purposes;

c) the rights for designated airlines, to operate services on the route specified in Annex 1 and to make stops in its territory for the purpose of taking on board and discharging passengers, cargo and mail, hereinafter called the “agreed services”; and d) the rights otherwise specified in this Agreement.

2. Nothing in this Article shall be deemed to confer on the airline or airlines of one Party the rights to uplift and discharge between points in the territory of the other Party, passengers, their baggage, cargo, or mail carried for compensation.

ARTICLE 4

Application of Laws

1. While entering, within, or leaving the territory of one Party, its laws, regulations and rules relating to the operation and navigation of aircraft shall be complied with by the other Party's airlines.

2. While entering, within, or leaving the territory of one Party, its laws, regulations and rules relating to the admission to or departure from its territory of passengers, crew, cargo and aircraft (including regulations and rules relating to entry, clearance, aviation security, immigration, passports, advance passenger information, customs and quarantine or, in the case of mail, postal regulations) shall be complied with by, or on behalf of, such passengers and crew and in relation to such cargo of the other Party's airlines.

6

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3. Neither Party shall give preference to its own or any other airline over an airline of the other Party engaged in similar international air transportation in the application of its entry, clearance, aviation security, immigration, passports, advance passenger information, customs and quarantine, postal and similar regulations.

4. Passengers, baggage and cargo in direct transit through the territory of either Party and not leaving the area of the airport reserved for such purpose may be subject to examination in respect of aviation security, narcotics control and immigration requirements, or in other special cases where such examination is required having regard to the laws and regulations of the relevant Party and to the particular circumstances. Baggage and cargo in direct transit shall be exempt from customs duties and other similar taxes.

ARTICLE 5

Safety

1. Certificates of airworthiness, certificates of competency and licences issued or rendered valid by one Party and still in force shall be recognised as valid by the other Party for the purpose of operating the agreed services provided that the requirements under which such certificates and licences were issued or rendered valid are equal to or above the minimum standards which may be established pursuant to the Convention. 2. If the privileges or conditions of the licences or certificates referred to in paragraph 1 above, issued by the aeronautical authorities of one Party to any person or designated airline or in respect of an aircraft used in the operation of the agreed services, should permit a difference from the minimum standards established under the Convention, and which difference has been filed with the International Civil Aviation Organization, the other Party may request consultations between the aeronautical authorities with a view to clarifying the practice in question. 3. Each Party reserves the right, however, to refuse to recognise for the purpose of flights above or landing within its own territory, certificates of competency and licences granted to its own nationals or in relation to its registered aircraft by the other Party. 4. Each Party may request consultations at any time concerning the safety standards maintained by the other Party in areas relating to aeronautical facilities, flight crew, aircraft and the operation of aircraft. Such consultations shall take place within thirty (30) days of that request. 5. If, following such consultations, one Party finds that the other Party does not effectively maintain and administer safety standards in the areas referred to in paragraph 4 that meet the standards established at that time pursuant to the Convention, the other Party shall be informed of such findings and of the steps considered necessary to conform with those standards. The other Party shall then take appropriate corrective action within a time period agreed by the Parties.

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6. Paragraphs 7 to 10 of this Article supplement paragraphs 1 to 5 of this Article and the obligations of the Parties under Article 33 of the Convention. 7. Pursuant to Article 16 of the Convention, it is further agreed that, any aircraft operated by, or on behalf of an airline of one Party, on service to or from the territory of the other Party may, while within the territory of the other Party, be the subject of a search by the authorised representatives of the other Party, provided this does not cause unreasonable delay in the operation of the aircraft. The purpose of this search is to verify the validity of the relevant aircraft documentation, the licensing of its crew, and that the aircraft equipment and the condition of the aircraft conform to the standards established at the time pursuant to the Convention. 8. When urgent action is essential to ensure the safety of an airline operation, each Party reserves the right to immediately suspend or vary the operating authorisation of an airline or airlines of the other Party. 9. Any action by one Party in accordance with paragraph 8 above shall be discontinued once the basis for the taking of that action ceases to exist. 10. With reference to paragraph 5 of this Article, if the first-mentioned Party determines that the second-mentioned Party remains non-compliant with the relevant standards when the agreed time period has lapsed, the first-mentioned Party should advise the Secretary General of ICAO thereof. The Secretary General should also be advised of the subsequent satisfactory resolution of the situation by the first-mentioned Party.

ARTICLE 6

Aviation Security 1. Consistent with their rights and obligations under international law, the Parties reaffirm that their obligation to each other to protect the security of civil aviation against acts of unlawful interference forms an integral part of this Agreement. Without limiting the generality of their rights and obligations under international law, the Parties shall in particular act in conformity with the provisions of the Convention on Offences and Certain Other Acts Committed on Board Aircraft, signed at Tokyo on 14 September 1963, the Convention for the Suppression of Unlawful Seizure of Aircraft, signed at The Hague on 16 December 1970 and the Convention for the Suppression of Unlawful Acts against the Safety of Civil Aviation, signed at Montreal on 23 September 1971, its Supplementary Protocol for the Suppression of Unlawful Acts of Violence at Airports Serving International Civil Aviation, signed at Montreal on 24 February 1988, as well as with any other convention and protocol relating to the security of civil aviation which both Parties adhere to. 2. The Parties shall provide upon request all necessary assistance to each other to prevent acts of unlawful seizure of civil aircraft and other unlawful acts against the safety of such aircraft, their passengers and crew, airports and air navigation facilities, and any other threat to security of civil aviation.

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3. The Parties shall, in their mutual relations, act in conformity with the aviation security provisions established by ICAO and designated as Annexes to the Convention; they shall require that operators of aircraft of their registry or operators of aircraft who have their principal place of business or permanent residence in their territory and the operators of airports in their territory act in conformity with such aviation security provisions. Each Party shall advise the other Party of any difference between its national regulations and practices and the aviation security standards of the Annexes. Either Party may request consultations with the other Party at any time to discuss any such differences. 4. Such operators of aircraft may be required to observe the aviation security provisions referred to in paragraph 3 above required by the other Party for entry into, departure from, or while within the territory of that other Party. Each Party shall ensure that adequate measures are effectively applied within its territory to protect the aircraft and to inspect passengers, crew, carry-on items, baggage, cargo and aircraft stores prior to and during boarding or loading. Each Party shall also give positive consideration to any request from the other Party for reasonable special security measures to meet a particular threat. 5. When an incident or threat of an incident of unlawful seizure of civil aircraft or other unlawful acts against the safety of such aircraft, their passengers and crew, airports or air navigation facilities occurs, the Parties shall assist each other by facilitating communications and other appropriate measures intended to terminate rapidly and safely such incident or threat thereof. 6. Each Party shall have the right, within sixty (60) days following notice (or such shorter period as may be agreed between the aeronautical authorities), for its aeronautical authorities to conduct an assessment in the territory of the other Party of the security measures being carried out, or planned to be carried out, by aircraft operators in respect of flights arriving from, or departing to the territory of the first Party. The administrative arrangements for the conduct of such assessments shall be mutually determined by the aeronautical authorities and implemented without delay so as to ensure that assessments will be conducted expeditiously. 7. When a Party has reasonable grounds to believe that the other Party has departed from the provisions of this Article, the first Party may request immediate consultations. Such consultations shall start within fifteen (15) days of receipt of such a request from either Party. Failure to reach a satisfactory agreement within fifteen (15) days from the start of consultations shall constitute grounds for withholding, revoking, suspending or imposing conditions on the authorisations of the airline or airlines designated by the other Party. When justified by an emergency, or to prevent further non-compliance with the provisions of this Article, the first Party may take interim action at any time. Any action taken in accordance with this paragraph shall be discontinued upon compliance by the other Party with the security provisions of this Article.

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ARTICLE 7

User Charges

1. Each Party shall use its best efforts to encourage those responsible for the provision of airport, airport environmental, air navigation, and aviation security facilities and services to levy charges on the airlines only on the basis that they are reasonable, non-discriminatory, and equitably apportioned amongst categories of users. 2. Reasonable charges reflect, but do not exceed, the full cost to the competent charging authorities of providing the facilities and services. This may include a reasonable return on assets, after depreciation. Facilities and services for which charges are made should be provided on an efficient and economic basis. For charges to be non discriminatory, they should be levied on foreign airlines at a rate no higher than the rate imposed on a Party’s own airlines operating similar international services. 3. The Parties shall encourage the exchange of such information between the competent charging authorities and the airlines as may be necessary to permit a full assessment of the reasonableness of, justification for, and apportionment of the charges in accordance with paragraphs 1-2 of this Article. 4. Increased or new charges should only follow adequate consultations between the competent charging authorities and the airlines. Reasonable notice of any proposals for changes in user charges should be given to users to enable them to express their views before changes are made.

ARTICLE 8

Statistics

1. The aeronautical authorities of one Party may require a designated airline of the other Party to provide statements of statistics related to the traffic carried by that airline on services performed under this Agreement. 2. The aeronautical authorities of each Party may determine the nature of the statistics required to be provided by designated airlines under the above paragraph, and shall apply these requirements on a non-discriminatory basis.

ARTICLE 9

Customs Duties and Other Charges

1. Aircraft operated in international air transportation by the airlines of each Party shall be exempt from all import restrictions, customs duties, excise taxes, and similar fees and charges imposed by national authorities. Component parts,

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normal aircraft equipment and other items intended for or used solely in connection with the operation or for the repair, maintenance and servicing of such aircraft shall be similarly exempt, provided such equipment and items are for use on board an aircraft and are re-exported. 2. (a) Provided in each case that they are for use on board an aircraft in connection with the establishment or maintenance of international air transportation by the airline concerned, the following items shall be exempt from all import restrictions, customs duties, excise taxes, and similar fees and charges imposed by national authorities, whether they are introduced by an airline of one Party into the territory of the other Party or supplied to an airline of one Party in the territory of the other Party: (i) aircraft stores (including but not limited to such items as food,

beverages and products destined for sale to, or use by, passengers during flight);

(ii) fuel, lubricants (including hydraulic fluids) and consumable

technical supplies; and (iii) spare parts including engines.

(b) These exemptions shall apply even when these items are to be used on any part of a journey performed over the territory of the other Party in which they have been taken on board. 3. The exemptions provided by this Article shall not extend to charges based on the cost of services provided to the airlines of a Party in the territory of the other Party. 4. The normal aircraft equipment, as well as spare parts (including engines), supplies of fuel, lubricating oils (including hydraulic fluids) and lubricants and other items mentioned in paragraphs 1 and 2 of this Article retained on board the aircraft operated by the airlines of one Party may be unloaded in the territory of the other Party only with the approval of the Customs authorities of that territory. Aircraft stores intended for use on the airlines’ services may, in any case be unloaded. Equipment and supplies referred to in paragraphs 1 and 2 of this Article may be required to be kept under the supervision or control of the appropriate authorities until they are re-exported or otherwise disposed of in accordance with the Customs laws and procedures of that Party. 5. The exemptions provided for by this Article shall also be available in situations where the airline or airlines of one Party have entered into arrangements with another airline or airlines for the loan or transfer in the territory of the other Party of the items specified in paragraphs 1 and 2 of this Article, provided such other airline or airlines similarly enjoy such reliefs from such other Party.

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ARTICLE 10

Tariffs

1. Each Party shall allow each airline to determine its own tariffs for the transportation of traffic. 2. Unless required by national laws and regulations, tariffs charged by airlines shall not be required to be filed with the aeronautical authorities of either Party. 3. In the event that either aeronautical authority is dissatisfied with a tariff proposed or in effect for an airline of the other Party, the aeronautical authorities will endeavour to settle the matter through consultations, if so requested by either authority. In any event, the aeronautical authority of a Party shall not take unilateral action to prevent the coming into effect or continuation of a tariff of an airline of the other Party.

ARTICLE 11

Capacity 1. The designated airlines of each Party shall enjoy fair and equal opportunities to operate the agreed services in accordance with this Agreement. 2. The capacity to be provided and the frequency of the services to be operated shall, at the outset, be mutually determined by the aeronautical authorities of the Parties before the services are inaugurated. Such capacity and frequency of services initially determined may be reviewed and revised from time to time by said authorities.

ARTICLE 12

Commercial Opportunities 1. The airlines of each Party shall have the following rights in the territory of the other Party:

a) the right to establish offices, including offline offices, for the

promotion, sale and management of air transportation;

b) the right to engage in the sale and marketing of air transportation to any person directly and, at its discretion, through its agents or intermediaries, using its own transportation documents; and

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c) the right to use the services and personnel of any organisation, company or airline operating in the territory of the other Party.

2. In accordance with the laws and regulations relating to entry, residence and employment of the other Party, the airlines of each Party shall be entitled to bring in and maintain in the territory of the other Party those of their own managerial, sales, technical, operational and other specialist staff which the airline reasonably considers necessary for the provision of air transportation. Consistent with such laws and regulations, each Party shall, with the minimum of delay, grant the necessary employment authorisations, visas or other similar documents to the representatives and staff referred to in this paragraph. 3. The airlines of each Party shall have the right to sell air transportation, and any person shall be free to purchase such transportation, in local or freely convertible currencies. Each airline shall have the right to convert their funds into any freely convertible currency and to transfer them from the territory of the other Party at will. Subject to the national laws and regulations and policy of the other Party, conversion and transfer of funds obtained in the ordinary course of their operations shall be permitted at the foreign exchange market rates for payments prevailing at the time of submission of the requests for conversion or transfer and shall not be subject to any charges except normal service charges levied for such transactions. 4. The airlines of each Party shall have the right at their discretion to pay for local expenses, including purchases of fuel, in the territory of the other Party in local currency or, provided this accords with local currency regulations, in freely convertible currencies. 5. (a) In operating or holding out international air transportation the airlines of each Party shall have the right, over all or any part of their route in Annex 1 to enter into code share, blocked space or other cooperative marketing arrangements, as the marketing and/or operating airline, with any other airline, including airlines of the same Party and of third parties. Subject to paragraph 5 (c) of this Article, the airlines participating in such arrangements must hold the appropriate authority or authorities to conduct international air transportation on the routes or segments concerned. (b) Unless otherwise mutually determined by the aeronautical authorities of the Parties, the volume of capacity or service frequencies which may be held out and sold by the airlines of each Party, when code sharing as the marketing airline, shall not be subject to limitations under this Agreement. (c) The aeronautical authority of one Party shall not withhold code sharing permission for an airline of the other Party to market code share services on flights operated by airlines of third parties on the basis that the third party airlines concerned do not have the right from the first Party to carry traffic under the code of the marketing airline. (d) The airlines of each Party may market code share services on domestic flights operated within the territory of the other Party provided that such services form part of a through international journey.

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(e) The airlines of each Party shall, when holding out international air transportation for sale, make it clear to the purchaser at the point of sale which airline will be the operating airline on each sector of the journey and with which airline or airlines the purchaser is entering into a contractual relationship. (f) Code share services provided by a designated airline of either Party as a marketing airline shall not be counted against the capacity entitlements(s) of the Party designating that marketing airline. 6. (a) The designated airline or airlines of one Party shall be permitted, on the basis of reciprocity, to perform its own specified ground handling services in the territory of the other Party in accordance with the other Party's domestic laws and regulations. Ground handling services in the territory of one Party may be provided in whole or in part by any agent authorized by that Party to provide such services, if required by domestic laws and regulations. (b) The exercise of the rights set forth above shall be subject only to physical or operational constraints resulting from considerations of airport safety or security. Any constraints shall be applied uniformly and on terms no less favourable than the most favourable terms available to any airline engaged in similar international air services at the time the constraints are imposed. 7. The airlines of each Party shall be permitted to conduct international air transportation using aircraft (or aircraft and crew) leased from any company, including other airlines, provided only that the operating aircraft and crew meet the applicable operating and safety standards and requirements and after the approval of the competent authorities of both Parties. 8. The Parties recognise that to give effect to the rights and entitlements embodied in the Agreement the airlines of each Party must have the opportunity to access airports mutually determined in the territory of the other Party on a non-discriminatory basis. 9. In respect of the allocation and grant of time slots (slots) to airlines at their national airports, each Party will:

a) in accordance with local slot allocation rules, procedures or practices which are in effect or otherwise permitted, ensure that the airlines of the other Party: (i) are permitted fair and equal opportunity to secure slots; and

(ii) are afforded no less favourable treatment than any other airline

in securing slots; and

b) ensure that in the event of any arrangement, procedure or practice which is either established with any third party in relation to the grant of slots to the airlines of that party or is otherwise permitted for a particular foreign international airline or airlines, such opportunities are extended to the airlines of the other Party.

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10. The terms of paragraph 9 of this Article will be subject to the provisions of any laws or regulations introduced by the Parties for the allocation of slots at their national airports.

ARTICLE 13

Competition 1. The competition laws of each Party, as amended from time to time, shall apply to the operation of the airlines within the jurisdiction of the respective Party. Where permitted under those laws, a Party or its competition authority may, however, unilaterally exempt commercial agreements between airlines from the application of its domestic competition law. This does not obligate a Party or its competition authority to provide a reciprocal exemption. 2. Without limiting the application of competition and consumer law by either Party, if the aeronautical authorities of either Party consider that the airlines of either Party are being subjected to discrimination or unfair practices in the territory of either Party, they may give notice to this effect to the aeronautical authorities of the other Party. Consultations between the aeronautical authorities shall be entered into as soon as possible after notice is given unless the first Party is satisfied that the matter has been resolved in the meantime. 3. In undertaking the consultations outlined in this Article the Parties shall:

(a) coordinate their actions with the relevant authorities; (b) consider alternative means which might also achieve the

objectives of action consistent with general competition and consumer law; and

(c) take into account the views of the other Party and the other

Party’s obligations under other international agreements. 4. Notwithstanding anything in paragraphs 1 to 3 above, this Article does not preclude unilateral action by the airlines or the competition authorities of either Party.

ARTICLE 14

Consultations and Amendment 1. In a spirit of close co-operation, the aeronautical authorities of the Parties shall consult each other from time to time with a view to ensuring the

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implementation of, and satisfactory compliance with, the provisions of this Agreement and the Annex thereto. 2. If either of the Parties considers it desirable to amend any provision of this Agreement and the Annex thereto, it may request consultation with the other Party. Subject to Articles 2 (Designation, Authorisation and Revocation), 5 (Safety) and 6 (Aviation Security), such consultations, which may be between the aeronautical authorities and which may be through discussion or by correspondence, shall begin within a period of sixty (60) days of the date of receipt of the request, unless otherwise mutually decided. 3. Any amendments shall enter into force when the Parties have notified each other by an exchange of diplomatic notes that their respective requirements for the entry into force of an amendment have been met.

ARTICLE 15

Mediation Process and Settlement of Disputes

1. The rules set out in paragraphs 1-7 of this Article apply where the Parties seeking an amicable settlement of their dispute, with the exception of any dispute concerning tariffs or the application of national competition laws, have agreed to submit the dispute to mediation. The Parties to the dispute may agree to exclude, supplement or vary any of the rules contained in this Article at any time. The Party initiating mediation shall send to the other party a written invitation to mediate under this Article. The mediation commences following the receipt, by the party initiating the mediation, of written notification by the other Party accepting the offer to mediate. 2. There shall be one mediator unless the parties agree that there shall be two or three mediators. Where there is more than one mediator, they ought, as a general rule, to act jointly. The parties to the dispute shall seek to agree on the appointment of the sole mediator or mediators to be chosen preferably from the roster of suitably qualified aviation experts maintained by ICAO. The appointment of mediators shall be completed within 21 days of receipt of the notification referred to at paragraph 1. Where the parties fail to agree on the appointment of the mediator or mediators within that period, the party initiating the mediation may terminate the mediation proceedings by notification addressed to the other party or request the President of the Council of ICAO to make the appointments. 3. The mediator shall hear the parties, examine their claims and make proposals to the parties with a view to reaching an amicable settlement. The mediator may draw the attention of the parties to any measures which might facilitate an amicable settlement of the dispute.

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4. The Parties shall cooperate in good faith with the mediator and, in particular, will endeavour to comply with requests by the mediator to submit written materials, provide evidence and attend meetings. 5. The cost of the mediation shall be borne equally by the parties to the dispute. 6. The mechanism is without prejudice to the continuing use of the consultation process, the subsequent use of arbitration, or termination under Article 16. 7. The mediation process is terminated when a settlement has been reached or when one party to the dispute terminates the mediation by written notification to the other party 8. Any dispute between the Parties concerning the interpretation or application of this Agreement, with the exception of any dispute concerning tariffs or the application of national competition laws, which cannot be settled by consultations or negotiations, or, where agreed, by mediation in accordance with this Article, shall, at the request of either Party, be submitted to an arbitral tribunal. 9. Within a period of thirty (30) days from the date of receipt by either Party from the other Party of a note through the diplomatic channel requesting arbitration of the dispute by a tribunal, each Party shall nominate an arbitrator. Within a period of thirty (30) days from the appointment of the arbitrator last appointed, the two arbitrators shall appoint a president who shall be a national of a third State. If within thirty (30) days after one of the Parties has nominated its arbitrator, the other Party has not nominated its own or, if within thirty (30) days following the nomination of the second arbitrator, both arbitrators have not agreed on the appointment of the president, either Party may request the President of the Council of the International Civil Aviation Organization to appoint an arbitrator or arbitrators as the case requires. If the President of the Council is of the same nationality as one of the Parties, the most senior Vice President who is not disqualified on that ground shall make the appointment. 10. Except as otherwise determined by the Parties or prescribed by the tribunal, each Party shall submit a memorandum within thirty (30) days after the tribunal is fully constituted. Replies shall be due within thirty (30) days. The tribunal shall hold a hearing at the request of either Party, or at its discretion, within thirty (30) days after replies are due. 11. The tribunal shall attempt to give a written award within thirty (30) days after completion of the hearing, or, if no hearing is held, after the date both replies are submitted. The award shall be taken by a majority vote. 12. The Parties may submit requests for clarification of the award within fifteen (15) days after it is received and such clarification shall be issued within fifteen (15) days of such request.

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13. The award of the arbitral tribunal shall be final and binding upon the parties to the dispute. 14. The expenses of arbitration under this Article shall be shared equally between the Parties. 15. If and for so long as either Party fails to comply with an award under paragraph 13 of this Article, the other Party may limit, suspend or revoke any rights or privileges which it has granted by virtue of this Agreement to the Party in default.

ARTICLE 16

Termination 1. Either Party may at any time give notice in writing to the other Party of its decision to terminate this Agreement. Such notice shall be communicated simultaneously to the International Civil Aviation Organization (ICAO). The Agreement shall terminate at midnight (at the place of receipt of the notice to the other Party) immediately before the first yearly anniversary of the date of receipt of notice by the Party, unless the notice is withdrawn by mutual decision of the Parties before the end of this period. 2. In default of acknowledgement of receipt of a notice of termination by the other Party, the notice shall be deemed to have been received fourteen (14) days after the date on which ICAO acknowledged receipt thereof.

ARTICLE 17

Registration with ICAO This Agreement and any amendment thereto shall be registered with the International Civil Aviation Organization.

ARTICLE 18

Conformity with Multilateral Conventions Concerning Air Transportation This Agreement and its Annex will be amended so as to conform with any multilateral convention concerning air transportation which may become binding on both Parties.

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ARTICLE 19

Titles

Titles are inserted in this Agreement at the head of each article for the purpose of reference and convenience. Titles shall not define or limit the scope of articles in this Agreement.

ARTICLE 20

Entry into Force

This Agreement shall enter into force when the Parties have notified each other by an exchange of diplomatic notes that their respective requirements for the entry into force of this agreement have been met.

IN WITNESS THEREOF, the undersigned, duly authorised thereto by their respective governments, have signed this Agreement.

DONE at Ankara, this twenty-eighth day of April two thousand and ten, in the English and Turkish languages each being equally authentic. In the event of any inconsistencies the English version shall prevail.

For the Government of Australia: HE Mr Peter Doyle Ambassador

For the Government of the Republic of Turkey: Dr Ali Ariduru Director-General Civil Aviation

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ANNEX 1

Section 1

ROUTE SCHEDULE

The designated airlines of each Party shall be entitled to perform international air transportation between points on the following routes: Route for the designated airlines of the Republic of Turkey: Points in the Republic of Turkey

Intermediate Points

Points in Australia Beyond Points

Any Any Any Any Route for the designated airlines of Australia: Points in Australia

Intermediate Points

Points in the Republic of Turkey

Beyond Points

Any Any Any Any Notes: 1. The designated airlines of each Party may at their option omit points on any of the above routes provided that, with the exception of all-cargo services, the services commence or terminate in the territory in which the airline concerned has its principal place of business. 2. The traffic rights which may be exercised at intermediate and beyond points above shall be jointly determined between the aeronautical authorities from time to time. 3. Between points in the territory of the other Party, the designated airlines of each Party may only exercise own stopover rights.

Section 2

OPERATIONAL FLEXIBILITY

Subject to Section 1 of this Annex, the designated airlines of each Party may, on any or all services and at the option of each airline: (a) perform services in either or both directions;

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(b) combine different flight numbers within one aircraft operation; (c) transfer traffic from any aircraft to any other aircraft at any point on the

route, without directional or geographic limitation and without loss of any right to carry traffic otherwise permissible under this Agreement.

Section 3

CHANGE OF GAUGE On any sector or sectors of the routes in Section 1 of this Annex, any airline shall be entitled to perform international air transportation, including under code sharing arrangements with other airlines, without any limitation as to change at any point or points on the route, in the type, size or number of aircraft operated.

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AVUSTRALYA HÜKÜMETİ

İLE

TÜRKİYE CUMHURİYETİ HÜKÜMETİ

ARASINDA

HAVA ULAŞTIRMA ANLAŞMASI

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Anlaşmanın Dizini

Başlangıç

1. Tanımlar

2. Tayin Etme, Yetkilendirme ve İptal Etme

3. Hakların Tanınması

4. Yasaların Uygulanması

5. Emniyet

6. Havacılık Güvenliği

7. Kullanıcı Ücretleri

8. İstatistikler

9. Gümrük Vergileri ve Diğer Harçlar

10. Ücret Tarifeleri

11. Kapasite

12. Ticari Fırsatlar

13. Rekabet

14. İstişare ve Değişiklikler

15. Arabuluculuk Süreci ve Uyuşmazlıkların Çözümü

16. Sona Erme

17. ICAO Tescili

18. Hava Taşımacılığına İlişkin Çok Taraflı Anlaşmalara Uyum

19. Başlıklar

20. Yürürlüğe Giriş

EK 1 Bölüm I Yol Güzergahı Bölüm II Operasyonel Esneklik Bölüm III Uçak Değişikliği

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TÜRKİYE CUMHURİYETİ HÜKÜMETİ İLE AVUSTRALYA HÜKÜMETİ

ARASINDA HAVA ULAŞTIRMA ANLAŞMASI

(Bundan sonra ‘‘Taraflar’’ olarak anılacak olan) Türkiye Cumhuriyeti Hükümeti ve Avustralya Hükümeti

7 Aralık 1944 yılında Şikago'da imzaya açılmış olan Uluslararası Sivil Havacılık Sözleşmesinin ve Uluslararası Hava Hizmetleri Transit Anlaşmasının Tarafları olarak; Havayolları arasında rekabete dayalı uluslararası havacılık sistemini ilerletmek ve havayollarını yenilikçi ve rekabetçi hizmetler geliştirmek ve uygulamak için teşvik etmek arzusuyla; Hava araçlarının güvenliğine karşı yapılan, kişi ve mülkiyetleri tehlikeye atan, hava taşımacılığını olumsuz etkileyen ve sivil havacılığın emniyeti konusunda halkın güvenini zedeleyen hareket ve tehditler konusundaki ciddi endişelerini teyit ederek ve uluslararası hava taşımacılığında en üst seviyede emniyet ve güvenliği sağlamak arzusuyla,

Aşağıdaki şekilde anlaşmışlardır:

MADDE 1

Tanımlar

Bu Anlaşma amacı doğrultusunda, metin içeriği aksini gerektirmediği takdirde,

a) ‘‘Havacılık otoriteleri’’ terimi Türkiye Cumhuriyeti için, Ulaştırma Bakanlığı ve sözü

geçen Bakanlık için herhangi bir görevi yerine getirmeye yetkili herhangi bir teşekkül ya da kişiyi Avustralya için Altyapı, Ulaşım, Bölgesel Gelişim ve Yerel Hükümet veya zaman zaman yazı ile tebliğ edilen otorite veya otoriteler veya bu Anlaşmanın bağlantılı olduğu belirli bir görevi yerine getirmeye yetkili herhangi bir teşekkül ya da kişiyi; b) ‘‘Mutabık kalınan hizmetler’’terimi, trafiğin alınması ve boşaltılması için 3.

Maddenin alt paragraf 1 (c)’ de belirtilen hizmetleri; c) ‘‘Anlaşma’’, terimi, bu Anlaşmayı, Eklerini ve bunlarda yapılabilecek her

türlü değişiklikleri; d) ‘‘Hava taşımacılığı’’ terimi, yolcu, bagaj, kargo ve postanın ayrı ayrı ya da bir

arada, ücret ya da kiralama yoluyla, hava araçları vasıtasıyla taşınmasını; ; e) ‘‘Havayolu’’ terimi, hava taşımacılığı pazarlaması ya da işletmesinde bulunan her türlü

hava taşıma işletmesini; f) ‘‘Kapasite’’ terimi, bu Anlaşma uyarınca, günlük, haftalık, sezonluk ya da yıllık

olarak belli bir dönemde veya bir hatta sunulan uçuş sayısı (frekans) veya bir

3

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pazarda (iki şehir arası veya ülkeden ülkeye) sunulan koltuk ya da kargo tonajı şeklinde belirlenen hizmet sayısını ifade etmektedir.

g) "Sözleşme" terimi, 7 Aralık 1944 tarihinde Şikago'da imzaya açılan Uluslararası Sivil Havacılık Sözleşmesini ifade eder ve aşağıdakileri de kapsar:

i) belirli bir zamanda her iki Taraf için yürürlükte olması kaydıyla, söz konusu Sözleşmesinin 90. Maddesi uyarınca benimsenmiş olan Ekler ve değişiklikler;

ii) söz konusu Sözleşmenin 94 (a) Maddesine göre yürürlüğe giren ve her iki Tarafça onaylanmış değişiklikler.

(h) ‘‘Tayin edilen havayolu’’, bu Anlaşmanın 2. Maddesine (Tayin etme, Yetkilendirme ve İptal etme) göre tayin edilen ve yetkilendirilen havayolu ya da havayollarını ifade eder;

(i) ‘‘Yer hizmetleri’’, bunlarla sınırlı olmamak kaydıyla yolcu, kargo ve bagaj hizmetleri ve ikram olanakları ve/veya hizmetlerini içerir;

(j) ‘‘ICAO’’, Uluslararası Sivil Havacılık Örgütünü; (k) “Uluslararası hava taşımacılığı’’ birden fazla Devletin ülkesi üzerindeki hava sahasının

kullanıldığı hava taşımacılığını; (l) ‘‘Pazarlamacı havayolu’’, kod paylaşımı vasıtasıyla başka bir havayolu şirketince işletilen

hava aracı ile hava taşımacılığı sunan havayollarını; (m) ‘‘Taşıyıcı havayolu’’ hava hizmeti sağlamak için sahibi olunan veya kiralanan hava aracı

ile sefer yapan hava yollarını; (n) ‘‘Slotlar’’ terimi, bir havalimanında hava aracının hareket etmesi için program yapma

hakkını; (o) ‘‘Ücret tarifesi’’ terimi, hatlar arası da dâhil olmak üzere uluslararası hava taşımacılığında

yolcu (ve onların bagajları) ve/veya kargo (posta hariç) taşınması için havayolları veya acentaları tarafından alınacak her türlü fiyatları, oranları ve bu fiyatların geçerli olduğu şartları ifade eder.

(p) ‘‘Ülke’’ ve “ Teknik iniş” terimleri Sözleşmenin sırasıyla 2. ve 96. Maddelerindeki anlamı taşır.

(q) ‘‘Kullanıcı ücretleri’’, havayollarına; havayolu, havayolu çevresi, hava seyrüsefer ve havacılık güvenliği olanak ve hizmetleri için hizmet sağlayıcısı tarafından uygulanan ücreti ifade eder.

MADDE 2

Tayin Etme, Yetkilendirme ve İptal Etme

1. Her bir Taraf, bu Anlaşma uyarınca uluslararası hava taşımacılığında bulunmak istediği sürece, dilediği sayıda havayolunu tayin etme ve bu tayinleri geri çekme veya değiştirme hakkına sahip olacaktır. Bu tayinler yazılı şekilde diplomatik kanaldan diğer Tarafa bildirilecektir. 3. Maddenin 1(a) ve 1(b) alt paragraflarında bahsi geçen haklara sahip havayolları için tayin edilme gerekmeyecektir.

2. Tayin edilen havayolundan, hava aracının işletilmesi ve seyrüseferine dair işletme

yetkilerinin ve teknik izinlerinin tavsiye edilen biçim ve şekilde tayininin ve başvurularının alınmasından sonra, tayin edilen havayolu;

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a) Tayin edilen bir havayolunun hakiki sahipliği ve etkin kontrolünün bu havayolunu tayin eden Tarafın veya uyruklarının elinde bulunması,

b) Havayolunun kendisini tayin eden Tarafın ülkesinde kurulmuş olması ve esas iş

merkezinin bu ülkede olması, c) Havayolunun, başvuru veya başvuruları değerlendiren Tarafın Sözleşmenin

hükümlerine uygun olarak, uluslararası hava taşımacılığı işletmeciliğine ilişkin normal ve makul olarak uyguladığı yasa, yönetmelik ve kurallarında öngörülen şartları karşılayacak nitelikleri taşıyor olması,

d) Havayolunun gerekli işletme izinlerine sahip olması, e) Havayolunu tayin eden Tarafın, bu Anlaşmanın 5. Maddesinde (Emniyet) ve 6.

Maddesinde (Havacılık Güvenliği) belirtilen standartlara sahip olması ve bu standartları uyguluyor olması,

koşullarını sağladığı takdirde, karşı Taraf gerekli yetkileri gecikmeden tanıyacaktır.

3. Bir havayolu bu şekilde tayin edildikten ve yetkilendirildikten sonra, bu Anlaşmanın

uygulanabilir hükümlerine uyması karşılığında uluslararası hava taşımacılığına başlayabilir.

4. Bu Maddenin 2. paragrafında belirtilen şartların yerine getirilmemesi veya havayolunun

bu Anlaşma altında öngörülen hükümlere göre işletilmemesi durumunda, her bir Taraf karşı Tarafça tayin edilen havayolunun işletme yetkilerini veya teknik izinlerini herhangi bir zamanda geri çekebilir, iptal edebilir, askıya alabilir veya kısıtlayabilir.

5. Bu Maddenin 2(b)’den 2(d)’ye kadar olan alt paragrafları ile ilgili daha ileri

uyumsuzlukların önlenmesi için acil bir işlem gerekmediği takdirde, bu Maddenin 4. paragrafında belirtilen haklar diğer Tarafla istişareden sonra uygulanacaktır.

6. Bu Madde, herhangi bir Tarafın, bu Anlaşmanın 5. Maddesi (Emniyet) ve 6. Maddesine

(Havacılık Güvenliği) uygun olarak diğer Tarafın havayolu veya havayollarının, işletme yetkisi ve teknik izni üzerindeki geri çekme, iptal etme, kısıtlama ve kayıt koyma haklarını kısıtlamaz.

MADDE 3

Hakların Tanınması

1. Her bir Taraf diğer Tarafa, diğer Tarafın havayoluna uluslararası hava taşımacılığını yürütebilmesi için aşağıdaki hakları tanır:

a) Ülkesi üzerinden iniş yapmadan uçma hakkı; b) Ülkesine teknik iniş yapma hakkı;

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c) Tayin edilen havayolları için Ek 1’de belirtilen hatlarda hizmet vermek ve yolcu, kargo, ve posta almak ve bırakmak amacıyla ülkesine iniş yapma hakkı, ki bunlar bundan sonra ‘‘Mutabık kalınan hizmetler’’ olarak tanımlanacaktır; ve d) Bu Anlaşmada başka bir şekilde belirtilmiş haklar.

2. Bu Maddedeki hiçbir husus bir Tarafın havayolu veya havayollarına diğer Tarafın

ülkesindeki noktalar arasında ücret karşılığı yolcu, onların bagajları, kargo veya posta alma ve bırakma hakkını verdiği şeklinde anlaşılamaz.

MADDE 4

Yasaların Uygulanması

1. Bir Tarafın ülkesine girişte, ülkesinde ve ülkesinden ayrılışta, sözü geçen Tarafın hava aracının işletilmesine ve seyrüseferine dair yasa, yönetmelik ve kurallarına diğer Tarafın havayollarınca uyulacaktır.

2. Bir Tarafın ülkesine girişte, ülkesinde ve ülkesinden ayrılışta, sözü geçen Tarafın yolcuların, mürettebatın, kargonun ve hava aracının ülkeye girişi ya da ayrılışına dair kanun, yönetmelik ve kurallarına (giriş, giriş izni, havacılık güvenliği, göç, pasaport, önceden yolcu bilgisi, gümrük ve karantina veya posta ve gerektiğinde posta ile ilgili yönetmelikler ve kurallar) yolcular, mürettebat ve kargo tarafından ya da onlar adına, uyulacaktır.

3. Hiçbir Taraf, benzer hava taşımacılığında bulunan kendi havayoluna veya herhangi bir diğer havayoluna giriş, giriş izni, havacılık güvenliği, göç, pasaport, ileri yolcu bilgisi, gümrük ve karantina, posta ve benzer yönetmeliklerin uygulanmasında diğer Tarafın havayolunun üzerinde bir öncelik tanımayacaktır.

4. Yolcu, bagaj ve kargo, herhangi bir Tarafın ülkesinden doğrudan transit geçişte, ve bu amaçla kendilerine havaalanında ayrılan kısımdan ayrılmadan, havacılık güvenliği, narkotik kontrolü, göç gerekleri ve özel durumlarda ilgili Tarafın yasa ve yönetmeliklerinin gerektirdiği ve özel durumlar halinde kontrole tabi olabilir. Doğrudan transit geçen bagaj ve kargo gümrük ve diğer benzer vergilerden muaf tutulacaktır.

MADDE 5

Emniyet

1. Bir Tarafça verilen veya geçerli kılınan ve halen yürürlükte bulunan uçuşa elverişlilik sertifikaları, yetki sertifikaları ve lisanslar diğer Tarafça mutabık kalınan hizmetlerin işletilmesi amacıyla, bu sertifika veya lisansların verilmiş veya geçerli kılınmış bulundukları kuralların Sözleşme uyarınca konulmuş veya konulabilecek minimum standartlara eşit veya bunların üzerinde olmaları şartıyla geçerli olarak tanınacaktır.

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2. Her bir Tarafın havacılık otoriteleri tarafından, mutabık kalınan hizmetlerin işletilmesinde, herhangi bir şahıs ya da tayin edilen havayolu ya da uçağa verilen, yukarıdaki 1. paragrafta belirtilen lisans ve sertifikalarla ilgili ayrıcalık ve şartların, sözleşmede belirlenen asgari standartlardan bir farklılığa izin vermesi ve bu farkın Uluslararası Sivil Havacılık Örgütü tarafından tanınması durumunda, diğer Taraf söz konusu sorunun açıklığa kavuşması hususunda havacılık otoriteleri arasında istişare talep edebilir.

3. Her bir Taraf, diğer Tarafça tescil edilen kendi hava aracına veya kendi uyruğundaki kişilere verilen lisanslar ve yeterlilik belgelerini kendi ülkesine üzerinde yapılan uçuşlarda veya inişlerde, tanıma veya reddetme hakkını saklı tutar.

4. Her bir Taraf, havacılık olanakları, uçuş mürettebatı, hava aracı ve hava aracının işletilmesine dair konularda diğer Tarafın sağladığı emniyet standartları hakkında istediği zaman istişare talep edebilir. Bu istişareler talepten itibaren 30 gün içinde gerçekleştirilecektir.

5. Bu istişareleri takiben, eğer Taraflardan biri diğerinin o sırada Sözleşmeye göre belirlenen

ve 4. paragrafta sözü geçen alanlarda emniyet standartlarını etkili bir şekilde sağlamadığını ve uygulamadığını tespit ederse, diğer Taraf bu tespitler hakkında ve bu standartlara uyulması için gerekli girişimler hakkında bilgilendirilecektir. Daha sonra diğer Taraf, Taraflarca uzlaşılan belli süre zarfında uygun olan düzeltmeleri yapacaktır.

6. Bu Maddenin 7. paragraftan 10. paragrafa kadar olan kısımları, bu Maddenin 1.

paragraftan 5. paragrafa kadar olan kısımlara ve Sözleşmenin 33. Maddesi altındaki Tarafların yükümlülüklerine ek teşkil etmektedir.

7. Sözleşmenin 16. Maddesine uygun olarak, bir Tarafın havayolu tarafından veya havayolu

adına işletilen hava aracının diğer Tarafın ülkesine ya da ülkesinden hizmet verirken, ülkesinde bulunduğu Tarafın yetkili temsilcileri tarafından olağandışı bir gecikmeye yol açmamak şartıyla incelemeye tabi olabileceği konusunda Taraflar mutabık kalmışlardır. Söz konusu incelemenin amacı hava aracının ilgili evraklarının ve mürettebatın lisanslarının geçerliliğini ve hava araç ve teçhizatının durumunun o sırada Sözleşmede belirlenen standartlara uygunluğunu doğrulamak olacaktır.

8. Havayolu işletmesinin emniyetini sağlamak için acil bir eylem gerekmesi durumunda, her

bir Taraf, diğer Tarafın havayolu veya havayollarının işletme yetkilerini o anda askıya alma veya değiştirme hakkını saklı tutar.

9. 8. paragraf uyarınca, bir Tarafça yapılan herhangi bir hareket, bunu gerektiren sebep

ortadan kalktığında durdurulacaktır. 10. Bu Maddenin 5. paragrafı uyarınca, eğer sözü geçen birinci Taraf mutabık kalınan süre

dolduğunda adı geçen ikinci Tarafın ilgili standartlara hala uymadığını belirlerse, adı geçen birinci Taraf ICAO Genel Sekreterine bilgi verecektir. Genel Sekreter ayrıca adı geçen birinci Tarafça durumun bilahare tatminkâr çözümü hakkında bilgilendirilecektir.

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MADDE 6

Havacılık Güvenliği

1. Taraflar, uluslararası hukuka göre mevcut hak ve yükümlülüklerine uygun olarak, sivil havacılık güvenliğinin yasadışı müdahalelere karşı korunması amacıyla birbirlerine karşı üstlendikleri yükümlülüğün, bu Anlaşmanın ayrılmaz bir parçasını teşkil ettiğini teyit ederler. Taraflar, uluslararası hukuka göre mevcut haklarının ve yükümlülüklerinin genel niteliklerini kısıtlamaksızın, özellikle 14 Eylül 1963 tarihli, Hava Araçlarında İşlenen Suçlar ve Diğer Eylemlere ilişkin Tokyo Sözleşmesi, 16 Aralık 1970 tarihli Hava Araçlarının Yasadışı Yollarla Ele Geçirilmesinin Önlenmesine ilişkin Lahey Sözleşmesi, 23 Eylül 1971 tarihli Sivil Havacılık Güvenliğine Karşı İşlenen Suçların Önlenmesine ilişkin Montreal Sözleşmesi ve bunun eki protokolü olan 24 Şubat 1988 tarihli Uluslararası Sivil Havacılığa Hizmet Veren Hava Limanlarında Yasadışı Şiddet Eylemlerinin Önlenmesine ilişkin Montreal Protokolü ve Tarafların taraf oldukları sivil havacılık güvenliğine ilişkin diğer herhangi bir sözleşmeye ve protokole uygun hareket edeceklerdir.

2. Taraflar, sivil hava araçlarının yasadışı yollarla ele geçirilmesini önlemek, bu hava araçlarının, yolcularının ve mürettebatının, havaalanlarının ve hava seyrüsefer tesislerinin emniyetine karşı diğer yasadışı eylemleri ve sivil havacılığın güvenliğine ilişkin diğer herhangi bir tehdidi bertaraf etmek üzere, talep halinde birbirlerine gerekli her türlü yardımda bulunacaklardır.

3. Taraflar karşılıklı ilişkilerinde, , Uluslararası Sivil Havacılık Örgütü tarafından konulan ve Uluslararası Sivil Havacılık Sözleşmesine Ek olarak kabul edilen havacılık güvenliği hükümlerine uygun olarak hareket edeceklerdir. Taraflar, kendi tescilindeki hava aracı işletmecilerinin veya işyeri merkezi ülkelerinde bulunan veya ülkelerinde sürekli mukim olan hava aracı işletmecilerinin ve ülkelerindeki havaalanı işletmecilerinin söz konusu havacılık güvenliği hükümlerine uygun hareket etmelerini isteyeceklerdir. Her bir Taraf diğer Tarafı ulusal yönetmelik ve uygulamalar ile eklerdeki havacılık güvenlik standartları arasındaki herhangi bir fark hakkında bilgilendirecektir. Her bir Taraf karşı Tarafla bu farkları görüşmek üzere istediği zaman istişare talep edebilir.

4. Söz konusu hava aracı işletmecilerinden, bir Tarafın ülkesine giriş için, bu ülkesinden çıkış için veya bu ülkede kalınan süre zarfında bu Tarafça, yukarıdaki (3) paragrafta atıf yapılan havacılık güvenliği hükümlerine uymaları istenebilir. Taraflardan her biri, kendi ülkesinde hava araçlarının güvenliğinin sağlanması, yolcuların, mürettebatın el bagajlarının, genel bagajın, kargo ve hava aracı levazımatının bindirme veya yükleme öncesinde ve sırasında kontrolü amacıyla yeterli tedbirlerin alınmasını ve etkin şekilde uygulanmasını sağlayacaktır. Taraflardan her biri, özel bir tehdidin bertaraf edilmesi amacıyla diğer Tarafın makul özel güvenlik tedbirleri alınması yolunda yapacağı herhangi bir talebi olumlu şekilde dikkate alacaktır.

5. Sivil hava araçlarının yasadışı yollarla ele geçirilmesi olayı veya bu doğrultuda bir tehdidin olması veya hava araçlarına, yolcularına ve mürettebatına, havaalanlarına veya

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hava seyrüsefer tesislerine yönelik diğer yasadışı müdahalelerin meydana gelmesi halinde Taraflar, haberleşmede ve bu tür bir olayın veya olay tehdidinin süratli ve güvenli biçimde sona erdirilmesini amaçlayan diğer uygun tedbirlerin alınmasında kolaylık sağlayarak birbirlerine yardımcı olacaklardır.

6. Her bir Taraf uyarıyı takip eden 60 gün içinde (veya havacılık otoritelerinin anlaşmaları halinde daha kısa bir süre zarfında) ilk Tarafın kendi ülkesine veya kendi ülkesinden olan uçuşlarda diğer Tarafın hava aracı işletmecilerince uygulanan ya da uygulanması planlanan güvenlik tedbirleri için karşı Tarafın ülkesinde kendi havacılık otoriteleri için bir değerlendirme yapma hakkına sahiptir. Böyle bir değerlendirmenin yapılması için gerekli idari düzenlemeler havacılık otoritelerince ortak belirlenecek ve bu değerlendirmelerin hızlıca yapılması için gecikmeden uygulanacaktır.

7. Bir Tarafın, diğer Tarafın bu Maddenin hükümlerinden saptığına dair makul gerekçeleri olması halinde, ilk Taraf derhal istişare talep edebilir. Bu istişareler herhangi bir Tarafın talebinin ulaşmasından itibaren 15 gün içinde başlayacaktır. Müzakerelerin başlamasından sonra 15 gün içinde yeterli bir anlaşmaya varılmaması durumu, diğer Taraf tarafından tayin edilen havayolunun veya havayollarının yetkilerinin iptal edilmesi, geri alınması, durdurulması veya bunlara kayıt konmasına esas teşkil edebilir. Acil bir durumla açıklanabildiği zaman veya bu Maddenin hükümlerine daha fazla riayetsizliği önlemek için, ilk Taraf herhangi bir zamanda geçici bir önlem alabilir. Bu paragrafa uygun olarak alınan herhangi bir önlem, diğer Tarafın bu Maddenin güvenlik hükümlerine riayet etmesi ile birlikte ortadan kaldırılacaktır.

MADDE 7

Kullanıcı Ücretleri

1. Tarafların her biri, havalimanı, havalimanı çevresi, hava seyrüsefer ve havacılık güvenliği olanakları ve hizmetlerinden sorumlu olanları makul, ayrımcı olmayan ve kullanıcıların sınıfları arasında eşit dağılıma dayanarak kullanıcılardan ücret toplanması konusunda teşvik etmek için elinden gelenin en iyisini yapacaktır.

2. Makul ücretler, tesis ve hizmetleri sağlayan yetkili ücretlendirme otoritelerinin masraflarının tümünü yansıtır fakat bunları geçmeyecektir. Bunlar amortisman düşüldükten sonra varlıklar için makul bir geri dönümü içerebilir. Tesis ve hizmetler için konulan ücretler verimli ve ekonomik temellere dayanmalıdır. Ücretlerde ayrım gözetilmemesi için yabancı havayollarından toplanacak ücretler, bir Tarafın benzer uluslararası hizmetler veren kendi havayollarına uygulanandan yüksek olmayacaktır.

3. Taraflar ücretlerin makul, haklı ve bu Maddenin 1-2 paragraflarına uyumlu dağılımının yapılmasını sağlamak için yetkili ücretlendirme otoriteleri ve havayolları arasında gerekli olabilecek bilgi alışverişini teşvik edecektir.

4. Ücretlerin artırılması veya yeni ücret tahsili, yetkili ücretlendirme otoriteleri ve havayolları arasında yeterli istişareleri takiben olacaktır. Kullanıcıların görüşlerini

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belirtebilmesini teminen, kullanıcı ücretlerinde değişiklik amacıyla herhangi bir teklif için makul uyarı değişiklikler yapılmadan önce bildirilecektir.

MADDE 8

İstatistikler

1. Bir Tarafın havacılık otoriteleri, diğer Tarafın tayin edilen havayolundan bu Anlaşma çerçevesinde gerçekleştirilen hizmetlerde, o havayolu tarafından taşınan trafik ile ilgili istatistikî bilgileri talep edebilir.

2. Her bir Tarafın havacılık otoriteleri yukarıdaki paragraf uyarınca tayin edilen havayollarınca sağlanması gereken istatistiklerin mahiyetini belirleyebilir ve bu gereklilikleri ayrım gözetmeden uygulayacaktır.

MADDE 9

Gümrük Vergileri ve Diğer Harçlar

1. Her bir Tarafın havayollarınca uluslararası hava taşımacılığında işletilen hava araçları, ulusal otoritelerin koyduğu tüm ithalat sınırlamaları, gümrük vergileri, tüketim vergileri ve benzer ücret ve harçlardan muaf olacaktır. Yedek parçalar, normal hava aracı teçhizatı ve sadece hava araçlarının işletilmesi veya onarım, bakım ve hizmeti için kullanılması planlanan diğer kalemler, bu teçhizat ve kalemler sadece hava aracında kullanılması ve ülkeden çıkarılması kaydıyla benzer şekilde muaf olacaklardır.

2. a) Sözkonusu havayolunca uluslararası hava taşımacılığının kurulması ve

sağlanması amacıyla, her durumda hava aracının içerisinde kullanılmak kaydıyla, bir Tarafın ülkesine diğer Tarafın havayolunca getirilmiş veya bir Tarafın havayoluna diğer Tarafın ülkesinde tedarik edilmiş olsa da, aşağıdaki kalemler Tarafların ulusal otoritelerince konulan ithalat sınırlamaları, gümrük vergileri, tüketim vergileri ve benzer ücret ve harçlardan muaf olacaktır.

i. Hava aracı levazımatı (bunlarla sınırlı olmamak kaydıyla, yiyecek, içecek ve uçuş

esnasında yolculara satılacak ya da yolcularca kullanılacak ürünler gibi kalemler); ii. Yakıt, yağlama maddeleri (hidrolik sıvılar dahil) ve tüketilebilir teknik

malzemeler; ve iii. Motorlar dahil olmak üzere yedek parçalar.

b) Bu muafiyetler, söz konusu kalemler uçağa alındıkları diğer Tarafın ülkesi üzerinde olan yolculukların her hangi bir kısmında kullanılsa dahi uygulanacaktır.

3. Bu Madde altında sağlanan muafiyetlere, bir Tarafın havayoluna diğer Tarafın ülkesinde

sağlanan hizmetlerin masraflarına dayanan harçlar dâhil değildir.

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4. Bir Tarafın havayolunca hava aracının içinde hava aracının işletilmesi için kullanılan, normal hava aracı teçhizatı, yedek parçalar (motorlar dâhil) yakıt ikmalleri, yağlama yağları (hidrolik sıvılar dâhil) ve yağlayıcılar ile bu Maddenin 1. ve 2. paragraflarında belirtilen diğer kalemler, diğer Tarafın ülkesinde sadece o Tarafın gümrük otoritelerinin onayı ile indirilebilir. Havayolunun hizmetleri için kullanılması amaçlanan hava aracı levazımatı herhangi bir durumda indirilebilir. Bu Maddenin 1. ve 2. paragraflarında sözü geçen teçhizat ve malzemelerin ülke dışına çıkana kadar uygun otoritelerin gözetimi veya kontrolü altında tutulması gerekebilir veya o Tarafın uygun yasa ve mevzuatına uygun şekilde elden çıkarılabilir.

5. Bu Maddede sağlanan muafiyetler, bir Tarafın havayolu veya havayolları bu Maddenin 1.

ve 2. paragraflarında belirtilen kalemler için başka havayolu ya da havayollarıyla karşı Tarafın ülkesinde yükleme veya transfer için anlaşmaya yaptıysa, benzer şekilde diğer havayolu ya da havayollarına da diğer Tarafın bunları sağlaması şartıyla verilecektir.

MADDE 10

Ücret Tarifeleri

1. Her bir Taraf, trafiğin taşınması için her bir havayolunun kendi ücret tarifesini belirlemesine izin verecektir.

2. Ulusal yasa ve yönetmeliklerle zorunlu kılınmadıkça, havayollarınca belirlenen ücret tarifelerinin herhangi bir Tarafın havacılık otoritelerine bildirilmesi gerekmeyecektir.

3. Herhangi bir havacılık otoritesi diğer Tarafın havayolu tarafından sunulan ya da geçerli olan ücret tarifesinden memnuniyetsizlik duyarsa ve eğer herhangi bir otoriteden talep gelirse, havacılık otoriteleri konuyu istişareler yoluyla çözmek için elinden geleni yapacaktır. Hiçbir durumda, bir Tarafın havacılık otoritesi, diğer Tarafın havayolunun tarifesinin yürürlüğe girmesini veya devamını önlemek için tek taraflı bir harekette bulunmayacaktır.

MADDE 11

Kapasite

1. Bu Anlaşma çerçevesinde, her iki Tarafın havayolu işletmelerine, kendi ülkeleri arasında belirtilen hatlarda, mutabık kalınan hizmetleri işletmeleri için adil ve eşit imkân sağlanacaktır.

2. Sağlanacak olan kapasite ve yapılacak hizmetlerin frekansı, hizmetler başlamadan önce, Tarafların havacılık otoriteleri arasında karşılıklı olarak belirlenecektir. Başta kararlaştırılan bu kapasite ve hizmetlerin frekansı zaman zaman anılan otoritelerce gözden geçirilebilir ve değiştirilebilir.

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MADDE 12

Ticari Fırsatlar

1. Her bir Tarafın havayolları, diğer Tarafın ülkesinde şu haklara sahip olacaktır:

(a) Promosyon, satış ve hava ulaştırma idaresi için “offline” ofisler dahil, ofis açma hakkı, (b) Herhangi bir şahsa hava ulaştırma pazarlama ve satışlarını doğrudan ve kendi takdirine bağlı olarak, acenteleri veya arabulucuları vasıtasıyla, kendi ulaşım belgelerini kullanarak yapma hakkı, (c) Diğer Tarafın ülkesinde işletilen herhangi bir havayolunun, şirketin veya bir kuruluşun personelini ve hizmetlerini kullanma hakkı.

2. Bir Tarafın havayolları, diğer Tarafın giriş yapma, konaklama ve çalışmaya ilişkin yasa ve

yönetmeliklerine uygun olarak, hava ulaşımı hizmetleri sağlanması için makul ölçüde gerekli gördüğü, kendi idari, satış, teknik, işletmen ve diğer uzman personelini diğer Tarafın ülkesine getirme hakkına sahip olacaktır. Bu yasa ve yönetmeliklere uygun olarak, bu Maddede belirtilen temsilci ve personelin çalışma izinleri, vizeleri ve diğer ilgili evrakı en az gecikme ile verilecektir.

3. Her bir Tarafın tayin ettiği havayolları, yerel veya serbest çevrilebilir para birimi ile hava

ulaşım hizmeti satmakta, herhangi bir şahıs da bu hizmeti almakta özgür olacaktır. Her havayolu, fonlarını serbest çevrilebilir bir para birimine çevirmede ve diğer Tarafın ülkesinden transfer etmede serbest olacaktır. Diğer Tarafın ulusal yasalarına, yönetmeliklerine ve politikalarına tabi olarak, işletme esnasında elde edilen gelirleri talep tarihinde yabancı para pazarındaki oranlar üzerinden çevirme ve ülkesine transfer etme hakkına sahip olacaktır. Sözü geçen çevirme ve transfer için normal olarak alınan ücret dışında herhangi bir ücrete tabi tutulmayacaktır.

4. Her bir Tarafın havayolları tercihine göre diğer Tarafın ülkesinde, yakıt alımı dâhil

yaptığı yerel harcamalarda, yerel para birimiyle veya yerel döviz mevzuatı izin verdiği takdirde, serbestçe çevrilebilir başka bir dövizle ödeme yapabilecektir.

5. (a) Uluslararası hava taşımacılığının yapılmasında, her bir Tarafın havayolları, Ek 1’de

belirtilen güzergâhların tamamında ya da bir kısmında kendi ülke havayolları ve üçüncü ülke havayolları da dâhil, herhangi bir havayolu ile pazarlamacı ve/veya taşıyıcı havayolu olarak kod paylaşımı, bloke edilmiş koltuk veya diğer işbirliğine dayalı pazarlama anlaşmaları yapabilirler. İşbu Maddenin 5 (c) paragrafına tabi olarak, bu tür anlaşmalar yapan havayolları ilgili hatlarda ve sektörlerde uluslararası hava taşımacılığı gerçekleştirmek için uygun yetki veya yetkilere sahip bulunmalıdır.

(b) Tarafların havacılık otoriteleri tarafından karşılıklı olarak aksi kararlaştırılmadıkça, her iki Taraf havayolları tarafından da belirlenip satışa sunulabilecek olan kapasite ve

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hizmet frekansları, pazarlamacı havayolu olarak kod paylaşımı yapılırken bu Anlaşma altında herhangi bir sınırlamaya tâbi değildir.

(c) Bir Tarafın havacılık otoritesi, diğer Tarafın bir havayoluna, üçüncü tarafların havayolları tarafından gerçekleştirilecek seferlerde ortak uçuş hizmetleri için verilen kod paylaşımı iznini, ilgili üçüncü taraf havayollarının, pazarlayan havayolunun kodu altında, birinci Taraftan yolcu taşımaya hakkı olmadığı gerekçesiyle geri alamaz,

(d) Her bir Tarafın havayolları, diğer Tarafın ülkesinde yapılan iç hat uçuşlarında ortak uçuş hizmetlerini, bu hizmetlerin uluslararası seyahatlerin bir kısmını oluşturması şartıyla pazarlayabilir.

(e) Her bir Tarafın havayolları, uluslararası hava taşımacılığını pazarlarken, seyahatin her bir sektöründe hangi havayolunun taşıyıcı havayolu olduğunu ve alıcının hangi havayolu veya havayolları ile bir sözleşme ilişkisi kurduğunu satış noktasında açıklamalıdır.

(f) Herhangi bir Tarafın pazarlamacı havayolu olarak tayin edilen havayolu tarafından sağlanan ortak uçuş hizmetleri, pazarlamacı havayolunu tayin eden Tarafın kapasite hakkından sayılmayacaktır.

6. (a) Bir Tarafın tayin edilen havayolu veya havayolları, karşılıklılık ilkesi temelinde,

ülkesinde bulunduğu diğer Tarafın milli mevzuat ve yönetmeliklerine uygun olmak kaydıyla, kendi belirleyeceği yer hizmetlerini verebilir. Bir Tarafın yer hizmetleri, milli mevzuat ve yönetmelikler gerektirdiği takdirde, tamamen ya da kısmen, bu Tarafın otoritelerince yetkilendirilmiş herhangi bir acente vasıtasıyla sağlanabilir.

(b) Yukarıda belirtilen hakların ifası yalnızca havaalanı emniyeti veya güvenliği mülahazaları ile ortaya çıkan fiziki ve operasyonel sınırlamalara tabidir. Herhangi bir sınırlama, aynı sınırlamaya aynı anda maruz kalan benzer uluslararası hava hizmetleri yapan en elverişli anlaşma koşullarının uygulandığı herhangi bir havayolundan daha az elverişli olmayan koşullarda ve eşit olarak uygulanır.

7. İşletilen hava aracı ve mürettebat uygulanabilir güvenlik standartlarına ve gerekliliklerine

uyduğu müddetçe, her bir Tarafın havayollarına, diğer havayolları dâhil, herhangi bir şirketten kiralanmış hava aracı (veya hava aracı ve mürettebat) ile uluslararası hava ulaşımında bulunma izni verilecektir.

8. Taraflar, her bir Tarafın havayollarının bu Anlaşma çerçevesinde belirlenen hakların ve

yetkilerin işlerlik kazanabilmesi için her bir Tarafın havayolları diğer Tarafın ülkesindeki karşılıklı olarak belirlenen havalimanlarına ayrım gözetilmeksizin giriş yapabilecektir.

9. Kendi ulusal hava alanlarında havayollarına slot tahsis ederken, her bir Taraf:

(a) yürürlükte olan veya başka bir şekilde izin verilmiş yerel slot tahsis kuralları,

prosedürleri veya uygulamaları uyarınca, diğer Tarafın havayollarına da (i) slotları temin ederken eşit ve adil fırsat tanıyacak ve,

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(ii) slotların temininde diğer havayollarına uygulanandan daha az elverişli durumlar yaratmayacaktır.

(b) herhangi bir üçüncü taraf ile, bu tarafın havayollarına slot tahsisine ilişkin olarak

herhangi bir düzenleme, usul veya uygulama durumunda, veya başka bir şekilde yabancı bir havayolu veya havayollarına izin verilmesi durumunda, bu olanaklar diğer Tarafın havayollarına da tanınacaktır.

10. Bu Maddenin 9. paragrafındaki hükümler Tarafların kendi ulusal havaalanlarındaki slot tahsisi için konulan kanun ve düzenlemelere tabi olacaktır.

MADDE 13

Rekabet

1. Zaman zaman değişikliğe uğrayan her bir Tarafın rekabet kanunu, ilgili Tarafın kendine ait olan selahiyet alanı içinde işletilen havayollarına uygulanacaktır. Bu yasalar izin verdiğinde, bir Taraf veya bu Tarafın rekabet otoritesi, havayolları arasındaki ticari anlaşmaları, yerel rekabet yasasının uygulanmasından tek taraflı olarak bağışık tutabilir. Bu durum, bir Tarafı ya da Tarafın rekabet otoritesini karşılıklı olarak bağışıklık sağlamaya zorunlu bırakmaz.

2. Rekabet ve tüketici yasasının uygulanmasını herhangi Tarafça sınırlandırmaksızın,

herhangi bir Tarafın havacılık otoriteleri, herhangi bir havayolu işletmesinin diğer Tarafın ülkesinde adaletsiz ve ayrımcı bir tutuma maruz kaldığını düşündükleri takdirde, diğer Tarafın havacılık otoritelerine ihtarda bulunabilirler. Birinci Tarafın, durumun bu esnada çözüldüğünden tatmin olmaması durumunda ihtar verilmesinin hemen ardından havacılık otoriteleri istişarede bulunacaklardır.

3. Bu Maddede belirtilen istişarelerin yürütülmesi aşamasında Taraflar:

(a) Eylemlerini ilgili otoriteler eliyle koordine edecek; (b) Genel rekabet ve tüketici yasasıyla uyumlu, eylemin hedeflerini başarıya götürecek alternatif yollar üretecek;

(c) Diğer Tarafın görüşlerini ve yine diğer Tarafın uluslararası anlaşmalardaki yükümlülüklerini göz önünde bulunduracaktır.

4. Yukarıdaki 1. ila 3. paragraflardaki hükümlere aykırı olmadığı sürece, bu Madde,

Taraflardan herhangi birinin rekabet otoritelerinin ya da havayolu işletmelerinin tek taraflı eylemlerini kısıtlayamaz.

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MADDE 14

İstişare Ve Değişiklikler

1. Yakın bir işbirliği anlayışı içerisinde, Tarafların havacılık otoriteleri bu Anlaşma ve Ekinin hükümlerinin uygulanmasını ve bunlara tatmin edici uyum sağlamak amacıyla zaman zaman aralarında danışmalarda bulunacaklardır.

2. Taraflardan herhangi biri, bu Anlaşma ve Ekinin herhangi bir hükmünün değiştirilmesini

arzu etmesi halinde, diğer Taraftan istişare talep edebilir; Madde 2 (Tayin, Yetkilendirme ve İptal Etme), Madde 5 (Emniyet) ve Madde 6 ‘ya (Havacılık Güvenliği ) tabi olarak, havacılık otoriteleri arasında yapılabilecek olan görüşme ya da yazışma yoluyla olabilecek olan bu istişare aksi karşılıklı olarak kararlaştırılmadıkça talep tarihinden itibaren altmış (60) gün içinde başlayacaktır.

3. Bu suretle Anlaşmaya varılan değişiklikler bu değişikliklerin yürürlüğe girmesi için

gereken yasal prosedürün tamamlandığını belirten diplomatik notaların teatisi ile teyit edildiklerinde yürürlüğe girecektir.

MADDE 15

Arabuluculuk Süreci ve Uyuşmazlıkların Çözümü

1. Bu Maddenin 1-7 paragraflarında belirtilen kuralların, ulusal rekabet kanunlarının uygulanması veya ücret tarifelerine ilişkin uyuşmazlıkların haricinde Tarafların uyuşmazlığa dostça bir çözüm aradığında uygulanarak uyuşmazlığın arabulucuya arz edilmesi konusunda mutabık kalınmıştır. Taraflar, uyuşmazlıkta herhangi bir zamanda bu Maddenin içerdiği kuralları değiştirme, dışarıda tutma veya ilave etme konusunda anlaşabilirler. Arabuluculuğu başlatan Taraf bu Maddeye göre diğer Tarafa arabuluculuk için yazılı bir çağrı göndermelidir. Arabuluculuk, arabuluculuğu başlatan Tarafça diğer Tarafın arabuluculuk teklifini kabul ettiğini bildiren yazılı belgenin alınmasından sonra başlayacaktır.

2. Taraflar iki veya üç arabulucu konusunda anlaşmadığı sürece bir arabulucu olacaktır. Bir

arabulucudan fazla varsa, genel kural olarak, tüm arabulucular ortaklaşa davranacaklardır.

Uyuşmazlığın Tarafları, arabulucu veya arabulucuları tercihen ICAO tarafından tutulan uygun niteliklere sahip havacılık uzmanları listesinden seçmeye gayret edeceklerdir. Arabulucuların atanması 1.paragrafta belirtilen bildirimin alınmasından sonraki 21 gün içinde tamamlanacaktır. Eğer Taraflar bu süre içinde arabulucunun veya arabulucuların atanmasında anlaşamazlarsa, arabuluculuğu başlatan Taraf, diğer Tarafa ilettiği bildirimle arabuluculuk sürecini bitirebilir veya ICAO’ nun Konsey Başkanından atama yapmasını talep edebilir.

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3. Arabulucu Tarafları dinlemeli, iddialarını incelemeli ve dostça bir çözüme ulaşılması için

Taraflara önerilerde bulunmalıdır. Arabulucu uyuşmazlığın dostça çözülmesini kolaylaştıracak tedbirleri Tarafların dikkatine getirebilir.

4. Taraflar iyi niyet çerçevesinde arabulucu ile işbirliği yapacak ve özellikle arabulucu

tarafından istenen yazılı materyalleri sunma, delilleri verme ve toplantılara katılma hususundaki taleplerine uymaya gayret etmelidirler.

5. Arabulucunun ücreti uyuşmazlığın Tarafları arasında eşit olarak paylaşılacaktır.

6. Bu mekanizma, istişare sürecinin kullanımına, bunu müteakip tahkime veya 16. Maddede amir sona erme sürecine halel getirmeden işleyecektir.

7. Arabuluculuk süreci, uyuşmazlık çözüldüğünde veya uyuşmazlığın Taraflarından birinin

diğer Tarafa yazılı olarak arabuluculuğu bitirdiğini bildirmesi ile sona erer.

8. Taraflar arasında; ücret tarifeleri veya ulusal rekabet yasalarının uygulanması dışında, bu Anlaşmanın yorumlanması veya uygulanması ile ilgili, istişare yoluyla veya bu Maddeye uygun olarak mutabık kalındığı takdirde arabuluculuk yoluyla çözülemeyen bir uyuşmazlığın çıkması durumunda, herhangi bir Tarafın talebi üzerine tahkime başvurulacaktır.

9. Taraflardan her biri, Taraflardan birinin ötekinden uyuşmazlığın tahkimini isteyen bir ihbarı diplomatik yoldan aldığı tarihten itibaren otuz (30) gün içinde bir hakem tayin edecektir. Son olarak tayin edilen hakemin tayin edilmesinden itibaren 30 gün içinde, bu iki hakem, üçüncü bir ülkenin uyruğunda bulunan bir hakemi başkan olarak tayin edecektir. Taraflardan herhangi biri diğerinin hakeminin tayin edilmesinden itibaren otuz (30) gün içerisinde bir hakem tayin etmezse veya üçüncü hakem ikinci hakemin tayin edilmesinden itibaren 30 gün içinde tayin edilmezse, Taraflardan herhangi biri ICAO Konsey Başkanından durumun gereğine göre, bir veya daha fazla hakem tayin etmesini isteyebilir. Konsey Başkanının Taraflardan birinin uyruğundan olması durumunda, en kıdemli Başkan Yardımcısı, aynı nedenle ehliyetsiz değilse, tayini yapacaktır.

10. Taraflarca aksi kararlaştırılmadıkça veya tahkim heyetince öngörülmedikçe, tahkim

heyetinin tam olarak oluşturulmasından otuz (30) gün sonra her iki Taraf da bir muhtıra takdim edeceklerdir. Yanıtlar otuz (30) gün içinde verilecektir. Yanitlarin verilmesi gereken surenin tamamlanmasindan sonraki otuz(30) gün içinde tahkim heyeti, her iki Tarafın talebine göre veya kendi isteğine bağlı olarak bir oturum gerçekleştirecektir.

11. Oturumun tamamlanmasının ardından veya oturum yapılmadı ise her iki Taraftan da

yanıtların alınmasının ardından otuz (30) gün içinde, mahkeme yazılı bir karar vermeye çalışacaktır. Bu karar çoğunluğun oyu ile alınacaktır.

12. Karara açıklık getirilmesi ile ilgili olarak Taraflar kararın alınmasından sonraki on beş

(15) gün içinde bir talepte bulunabilirler, böyle bir talebi müteakiben sonraki on beş (15)

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gün içinde ise karara ilişkin açıklama verilecektir.

13. Tahkim heyeti kararı nihai karar olup, anlaşmazlığın Tarafları üzerinde bağlayıcı olacaktır.

14. Tahkim masrafları her iki Tarafa eşit olarak bölünecektir.

15. Taraflardan biri bu Maddenin 13. paragrafına göre alınan kararlara uygun hareket

etmediği takdirde ve sürece, diğer Taraf bu Anlaşma şartlarına uygun olarak tanıdığı hak ve imtiyazları sınırlayabilir, askıya alabilir ya da iptal edebilir.

Madde 16 Sona Erme

1. Taraflardan her biri, bu Anlaşmaya son verme kararını her zaman diğer Tarafa yazılı

olarak bildirebilir. Bu bildirim eş zamanlı olarak Uluslararası Sivil Havacılık Örgütüne (ICAO)’ne da ulaştırılacaktır. Anlaşma, Tarafların daha önceden bildirimi karşılıklı olarak geri çekmemeleri halinde, bildirimin alındığı günün ilk yıldönümünden hemen önceki (bildirimin alındığı Tarafın ülkesindeki) gece yarısı sona erecektir.

2. Diğer Tarafça son verme bildiriminin alındığı teyit edilmezse, söz konusu bildirim ICAO’nun bildirimi aldığını teyit ettiği tarihten on dört (14) gün sonra alınmış sayılacaktır.

MADDE 17 ICAO Tescili

Bu Anlaşma ve buna dair tüm değişiklikler, Uluslararası Sivil Havacılık Örgütü nezdinde tescil ettirilecektir.

MADDE 18 Hava Taşımacılığına İlişkin Çok Taraflı Anlaşmalara Uyum

Bu Anlaşma ve Eki Taraflar için bağlayıcı olabilecek hava taşımacılığına ilişkin çok taraflı herhangi bir uluslararası sözleşmeye uyabilecek şekilde değiştirilecektir.

MADDE 19

Başlıklar

Madde başlıkları bu Anlaşmaya sadece müracaat ve kolaylık amacıyla konulmuştur. Başlıklar hiçbir suretle bu Anlaşmanın maddelerinin kapsamını tanımlamaz veya kısıtlamaz.

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MADDE 20

Yürürlüğe Giriş

Bu Anlaşma, Tarafların her birinin ilgili gerekliliklerin yerine getirildiğine dair birbirlerine diplomatik nota teatisinde bulunmalarını müteakip yürürlüğe girecektir.

Yukarıdakileri tasdiken aşağıda imzaları bulunan ve Hükümetleri tarafından usulünce yetkilendirilmiş olan temsilciler işbu Anlaşmayı imza etmişlerdir. Ankara’da 2010 yılı Nisan ayının yirmi sekizinci gününde, İngilizce ve Türkçe dillerinde, her iki metin de aynı derece muteber olmak ve ihtilaf halinde İngilizce metin esas sayılmak üzere, tanzim edilmiştir.

Avustralya Hükümeti adına HE Mr Peter Doyle Avustralya’nin Ankara Bükükelçisi

Türkiye Cumhuriyeti Hükümeti adına Dr Ali Ariduru Sivil Havacilik Genel Müdürü

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Ek 1

Bölüm 1

YOL GÜZERGAHI

Her iki Tarafça tayin edilen havayolu işletmelerinin her iki yönde aşağıdaki uluslararası hava taşımacılığını yapmaya hakkı olacaktır:

Türkiye Cumhuriyeti’nin tayin ettiği havayolunun hattı:

Türkiye‘den Ara Noktalar

Avustralya‘da Ileri Noktalar

Herhangi bir

nokta

Herhangi bir nokta Herhangi bir nokta Herhangi bir

nokta

Avustralya’nın tayin ettiği havayolunun hattı:

Avustralya‘dan

Ara Noktalar

Türkiye ‘de

Ileri Noktalar

Herhangi bir nokta

Herhangi bir nokta Herhangi bir nokta Herhangi bir nokta

Notlar :

1. Yukarıdaki hatlardan herhangi birisindeki noktalar, hizmetin başlangıç veya sona erme noktasının ilgili havayolu işletmesinin esas iş merkezinin bulunduğu ülkede olması şartıyla, kargo hizmetleri hariç, tayin edilen havayolu işletmesinin tercihi ile yukarıdaki hatlardan herhangi birinde kullanılmayabilir.

2. Yukarıda belirtilen ara ve öte noktalarda kullanılan trafik hakları, zaman zaman havacılık

otoriteleri tarafından ortaklaşa belirlenebilir.

3. Diğer Tarafın ülkesindeki noktalar arasında her bir Tarafın tayin edilmiş havayolu yalnızca kendi dur-kalk hakkını icra edebilir.

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20

Bölüm 2

OPERASYONEL ESNEKLİK

Bu Ek’in 1. bölümüne tabi olarak her bir Tarafın tayin edilen havayolları, her bir havayolunun isteğine göre, bu anlaşma çerçevesinde izin verilen herhangi bir trafik taşıma hakkını kaybetmeksizin ve herhangi bir yön veya coğrafi sınırlandırılma olmaksızın hizmetlerin herhangi biri veya hepsinde:

(a) tek veya her iki istikamette hizmet verebilir;

(b) bir hava aracı operasyonunda farklı sefer sayılarını birleştirebilir;

(c) hat üzerindeki herhangi bir noktada bir hava aracından diğerine trafik transferinde

bulunabilir.

Bölüm 3

UÇAK DEĞİŞİKLİĞİ

Bu Ek’in 1. bölümündeki hatların herhangi bir sektörü veya sektörleri üzerinde, herhangi bir havayolu, hat üzerindeki herhangi bir noktada veya noktalarda, diğer havayollarıyla kod paylaşım düzenlemeleri dâhil, hava aracının tipi, büyüklüğü ve sayısında kısıtlama olmaksızın, uluslararası hava taşımacılığı yapmaya yetkili olacaktır.

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National Interest Analysis [2010] ATNIA 57

with attachment on consultation

Air Services Agreement between the Government of Australia and the Government of the Republic of Turkey,

done at Ankara on 28 April 2010

[2010] ATNIF 37

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NATIONAL INTEREST ANALYSIS: CATEGORY 2 TREATY

SUMMARY PAGE

Air Services Agreement between the Government of Australia and the Government of the Republic of Turkey,

done at Ankara on 28 April 2010 [2010] ATNIF 37

Nature and timing of proposed treaty action 1. The treaty action proposed is to bring into force the Air Services Agreement between the Government of Australia and the Government of the Republic of Turkey (the Agreement). 2. The Agreement was signed on 28 April 2010. 3. Pursuant to Article 20, the Agreement will enter into force when the Parties have notified each other in writing that their respective requirements for the entry into force have been satisfied. Subject to the Joint Standing Committee on Treaties’ (JSCOT) issuing a report recommending the treaty action, the Australian Government will provide its notification to the Government of the Republic of Turkey (Turkey) after the Agreement has been tabled in both houses of Parliament for 15 sitting days. 4. The Agreement will establish for the first time a treaty level air services relationship between Australia and Turkey. It will allow the respective airlines of Australia and Turkey to develop international air services between the two countries. 5. The Agreement was preceded by aviation arrangements of less than treaty status, in the form of Memorandums of Understanding (MOUs) signed in 2006 and 2010. In accordance with established Australian and international practice these MOUs applied the provisions of the Agreement on a non-legally binding basis until the Agreement enters into force. Overview and national interest summary 6. The purpose of this Agreement is to provide a binding legal framework to support the operation of air services between Australia and Turkey. The Agreement will facilitate trade and tourism between the two countries and will provide greater opportunities for airlines to develop expanded air travel options for consumers.

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Reasons for Australia to take the proposed treaty action 7. This Agreement grants access for Australian airlines to the Turkish aviation market and allows for the establishment of air services between the two countries. The Agreement will enable Australian and Turkish airlines to establish services between any point in Australia and any point in Turkey, based on capacity levels decided from time to time between the aeronautical authorities of the Parties. 8. Australian travellers and Australian businesses, particularly in the tourism and export industries, will benefit from this Agreement through the opening of increased opportunities. Obligations 9. Australia and Turkey are both Parties to the Convention on International Civil Aviation ([1957] ATS 5) (the Chicago Convention), which opened for signature at Chicago on 7 December 1944. The Agreement was made in accordance with and pursuant to the Chicago Convention. 10. The Agreement obliges Australia and Turkey to allow designated airlines of each country to operate scheduled air services carrying passengers and cargo between the two countries on specified routes in accordance with the provisions of the Agreement. To facilitate these services, the Agreement also includes reciprocal provisions on a range of aviation-related matters such as safety, security, customs regulations, user charges and the commercial aspects of airline operations, including the ability to establish offices in the territory of each Party and to sell fares to the public.

11. Article 2 of the Agreement grants each Party the right to designate as many airlines as it wishes to operate air services between the two Parties within the agreed capacity, provided that, amongst other things, the airline is incorporated and has its principal place of business in the territory of the Party designating it. Either Party has the right to revoke or limit the operating authorisations of any airline that fails to meet certain conditions including conditions for ownership, principal place of business, safety or security as outlined in the Agreement.

12. Under Article 3 of the Agreement, each Party grants airlines of the other Party the right to fly across its territory without landing and to make stops in its territory for non-traffic purposes. Article 3 also provides the right for designated airlines to operate services on routes specified in the Route Schedule for the purpose of taking on board and discharging passengers, cargo and mail.

13. Article 4 of the Agreement confirms the application of local laws, regulations and rules relating to the admission to or departure from its territory of passengers, crew and cargo, as well as the operation and navigation of aircraft when entering, within or leaving the territory of that Party. Article 4 applies each Party’s laws and regulations relating to, for example, aviation security, immigration, immigration and customs to the passengers, crew, baggage, cargo and mail carried by the aircraft. In applying their laws, the Parties are prevented from giving preference to its own or to any other airline. Article 4 also requires the Parties to allow passengers, baggage or cargo in direct transit through the territory of the other Party to be subject to examination for customs or security purposes.

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14. Under Article 5, each Party shall recognise certificates of airworthiness, competency and licences issued or rendered valid by the other Party, provided the standards under which such documents were issued conform to the standards established by the International Civil Aviation Organization (ICAO). This requirement does not apply to the Party’s own nationals or to its registered aircraft by the other Party. Each Party may request consultations with the other Party at any time concerning the safety standards maintained by the other Party. If required, the other Party shall be informed of necessary actions to be undertaken to conform with the minimum safety standards. Each Party is authorised to search an aircraft of the other Party while in their own territory, provided that the search does not cause unreasonable delay in the operation of the aircraft. Each Party is entitled to suspend the operating authorisation of the other Party’s airlines if they consider urgent action is required to ensure the safety of airline operation. In the event of non-compliance, the complaining Party should advise the Secretary-General of the ICAO.

15. Under Article 6, both Parties are required to protect the security of civil aviation against acts of unlawful interference and, in particular, to act in conformity with multilateral conventions relating to aviation security. A Party may require the designated airlines of the other Party to observe the Party’s aviation security provisions for entry into, departure from or while within the territory of that Party and shall ensure that adequate measures are applied to protect the aircraft and to inspect passengers, crew, carry-on items, baggage, cargo and aircraft stores prior to and during boarding or loading. The Parties shall assist each other in the event of an incident or threat of an incident. Each aeronautical authority may request to conduct a security assessment in the other Party’s territory. Such assessments are to be conducted in accordance with arrangements agreed between the aeronautical authorities without delay. 16. Article 7 requires that each Party encourage those responsible for airport, airport environmental, air navigation and aviation security facilities and services to not levy charges that are unreasonable, inequitable or discriminatory.

17. Under Article 8 provides that a Party may request statistics from the other Party’s designated airlines.

18. Article 9 lists the equipment and stores used in the operation of the agreed services that the Parties are required, in accordance with international practice, to exempt from import restrictions, customs duties, excise taxes and similar fees and charges.

19. Article 10 allows designated airlines to set their own fares, and provides that airlines do not need to file fares with either Party for approval unless required by national laws and regulations. Parties must endeavour to settle disagreements as to fares levels through consultations.

20. Under Article 11, both Parties are obliged to ensure that there is a fair and equal opportunity for the designated airlines of both Parties to operate the agreed services. The capacity that can be operated between the two countries shall be decided between the aeronautical authorities before the services commence; capacity may be reviewed and revised from time to time by the authorities. The capacity was initially settled in an MOU signed in

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January 2010, as specified in paragraph 5 above. These capacity arrangements are intended to continue once the Agreement enters into force.

21. Article 12 provides a framework that allows designated airlines of one Party to conduct business in the territory of the other Party. The framework includes provisions allowing designated airlines to establish offices, bring in and employ their own staff, sell and market air transportation to the public, freely convert and move currency, perform its own ground handling and utilise leased aircraft which meet all applicable operating and safety standards. Designated airlines may also enter into code share arrangements with any other appropriately authorised airline. All business must be conducted in accordance with local laws and regulations. Each Party is required to provide the airlines of the other Party with access to airports and the allocation and grant of time slots on a non-discriminatory basis and in accordance with local laws and regulations.

22. Article 13 confirms that the competition laws of each Party apply to the activities of designated airlines within their respective jurisdictions. Consultations may occur if one Party considers their airlines are subject to unfair practices in the territory of the other Party. When undertaking consultations on matters of discrimination and unfair practice, both Parties are required to coordinate their actions with relevant authorities, consider alternative options and take into account the views and international obligations of the other Party.

23. Article 14 provides that each Party may request consultations on the implementation, compliance or amendments to the Agreement. 24. Article 15 provides for dispute resolution, including an option for mediation. Any dispute between the two Parties, with the exception of any disputes concerning air fares or the application of national competition laws, which cannot be settled through mediation shall, at the request of either Party, be submitted to an arbitral tribunal. Awards of the arbitral tribunal are binding. If and for so long as a Party fails to comply with an award, the other Party may limit, suspend or revoke any rights or privileges granted pursuant to the Agreement.

25. The Annex to this Agreement contains a route schedule which specifies the routes that may be operated by designated airlines.

Implementation

26. The Agreement is to be implemented through existing legislation, including the Air Navigation Act 1920 and the Civil Aviation Act 1988. The International Air Services Commission Act 1992 provides for the allocation of capacity to Australian airlines. No amendments to these Acts or any other legislation are required for the implementation of the Agreement. Costs 27. No direct financial costs to the Australian Government are anticipated in the implementation of the Agreement. There are no financial implications for State or Territory Governments.

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Regulation Impact Statement 28. The Office of Best Practice Regulation, Department of Finance and Deregulation, has been consulted and confirms that a Regulation Impact Statement is not required.

Future Treaty Action

29. Article 14 provides for consultations between the Parties. Any amendments to the Agreement following consultation will come into force when both Parties have notified each other by diplomatic note that their requirements for entry into force of the amendments have been met. 30. Any amendment to the Agreement will be subject to Australia’s domestic treaty-making process, including tabling in Parliament and consideration by JSCOT. Withdrawal or denunciation 31. Article 16 provides for termination of the Agreement. Either Party may give notice in writing at any time to the other Party of its decision to terminate the Agreement and must also lodge a notice of termination with ICAO. The Agreement shall terminate one year after the date of receipt of the notice of termination by the other Party, unless the notice is withdrawn by the mutual determination of both Parties before the termination date. 32. Any notification of withdrawal from the Agreement by Australia will be subject to Australia’s domestic treaty-making process, including tabling in Parliament and consideration by JSCOT.

Contact details Aviation Industry Policy Branch Aviation and Airports Business Division Department of Infrastructure and Transport

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ATTACHMENT ON CONSULTATION

Air Services Agreement between the Government of Australia and the Government of the Republic of Turkey,

done at Ankara on 28 April 2010 [2010] ATNIF 37

CONSULTATION 33. It is the practice ahead of air services negotiations for the Department of Infrastructure and Transport to consult government and non-government bodies that may have an interest in the outcome and to take into account their views in developing a negotiating position for the Minister’s approval. 34. Prior to the negotiation of the Agreement, extensive consultations were held with industry and Commonwealth and State and Territory government agencies. The following stakeholders were advised by letter and/or email of the proposal to negotiate an Agreement between Australia and Turkey and invited to comment on issues of importance to them:

Commonwealth Government Agencies

Attorney-General's Department Austrade Australian Competition and Consumer Commission Australian Customs and Border Security Service Australian Quarantine and Inspection Service Civil Aviation Safety Authority Department of Finance and Deregulation Department of Foreign Affairs and Trade Department of Immigration and Citizenship Department of Resources, Energy and Tourism Department of the Prime Minister and Cabinet Department of the Treasury International Air Services Commission Tourism Australia

State Government Agencies

ACT Government Chief Minister's Department Department of Primary Industries and Resources of South Australia NSW Government Department of State and Regional Development NSW Ministry of Transport NT Government Department of Planning and Infrastructure Qld Government Aviation Secretariat SA Government Department for Transport, Energy & Infrastructure Tas Government Department of Infrastructure, Energy and Resources Tourism New South Wales Tourism NT Tourism Queensland

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Tourism Tasmania Tourism Victoria Tourism Western Australia Vic Government Department of Infrastructure Vic Government Department of Innovation, Industry and Regional Development WA Government Department of Transport

Industry

Adelaide Airport Limited Air Freight Council of NSW Inc Air Freight Council of Queensland Ltd Alice Springs Airport Pty Ltd Association of Australian Convention Bureaux Australian Airports Association Australian and International Pilots Association Australian Capital Tourism Australian Federation of International Forwarders Ltd Australian Federation of Travel Agents (AFTA) Australian Local Government Association Australian Tourism Export Council Australia's North West Tourism Avalon Airport Australia Pty Ltd Aviation and Tourism Management Pty Ltd Aviation Australia Board of Airline Representatives of Australia Brisbane Airport Corporation Ltd Broome International Airport Holdings Burnie Airport Burnie Airport Corporation Pty Ltd Cairns International Airport Canberra International Airport Chamber of Commerce Northern Territory Essendon Airport Gold Coast Airport Ltd Hobart International Airport Launceston Airport Melbourne Airport Mildura Airport Moorabbin Airport National Food Industry Strategy Ltd National Jet Systems Pty Ltd National Tourism Alliance Newcastle Airport Ltd Northern Territory Airports Pty Ltd Overnight Airfreight Operators Association Perishables Taskforce to the Victorian Airfreight Council Perth Airport Queensland Airports Ltd Queensland Tourism Industry Corporation

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Queensland Transport Regional Aviation Association of Australia South Australia Freight Council Inc SkyAirWorld South Australian Tourism Commission Sydney Airport Corporation Ltd Tasmanian Freight Logistics Council Tourism and Transport Forum (TTF) Australia Tourism Task Force Tourism Top End Tourism Tropical North Queensland Townsville Airport Townsville Enterprise Ltd Virgin Blue WA Tourism Commission

35. Comments were received from: Australian Customs and Border Protection Service, the Department of Immigration and Citizenship, the Northern Territory Government, Qantas, the Department of Resources, Energy and Tourism, the South Australian Department for Transport, Energy and Infrastructure, Sydney Airport Corporation Ltd, the Department of the Treasury and Tourism Victoria. 36. All stakeholders were broadly supportive toward negotiations of a new Agreement to open market access for designated airlines of both Parties. 37. The NT Government indicated they would like adequate code sharing and interline provisions for designated airlines to be included in the Agreement. 38. Qantas were supportive of negotiations and were seeking to negotiate arrangements for reciprocal third country code sharing, fifth freedom rights and aircraft leasing. 39. The Department of Resources, Energy and Tourism were focussed on the impact that the negotiations could have on potential growth in the inbound tourism market from Turkey, and were supportive of the most liberal arrangements possible. 40. The South Australian Department for Transport, Energy and Infrastructure indicated they would like full bilateral third country code sharing and the Regional Benefits Package to be included. 41. The Sydney Airport Corporation were focussed on the possibility of an unrestricted capacity Agreement, with market factors to determine potential routes for designated carriers. 42. The Department of the Treasury indicated they would like to see enhanced competition through many designated airlines and flexible arrangements for code sharing.

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DEPARTMENT OF FOREIGN AFFAIRS AND TRADE CANBERRA

PROTOCOL OF 2002 TO THE OCCUPATIONAL SAFETY AND HEALTH CONVENTION, 1981

(Geneva, 3 June 2002)

Not yet in force [2010] ATNIF 47

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PROTOCOL OF 2002 TO THE OCCUPATIONAL SAFETY AND HEALTH

CONVENTION, 1981

The General Conference of the International Labour Organization, Having been convened at Geneva by the Governing Body of the International Labour Office, and having met in its 90th Session on 3 June 2002, and Noting the provisions of Article 11 of the Occupational Safety and Health Convention, 1981, (hereinafter referred to as “the Convention”), which states in particular that:

(c) the establishment and application of procedures for the notification of occupational accidents and diseases, by employers and, when appropriate, “To give effect to the policy referred to in Article 4 of this Convention, the competent authority or authorities shall ensure that the following functions are progressively carried out: … insurance institutions and others directly concerned, and the production of annual statistics on occupational accidents and diseases; … (e) the publication, annually, of information on measures taken in pursuance of the policy referred to in Article 4 of this Convention and on occupational accidents, occupational diseases and other injuries to health which arise in the course of or in connection with work”, and

Having regard to the need to strengthen recording and notification procedures for occupational accidents and diseases and to promote the harmonization of recording and notification systems with the aim of identifying their causes and establishing preventive measures, and Having decided upon the adoption of certain proposals with regard to the recording and notification of occupational accidents and diseases, which is the fifth item on the agenda of the session, and Having determined that these proposals shall take the form of a protocol to the Occupational Safety and Health Convention, 1981; adopts this twentieth day of June two thousand and two the following Protocol, which may be cited as the Protocol of 2002 to the Occupational Safety and Health Convention, 1981.

I. DEFINITIONS Article 1 For the purpose of this Protocol:

(a) the term “occupational accident” covers an occurrence arising out of, or in the course of, work which results in fatal or non-fatal injury;

(b) the term “occupational disease” covers any disease contracted as a result of an exposure to risk factors arising from work activity;

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(c) the term “dangerous occurrence” covers a readily identifiable event as defined under national laws and regulations, with potential to cause an injury or disease to persons at work or to the public;

(d) the term “commuting accident” covers an accident resulting in death or personal injury occurring on the direct way between the place of work and:

(i) the worker’s principal or secondary residence; or

(ii) the place where the worker usually takes a meal; or

(iii) the place where the worker usually receives his or her remuneration. II. SYSTEMS FOR RECORDING AND NOTIFICATION Article 2 The competent authority shall, by laws or regulations or any other method consistent with national conditions and practice, and in consultation with the most representative organizations of employers and workers, establish and periodically review requirements and procedures for:

(a) the recording of occupational accidents, occupational diseases and, as appropriate, dangerous occurrences, commuting accidents and suspected cases of occupational diseases; and

(b) the notification of occupational accidents, occupational diseases and, as appropriate, dangerous occurrences, commuting accidents and suspected cases of occupational diseases.

Article 3 The requirements and procedures for recording shall determine:

(a) the responsibility of employers:

(i) to record occupational accidents, occupational diseases and, as appropriate, dangerous occurrences, commuting accidents and suspected cases of occupational diseases;

(ii) to provide appropriate information to workers and their representatives concerning the recording system;

(iii) to ensure appropriate maintenance of these records and their use for the establishment of preventive measures; and

(iv) to refrain from instituting retaliatory or disciplinary measures against a worker for reporting an occupational accident, occupational disease, dangerous occurrence, commuting accident or suspected case of occupational disease;

(b) the information to be recorded;

(c) the duration for maintaining these records; and

(d) measures to ensure the confidentiality of personal and medical data in the employer’s possession, in accordance with national laws and regulations, conditions and practice.

Article 4

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The requirements and procedures for the notification shall determine:

(a) the responsibility of employers:

(i) to notify the competent authorities or other designated bodies of occupational accidents, occupational diseases and, as appropriate, dangerous occurrences, commuting accidents and suspected cases of occupational diseases; and

(ii) to provide appropriate information to workers and their representatives concerning the notified cases;

(b) where appropriate, arrangements for notification of occupational accidents and occupational diseases by insurance institutions, occupational health services, medical practitioners and other bodies directly concerned;

(c) the criteria according to which occupational accidents, occupational diseases and, as appropriate, dangerous occurrences, commuting accidents and suspected cases of occupational diseases are to be notified; and (d) the time limits for notification. Article 5 The notification shall include data on:

(a) the enterprise, establishment and employer;

(b) if applicable, the injured persons and the nature of the injuries or disease; and

(c) the workplace, the circumstances of the accident or the dangerous occurrence and, in the case of an occupational disease, the circumstances of the exposure to health hazards.

III. NATIONAL STATISTICS Article 6 Each Member which ratifies this Protocol shall, based on the notifications and other available information, publish annually statistics that are compiled in such a way as to be representative of the country as a whole, concerning occupational accidents, occupational diseases and, as appropriate, dangerous occurrences and commuting accidents, as well as the analyses thereof. Article 7 The statistics shall be established following classification schemes that are compatible with the latest relevant international schemes established under the auspices of the International Labour Organization or other competent international organizations. IV. FINAL PROVISIONS Article 8 1. A Member may ratify this Protocol at the same time as or at any time after its ratification of the Convention, by communicating its formal ratification to the Director-General of the International Labour Office for registration.

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2. The Protocol shall come into force 12 months after the date on which ratifications of two Members have been registered by the Director-General. Thereafter, this Protocol shall come into force for a Member 12 months after the date on which its ratification has been registered by the Director-General and the Convention shall be binding on the Member concerned with the addition of Articles 1 to 7 of this Protocol. Article 9 1. A Member which has ratified this Protocol may denounce it whenever the Convention is open to denunciation in accordance with its Article 25, by an act communicated to the Director-General of the International Labour Office for registration. 2. Denunciation of the Convention in accordance with its Article 25 by a Member which has ratified this Protocol shall ipso jure involve the denunciation of this Protocol. 3. Any denunciation of this Protocol in accordance with paragraphs 1 or 2 of this Article shall not take effect until one year after the date on which it is registered. Article 10 1. The Director-General of the International Labour Office shall notify all Members of the International Labour Organization of the registration of all ratifications and acts of denunciation communicated by the Members of the Organization. 2. When notifying the Members of the Organization of the registration of the second ratification, the Director-General shall draw the attention of the Members of the Organization to the date upon which the Protocol shall come into force. Article 11 The Director-General of the International Labour Office shall communicate to the Secretary-General of the United Nations, for registration in accordance with article 102 of the Charter of the United Nations, full particulars of all ratifications and acts of denunciation registered by the Director-General in accordance with the provisions of the preceding Articles. Article 12 The English and French versions of the text of this Protocol are equally authoritative.

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ILO RECOMMENDATION 194, LIST OF OCCUPATIONAL DISEASES, 2002

The General Conference of the International Labour Organization, Having been convened at Geneva by the Governing Body of the International Labour Office, and having met in its 90th Session on 3 June 2002, and Noting the provisions of the Occupational Safety and Health Convention and Recommendation, 1981, and the Occupational Health Services Convention and Recommendation, 1985, and Noting also the list of occupational diseases as amended in 1980 appended to the Employment Injury Benefits Convention, 1964, and Having regard to the need to strengthen identification, recording and notification procedures for occupational accidents and diseases, with the aim of identifying their causes, establishing preventive measures, promoting the harmonization of recording and notification systems, and improving the compensation process in the case of occupational accidents and occupational diseases, and Having regard to the need for a simplified procedure for updating a list of occupational diseases, and Having decided upon the adoption of certain proposals with regard to the recording and notification of occupational accidents and diseases, and to the regular review and updating of a list of occupational diseases, which is the fifth item on the agenda of the session, and Having determined that these proposals shall take the form of a Recommendation; adopts this twentieth day of June of the year two thousand and two the following Recommendation, which may be cited as the List of Occupational Diseases Recommendation, 2002.

1. In the establishment, review and application of systems for the recording and notification of occupational accidents and diseases, the competent authority should take account of the 1996 Code of practice on the recording and notification of occupational accidents and diseases, and other codes of practice or guides relating to this subject that are approved in the future by the International Labour Organization. 2. A national list of occupational diseases for the purposes of prevention, recording, notification and, if applicable, compensation should be established by the competent authority, in consultation with the most representative organizations of employers and workers, by methods appropriate to national conditions and practice, and by stages as necessary. This list should:

(a) for the purposes of prevention, recording, notification and compensation comprise, at the least, the diseases enumerated in Schedule I of the Employment Injury Benefits Convention, 1964, as amended in 1980;

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(b) comprise, to the extent possible, other diseases contained in the list of occupational diseases as annexed to this Recommendation; and (c) comprise, to the extent possible, a section entitled “Suspected occupational diseases”.

3. The list as annexed to this Recommendation should be regularly reviewed and updated through tripartite meetings of experts convened by the Governing Body of the International Labour Office. Any new list so established shall be submitted to the Governing Body for its approval, and upon approval shall replace the preceding list and shall be communicated to the Members of the International Labour Organization. 4. The national list of occupational diseases should be reviewed and updated with due regard to the most up-to-date list established in accordance with Paragraph 3 above. 5. Each Member should communicate its national list of occupational diseases to the International Labour Office as soon as it is established or revised, with a view to facilitating the regular review and updating of the list of occupational diseases annexed to this Recommendation. 6. Each Member should furnish annually to the International Labour Office comprehensive statistics on occupational accidents and diseases and, as appropriate, dangerous occurrences and commuting accidents with a view to facilitating the international exchange and comparison of these statistics.

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Annex List of occupational diseases 1. Diseases caused by agents 1.1. Diseases caused by chemical agents 1.1.1. Diseases caused by beryllium or its toxic compounds 1.1.2. Diseases caused by cadmium or its toxic compounds 1.1.3. Diseases caused by phosphorus or its toxic compounds 1.1.4. Diseases caused by chromium or its toxic compounds 1.1.5. Diseases caused by manganese or its toxic compounds 1.1.6. Diseases caused by arsenic or its toxic compounds 1.1.7. Diseases caused by mercury or its toxic compounds 1.1.8. Diseases caused by lead or its toxic compounds 1.1.9. Diseases caused by fluorine or its toxic compounds 1.1.10. Diseases caused by carbon disulphide 1.1.11. Diseases caused by the toxic halogen derivatives of aliphatic or aromatic hydrocarbons 1.1.12. Diseases caused by benzene or its toxic homologues 1.1.13. Diseases caused by toxic nitro- and amino-derivatives of benzene or its homologues 1.1.14. Diseases caused by nitroglycerine or other nitric acid esters 1.1.15. Diseases caused by alcohols, glycols or ketones 1.1.16. Diseases caused by asphyxiants: carbon monoxide, hydrogen cyanide or its toxic derivatives, hydrogen sulphide 1.1.17. Diseases caused by acrylonitrile 1.1.18. Diseases caused by oxides of nitrogen 1.1.19. Diseases caused by vanadium or its toxic compounds 1.1.20. Diseases caused by antimony or its toxic compounds 1.1.21. Diseases caused by hexane 1.1.22. Diseases of teeth caused by mineral acids 1.1.23. Diseases caused by pharmaceutical agents 1.1.24. Diseases caused by thallium or its compounds 1.1.25. Diseases caused by osmium or its compounds 1.1.26. Diseases caused by selenium or its compounds 1.1.27. Diseases caused by copper or its compounds 1.1.28. Diseases caused by tin or its compounds 1.1.29. Diseases caused by zinc or its compounds 1.1.30. Diseases caused by ozone, phosgene 1.1.31. Diseases caused by irritants: benzoquinone and other corneal irritants 1.1.32. Diseases caused by any other chemical agents not mentioned in the preceding items 1.1.1 to 1.1.31, where a link between the exposure of a worker to these chemical agents and the diseases suffered is established 1.2. Diseases caused by physical agents 1.2.1. Hearing impairment caused by noise 1.2.2. Diseases caused by vibration (disorders of muscles, tendons, bones, joints, peripheral blood vessels or peripheral nerves) 1.2.3. Diseases caused by work in compressed air

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1.2.4. Diseases caused by ionizing radiations 1.2.5. Diseases caused by heat radiation 1.2.6. Diseases caused by ultraviolet radiation 1.2.7. Diseases caused by extreme temperature (e.g. sunstroke, frostbite) 1.2.8. Diseases caused by any other physical agents not mentioned in the preceding items 1.2.1 to 1.2.7, where a direct link between the exposure of a worker to these physical agents and the diseases suffered is established 1.3. Diseases caused by biological agents 1.3.1. Infectious or parasitic diseases contracted in an occupation where there is a particular risk of contamination 2. Diseases by target organ systems 2.1. Occupational respiratory diseases 2.1.1. Pneumoconioses caused by sclerogenic mineral dust (silicosis, anthraco-silicosis, asbestosis) and silicotuberculosis, provided that silicosis is an essential factor in causing the resultant incapacity or death 2.1.2. Bronchopulmonary diseases caused by hard-metal dust 2.1.3. Bronchopulmonary diseases caused by cotton, flax, hemp or sisal dust (byssinosis) 2.1.4. Occupational asthma caused by recognized sensitizing agents or irritants inherent to the work process 2.1.5. Extrinsic allergic alveolitis caused by the inhalation of organic dusts, as prescribed by national legislation 2.1.6. Siderosis 2.1.7. Chronic obstructive pulmonary diseases 2.1.8. Diseases of the lung caused by aluminium 2.1.9. Upper airways disorders caused by recognized sensitizing agents or irritants inherent to the work process 2.1.10. Any other respiratory disease not mentioned in the preceding items 2.1.1 to 2.1.9, caused by an agent where a direct link between the exposure of a worker to this agent and the disease suffered is established 2.2. Occupational skin diseases 2.2.1. Skin diseases caused by physical, chemical or biological agents not included under other items 2.2.2. Occupational vitiligo 2.3. Occupational musculo-skeletal disorders 2.3.1. Musculo-skeletal diseases caused by specific work activities or work environment where particular risk factors are present Examples of such activities or environment include: (a) rapid or repetitive motion (b) forceful exertion

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(c) excessive mechanical force concentration (d) awkward or non-neutral postures (e) vibration Local or environmental cold may increase risk 3. Occupational cancer 3.1. Cancer caused by the following agents 3.1.1. Asbestos 3.1.2. Benzidine and its salts 3.1.3. Bis chloromethyl ether (BCME) 3.1.4. Chromium and chromium compounds 3.1.5. Coal tars, coal tar pitches or soots 3.1.6. Beta-naphthylamine 3.1.7. Vinyl chloride 3.1.8. Benzene or its toxic homologues 3.1.9. Toxic nitro- and amino-derivatives of benzene or its homologues 3.1.10. Ionizing radiations 3.1.11. Tar, pitch, bitumen, mineral oil, anthracene, or the compounds, products or residues of these substances 3.1.12. Coke oven emissions 3.1.13. Compounds of nickel 3.1.14. Wood dust 3.1.15. Cancer caused by any other agents not mentioned in the preceding items 3.1.1 to 3.1.14, where a direct link between the exposure of a worker to this agent and the cancer suffered is established 4. Other diseases 4.1. Miners’ nystagmus

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National Interest Analysis [2010] ATNIA 62

with attachment on consultation

International Labour Organization Protocol of 2002 to Convention No. 155

concerning Occupational Safety and Health and the Working Environment, 1981, adopted at Geneva on 20 June 2002

[2010] ATNIF 47

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NATIONAL INTEREST ANALYSIS: CATEGORY 1 TREATY

SUMMARY PAGE

International Labour Organization Protocol of 2002 to Convention No. 155 concerning Occupational Safety and Health and the Working Environment, 1981,

adopted at Geneva on 20 June 2002 [2010] ATNIF 47

Nature and timing of proposed treaty action 1. The proposed treaty action is ratification of the International Labour Organization (ILO) Protocol of 2002 (the Protocol) to Convention No. 155 concerning Occupational Safety and Health and the Working Environment adopted at Geneva on 22 June 1981 (the Convention). The Protocol was adopted by the International Labour Conference at Geneva on 20 June 2002. 2. The Protocol aims to implement Articles 4 and 11 of the Convention. The Protocol may be ratified by those Member States that have ratified the Convention. Australia ratified the Convention on 26 March 2004. 3. It is proposed that the Protocol be ratified as soon as practicable. In accordance with Article 8(2), the Protocol entered into force on 9 February 2005, being 12 months after the date on which the ratifications of two Member States of the ILO had been registered with the Director-General of the International Labour Office. The Protocol would enter into force for Australia 12 months after the date on which Australia’s ratification is registered with the Director-General of the International Labour Office.

4. In accordance with established ILO practice, it is not proposed that Australia make any reservation or declaration on ratification. Overview and national interest summary 5. The objective of the Protocol is to implement Articles 4 and 11 of the Convention by requiring ratifying Member States to implement national laws or regulations that determine the responsibilities of employers with respect to recording and notification to relevant authorities of occupational accidents and diseases. Member States are also required to determine the criteria and time limits for notification, the data to be notified and to publish annual statistics. 6. Ratification of the Protocol would support the implementation of the Convention which Australia has already ratified. Ratifying the Protocol would also commit Australia to maintaining an occupational health and safety (OHS) regime consistent with internationally-recognised standards. This would in turn strengthen Australia’s commitment to employers and employees and to the implementation of the Convention and to OHS best practices.

7. Further, as no other country in the Asia-Pacific has ratified the Protocol, ratification by Australia would provide leadership to the region by encouraging countries to consider the merits of ratification and the effective implementation of international labour standards in the field of OHS.

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Reasons for Australia to take the proposed treaty action 8. Ratification of the Protocol would strengthen Australia’s credentials within the international community to effectively implement a comprehensive best practice OHS regime based on internationally-recognised standards. Furthermore, one of the key objectives of the Protocol, the publication of national statistics under Part III, has a direct correlation with the development of comprehensive OHS data collection on injury and disease, including regular reporting. Regular reporting has been identified in the National Occupational Health and Safety Strategy 2002-2012 (agreed by all State and Territory governments as well as the Australian Chamber of Commerce and Industry and the Australian Council of Trade Unions) as an area for national action. 9. In addition, the requirements of the Protocol to oblige employers to record occupational accidents and diseases, notify the competent authorities of occupational accidents and diseases within a set timeframe, and consult with their employees on OHS issues are consistent with the key elements of OHS frameworks in all Australian jurisdictions. 10. Australia has been a Member of the ILO since its establishment in 1919 and has ratified 59 out of the ILO’s 188 Conventions and five Protocols. Forty-seven of these Conventions and Protocols remain in force for Australia. A key strategic objective of Australia’s engagement with the ILO is to provide policy leadership within the Asia-Pacific region in promoting international labour standards. As the Protocol has not yet been ratified by any other country in the region, ratification by Australia would encourage other Asia-Pacific countries to consider the merits of applying international labour standards in the field of OHS. 11. The ILO is a specialised agency of the United Nations with 183 Member States. The ILO is tripartite in structure and has equal representation of governments, employer and worker representative organisations. One of the core functions of the ILO is to establish and monitor a code of international labour standards which are embodied in conventions, protocols and recommendations developed by the three representative groups. Together, the international labour code establishes minimum labour standards for workers in all types of industries and occupations throughout the world. 12. The ILO supervises the implementation of conventions and protocols by Member States who are parties to those instruments, most notably through the Committee of Experts on the Application of Conventions and Recommendations. 13. The Protocol has been ratified by 7 countries (see Annexure 1). 14. Importantly, all State and Territory governments, the Australian Chamber of Commerce and Industry, the Australian Council of Trade Unions and the Australian Industry Group have provided their support for the ratification of the Protocol (see Attachment on Consultation). Obligations 15. The objective of the Protocol is to implement Articles 4 and 11 of the Convention by requiring Member States to establish and periodically review requirements and procedures for the recording and notification of occupational accidents and diseases (Article 2).

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16. Article 3 requires Member States to determine, by laws or regulations or any other method consistent with national conditions and practice, the responsibility of employers to record occupational accidents and diseases, to maintain records appropriately, to provide information about the recording system to workers and their representatives and to refrain from disciplining workers for reporting occupational accidents. The Article also requires a determination of the information to be recorded, the duration for maintaining these records and the measures needed to ensure the confidentiality of data in the employer’s possession.

17. Article 4 requires Member States to determine the responsibility of employers to notify the competent authorities of occupational accidents and diseases and to provide information to workers and their representatives concerning the notified cases. The Article also provides that arrangements for notification and criteria and time limits for notification shall be established.

18. Article 5 requires that notification shall include data on the enterprise and employer, the injured persons and the nature of their injuries or disease, and the circumstances of the accident or exposure to health hazards to cause an occupational disease. 19. Article 6 provides that each Member State shall annually publish statistics based on the notifications received and other available information. The statistics shall be based on the classification schemes established under the auspices of the ILO or other competent international organisations (Article 7). 20. Under Article 22 of the ILO Constitution, Members States must submit an annual report to the International Labour Office on the measures which it has taken to give effect to the conventions to which it is a party, at the discretion of the Governing Body of the ILO. The Governing Body determines which Conventions are to be reported on in any given year. Under the current reporting schedule, Member States are required to report on the implementation of each ratified Convention to the ILO Committee of Experts on the Application of Conventions and Recommendations on a five-year cycle from the date the Convention comes into force for that Member State. The first report would be due on 1 September in the first 12 months immediately following the Convention coming into force for Australia. Implementation 21. Implementation of the Protocol’s obligations falls primarily within the jurisdictions of the State and Territory governments, and partly within the jurisdiction of the Commonwealth Government. Law and practice at the Commonwealth, State and Territory levels of government is consistent with Australia’s obligations under the Protocol. 22. The Protocol is implemented in Australia via a combination of general and industry-specific OHS legislative frameworks throughout the federal, State and Territory jurisdictions. At the Commonwealth level, the Protocol is implemented via the Occupational Health and Safety Act 1991 (Cth), the Occupational Health and Safety (Maritime Industry) Act 1993 (Cth), the Safety, Rehabilitation and Compensation Act 1988 (Cth), the Seafarers’ Compensation and Rehabilitation Act 1992 (Cth) and the Offshore Petroleum and Greenhouse Gas Storage Act 2006 (Cth). Similar legislation exists in the States and Territories. All relevant legislation includes the requirement for employers to: record occupational accidents and diseases; inform their employees of the recording

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system and notified cases; and notify the competent authority of occupational accidents and diseases that have occurred under their purview within a set timeframe. 23. The majority of national statistics concerning occupational accidents and diseases are collected and published by Safe Work Australia in a manner consistent with the Protocol. 24. In accordance with the 1998 Labour Ministers’ Council Resolution for a Framework Concerning Cooperation on ILO Matters, the Commonwealth Government will not normally proceed with ratification of an ILO instrument unless compliance with the provisions of the instrument has been established in all jurisdictions, and the relevant governments have provided individual formal agreement to ratification. 25. Between 2005 and 2010, all State and Territory governments formally agreed to ratification of the Protocol and advised that their law and practice is consistent with the obligations under the Protocol. Costs 26. There are no costs associated with the ratification of the Protocol as existing Commonwealth, State and Territory laws and practices comply with the provisions of the Protocol. Regulation Impact Statement 27. The Office of Best Practice Regulation, Department of Finance and Deregulation, has been consulted and has confirmed that a Regulation Impact Statement is not required. Future treaty action 28. No future treaty action is expected to arise out of the ratification process for the Protocol. Unlike ILO Conventions, the Protocol does not provide a mechanism for its amendment. However, future revision of the Protocol could be made by a decision of the Governing Body of the ILO to place such revision on the agenda of the annual International Labour Conference (ILO Standing Orders Articles 34(4)) or of a preparatory technical conference (Constitution, Article 14(2); Standing Orders, Articles 34(5) and 36). Alternatively, the International Labour Conference may, by two-thirds of the votes cast by the delegates present, decide to include a subject on the agenda of the following session (Constitution, Article 16(3)) to revise the Protocol. Proposals to amend existing labour standards occur rarely. 29. Any proposal to take binding treaty-action in respect of an instrument arising out of a revision of the Protocol would be subject to Australia’s domestic treaty-making process, including tabling and consideration by the Joint Standing Committee on Treaties (JSCOT). Withdrawal or denunciation 30. Article 9(1) of the Protocol provides for denunciation of the Protocol by a Member State within a twelve month period following the expiration of ten years from the date of the entry into force of the corresponding Convention (as provided for under Article 25(1) of the Convention). In respect of a Member State that has not exercised this right to denounce the Protocol, the Protocol

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may be denounced only at the expiration of a further ten years and thereafter at ten-yearly intervals (Article 25(2) of the Convention). Such denunciation shall not take effect until one year after the date on which it is registered (Article 9(3)). Furthermore, denunciation of the Convention by a Member State which has ratified the Protocol will automatically involve the denunciation of the Protocol (Article 9(2)). 31. The document of denunciation should indicate that it is a formal denunciation and should state the Convention being denounced, as well as provide the reasons for denunciation. 32. The ten-yearly interval for denunciation of an ILO Convention is a standard period and is included in all ILO conventions. 33. The next opportunity to denounce the Convention would be in the 12 months following 11 August 2013 (the next ten-yearly interval after the date of entry into force of the Convention generally). Any action to denounce the Convention would be subject to Australia’s domestic treaty-making process including including tabling and consideration by JSCOT.

Contact details International Labour Standards Section Workplace Relations Policy Group Department of Education, Employment and Workplace Relations

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ATTACHMENT ON CONSULTATION

International Labour Organization Protocol of 2002 to Convention No. 155 concerning Occupational Safety and Health and the Working Environment, 1981,

adopted at Geneva on 20 June 2002 [2010] ATNIF 47

CONSULTATION Consultation with State and Territory governments 34. There has been consultation with State and Territory governments on the International Labour Organization (ILO) Protocol of 2002 adopted at Geneva on 20 June 2002 (the Protocol), to Convention No. 155 concerning Occupational Safety and Health and the Working Environment adopted at Geneva on 20 June 2002, at both the Ministerial and official level. 35. States and Territories were provided with the opportunity to comment on the draft texts of the Protocol and to provide information for inclusion in the briefing for the Australian delegation to the International Labour Conference in 2002 (which was the meeting at which the Protocol was adopted). 36. The status of Australia’s compliance with the Protocol and prospects of ratification have regularly been discussed at the annual meetings of Commonwealth, State and Territory officials responsible for ILO matters. Most recently, the Protocol was considered at meetings held in Darwin on 30-31 August 2005, in Canberra on 6 April 2006, in Brisbane on 30 July 2007, in Perth on 5 September 2008 and by teleconference on 30 September 2009. Briefing on the Protocol was also provided to the Standing Committee on Treaties for the following meetings:

• 26 September 2007 (pre-briefing provided on 5 September 2007); and • 10 May 2010 (pre-briefing provided on 28 April 2010).

37. On 30 July 2004, the then Minister for Employment and Workplace Relations, the Hon Kevin Andrews MP, wrote to State and Territory governments informing them of his in-principle support for ratification of the Protocol and seeking views on Australia’s compliance with the Protocol. 38. On 7 December 2005, then Minister Andrews wrote again to State and Territory governments seeking formal agreement to ratify the Protocol and an assessment on law and practice in their respective jurisdictions. 39. Between 2005 and 2010, all State and Territory governments provided formal support to ratification of the Protocol, and made available updated advice indicating that their law and practice was consistent with the Protocol. The dates on which this advice was provided is also listed below.

• New South Wales - 8 August 2006 (compliance confirmed 11 June 2010); • Victoria - 26 May 2010 (compliance confirmed 4 May 2010);

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• Queensland - 20 December 2005 (compliance confirmed 24 May 2010); ;

y 2009); and .

as

• Western Australia - 5 March 2010 (compliance confirmed 5 March 2010)• South Australia - 18 May 2007 (compliance confirmed 20 April 2010); • Tasmania - 20 October 2009 (compliance confirmed 28 April 2009); • Northern Territory - 12 April 2010 (compliance confirmed 10 Februar• Australian Capital Territory - 23 March 2006 (compliance confirmed 18 June 2010)

04 . At a meeting of the Workplace Relations Ministers’ Council held on 3 April 2009 (80th

meeting), Ministers agreed that consideration of ratification of the Protocol would be pursued expeditiously as possible. At its 84th meeting on 11 December 2009, Ministers noted the opportunity in 2010 to progress ratification of the Protocol in 2010.

ther consultationO 1. The proposed4 treaty action has been discussed at meetings of the International Labour Affairs

Ai Group expressed

nwealth Attorney-General’s

Committee (ILAC) of the National Workplace Relations Consultative Council on a regular basis since the Protocol was adopted by the ILO in 2002. The ILAC comprises the Commonwealth Department of Education, Employment and Workplace Relations, the Australian Council of TradeUnions (ACTU), the Australian Chamber of Commerce and Industry (ACCI) and (since October 2008) the Australian Industry Group (Ai Group). These organisations are, respectively, the worker and employer organisations that represent Australia in the ILO. 2. At ILAC’s meeting on 31 October 2008, the ACTU, the ACCI and the4

support for Australia’s consideration of ratification of the Protocol. 3. On 7 July 2010, the Office of International Law in the Commo4

Department formally confirmed by email that Commonwealth law and practice is consistent with the obligations under the Protocol.

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Annexure 1

BACKGROUND INFORMATION

The following Member States have ratified the International Labour Organization Protocol of 2002 adopted at Geneva on 20 June 2002, to Convention No. 155 concerning Occupational Safety and Health and the Working Environment adopted at Geneva on 22 June 1981:

Albania El Salvador Finland Luxembourg Slovenia Sweden Syrian Arab Republic

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DEPARTMENT OF FOREIGN AFFAIRS AND TRADE CANBERRA

ILO Convention 162, Asbestos, 1986

(Geneva, 4 June 1986)

Not yet in force

[2010] ATNIF 48

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ILO Convention 162, Asbestos, 1986

The General Conference of the International Labour Organisation,

Having been convened at Geneva by the Governing Body of the International Labour Office, and having met in its Seventy-second Session on 4 June 1986, and

Noting the relevant international labour Conventions and Recommendations, and in particular the Occupational Cancer Convention and Recommendation, 1974, the Working Environment (Air Pollution, Noise and Vibration) Convention and Recommendation, 1977, the Occupational Safety and Health Convention and Recommendation, 1981, the Occupational Health Services Convention and Recommendation, 1985, the list of occupational diseases as revised in 1980 appended to the Employment Injury Benefits Convention, 1964, as well as the Code of practice on safety in the use of asbestos, published by the International Labour Office in 1984, which establish the principles of national policy and action at the national level,

Having decided upon the adoption of certain proposals with regard to safety in the use of asbestos, which is the fourth item on the agenda of the session, and

Having determined that these proposals shall take the form of an international Convention;

adopts the twenty-fourth day of June of the year one thousand nine hundred and eighty-six, the following Convention, which may be cited as the Asbestos Convention, 1986:

Part I. Scope and Definitions

Article 1

1. This Convention applies to all activities involving exposure of workers to asbestos in the course of work.

2. A Member ratifying this Convention may, after consultation with the most representative organisations of employers and workers concerned, and on the basis of an assessment of the health hazards involved and the safety measures applied, exclude particular branches of economic activity or particular undertakings from the application of certain provisions of the Convention when it is satisfied that their application to these branches or undertakings is unnecessary.

3. The competent authority, when deciding on the exclusion of particular branches of economic activity or particular undertakings, shall take into account the frequency, duration and level of exposure, as well as the type of work and the conditions at the workplace.

Article 2

For the purpose of this Convention-

(a) the term asbestos means the fibrous form of mineral silicates belonging to rock-forming minerals of the serpentine group, i.e. chrysotile (white asbestos), and of the amphibole group, i.e. actinolite, amosite (brown asbestos, cummingtonite-grunerite), anthophyllite, crocidolite (blue asbestos) , tremolite, or any mixture containing one or more of these;

(b) the term asbestos dust means airborne particles of asbestos or settled particles of asbestos which are liable to become airborne in the working environment;

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(c) the term airborne asbestos dust means, for purposes of measurement, dust particles measured by gravimetric assessment or other equivalent method;

(d) the term respirable asbestos fibres means asbestos fibres having a diameter of less than 3 Wm and a length-to-diameter ratio greater than 3:1. Only fibres of a length greater than 5 Wm shall be taken into account for purposes of measurement;

(e) the term exposure to asbestos means exposure at work to airborne respirable asbestos fibres or asbestos dust, whether originating from asbestos or from minerals, materials or products containing asbestos;

(f) the term workers includes the members of production co-operatives;

(g) the term workers' representatives means the workers' representatives recognised as such by national law or practice, in conformity with the Workers' Representatives Convention, 1971.

Part II. General Principles

Article 3

1. National laws or regulations shall prescribe the measures to be taken for the prevention and control of, and protection of workers against, health hazards due to occupational exposure to asbestos.

2. National laws and regulations drawn up in pursuance of paragraph 1 of this Article shall be periodically reviewed in the light of technical progress and advances in scientific knowledge.

3. The competent authority may permit temporary derogations from the measures prescribed pursuant to paragraph 1 of this Article, under conditions and within limits of time to be determined after consultation with the most representative organisations of employers and workers concerned.

4. In granting derogations in pursuance of paragraph 3 of this Article, the competent authority shall ensure that the necessary precautions are taken to protect the workers' health.

Article 4

The competent authority shall consult the most representative organisations of employers and workers concerned on the measures to be taken to give effect to the provisions of this Convention.

Article 5

1. The enforcement of the laws and regulations adopted pursuant to Article 3 of this Convention shall be secured by an adequate and appropriate system of inspection.

2. National laws or regulations shall provide for the necessary measures, including appropriate penalties, to ensure effective enforcement of and compliance with the provisions of this Convention.

Article 6

1. Employers shall be made responsible for compliance with the prescribed measures.

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2. Whenever two or more employers undertake activities simultaneously at one workplace, they shall co-operate in order to comply with the prescribed measures, without prejudice to the responsibility of each employer for the health and safety of the workers he employs. The competent authority shall prescribe the general procedures of this co-operation when it is necessary.

3. Employers shall, in co-operation with the occupational safety and health services, and after consultation with the workers' representatives concerned, prepare procedures for dealing with emergency situations.

Article 7

Workers shall be required, within the limits of their responsibility, to comply with prescribed safety and hygiene procedures relating to the prevention and control of, and protection against, health hazards due to occupational exposure to asbestos.

Article 8

Employers and workers or their representatives shall co-operate as closely as possible at all levels in the undertaking in the application of the measures prescribed pursuant to this Convention.

Part III. Protective and Preventive Measures

Article 9

The national laws or regulations adopted pursuant to Article 3 of this Convention shall provide that exposure to asbestos shall be prevented or controlled by one or more of the following measures:

(a) making work in which exposure to asbestos may occur subject to regulations prescribing adequate engineering controls and work practices, including workplace hygiene;

(b) prescribing special rules and procedures, including authorisation, for the use of asbestos or of certain types of asbestos or products containing asbestos or for certain work processes.

Article 10

Where necessary to protect the health of workers and technically practicable, national laws or regulations shall provide for one or more of the following measures-

(a) replacement of asbestos or of certain types of asbestos or products containing asbestos by other materials or products or the use of alternative technology, scientifically evaluated by the competent authority as harmless or less harmful, whenever this is possible;

(b) total or partial prohibition of the use of asbestos or of certain types of asbestos or products containing asbestos in certain work processes.

Article 11

1. The use of crocidolite and products containing this fibre shall be prohibited.

2. The competent authority shall be empowered, after consultation with the most representative organisations of employers and workers concerned, to permit derogations from the prohibition

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contained in paragraph 1 of this Article when replacement is not reasonably practicable, provided that steps are taken to ensure that the health of workers is not placed at risk.

Article 12

1. Spraying of all forms of asbestos shall be prohibited.

2. The competent authority shall be empowered, after consultation with the most representative organisations of employers and workers concerned, to permit derogations from the prohibition contained in paragraph 1 of this Article when alternative methods are not reasonably practicable, provided that steps are taken to ensure that the health of workers is not placed at risk.

Article 13

National laws and regulations shall provide that employers shall notify to the competent authority, in a manner and to the extent prescribed by it, certain types of work involving exposure to asbestos.

Article 14

Producers and suppliers of asbestos and manufacturers and suppliers of products containing asbestos shall be made responsible for adequate labelling of the container and, where appropriate, the products, in a language and manner easily understood by the workers and the users concerned, as prescribed by the competent authority.

Article 15

1. The competent authority shall prescribe limits for the exposure of workers to asbestos or other exposure criteria for the evaluation of the working environment.

2. The exposure limits or other exposure criteria shall be fixed and periodically reviewed and updated in the light of technological progress and advances in technological and scientific knowledge.

3. In all workplaces where workers are exposed to asbestos, the employer shall take all appropriate measures to prevent or control the release of asbestos dust into the air, to ensure that the exposure limits or other exposure criteria are complied with and also to reduce exposure to as low a level as is reasonably practicable.

4. When the measures taken in pursuance of paragraph 3 of this Article do not bring exposure to asbestos within the exposure limits or do not comply with the other exposure criteria specified in pursuance of paragraph 1 of this Article, the employer shall provide, maintain and replace, as necessary, at no cost to the workers, adequate respiratory protective equipment and special protective clothing as appropriate. Respiratory protective equipment shall comply with standards set by the competent authority, and be used only as a supplementary, temporary, emergency or exceptional measure and not as an alternative to technical control.

Article 16

Each employer shall be made responsible for the establishment and implementation of practical measures for the prevention and control of the exposure of the workers he employs to asbestos and for their protection against the hazards due to asbestos.

Article 17

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1. Demolition of plants or structures containing friable asbestos insulation materials, and removal of asbestos from buildings or structures in which asbestos is liable to become airborne, shall be undertaken only by employers or contractors who are recognised by the competent authority as qualified to carry out such work in accordance with the provisions of this Convention and who have been empowered to undertake such work.

2. The employer or contractor shall be required before starting demolition work to draw up a work plan specifying the measures to be taken, including measures to-

(a) provide all necessary protection to the workers;

(b) limit the release of asbestos dust into the air; and

(c) provide for the disposal of waste containing asbestos in accordance with Article 19 of this Convention.

3. The workers or their representatives shall be consulted on the work plan referred to in paragraph 2 of this Article.

Article 18

1. Where workers' personal clothing may become contaminated with asbestos dust, the employer, in accordance with national laws or regulations and in consultation with the workers' representatives, shall provide appropriate work clothing, which shall not be worn outside the workplace.

2. The handling and cleaning of used work clothing and special protective clothing shall be carried out under controlled conditions, as required by the competent authority, to prevent the release of asbestos dust.

3. National laws or regulations shall prohibit the taking home of work clothing and special protective clothing and of personal protective equipment.

4. The employer shall be responsible for the cleaning, maintenance and storage of work clothing, special protective clothing and personal protective equipment.

5. The employer shall provide facilities for workers exposed to asbestos to wash, take a bath or shower at the workplace, as appropriate.

Article 19

1. In accordance with national law and practice, employers shall dispose of waste containing asbestos in a manner that does not pose a health risk to the workers concerned, including those handling asbestos waste, or to the population in the vicinity of the enterprise.

2. Appropriate measures shall be taken by the competent authority and by employers to prevent pollution of the general environment by asbestos dust released from the workplace.

Part IV. Surveillance of the Working Environment and Workers' Health

Article 20

1. Where it is necessary for the protection of the health of workers, the employer shall measure the concentrations of airborne asbestos dust in workplaces, and shall monitor the exposure of workers to asbestos at intervals and using methods specified by the competent authority.

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2. The records of the monitoring of the working environment and of the exposure of workers to asbestos shall be kept for a period prescribed by the competent authority.

3. The workers concerned, their representatives and the inspection services shall have access to these records.

4. The workers or their representatives shall have the right to request the monitoring of the working environment and to appeal to the competent authority concerning the results of the monitoring.

Article 21

1. Workers who are or have been exposed to asbestos shall be provided, in accordance with national law and practice, with such medical examinations as are necessary to supervise their health in relation to the occupational hazard, and to diagnose occupational diseases caused by exposure to asbestos.

2. The monitoring of workers' health in connection with the use of asbestos shall not result in any loss of earnings for them. It shall be free of charge and, as far as possible, shall take place during working hours.

3. Workers shall be informed in an adequate and appropriate manner of the results of their medical examinations and receive individual advice concerning their health in relation to their work.

4. When continued assignment to work involving exposure to asbestos is found to be medically inadvisable, every effort shall be made, consistent with national conditions and practice, to provide the workers concerned with other means of maintaining their income.

5. The competent authority shall develop a system of notification of occupational diseases caused by asbestos.

Part V. Information and Education

Article 22

1. The competent authority shall make appropriate arrangements, in consultation and collaboration with the most representative organisations of employers and workers concerned, to promote the dissemination of information and the education of all concerned with regard to health hazards due to exposure to asbestos and to methods of prevention and control.

2. The competent authority shall ensure that employers have established written policies and procedures on measures for the education and periodic training of workers on asbestos hazards and methods of prevention and control.

3. The employer shall ensure that all workers exposed or likely to be exposed to asbestos are informed about the health hazards related to their work, instructed in preventive measures and correct work practices and receive continuing training in these fields.

PART VI. PROVISIONS

Article 23

The formal ratifications of this Convention shall be communicated to the Director-General of the International Labour Office for registration.

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Article 24

1. This Convention shall be binding only upon those Members of the International Labour Organisation whose ratifications have been registered with the Director-General.

2. It shall come into force twelve months after the date on which the ratifications of two Members have been registered with the Director-General.

3. Thereafter, this Convention shall come into force for any Member twelve months after the date on which its ratification has been registered.

Article 25

1. A Member which has ratified this Convention may denounce it after the expiration of ten years from the date on which the Convention first comes into force, by an act communicated to the Director-General of the International Labour Office for registration. Such denunciation shall not take effect until one year after the date on which it is registered.

2. Each Member which has ratified this Convention and which does not, within the year following the expiration of the period of ten years mentioned in the preceding paragraph, exercise the right of denunciation provided for in this Article, will be bound for another period of ten years and, thereafter, may denounce this Convention at the expiration of each period of ten years under the terms provided for in this Article.

Article 26

1. The Director-General of the International Labour Office shall notify all Members of the International Labour Organisation of the registration of all ratifications and denunciations communicated to him by the Members of the Organisation.

2. When notifying the Members of the Organisation of the registration of the second ratification communicated to him, the Director-General shall draw the attention of the Members of the Organisation to the date upon which the Convention will come into force.

Article 27

The Director-General of the International Labour Office shall communicate to the Secretary-General of the United Nations for registration in accordance with Article 102 of the Charter of the United Nations full particulars of all ratifications and acts of denunciation registered by him in accordance with the provisions of the preceding Articles.

Article 28

At such times as it may consider necessary the Governing Body of the International Labour Office shall present to the General Conference a report on the working of this Convention and shall examine the desirability of placing on the agenda of the Conference the question of its revision in whole or in part.

Article 29

1 Should the Conference adopt a new Convention revising this Convention in whole or in part, then, unless the new Convention otherwise provides-

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(a) the ratification by a Member of the revising Convention shall ipso jure involve the immediate denunciation of this Convention, notwithstanding the provisions of Article 25 above, if and when the new revising Convention shall have come into force;

(b) as from the date when the new revising Convention comes into force this Convention shall cease to be open to ratification by the Members.

2. This Convention shall in any case remain in force in its actual form and content for those Members which have ratified it but have not ratified the revising Convention.

Article 30

The English and French versions of the text of this Convention are equally authoritative.

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National Interest Analysis [2010] ATNIA 60

with attachment on consultation

International Labour Organization Convention No. 162: Convention Concerning Safety in the Use of Asbestos,

adopted at Geneva on 24 June 1986

[2010] ATNIF 48

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NATIONAL INTEREST ANALYSIS: CATEGORY 1 TREATY

SUMMARY PAGE

International Labour Organization Convention No. 162: Convention Concerning Safety in the Use of Asbestos,

adopted at Geneva on 24 June 1986

[2010] ATNIF 48 Nature and timing of proposed treaty action 1. The proposed treaty action is ratification of the International Labour Organization (ILO) Convention No. 162: Convention Concerning Safety in the Use of Asbestos, adopted at Geneva on 24 June 1986 (the Convention) in accordance with Article 24(1), which provides the Convention is only binding upon ILO Member States that have registered their ratification with the Director-General of the ILO. 2. It is proposed that the Convention be ratified as soon as practicable. In accordance with Article 24(2), the Convention entered into force on 16 June 1989 (12 months after the date on which the ratifications of two Member States of the ILO had been registered). The Convention would enter into force for Australia 12 months after the date on which Australia's instrument of ratification is registered. 3. In accordance with ILO practice, it is not proposed that Australia make any reservation or declaration on ratification. Overview and national interest summary 4. The Convention requires ratifying Member States to implement national laws or regulations prescribing the measures to be taken for the prevention and control of, and protection of workers against, health hazards due to occupational exposure to asbestos. 5. Ratification of the Convention would ensure that Australian workers will continue to enjoy the protection of a world class occupational health and safety (OHS) regime that reflects best practice in protecting employers and employees from the harmful effects of asbestos. All State and Territory Governments support ratification of the Convention. 6. Only two ILO Member States in the Asia-Pacific have ratified the Convention (Japan and South Korea). Ratification by Australia would provide leadership in the region by encouraging States to consider the merits of ratification and the effective implementation of international labour standards in the field of OHS.

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Reasons for Australia to take the proposed treaty action 7. A decision to ratify the Convention would reflect, at the highest level, Australia’s commitment to workplace health and safety, particularly in relation to the prevention of exposure to asbestos. The obligations under the Convention are consistent with the requirements of model legislation and codes of practice adopted by all jurisdictions in Australia to give effect to the decision to ban most uses of asbestos. 8. The decision to ban the import and use of chrysotile asbestos was made at the May 2001 meeting of the Workplace Relations Ministers' Council (WRMC). The National Occupational Health and Safety Commission (NOHSC) was also asked to undertake consultation to facilitate a bans on all other forms of asbestos. 9. The WRMC meeting in September 2001 endorsed proposed amendments to Schedule 2 (Substances prohibited for specific uses) of the NOHSC National Model Regulations for the Control of Workplace Hazardous Substances (Model Regulations), to prohibit the use of chrysotile, crocidolite and amosite asbestos. This meeting also endorsed implementation arrangements to affect the ban on chrysotile asbestos. This included the development of a nationally consistent approach to exemptions and a proposal to develop recommendations for prohibiting all other forms of asbestos. These amended regulations were adopted or referenced in the legislation of all jurisdictions in Australia. The ban on the use and importation of all forms of asbestos has been fully effective since 31 December 2003. 10. The ILO is a specialised agency of the United Nations with 183 Member States. The ILO is tripartite in structure and has equal representation of governments and employer and worker representative organisations. One of the ILO’s core functions is to establish and monitor a code of international labour standards that are embodied in conventions, protocols and recommendations developed by the three representative groups. The international labour code establishes minimum labour standards for workers in all types of industries and occupations throughout the world. 11. The ILO supervises the implementation of conventions and protocols by Member States who are parties to those instruments, most notably through the Committee of Experts on the Application of Conventions and Recommendations.

12. Australia has been a Member of the ILO since its establishment in 1919 and has ratified 55 out of the ILO's 188 conventions. Forty-seven of these conventions remain in force for Australia.

13. The Convention has been ratified by 32 States (see list in Background Information). A key strategic objective of Australia’s engagement with the ILO is to provide policy leadership within the Asia-Pacific region in promoting labour standards. This important Convention has only been ratified by two States in the region. Ratification by Australia would encourage other Asia-Pacific States to consider the merits of applying international labour standards in the field of OHS. 14. Importantly, all State and Territory governments, the Australian Chamber of Commerce and Industry, the Australian Council of Trade Unions and the Australian

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Industry Group have provided their support for the ratification of the Convention (see Attachment on Consultation). Obligations 15. The Convention prescribes measures that shall be taken by ratifying Member States for the prevention and control of, and protection of workers against, occupational exposure to asbestos. 16. The Convention requires national laws or regulations to be adopted to either prohibit the use of asbestos, control its use through the imposition of special rules and procedures, including authorisation, and/or replace asbestos with less harmful materials (Articles 9 and 10). The use of crocidolite (article 11) and the spraying of all forms of asbestos (Article 12) must be prohibited. Employers shall be made responsible for the establishment and implementation of practical measures for the prevention and control of the exposure of workers to asbestos and for their protection against hazards due to asbestos (Article 16). 17. Ratifying States must make employers responsible for the notification to relevant authorities of work involving exposure to asbestos (Article 13). Producers, manufacturers and/or suppliers must adequately label containers, asbestos and products containing asbestos (Article 14). Competent authorities must prescribe periodically reviewed limits for exposure of workers to asbestos and must take measures to prevent or control the release of asbestos dust into the air (Article 15). The demolition of structures containing friable asbestos insulation materials and the removal of asbestos from buildings shall only be undertaken by authorised persons (Article 17). Employers must provide appropriate work clothing and the handing and cleaning of that clothing must be carried out under controlled conditions. Washing facilities must also be provided (Article 18). Employers must dispose of asbestos waste in a way that does not pose a health risk to workers or people living in the vicinity of the enterprise (Article 19). 18. The Convention requires Member States to place obligations on employers to monitor airborne asbestos dust in the working environment and workers’ health in connection with exposure to asbestos (Article 20). Workers exposed to asbestos shall be provided with medical examinations where necessary and consequential advice. The monitoring of workers’ health shall not result in loss of earnings. When continued assignment to work involving asbestos is medically inadvisable, every effort shall be made to provide workers with other means of maintaining their income. Competent authorities shall develop a system of notification of all diseases caused by asbestos (Article 21). 19. Member States are also required to promote awareness of health hazards due to exposure to asbestos by disseminating information and ensuring that workplace education policies are established to train workers in the prevention and control of asbestos exposure (Article 22). 20. These laws and regulations must be enforced by an adequate system of inspection and provide necessary measures, including penalties, to ensure compliance (Article 5). They must be given effect in consultation with the most representative

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organisations of employers and workers concerned and be periodically reviewed in the light of technical progress and advances in scientific knowledge (Article 3). 21. Under Article 22 of the ILO Constitution, Members States must submit an annual report to the ILO on the measures they have taken to give effect to the provisions of the conventions to which they are party, at the discretion of the Governing Body of the ILO. The Governing Body determines which conventions are to be reported on in any given year. Under the current reporting schedule, Member States are required to report to the ILO Committee of Experts on the Application of Conventions and Recommendations on the implementation of each ratified convention on a five-year cycle from the date each convention comes into force for each reporting Member State. The first report on the Convention would be due on 1 September in the first 12 months immediately following the Convention coming into force for Australia. Implementation 22. Implementation of the Convention’s obligations fall primarily within the jurisdictions of the State and Territory governments and partly within the jurisdiction of the Australian Government. Law and practice at the Commonwealth, State and Territory levels is consistent with Australia's obligations under the Convention. 23. In 2001, the NOHSC published National Model Regulations for the Control of Workplace Hazardous Substances (Prohibition of Asbestos) 2001 to give effect to policy decisions to ban most uses of asbestos in Australia. These regulations, along with the Code of Practice for the Safe Removal of Asbestos [NOHSC:2002(2005)] and the Code of Practice for the Management and Control of Asbestos in the Workplace [NOHSC:2018(2005)], which have been adopted or referenced in the legislation of all jurisdictions in Australia, give effect to the provisions of the Convention. 24. The legislation that pertains to asbestos safety in Australian workplaces and which gives effect to the Convention is currently under review as part of a national program to harmonise all Australian workplace health and safety legislation. The proposed model legislation will continue to give effect to this Convention once implemented. Specifically, at the 11 December 2009 meeting of the WRMC, Ministers agreed to request that Safe Work Australia consider consistency with and Australia's ability to ratify, the Convention when developing asbestos safety regulations. 25. Under the 1998 Labour Ministers’ Council Resolution for a Framework Concerning Cooperation on ILO Matters, the Commonwealth Government will not normally proceed with ratification of an ILO instrument unless compliance with the provisions of a convention has been established in all jurisdictions and the relevant governments have provided individual formal agreement to ratification. Between 2003 and 2010, all State and Territory Governments formally agreed to the proposed ratification of the Convention and advised that their law and practice is consistent with the obligations under the Convention.

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Costs 27. There are no costs associated with the ratification of the Convention, as existing Commonwealth, State and Territory laws and practices comply with the provisions of the Convention. Regulation Impact Statement 28. The Office of Best Practice Regulation, Department of Finance and Deregulation, has been consulted and confirms that a Regulation Impact Statement is not required. Future treaty action 29. No future treaty action is expected to arise in relation to this Convention. Any future revision of the Convention would require a decision of the Governing Body of the ILO to place such revision on the agenda of the annual International Labour Conference. In this regard, Article 28 of the Convention provides that, at such times as it may consider necessary, the Governing Body shall present to the International Labour Conference a report on the working of the Convention and shall examine the desirability of placing on the Conference agenda the question of its revision in whole or in part. There are presently no proposals to revise or amend the Convention before the Governing Body of the ILO. Proposals to amend existing labour standards occur very rarely. 30. Any proposal to take binding treaty-action in respect of an instrument arising out of a revision of the Convention would be subject to Australia’s domestic treaty process, including tabling and consideration by the Joint Standing Committee on Treaties. 31. Article 1(2) allows a Member State ratifying the Convention to exclude particular branches of economic activity from the Convention’s application, when it is satisfied that application to these branches is unnecessary. The Member State must first consult the most representative organisations of employers and workers concerned, and conduct an assessment of the health hazards involved and the safety measures applied. It is not proposed to exclude any branches of economic activity from the application of the Convention. Withdrawal or denunciation 32. Article 25(1) provides for the denunciation of the Convention by a Member State during a twelve month interval after the expiration of a period of ten years commencing from the date on which the Convention first entered into force. If this right is not exercised, Member States will be bound for another period of ten years and thereafter may denounce the treaty at the expiration of ten-yearly intervals (Article 25(2)). Such denunciation would take effect one-year after the registration of the act of denunciation with the Director-General of the ILO (Article 25(1)).

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33. The document of denunciation should indicate that it is a formal denunciation and should state the Convention being denounced, as well as the reasons for denunciation. 34. The ten-yearly interval for the denunciation of an ILO Convention is a standard period and is included in all ILO Conventions.

35. The next opportunity to denounce the Convention would be in the 12 months following 16 June 2019 (the next ten-yearly interval of the date of entry of the Convention generally). Any action to denounce the Convention would be subject to Australia’s domestic treaty making processes. Contact details International Labour Standards Section Workplace Relations Policy Group Department of Education, Employment and Workplace Relations

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ATTACHMENT ON CONSULTATION

International Labour Organization Convention No. 162: Convention Concerning Safety in the Use of Asbestos,

adopted at Geneva on 24 June 1986

[2010] ATNIF 48 CONSULTATION Consultation with State and Territory governments 36. There has been consultation with State and Territory Governments on the Convention at both the Ministerial and official level. 37. States and Territories were provided with the opportunity to comment on the draft texts and to provide information for inclusion in the briefing for the Australian delegation to the International Labour Conference in 1986 (which was the meeting at which the Convention was adopted). 38. The status of Australia’s compliance with the Convention and prospects for ratification have been regularly considered at annual meetings of Commonwealth, State and Territory officials responsible for ILO matters. Specifically, the Convention was discussed at meetings held in April 1996, September 1998, October 1999, October 2000, April 2002, February 2003 and March 2004. Briefing on the Convention was provided to the Standing Committee on Treaties for the following meetings:

• 22 September 2005 (pre-briefing provided on 8 September 2005); • 26 September 2007 (pre-briefing provided on 5 September 2007); • 12 October 2009 (pre-briefing provided on 4 October 2009); and • 10 May 2010 (pre-briefing provided on 28 April 2010).

39. On 7 December 2005, the then Minister for Employment and Workplace Relations, the Hon Kevin Andrews MP, wrote to State and Territory Governments seeking advice on their support for ratification of the Convention and an assessment on law and practice in their respective jurisdictions. 40. At its 80th meeting on 3 April 2009, the Workplace Relations Ministers’ Council (WRMC) identified a number of ILO Conventions as priority targets for ratification, including the Convention. 41. At its 84th meeting on 11 December 2009, the WRMC noted the opportunity to progress ratification of the Convention in 2010. 42. Ministers from all States and Territories have written to the Commonwealth to indicate that they support ratification and have provided law and practice reports indicating full compliance with the Convention. The dates on which this information was provided is listed below:

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• New South Wales – 15 August 2006 (confirmed compliance 08 July 2010); • Victoria – 26 May 2010 (compliance confirmed 26 May 2010); • Western Australia – 24 December 2003 (compliance confirmed 3 May 2010); • Northern Territory – 12 April 2010 (compliance confirmed 12 April 2010); • Tasmania – 26 November 2009 (compliance 10 May 2010); • South Australia – 24 May 2007 (compliance 20 April 2010); and • Australian Capital Territory 23 May 2006 (compliance 15 June 2010).

Other consultation 43. On 7 December 2005, the then Minister for Employment and Workplace Relations, the Hon Kevin Andrews MP, wrote to the Australian Chamber of Commerce and Industry (ACCI) and the Australian Council of Trade Unions (ACTU) seeking their agreement to the ratification of the Convention. At the time, the ACTU and ACCI were members of the International Labour Affairs Council (ILAC), which is the forum through which worker and business representative organisations are consulted on ILO matters. 44. In October 2008, the Australian Industry Group (Ai Group) also became a member of ILAC. The Ai Group were also consulted on progress towards ratification of the Convention at the ILAC meetings on 3 March and 31 October 2008, 2 March and 23 October 2009, and 1 March 2010. At the Meeting on 31 October 2008, all ILAC members supported consideration of ratification of the Convention. 45. On 7 July 2010, the Office of International Law in the Commonwealth Attorney-General’s Department formally confirmed by email that Commonwealth law and practice is consistent with the obligations under the Convention.

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DEPARTMENT OF FOREIGN AFFAIRS AND TRADE CANBERRA

ILO C175 Part-Time Work Convention, 1994

(Geneva, 7 June 1994)

Not yet in force [2010] ATNIF 49

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ILO C175 Part-Time Work Convention, 1994

The General Conference of the International Labour Organization,

Having been convened at Geneva by the Governing Body of the International Labour Office, and having met in its 81st Session on 7 June 1994, and

Noting the relevance, for part-time workers, of the provisions of the Equal Remuneration Convention, 1951, the Discrimination (Employment and Occupation) Convention, 1958, and the Workers with Family Responsibilities Convention and Recommendation, 1981, and

Noting the relevance for these workers of the Employment Promotion and Protection against Unemployment Convention, 1988, and the Employment Policy (Supplementary Provisions) Recommendation, 1984, and

Recognizing the importance of productive and freely chosen employment for all workers, the economic importance of part-time work, the need for employment policies to take into account the role of part-time work in facilitating additional employment opportunities, and the need to ensure protection for part-time workers in the areas of access to employment, working conditions and social security, and

Having decided upon the adoption of certain proposals with regard to part-time work, which is the fourth item on the agenda of the session, and

Having determined that these proposals shall take the form of an international Convention;

adopts this twenty-fourth day of June of the year one thousand nine hundred and ninety-four the following Convention, which may be cited as the Part-Time Work Convention, 1994:

Article 1

For the purposes of this Convention:

(a) the term part-time worker means an employed person whose normal hours of work are less than those of comparable full-time workers;

(b) the normal hours of work referred to in subparagraph (a) may be calculated weekly or on average over a given period of employment;

(c) the term comparable full-time worker refers to a full-time worker who:

(i) has the same type of employment relationship;

(ii) is engaged in the same or a similar type of work or occupation; and

(iii) is employed in the same establishment or, when there is no comparable full-time worker in that establishment, in the same enterprise or, when there is no comparable full-time worker in that enterprise, in the same branch of activity,

as the part-time worker concerned;

(d) full-time workers affected by partial unemployment, that is by a collective and temporary reduction in their normal hours of work for economic, technical or structural reasons, are not considered to be part-time workers.

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Article 2

This Convention does not affect more favourable provisions applicable to part-time workers under other international labour Conventions.

Article 3

1. This Convention applies to all part-time workers, it being understood that a Member may, after consulting the representative organizations of employers and workers concerned, exclude wholly or partly from its scope particular categories of workers or of establishments when its application to them would raise particular problems of a substantial nature.

2. Each Member having ratified this Convention which avails itself of the possibility afforded in the preceding paragraph shall, in its reports on the application of the Convention under article 22 of the Constitution of the International Labour Organization, indicate any particular category of workers or of establishments thus excluded and the reasons why this exclusion was or is still judged necessary.

Article 4

Measures shall be taken to ensure that part-time workers receive the same protection as that accorded to comparable full-time workers in respect of:

(a) the right to organize, the right to bargain collectively and the right to act as workers' representatives;

(b) occupational safety and health;

(c) discrimination in employment and occupation.

Article 5

Measures appropriate to national law and practice shall be taken to ensure that part-time workers do not, solely because they work part time, receive a basic wage which, calculated proportionately on an hourly, performance-related, or piece-rate basis, is lower than the basic wage of comparable full-time workers, calculated according to the same method.

Article 6

Statutory social security schemes which are based on occupational activity shall be adapted so that part-time workers enjoy conditions equivalent to those of comparable full-time workers; these conditions may be determined in proportion to hours of work, contributions or earnings, or through other methods consistent with national law and practice.

Article 7

Measures shall be taken to ensure that part-time workers receive conditions equivalent to those of comparable full-time workers in the fields of:

(a) maternity protection;

(b) termination of employment;

(c) paid annual leave and paid public holidays; and

(d) sick leave,

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it being understood that pecuniary entitlements may be determined in proportion to hours of work or earnings.

Article 8

1. Part-time workers whose hours of work or earnings are below specified thresholds may be excluded by a Member:

(a) from the scope of any of the statutory social security schemes referred to in Article 6, except in regard to employment injury benefits;

(b) from the scope of any of the measures taken in the fields covered by Article 7, except in regard to maternity protection measures other than those provided under statutory social security schemes.

2. The thresholds referred to in paragraph 1 shall be sufficiently low as not to exclude an unduly large percentage of part-time workers.

3. A Member which avails itself of the possibility provided for in paragraph 1 above shall:

(a) periodically review the thresholds in force;

(b) in its reports on the application of the Convention under article 22 of the Constitution of the International Labour Organization, indicate the thresholds in force, the reasons therefore and whether consideration is being given to the progressive extension of protection to the workers excluded.

4. The most representative organizations of employers and workers shall be consulted on the establishment, review and revision of the thresholds referred to in this Article.

Article 9

1. Measures shall be taken to facilitate access to productive and freely chosen part-time work which meets the needs of both employers and workers, provided that the protection referred to in Articles 4 to 7 is ensured.

2. These measures shall include:

(a) the review of laws and regulations that may prevent or discourage recourse to or acceptance of part-time work;

(b) the use of employment services, where they exist, to identify and publicize possibilities for part-time work in their information and placement activities;

(c) special attention, in employment policies, to the needs and preferences of specific groups such as the unemployed, workers with family responsibilities, older workers, workers with disabilities and workers undergoing education or training.

3. These measures may also include research and dissemination of information on the degree to which part-time work responds to the economic and social aims of employers and workers.

Article 10

Where appropriate, measures shall be taken to ensure that transfer from full-time to part-time work or vice versa is voluntary, in accordance with national law and practice.

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Article 11

The provisions of this Convention shall be implemented by laws or regulations, except in so far as effect is given to them by means of collective agreements or in any other manner consistent with national practice. The most representative organizations of employers and workers shall be consulted before any such laws or regulations are adopted.

Article 12

The formal ratifications of this Convention shall be communicated to the Director-General of the International Labour Office for registration.

Article 13

1. This Convention shall be binding only upon those Members of the International Labour Organization whose ratifications have been registered with the Director-General.

2. It shall come into force 12 months after the date on which the ratifications of two Members have been registered with the Director-General.

3. Thereafter, this Convention shall come into force for any Member 12 months after the date on which its ratification has been registered.

Article 14

1. A Member which has ratified this Convention may denounce it after the expiration of ten years from the date on which the Convention first comes into force, by an act communicated to the Director-General of the International Labour Office for registration. Such denunciation shall not take effect until one year after the date on which it is registered.

2. Each Member which has ratified this Convention and which does not, within the year following the expiration of the period of ten years mentioned in the preceding paragraph, exercise the right of denunciation provided for in this Article, will be bound for another period of ten years and, thereafter, may denounce this Convention at the expiration of each period of ten years under the terms provided for in this Article.

Article 15

1. The Director-General of the International Labour Office shall notify all Members of the International Labour Organization of the registration of all ratifications and denunciations communicated to him by the Members of the Organization.

2. When notifying the Members of the Organization of the registration of the second ratification communicated to him, the Director-General shall draw the attention of the Members of the Organization to the date upon which the Convention will come into force.

Article 16

The Director-General of the International Labour Office shall communicate to the Secretary-General of the United Nations for registration in accordance with Article 102 of the Charter of the United Nations full particulars of all ratifications and acts of denunciations registered by him in accordance with the provisions of the preceding Articles.

Article 17

At such times as it may consider necessary, the Governing Body of the International Labour Office shall present to the General Conference a report on the working of this Convention and

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shall examine the desirability of placing on the agenda of the Conference the question of its revision in whole or in part.

Article 18

1. Should the Conference adopt a new Convention revising this Convention in whole or in part, then, unless the new Convention otherwise provides--

(a) the ratification by a Member of the new revising Convention shall ipso jure involve the immediate denunciation of this Convention, notwithstanding the provisions of Article 14 above, if and when the new revising Convention shall have come into force;

(b) as from the date when the new revising Convention comes into force this Convention shall cease to be open to ratification by the Members.

2. This Convention shall in any case remain in force in its actual form and content for those Members which have ratified it but have not ratified the revising Convention.

Article 19 The English and French versions of the text of this Convention are equally authoritative.

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National Interest Analysis [2010] ATNIA 61

with attachment on consultation

International Labour Organization Convention No. 175:

Part-Time Work, adopted at Geneva on 24 June 1994

[2010] ATNIF 49

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NATIONAL INTEREST ANALYSIS: CATEGORY 1 TREATY

SUMMARY PAGE

International Labour Organization Convention No. 175: Part-Time Work,

adopted at Geneva on 24 June 1994

[2010] ATNIF 49 Nature and timing of proposed treaty action 1. The proposed treaty action is ratification of the International Labour Organization (ILO) Convention No. 175: Part-Time Work, adopted at Geneva on 24 June 1994 (the Convention) in accordance with Article 13(1), which provides the Convention is binding only upon ILO Member States that have registered their ratification with the Director-General of the International Labour Office. 2. It is proposed that the Convention be ratified as soon as practicable. In accordance with Article 13(2), the Convention entered into force on 28 February 1998, being 12 months after the date on which the ratifications of two Member States of the ILO had been registered with the Director-General. Under Article 13(3), the Convention would enter into force for Australia 12 months after the date on which Australia’s ratification is registered with the Director-General.

3. In accordance with established ILO practice it is not proposed that Australia will make any reservation or declaration on ratification. Overview and national interest summary 4. The primary purpose of the Convention is to ensure treatment of part-time workers is equal to that accorded to comparable full-time workers. The Convention requires ratifying Member States to take measures to ensure that part-time workers receive the same protection as full-time workers, for example, in respect of the rights to organise and bargain collectively; occupational safety and health; discrimination in employment and occupation, and leave entitlements. In addition, it also requires States to take measures to ensure part-time workers do not receive a wage lower than that of comparable full-time workers; to facilitate access to productive and freely chosen part-time work; and to ensure that transfers between full-time to part-time work is voluntary. 5. Ratification of the Convention would commit Australia to protecting the rights of part-time workers in a way that is consistent with international standards. This is particularly significant in the Australian context, where part-time work is a common form of working arrangement used predominantly to balance paid work with study or family commitments. Furthermore, ratification of this Convention will complement other international instruments already ratified by Australia. All State and Territory governments support ratification of the Convention. 6. As no other country in the Asia-Pacific region has ratified the Convention, ratification by Australia would provide leadership to the region by encouraging countries to consider the merits of ratification and the effective implementation of international labour standards that guarantee the equality of rights and protections of part-time workers with their full-time equivalents.

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Reasons for Australia to take the proposed treaty action 7. Ratification of the Convention at this time would strengthen Australia’s credentials within the international community to effectively provide equality of rights and protection between part-time and full-time workers in respect of pay and employment conditions whilst also ensuring that employees have a genuine choice between part-time and full-time work. This recognises the importance of part-time work to supporting greater participation in the labour force, especially for parents and young people who often use this form of employment to balance paid work with study or family commitments. Furthermore, ratification of the Convention would complement international instruments already ratified by Australia, such as ILO Convention No. 156: Workers with Family Responsibilities, adopted at Geneva on 23 June 1981. 8. A key strategic objective of Australia’s engagement with the ILO is to provide policy leadership within the Asia-Pacific region in promoting international labour standards. As the Convention has not been ratified by any country within the region, ratification by Australia would encourage other Asia-Pacific countries to consider the merits of applying international labour standards that safeguard the rights of workers to decent pay and conditions. 9. The ILO is a specialised agency of the United Nations with 183 Member States. The ILO is tripartite in structure and has equal representation of governments, employer and worker representative organisations. One of the core functions of the ILO is to establish and monitor a code of international labour standards which are embodied in conventions, protocols and recommendations developed by the three representative groups. Together, the international labour code establishes minimum labour standards for workers in all types of industries and occupations throughout the world. 10. The ILO supervises the implementation of conventions and protocols by Member States who are parties to those instruments, most notably through the Committee of Experts on the Application of Conventions and Recommendations. Australia has been a Member State of the ILO since its establishment in 1919 and has ratified 59 out of the ILO’s 188 conventions. Forty-seven of the ILO conventions remain in force for Australia. 11. The Convention has been ratified by 13 countries (see Annexure 1). 12. Compliance with the Convention in Australia is primarily achieved through the Fair Work Act 2009 (Cth) (Fair Work Act), which since 1 January 2010 has regulated the terms of employment and working conditions of approximately 96 per cent of all private sector employees in Australia. The obligations of the Convention support the policy intentions behind the Fair Work Act, which has as one of its objects the need to assist employees to balance their work and family responsibilities by providing them with genuine flexible working arrangements. 13. Of the various flexible working arrangements undertaken by employees in Australia, part-time work is one of the most common forms. The most recent Australian Bureau of Statistics labour force data show that of the 9,770,500 employees in May 2010, 29.2 per cent (or 2,848,600) worked part-time.1 1 Source: Australian Bureau of Statistics, Labour Force, Australia, Detailed, Quarterly (Cat. No. 6291.0.55.003), May 2010.

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14. Importantly, all State and Territory governments as well as the Australian Chamber of Commerce and Industry, the Australian Council of Trade Unions and the Australian Industry Group have provided their support for the ratification of the Convention (see Attachment on Consultation). Obligations 15. The objective of the Convention is to provide part-time workers with the same protection as full-time workers in respect of pay and employment conditions. 16. Article 4 of the Convention provides that each Member State shall take measures to ensure that part-time workers receive the same protection as comparable full-time workers, in respect of the rights to organise, bargain collectively and to act as workers’ representatives; occupational safety and health; and discrimination in employment and occupation. 17. Article 5 provides that Member States shall take measures to ensure that part-time workers receive a basic wage which, when calculated proportionately on an hourly, performance-related or piece-rate basis, is not lower than the basic wage of comparable full-time workers. 18. Article 7 requires Member States to take measures to ensure part-time workers enjoy conditions equivalent to those of comparable full-time workers in relation to maternity leave, termination of employment, paid annual leave and sick leave. Any pecuniary entitlements arising in these areas may be determined in proportion to earnings or hours worked. 19. Article 9 requires Member States to take measures to facilitate access to productive and freely chosen part-time work which meets the needs of both employers and workers. These include review of laws and regulations which may prevent or discourage part-time work; use of employment services to identify and publicise part-time work opportunities; and, in developing employment policies, special attention to the needs and preferences of specific groups.

20. Article 10 requires Member States to take measures to ensure, where appropriate, that transfer from full-time to part-time work or vice versa is voluntary. 21. Under Article 22 of the ILO Constitution, Members States must submit an annual report to the International Labour Office on the measures which it has taken to give effect to the conventions to which it is a party, at the discretion of the Governing Body of the ILO. The Governing Body determines which conventions are to be reported on in any given year. Under the current reporting schedule, Member States are required to report on the implementation of each ratified convention to the ILO Committee of Experts on the Application of Conventions and Recommendations on a five-year cycle from the date the convention comes into force for that Member State. For this Convention, the first report would be due on 1 September in the first 12 months immediately following the Convention coming into force for Australia. Implementation 22. Law and practice at the Commonwealth, State and Territory levels is consistent with Australia’s obligations under the Convention.

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23. Implementation of aspects of the Convention that relate to employment entitlements would fall primarily within the jurisdiction of the Commonwealth Government, with compliance achieved via the Fair Work Act. This follows the referral of workplace relations powers with respect to private sector employees by the governments of New South Wales, Queensland, South Australia and Tasmania effective as of 1 January 2010. Victoria referred workplace relations matters to the Commonwealth in 1996 and made a new reference to support the operation of the Fair Work Act in that State from 1 July 2009. Western Australia has not referred workplace relations matters to the Commonwealth. Employers and employees in Western Australia are covered by the Fair Work Act to the extent that they are constitutional corporations. 24. State and Territory governments would be responsible for implementing the Convention with respect to employees they continue to have responsibility for under their workplace relations laws (generally public sector employees and employees of non-constitutional corporations in Western Australia). 25. The Commonwealth, State and Territory governments would share responsibility for implementing those parts of the Convention that relate to occupational safety and health and anti-discrimination. 26. As indicated above, all jurisdictions advise that their law and practice is consistent with the Convention. The Fair Work Act and other relevant legislation applies equally to full-time and part-time employees in that the conditions available to full-time employees are also available to part-time employees (including on a pro-rata basis where relevant). For example, the protections afforded under occupational health and safety legislation, anti-discrimination legislation and the provisions of the Fair Work Act that deal with freedom of association, the right to bargain collectively, and discrimination and termination of employment apply equally to part-time and full-time employees. In addition, the Fair Work Act contains provisions that ensure that part-time workers are not treated less favourably than their full-time counterparts by ensuring that entitlements (such as basic rates of pay as well as paid leave) are available on a pro-rata basis. Finally, there are specific provisions in the Fair Work Act that facilitate access to freely chosen part-time work, as well as for the voluntary transfer from full-time to part-time work. 27. Under the 1998 Labour Ministers’ Council Resolution for a Framework Concerning Cooperation on ILO Matters, the Commonwealth Government will not normally ratify an ILO convention unless compliance with the provisions of the instrument have been established in all jurisdictions, and the relevant governments have provided individual formal agreement to ratification. 28. Between 2007 and 2010, all State and Territory governments formally agreed to ratification of the Convention and have formally advised that their law and practice is consistent with the obligations under the Convention (see Attachment on Consultation). Costs 29. There are no costs associated with the ratification of the Convention as existing Commonwealth, State and Territory laws and practices already comply with the provisions of the Convention.

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Regulation Impact Statement 30. The Office of Best Practice Regulation, Department of Finance and Deregulation, has been consulted and has confirmed that a Regulation Impact Statement is not required. Future treaty action 31. No future treaty action is expected to arise out of the ratification process for the Convention. Pursuant to Article 17 of the Convention, at such times as it may consider necessary, the Governing Body of the ILO shall present the ILO International Labour Conference with a report on the working of the Convention and shall examine whether the question of its revision should be placed on the Conference agenda. There are presently no proposals to revise or amend the Convention before the Governing Body. Proposals to amend existing labour standards occur very rarely. 32. Any proposal to take binding treaty-action in respect of an instrument arising out of a revision of the Convention would be subject to Australia’s domestic treaty-making procedures, including tabling and consideration by the Joint Standing Committee on Treaties. Withdrawal or denunciation 33. Article 14(1) of the Convention provides for denunciation of the Convention by a Member State after the expiration of ten years from the date of the entry into force of the Convention. In respect of a Member State that has not exercised the right to denounce the Convention within 12 months of the expiration of the ten year period as provided under Article 14(1), the Convention may be denounced only at the expiration of a further ten years and thereafter at ten-yearly intervals (Article 14(2)). Such denunciation shall not take effect until one year after the date on which it is registered (Article 14(1)). The document of denunciation should indicate that it is a formal denunciation, and state the Convention being denounced and the reasons for denunciation. 34. The ten-yearly interval for denunciation of an ILO Convention is a standard period and is included in all ILO conventions. 35. The next opportunity to denounce the Convention would be in the 12 months following 28 February 2018 (the next ten-yearly interval after the date of entry into force of the Convention generally). Any action to denounce the Convention would be subject to Australia’s domestic treaty-making procedures. Contact details International Labour Standards Section Workplace Relations Policy Group Department of Education, Employment and Workplace Relations

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ATTACHMENT ON CONSULTATION

International Labour Organization Convention No. 175: Part-Time Work,

adopted at Geneva on 24 June 1994

[2010] ATNIF 49 CONSULTATION Consultation with States and Territory governments 36. There has been consultation with State and Territory governments on the International Labour Organization (ILO) Convention No. 175: Part-Time Work, adopted at Geneva on 24 June 1994 (the Convention) at both the Ministerial and official level. 37. States and Territories were provided with the opportunity to comment on the draft texts of the Convention and to provide information for inclusion in the briefing for the Australian delegation to the International Labour Conference in 1994 (which was the meeting at which the Convention was adopted). 38. The status of Australia’s compliance with the Convention and prospects of ratification has been regularly discussed at the annual meetings of Commonwealth, State and Territory officials responsible for ILO matters. Most recently, the Convention was considered at meetings held in Darwin on 30-31 August 2005, in Canberra on 6 April 2006, in Brisbane on 30 July 2007, in Perth on 5 September 2008 and by teleconference on 30 September 2009. Briefing on the Convention was provided to the Standing Committee on Treaties for the following meetings:

• 18 April 2007 (pre-briefing provided on 28 March 2007; oral briefing provided at the meeting by representatives of the former Department of Employment and Workplace Relations);

• 26 September 2007 (pre-briefing provided on 5 September 2007); and • 10 May 2010 (pre-briefing provided on 28 April 2010).

39. On 30 November 2006, the then Minister for Employment and Workplace Relations, the Hon Kevin Andrews MP, wrote to State and Territory governments seeking advice on their support for ratification of the Convention and an assessment on law and practice in their respective jurisdictions. 40. Between 2007 and 2010, all State and Territory governments provided formal support for ratification of the Convention, and made available updated advice indicating that their law and practice is consistent with the Convention. The dates on which this advice was provided is also listed below.

• New South Wales - 13 July 2010 (compliance confirmed 19 May 2010); Victoria - 26 May 2010 (compliance confirmed 4 May 2010); •

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• Queensland - 3 July 2009 (compliance confirmed 30 April 2010); 010);

); and

2007).

d as

• Western Australia - 3 August 2007 (compliance confirmed 3 May 2• South Australia - 3 April 2007 (compliance confirmed 20 May 2010); • Tasmania - 4 December 2009 (compliance confirmed 4 December 2009• Northern Territory - 12 April 2010 (compliance confirmed 12 April 2010);• Australian Capital Territory - 23 August 2007 (compliance confirmed 23 August

14 . At a meeting of the Workplace Relations Ministers’ Council held on 3 April 2009 (80th

meeting), Ministers agreed that consideration of ratification of the Convention would be pursueexpeditiously as possible. At its 84th meeting on 11 December 2009, Ministers noted the opportunity in 2010 to progress ratification of the Convention in 2010.

ther consultationO 2. The proposed4 treaty-action has been discussed at meetings of the International Labour

ular

rt for

e Commonwealth Attorney-General’s

Affairs Committee (ILAC) of the National Workplace Relations Consultative Council on a regbasis since the Convention was adopted by the ILO in 1994. The ILAC comprises the Commonwealth Department of Education, Employment and Workplace Relations, the Australian Council of Trade Unions (ACTU), the Australian Chamber of Commerce and Industry (ACCI) and (since October 2008) the Australian Industry Group (Ai Group). These organisations are, respectively, the worker and employer organisations that represent Australia in the ILO. At ILAC’s meeting on 31 October 2008, the ACTU, the ACCI and the Ai Group expressed suppoAustralia’s consideration of ratification of the Convention. 3. On 30 June 2010, the Office of International Law in th4

Department formally confirmed by letter that Commonwealth law and practice is consistent with the obligations under the Convention.

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Annexure 1

BACKGROUND INFORMATION

The following States were Parties to International Labour Organization Convention No. 175: Part-Time Work, adopted at Geneva on 24 June 1994, as at 3 November 2010: Albania Bosnia and Herzegovina Cyprus Finland Guyana Hungary Italy Luxembourg Mauritius Netherlands Portugal Slovenia Sweden

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DEPARTMENT OF FOREIGN AFFAIRS AND TRADE

CANBERRA

Maritime Labour Convention, 2006 (No. 186)

(Geneva, 7 February 2006)

 

 

 

 

 

 

 

 

 

 

 

 

 

Not yet in force

[2010] ATNIF 44

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Maritime Labour Convention, 2006 (No. 186)  The General Conference of the International Labour Organization,   Having been convened at Geneva by the Governing Body of the International Labour Office, and having met in its Ninety‐fourth Session on 7 February 2006, and   Desiring to create a single, coherent instrument embodying as far as possible all up‐to‐date standards of existing international maritime labour Conventions and Recommendations, as well as the fundamental principles to be found in other international labour Conventions, in particular:  ‐ the Forced Labour Convention, 1930 (No. 29);  ‐ the Freedom of Association and Protection of the Right to Organise Convention, 1948 (No. 87);  ‐ the Right to Organise and Collective Bargaining Convention, 1949 (No. 98);  ‐ the Equal Remuneration Convention, 1951 (No. 100);  ‐ the Abolition of Forced Labour Convention, 1957 (No. 105);  ‐ the Discrimination (Employment and Occupation) Convention, 1958 (No. 111);  ‐ the Minimum Age Convention, 1973 (No. 138);  ‐ the Worst Forms of Child Labour Convention, 1999 (No. 182); and   Mindful of the core mandate of the Organization, which is to promote decent conditions of work, and   Recalling the ILO Declaration on Fundamental Principles and Rights at Work, 1998, and   Mindful also that seafarers are covered by the provisions of other ILO instruments and have other rights which are established as fundamental rights and freedoms applicable to all persons, and   Considering that, given the global nature of the shipping industry, seafarers need special protection, and   Mindful also of the international standards on ship safety, human security and quality ship management in the International Convention for the Safety of Life at Sea, 1974, as amended, the Convention on the International Regulations for Preventing Collisions at Sea, 1972, as amended, and the seafarer training and competency requirements in the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978, as amended, and   Recalling that the United Nations Convention on the Law of the Sea, 1982, sets out a general legal framework within which all activities in the oceans and seas must be carried out and is of strategic importance as the basis for national, regional and global action and cooperation in the marine sector, and that its integrity needs to be maintained, and   Recalling that Article 94 of the United Nations Convention on the Law of the Sea, 1982, establishes the duties and obligations of a flag State with regard to, inter alia, labour conditions, crewing and social matters on ships that fly its flag, and   Recalling paragraph 8 of article 19 of the Constitution of the International Labour Organisation which provides that in no case shall the adoption of any Convention or Recommendation by the Conference or the ratification of any Convention by any Member be deemed to affect any law, award, custom or agreement which ensures more favourable conditions to the workers concerned than those provided for in the Convention or Recommendation, and   Determined that this new instrument should be designed to secure the widest possible acceptability among governments, shipowners and seafarers committed to the principles of decent work, that it should be readily updateable and that it should lend itself to effective implementation and enforcement, and  Having decided upon the adoption of certain proposals for the realization of such an instrument, which is the only item on the agenda of the session, and  Having determined that these proposals shall take the form of an international Convention;  

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 adopts this twenty‐third day of February of the year two thousand and six the following Convention, which may be cited as the Maritime Labour Convention, 2006.    General Obligations  Article I  1.  Each Member which ratifies this Convention undertakes to give complete effect to its provisions in the manner set out in Article VI in order to secure the right of all seafarers to decent employment. 2. Members shall cooperate with each other for the purpose of ensuring the effective implementation and enforcement of this Convention.   Definitions and Scope of Application  Article II  1. For the purpose of this Convention and unless provided otherwise in particular provisions, the term:  (a) competent authority means the minister, government department or other authority having power to issue and enforce regulations, orders or other instructions having the force of law in respect of the subject matter of the provision concerned; (b) declaration of maritime labour compliance means the declaration referred to in Regulation 5.1.3;  (c) gross tonnage means the gross tonnage calculated in accordance with the tonnage measurement regulations contained in Annex I to the International Convention on Tonnage Measurement of Ships, 1969, or any successor Convention; for ships covered by the tonnage measurement interim scheme adopted by the International Maritime Organization, the gross tonnage is that which is included in the REMARKS column of the International Tonnage Certificate (1969);  (d) maritime labour certificate means the certificate referred to in Regulation 5.1.3;  (e) requirements of this Convention refers to the requirements in these Articles and in the Regulations and Part A of the Code of this Convention;  (f) seafarer means any person who is employed or engaged or works in any capacity on board a ship to which this Convention applies;  (g) seafarers' employment agreement includes both a contract of employment and articles of agreement;  (h) seafarer recruitment and placement service means any person, company, institution, agency or other organization, in the public or the private sector, which is engaged in recruiting seafarers on behalf of shipowners or placing seafarers with shipowners;  (i) ship means a ship other than one which navigates exclusively in inland waters or waters within, or closely adjacent to, sheltered waters or areas where port regulations apply;  (j) shipowner means the owner of the ship or another organization or person, such as the manager, agent or bareboat charterer, who has assumed the responsibility for the operation of the ship from the owner and who, on assuming such responsibility, has agreed to take over the duties and responsibilities imposed on shipowners in accordance with this Convention, regardless of whether any other organization or persons fulfil certain of the duties or responsibilities on behalf of the shipowner.  2. Except as expressly provided otherwise, this Convention applies to all seafarers.  3. In the event of doubt as to whether any categories of persons are to be regarded as seafarers for the purpose of this Convention, the question shall be determined by the competent authority in each Member after consultation with the shipowners' and seafarers' organizations concerned with this question.  4. Except as expressly provided otherwise, this Convention applies to all ships, whether publicly or privately owned, ordinarily engaged in commercial activities, other than ships engaged in fishing or in similar pursuits and ships of traditional build such as dhows and junks. This Convention does not apply to warships or naval auxiliaries.  5. In the event of doubt as to whether this Convention applies to a ship or particular category of ships, the question shall be determined by the competent authority in each Member after consultation with the shipowners' and seafarers' organizations concerned.  

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6. Where the competent authority determines that it would not be reasonable or practicable at the present time to apply certain details of the Code referred to in Article VI, paragraph 1, to a ship or particular categories of ships flying the flag of the Member, the relevant provisions of the Code shall not apply to the extent that the subject matter is dealt with differently by national laws or regulations or collective bargaining agreements or other measures. Such a determination may only be made in consultation with the shipowners' and seafarers' organizations concerned and may only be made with respect to ships of less than 200 gross tonnage not engaged in international voyages.  7. Any determinations made by a Member under paragraph 3 or 5 or 6 of this Article shall be communicated to the Director‐General of the International Labour Office, who shall notify the Members of the Organization.  8. Unless expressly provided otherwise, a reference to this Convention constitutes at the same time a reference to the Regulations and the Code.   Fundamental Rights and Principles  Article III  Each Member shall satisfy itself that the provisions of its law and regulations respect, in the context of this Convention, the fundamental rights to:  (a) freedom of association and the effective recognition of the right to collective bargaining;  (b) the elimination of all forms of forced or compulsory labour;  (c) the effective abolition of child labour; and  (d) the elimination of discrimination in respect of employment and occupation.   Seafarers' Employment and Social Rights  Article IV  1. Every seafarer has the right to a safe and secure workplace that complies with safety standards.  2. Every seafarer has a right to fair terms of employment.  3. Every seafarer has a right to decent working and living conditions on board ship.  4. Every seafarer has a right to health protection, medical care, welfare measures and other forms of social protection.  5. Each Member shall ensure, within the limits of its jurisdiction, that the seafarers' employment and social rights set out in the preceding paragraphs of this Article are fully implemented in accordance with the requirements of this Convention. Unless specified otherwise in the Convention, such implementation may be achieved through national laws or regulations, through applicable collective bargaining agreements or through other measures or in practice.   Implementation and Enforcement Responsibilities  Article V  1. Each Member shall implement and enforce laws or regulations or other measures that it has adopted to fulfil its commitments under this Convention with respect to ships and seafarers under its jurisdiction.  2. Each Member shall effectively exercise its jurisdiction and control over ships that fly its flag by establishing a system for ensuring compliance with the requirements of this Convention, including regular inspections, reporting, monitoring and legal proceedings under the applicable laws.  3. Each Member shall ensure that ships that fly its flag carry a maritime labour certificate and a declaration of maritime labour compliance as required by this Convention.  4. A ship to which this Convention applies may, in accordance with international law, be inspected by a Member other than the flag State, when the ship is in one of its ports, to determine whether the ship is in compliance with the requirements of this Convention.  5. Each Member shall effectively exercise its jurisdiction and control over seafarer recruitment and placement services, if these are established in its territory.  6. Each Member shall prohibit violations of the requirements of this Convention and shall, in accordance with international law, establish sanctions or require the adoption of corrective measures under its laws which are adequate to discourage such violations.  

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7. Each Member shall implement its responsibilities under this Convention in such a way as to ensure that the ships that fly the flag of any State that has not ratified this Convention do not receive more favourable treatment than the ships that fly the flag of any State that has ratified it.   Regulations and Parts A and B of the Code  Article VI  1. The Regulations and the provisions of Part A of the Code are mandatory. The provisions of Part B of the Code are not mandatory.  2. Each Member undertakes to respect the rights and principles set out in the Regulations and to implement each Regulation in the manner set out in the corresponding provisions of Part A of the Code. In addition, the Member shall give due consideration to implementing its responsibilities in the manner provided for in Part B of the Code.  3. A Member which is not in a position to implement the rights and principles in the manner set out in Part A of the Code may, unless expressly provided otherwise in this Convention, implement Part A through provisions in its laws and regulations or other measures which are substantially equivalent to the provisions of Part A.  4. For the sole purpose of paragraph 3 of this Article, any law, regulation, collective agreement or other implementing measure shall be considered to be substantially equivalent, in the context of this Convention, if the Member satisfies itself that:  (a) it is conducive to the full achievement of the general object and purpose of the provision or provisions of Part A of the Code concerned; and  (b) it gives effect to the provision or provisions of Part A of the Code concerned.   Consultation with Shipowners' and Seafarers' Organizations  Article VII  Any derogation, exemption or other flexible application of this Convention for which the Convention requires consultation with shipowners' and seafarers' organizations may, in cases where representative organizations of shipowners or of seafarers do not exist within a Member, only be decided by that Member through consultation with the Committee referred to in Article XIII.   Entry into Force  Article VIII  1. The formal ratifications of this Convention shall be communicated to the Director‐General of the International Labour Office for registration.  2. This Convention shall be binding only upon those Members of the International Labour Organization whose ratifications have been registered by the Director‐General.  3. This Convention shall come into force 12 months after the date on which there have been registered ratifications by at least 30 Members with a total share in the world gross tonnage of ships of 33 per cent.  4. Thereafter, this Convention shall come into force for any Member 12 months after the date on which its ratification has been registered.   Denunciation  Article IX  1. A Member which has ratified this Convention may denounce it after the expiration of ten years from the date on which the Convention first comes into force, by an act communicated to the Director‐General of the International Labour Office for registration. Such denunciation shall not take effect until one year after the date on which it is registered.  2. Each Member which does not, within the year following the expiration of the period of ten years mentioned in paragraph 1 of this Article, exercise the right of denunciation provided for in this Article, shall be bound for another period of ten years and, thereafter, may denounce this Convention at the expiration of each new period of ten years under the terms provided for in this Article.   

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Effect of Entry into Force  Article X  This Convention revises the following Conventions:  

‐ Minimum Age (Sea) Convention, 1920 (No. 7)  ‐ Unemployment Indemnity (Shipwreck) Convention, 1920 (No. 8)  ‐ Placing of Seamen Convention, 1920 (No. 9)  ‐ Medical Examination of Young Persons (Sea) Convention, 1921 (No. 16)  ‐ Seamen's Articles of Agreement Convention, 1926 (No. 22)  ‐ Repatriation of Seamen Convention, 1926 (No. 23)  ‐ Officers' Competency Certificates Convention, 1936 (No. 53)  ‐ Holidays with Pay (Sea) Convention, 1936 (No. 54)  ‐ Shipowners' Liability (Sick and Injured Seamen) Convention, 1936 (No. 55)  ‐ Sickness Insurance (Sea) Convention, 1936 (No. 56)  ‐ Hours of Work and Manning (Sea) Convention, 1936 (No. 57)  ‐ Minimum Age (Sea) Convention (Revised), 1936 (No. 58)  ‐ Food and Catering (Ships' Crews) Convention, 1946 (No. 68)  ‐ Certification of Ships' Cooks Convention, 1946 (No. 69)  ‐ Social Security (Seafarers) Convention, 1946 (No. 70)  ‐ Paid Vacations (Seafarers) Convention, 1946 (No. 72)  ‐ Medical Examination (Seafarers) Convention, 1946 (No. 73)  ‐ Certification of Able Seamen Convention, 1946 (No. 74)  ‐ Accommodation of Crews Convention, 1946 (No. 75)  ‐ Wages, Hours of Work and Manning (Sea) Convention, 1946 (No. 76)  ‐ Paid Vacations (Seafarers) Convention (Revised), 1949 (No. 91)  ‐ Accommodation of Crews Convention (Revised), 1949 (No. 92)  ‐ Wages, Hours of Work and Manning (Sea) Convention (Revised), 1949 (No. 93)  ‐ Wages, Hours of Work and Manning (Sea) Convention (Revised), 1958 (No. 109)  ‐ Accommodation of Crews (Supplementary Provisions) Convention, 1970 (No. 133)  ‐ Prevention of Accidents (Seafarers) Convention, 1970 (No. 134)  ‐ Continuity of Employment (Seafarers) Convention, 1976 (No. 145)  ‐ Seafarers' Annual Leave with Pay Convention, 1976 (No. 146)  ‐ Merchant Shipping (Minimum Standards) Convention, 1976 (No. 147)  ‐ Protocol of 1996 to the Merchant Shipping (Minimum Standards) Convention, 1976 (No. 147)  ‐ Seafarers' Welfare Convention, 1987 (No. 163)  ‐ Health Protection and Medical Care (Seafarers) Convention, 1987 (No. 164)  ‐ Social Security (Seafarers) Convention (Revised), 1987 (No. 165)  ‐ Repatriation of Seafarers Convention (Revised), 1987 (No. 166)  ‐ Labour Inspection (Seafarers) Convention, 1996 (No. 178)  ‐ Recruitment and Placement of Seafarers Convention, 1996 (No. 179)  ‐ Seafarers' Hours of Work and the Manning of Ships Convention, 1996 (No. 180).  

 Depositary Functions  Article XI  1. The Director‐General of the International Labour Office shall notify all Members of the International Labour Organization of the registration of all ratifications, acceptances and denunciations under this Convention.  2. When the conditions provided for in paragraph 3 of Article VIII have been fulfilled, the Director‐General shall draw the attention of the Members of the Organization to the date upon which the Convention will come into force.   Article XII  The Director‐General of the International Labour Office shall communicate to the Secretary‐General of the United Nations for registration in accordance with Article 102 of the Charter of the United Nations full particulars of all ratifications, acceptances and denunciations registered under this Convention. Special Tripartite Committee  

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 Article XIII  1. The Governing Body of the International Labour Office shall keep the working of this Convention under continuous review through a committee established by it with special competence in the area of maritime labour standards.  2. For matters dealt with in accordance with this Convention, the Committee shall consist of two representatives nominated by the Government of each Member which has ratified this Convention, and the representatives of Shipowners and Seafarers appointed by the Governing Body after consultation with the Joint Maritime Commission.  3. The Government representatives of Members which have not yet ratified this Convention may participate in the Committee but shall have no right to vote on any matter dealt with in accordance with this Convention. The Governing Body may invite other organizations or entities to be represented on the Committee by observers.  4. The votes of each Shipowner and Seafarer representative in the Committee shall be weighted so as to ensure that the Shipowners' group and the Seafarers' group each have half the voting power of the total number of governments which are represented at the meeting concerned and entitled to vote.   Amendment of this Convention  Article XIV  1. Amendments to any of the provisions of this Convention may be adopted by the General Conference of the International Labour Organization in the framework of article 19 of the Constitution of the International Labour Organisation and the rules and procedures of the Organization for the adoption of Conventions. Amendments to the Code may also be adopted following the procedures in Article XV.  2. In the case of Members whose ratifications of this Convention were registered before the adoption of the amendment, the text of the amendment shall be communicated to them for ratification.  3. In the case of other Members of the Organization, the text of the Convention as amended shall be communicated to them for ratification in accordance with article 19 of the Constitution.  4. An amendment shall be deemed to have been accepted on the date when there have been registered ratifications, of the amendment or of the Convention as amended, as the case may be, by at least 30 Members with a total share in the world gross tonnage of ships of at least 33 per cent.  5. An amendment adopted in the framework of article 19 of the Constitution shall be binding only upon those Members of the Organization whose ratifications have been registered by the Director‐General of the International Labour Office.  6. For any Member referred to in paragraph 2 of this Article, an amendment shall come into force 12 months after the date of acceptance referred to in paragraph 4 of this Article or 12 months after the date on which its ratification of the amendment has been registered, whichever date is later.  7. Subject to paragraph 9 of this Article, for Members referred to in paragraph 3 of this Article, the Convention as amended shall come into force 12 months after the date of acceptance referred to in paragraph 4 of this Article or 12 months after the date on which their ratifications of the Convention have been registered, whichever date is later.  8. For those Members whose ratification of this Convention was registered before the adoption of an amendment but which have not ratified the amendment, this Convention shall remain in force without the amendment concerned.  9. Any Member whose ratification of this Convention is registered after the adoption of the amendment but before the date referred to in paragraph 4 of this Article may, in a declaration accompanying the instrument of ratification, specify that its ratification relates to the Convention without the amendment concerned. In the case of a ratification with such a declaration, the Convention shall come into force for the Member concerned 12 months after the date on which the ratification was registered. Where an instrument of ratification is not accompanied by such a declaration, or where the ratification is registered on or after the date referred to in paragraph 4, the Convention shall come into force for the Member concerned 12 months after the date on which the ratification was registered and, upon its entry into force in accordance with paragraph 7 of this Article, the amendment shall be binding on the Member concerned unless the amendment provides otherwise.   

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Amendments to the Code  Article XV  1. The Code may be amended either by the procedure set out in Article XIV or, unless expressly provided otherwise, in accordance with the procedure set out in the present Article.  2. An amendment to the Code may be proposed to the Director‐General of the International Labour Office by the government of any Member of the Organization or by the group of Shipowner representatives or the group of Seafarer representatives who have been appointed to the Committee referred to in Article XIII. An amendment proposed by a government must have been proposed by, or be supported by, at least five governments of Members that have ratified the Convention or by the group of Shipowner or Seafarer representatives referred to in this paragraph.  3. Having verified that the proposal for amendment meets the requirements of paragraph 2 of this Article, the Director‐General shall promptly communicate the proposal, accompanied by any comments or suggestions deemed appropriate, to all Members of the Organization, with an invitation to them to transmit their observations or suggestions concerning the proposal within a period of six months or such other period (which shall not be less than three months nor more than nine months) prescribed by the Governing Body.  4. At the end of the period referred to in paragraph 3 of this Article, the proposal, accompanied by a summary of any observations or suggestions made under that paragraph, shall be transmitted to the Committee for consideration at a meeting. An amendment shall be considered adopted by the Committee if:  (a) at least half the governments of Members that have ratified this Convention are represented in the meeting at which the proposal is considered; and  (b) a majority of at least two‐thirds of the Committee members vote in favour of the amendment; and  (c) this majority comprises the votes in favour of at least half the government voting power, half the Shipowner voting power and half the Seafarer voting power of the Committee members registered at the meeting when the proposal is put to the vote.  5. Amendments adopted in accordance with paragraph 4 of this Article shall be submitted to the next session of the Conference for approval. Such approval shall require a majority of two‐thirds of the votes cast by the delegates present. If such majority is not obtained, the proposed amendment shall be referred back to the Committee for reconsideration should the Committee so wish.  6. Amendments approved by the Conference shall be notified by the Director‐General to each of the Members whose ratifications of this Convention were registered before the date of such approval by the Conference. These Members are referred to below as the ratifying Members . The notification shall contain a reference to the present Article and shall prescribe the period for the communication of any formal disagreement. This period shall be two years from the date of the notification unless, at the time of approval, the Conference has set a different period, which shall be a period of at least one year. A copy of the notification shall be communicated to the other Members of the Organization for their information.  7. An amendment approved by the Conference shall be deemed to have been accepted unless, by the end of the prescribed period, formal expressions of disagreement have been received by the Director‐General from more than 40 per cent of the Members which have ratified the Convention and which represent not less than 40 per cent of the gross tonnage of the ships of the Members which have ratified the Convention.  8. An amendment deemed to have been accepted shall come into force six months after the end of the prescribed period for all the ratifying Members except those which had formally expressed their disagreement in accordance with paragraph 7 of this Article and have not withdrawn such disagreement in accordance with paragraph 11. However:  (a) before the end of the prescribed period, any ratifying Member may give notice to the Director‐General that it shall be bound by the amendment only after a subsequent express notification of its acceptance; and  (b) before the date of entry into force of the amendment, any ratifying Member may give notice to the Director‐General that it will not give effect to that amendment for a specified period.  9. An amendment which is the subject of a notice referred to in paragraph 8(a) of this Article shall enter into force for the Member giving such notice six months after the Member has notified the Director‐General of its acceptance of the amendment or on the date on which the amendment first comes into force, whichever date is later.  

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10. The period referred to in paragraph 8(b) of this Article shall not go beyond one year from the date of entry into force of the amendment or beyond any longer period determined by the Conference at the time of approval of the amendment.  11. A Member that has formally expressed disagreement with an amendment may withdraw its disagreement at any time. If notice of such withdrawal is received by the Director‐General after the amendment has entered into force, the amendment shall enter into force for the Member six months after the date on which the notice was registered.  12. After entry into force of an amendment, the Convention may only be ratified in its amended form.  13. To the extent that a maritime labour certificate relates to matters covered by an amendment to the Convention which has entered into force:  (a) a Member that has accepted that amendment shall not be obliged to extend the benefit of the Convention in respect of the maritime labour certificates issued to ships flying the flag of another Member which:  (i) pursuant to paragraph 7 of this Article, has formally expressed disagreement to the amendment and has not withdrawn such disagreement; or  (ii) pursuant to paragraph 8(a) of this Article, has given notice that its acceptance is subject to its subsequent express notification and has not accepted the amendment; and  (b) a Member that has accepted the amendment shall extend the benefit of the Convention in respect of the maritime labour certificates issued to ships flying the flag of another Member that has given notice, pursuant to paragraph 8(b) of this Article, that it will not give effect to that amendment for the period specified in accordance with paragraph 10 of this Article.   Authoritative Languages  Article XVI  The English and French versions of the text of this Convention are equally authoritative.   Explanatory Note to the Regulations and Code of the Maritime Labour Convention  1. This explanatory note, which does not form part of the Maritime Labour Convention, is intended as a general guide to the Convention.  2. The Convention comprises three different but related parts: the Articles, the Regulations and the Code.  3. The Articles and Regulations set out the core rights and principles and the basic obligations of Members ratifying the Convention. The Articles and Regulations can only be changed by the Conference in the framework of article 19 of the Constitution of the International Labour Organisation (see Article XIV of the Convention).  4. The Code contains the details for the implementation of the Regulations. It comprises Part A (mandatory Standards) and Part B (non‐mandatory Guidelines). The Code can be amended through the simplified procedure set out in Article XV of the Convention. Since the Code relates to detailed implementation, amendments to it must remain within the general scope of the Articles and Regulations.  5. The Regulations and the Code are organized into general areas under five Titles:  Title 1: Minimum requirements for seafarers to work on a ship  Title 2: Conditions of employment  Title 3: Accommodation, recreational facilities, food and catering  Title 4: Health protection, medical care, welfare and social security protection  Title 5: Compliance and enforcement  6. Each Title contains groups of provisions relating to a particular right or principle (or enforcement measure in Title 5), with connected numbering. The first group in Title 1, for example, consists of Regulation 1.1, Standard A1.1 and Guideline B1.1, relating to minimum age.  7. The Convention has three underlying purposes:  (a) to lay down, in its Articles and Regulations, a firm set of rights and principles;  (b) to allow, through the Code, a considerable degree of flexibility in the way Members implement those rights and principles; and  (c) to ensure, through Title 5, that the rights and principles are properly complied with and enforced.  

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8. There are two main areas for flexibility in implementation: one is the possibility for a Member, where necessary (see Article VI, paragraph 3), to give effect to the detailed requirements of Part A of the Code through substantial equivalence (as defined in Article VI, paragraph 4).  9. The second area of flexibility in implementation is provided by formulating the mandatory requirements of many provisions in Part A in a more general way, thus leaving a wider scope for discretion as to the precise action to be provided for at the national level. In such cases, guidance on implementation is given in the non‐mandatory Part B of the Code. In this way, Members which have ratified this Convention can ascertain the kind of action that might be expected of them under the corresponding general obligation in Part A, as well as action that would not necessarily be required. For example, Standard A4.1 requires all ships to provide prompt access to the necessary medicines for medical care on board ship (paragraph 1(b)) and to carry a medicine chest (paragraph 4(a)). The fulfilment in good faith of this latter obligation clearly means something more than simply having a medicine chest on board each ship. A more precise indication of what is involved is provided in the corresponding Guideline B4.1.1 (paragraph 4) so as to ensure that the contents of the chest are properly stored, used and maintained.  10. Members which have ratified this Convention are not bound by the guidance concerned and, as indicated in the provisions in Title 5 on port State control, inspections would deal only with the relevant requirements of this Convention (Articles, Regulations and the Standards in Part A). However, Members are required under paragraph 2 of Article VI to give due consideration to implementing their responsibilities under Part A of the Code in the manner provided for in Part B. If, having duly considered the relevant Guidelines, a Member decides to provide for different arrangements which ensure the proper storage, use and maintenance of the contents of the medicine chest, to take the example given above, as required by the Standard in Part A, then that is acceptable. On the other hand, by following the guidance provided in Part B, the Member concerned, as well as the ILO bodies responsible for reviewing implementation of international labour Conventions, can be sure without further consideration that the arrangements the Member has provided for are adequate to implement the responsibilities under Part A to which the Guideline relates.   The Regulations and the Code  Title 1. Minimum Requirements for Seafarers to Work on a Ship  Regulation 1.1 ‐ Minimum age  Purpose: To ensure that no under‐age persons work on a ship  1. No person below the minimum age shall be employed or engaged or work on a ship.  2. The minimum age at the time of the initial entry into force of this Convention is 16 years.  3. A higher minimum age shall be required in the circumstances set out in the Code.   Standard A1.1 ‐ Minimum age  1. The employment, engagement or work on board a ship of any person under the age of 16 shall be prohibited.  2. Night work of seafarers under the age of 18 shall be prohibited. For the purposes of this Standard, night shall be defined in accordance with national law and practice. It shall cover a period of at least nine hours starting no later than midnight and ending no earlier than 5 a.m.  3. An exception to strict compliance with the night work restriction may be made by the competent authority when:  (a) the effective training of the seafarers concerned, in accordance with established programmes and schedules, would be impaired; or  (b) the specific nature of the duty or a recognized training programme requires that the seafarers covered by the exception perform duties at night and the authority determines, after consultation with the shipowners' and seafarers' organizations concerned, that the work will not be detrimental to their health or well‐being.  4. The employment, engagement or work of seafarers under the age of 18 shall be prohibited where the work is likely to jeopardize their health or safety. The types of such work shall be determined by national laws or regulations or by the competent authority, after consultation with the shipowners' and seafarers' organizations concerned, in accordance with relevant international standards.   

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Guideline B1.1 ‐ Minimum age  1. When regulating working and living conditions, Members should give special attention to the needs of young persons under the age of 18.   Regulation 1.2 ‐ Medical certificate  Purpose: To ensure that all seafarers are medically fit to perform their duties at sea  1. Seafarers shall not work on a ship unless they are certified as medically fit to perform their duties.  2. Exceptions can only be permitted as prescribed in the Code.   Standard A1.2 ‐ Medical certificate  1. The competent authority shall require that, prior to beginning work on a ship, seafarers hold a valid medical certificate attesting that they are medically fit to perform the duties they are to carry out at sea.  2. In order to ensure that medical certificates genuinely reflect seafarers' state of health, in light of the duties they are to perform, the competent authority shall, after consultation with the shipowners' and seafarers' organizations concerned, and giving due consideration to applicable international guidelines referred to in Part B of this Code, prescribe the nature of the medical examination and certificate.  3. This Standard is without prejudice to the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978, as amended ( STCW ). A medical certificate issued in accordance with the requirements of STCW shall be accepted by the competent authority, for the purpose of Regulation 1.2. A medical certificate meeting the substance of those requirements, in the case of seafarers not covered by STCW, shall similarly be accepted.  4. The medical certificate shall be issued by a duly qualified medical practitioner or, in the case of a certificate solely concerning eyesight, by a person recognized by the competent authority as qualified to issue such a certificate. Practitioners must enjoy full professional independence in exercising their medical judgement in undertaking medical examination procedures.  5. Seafarers that have been refused a certificate or have had a limitation imposed on their ability to work, in particular with respect to time, field of work or trading area, shall be given the opportunity to have a further examination by another independent medical practitioner or by an independent medical referee.  6. Each medical certificate shall state in particular that:  (a) the hearing and sight of the seafarer concerned, and the colour vision in the case of a seafarer to be employed in capacities where fitness for the work to be performed is liable to be affected by defective colour vision, are all satisfactory; and  (b) the seafarer concerned is not suffering from any medical condition likely to be aggravated by service at sea or to render the seafarer unfit for such service or to endanger the health of other persons on board.  7. Unless a shorter period is required by reason of the specific duties to be performed by the seafarer concerned or is required under STCW:  (a) a medical certificate shall be valid for a maximum period of two years unless the seafarer is under the age of 18, in which case the maximum period of validity shall be one year;  (b) a certification of colour vision shall be valid for a maximum period of six years.  8. In urgent cases the competent authority may permit a seafarer to work without a valid medical certificate until the next port of call where the seafarer can obtain a medical certificate from a qualified medical practitioner, provided that:  (a) the period of such permission does not exceed three months; and  (b) the seafarer concerned is in possession of an expired medical certificate of recent date.  9. If the period of validity of a certificate expires in the course of a voyage, the certificate shall continue in force until the next port of call where the seafarer can obtain a medical certificate from a qualified medical practitioner, provided that the period shall not exceed three months.  10. The medical certificates for seafarers working on ships ordinarily engaged on international voyages must as a minimum be provided in English.      

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Guideline B1.2 ‐ Medical certificate  Guideline B1.2.1 ‐ International guidelines  1. The competent authority, medical practitioners, examiners, shipowners, seafarers' representatives and all other persons concerned with the conduct of medical fitness examinations of seafarer candidates and serving seafarers should follow the ILO/ WHO Guidelines for Conducting Pre‐sea and Periodic Medical Fitness Examinations for Seafarers, including any subsequent versions, and any other applicable international guidelines published by the International Labour Organization, the International Maritime Organization or the World Health Organization.   Regulation 1.3 ‐ Training and qualifications  Purpose: To ensure that seafarers are trained or qualified to carry out their duties on board ship  1. Seafarers shall not work on a ship unless they are trained or certified as competent or otherwise qualified to perform their duties.  2. Seafarers shall not be permitted to work on a ship unless they have successfully completed training for personal safety on board ship.  3. Training and certification in accordance with the mandatory instruments adopted by the International Maritime Organization shall be considered as meeting the requirements of paragraphs 1 and 2 of this Regulation.  4. Any Member which, at the time of its ratification of this Convention, was bound by the Certification of Able Seamen Convention, 1946 (No. 74), shall continue to carry out the obligations under that Convention unless and until mandatory provisions covering its subject matter have been adopted by the International Maritime Organization and entered into force, or until five years have elapsed since the entry into force of this Convention in accordance with paragraph 3 of Article VIII, whichever date is earlier.   Regulation 1.4 ‐ Recruitment and placement  Purpose: To ensure that seafarers have access to an efficient and well‐regulated seafarer recruitment and placement system  1. All seafarers shall have access to an efficient, adequate and accountable system for finding employment on board ship without charge to the seafarer.  2. Seafarer recruitment and placement services operating in a Member's territory shall conform to the standards set out in the Code.  3. Each Member shall require, in respect of seafarers who work on ships that fly its flag, that shipowners who use seafarer recruitment and placement services that are based in countries or territories in which this Convention does not apply, ensure that those services conform to the requirements set out in the Code.   Standard A1.4 ‐ Recruitment and placement  1. Each Member that operates a public seafarer recruitment and placement service shall ensure that the service is operated in an orderly manner that protects and promotes seafarers' employment rights as provided in this Convention.  2. Where a Member has private seafarer recruitment and placement services operating in its territory whose primary purpose is the recruitment and placement of seafarers or which recruit and place a significant number of seafarers, they shall be operated only in conformity with a standardized system of licensing or certification or other form of regulation. This system shall be established, modified or changed only after consultation with the shipowners' and seafarers' organizations concerned. In the event of doubt as to whether this Convention applies to a private recruitment and placement service, the question shall be determined by the competent authority in each Member after consultation with the shipowners' and seafarers' organizations concerned. Undue proliferation of private seafarer recruitment and placement services shall not be encouraged.  3. The provisions of paragraph 2 of this Standard shall also apply ‐ to the extent that they are determined by the competent authority, in consultation with the shipowners' and seafarers' organizations concerned, to be appropriate ‐ in the context of recruitment and placement services operated by a seafarers' organization in the territory of the Member for the supply of seafarers who are nationals of that Member to ships which fly its flag. The services covered by this paragraph are those fulfilling the following conditions:  

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(a) the recruitment and placement service is operated pursuant to a collective bargaining agreement between that organization and a shipowner;  (b) both the seafarers' organization and the shipowner are based in the territory of the Member;  (c) The Member has national laws or regulations or a procedure to authorize or register the collective bargaining agreement permitting the operation of the recruitment and placement service; and  (d) the recruitment and placement service is operated in an orderly manner and measures are in place to protect and promote seafarers' employment rights comparable to those provided in paragraph 5 of this Standard.  4. Nothing in this Standard or Regulation 1.4 shall be deemed to:  (a) prevent a Member from maintaining a free public seafarer recruitment and placement service for seafarers in the framework of a policy to meet the needs of seafarers and shipowners, whether the service forms part of or is coordinated with a public employment service for all workers and employers; or (b) impose on a Member the obligation to establish a system for the operation of private seafarer recruitment or placement services in its territory.  5. A Member adopting a system referred to in paragraph 2 of this Standard shall, in its laws and regulations or other measures, at a minimum:  (a) prohibit seafarer recruitment and placement services from using means, mechanisms or lists intended to prevent or deter seafarers from gaining employment for which they are qualified;  (b) require that no fees or other charges for seafarer recruitment or placement or for providing employment to seafarers are borne directly or indirectly, in whole or in part, by the seafarer, other than the cost of the seafarer obtaining a national statutory medical certificate, the national seafarer's book and a passport or other similar personal travel documents, not including, however, the cost of visas, which shall be borne by the shipowner; and  (c) ensure that seafarer recruitment and placement services operating in its territory:  (i) maintain an up‐to‐date register of all seafarers recruited or placed through them, to be available for inspection by the competent authority;  (ii) make sure that seafarers are informed of their rights and duties under their employment agreements prior to or in the process of engagement and that proper arrangements are made for seafarers to examine their employment agreements before and after they are signed and for them to receive a copy of the agreements;  (iii) verify that seafarers recruited or placed by them are qualified and hold the documents necessary for the job concerned, and that the seafarers' employment agreements are in accordance with applicable laws and regulations and any collective bargaining agreement that forms part of the employment agreement;  (iv) make sure, as far as practicable, that the shipowner has the means to protect seafarers from being stranded in a foreign port;  (v) examine and respond to any complaint concerning their activities and advise the competent authority of any unresolved complaint;  (vi) establish a system of protection, by way of insurance or an equivalent appropriate measure, to compensate seafarers for monetary loss that they may incur as a result of the failure of a recruitment and placement service or the relevant shipowner under the seafarers' employment agreement to meet its obligations to them.  6. The competent authority shall closely supervise and control all seafarer recruitment and placement services operating in the territory of the Member concerned. Any licences or certificates or similar authorizations for the operation of private services in the territory are granted or renewed only after verification that the seafarer recruitment and placement service concerned meets the requirements of national laws and regulations.  7. The competent authority shall ensure that adequate machinery and procedures exist for the investigation, if necessary, of complaints concerning the activities of seafarer recruitment and placement services, involving, as appropriate, representatives of shipowners and seafarers.  8. Each Member which has ratified this Convention shall, in so far as practicable, advise its nationals on the possible problems of signing on a ship that flies the flag of a State which has not ratified the Convention, until it is satisfied that standards equivalent to those fixed by this Convention are being applied. Measures taken to this effect by the Member that has ratified this Convention shall not be in contradiction with the principle of free movement of workers stipulated by the treaties to which the two States concerned may be parties.  

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9. Each Member which has ratified this Convention shall require that shipowners of ships that fly its flag, who use seafarer recruitment and placement services based in countries or territories in which this Convention does not apply, ensure, as far as practicable, that those services meet the requirements of this Standard.  10. Nothing in this Standard shall be understood as diminishing the obligations and responsibilities of shipowners or of a Member with respect to ships that fly its flag.   Guideline B1.4 ‐ Recruitment and placement  Guideline B1.4.1 ‐ Organizational and operational guidelines  1. When fulfilling its obligations under Standard A1.4, paragraph 1, the competent authority should consider:  (a) taking the necessary measures to promote effective cooperation among seafarer recruitment and placement services, whether public or private;  (b) the needs of the maritime industry at both the national and international levels, when developing training programmes for seafarers that form the part of the ship's crew that is responsible for the ship's safe navigation and pollution prevention operations, with the participation of shipowners, seafarers and the relevant training institutions;  (c) making suitable arrangements for the cooperation of representative shipowners' and seafarers' organizations in the organization and operation of the public seafarer recruitment and placement services, where they exist;  (d) determining, with due regard to the right to privacy and the need to protect confidentiality, the conditions under which seafarers' personal data may be processed by seafarer recruitment and placement services, including the collection, storage, combination and communication of such data to third parties;  (e) maintaining an arrangement for the collection and analysis of all relevant information on the maritime labour market, including the current and prospective supply of seafarers that work as crew classified by age, sex, rank and qualifications, and the industry's requirements, the collection of data on age or sex being admissible only for statistical purposes or if used in the framework of a programme to prevent discrimination based on age or sex;  (f) ensuring that the staff responsible for the supervision of public and private seafarer recruitment and placement services for ship's crew with responsibility for the ship's safe navigation and pollution prevention operations have had adequate training, including approved sea‐service experience, and have relevant knowledge of the maritime industry, including the relevant maritime international instruments on training, certification and labour standards;  (g) prescribing operational standards and adopting codes of conduct and ethical practices for seafarer recruitment and placement services; and  (h) exercising supervision of the licensing or certification system on the basis of a system of quality standards.  2. In establishing the system referred to in Standard A1.4, paragraph 2, each Member should consider requiring seafarer recruitment and placement services, established in its territory, to develop and maintain verifiable operational practices. These operational practices for private seafarer recruitment and placement services and, to the extent that they are applicable, for public seafarer recruitment and placement services should address the following matters:  (a) medical examinations, seafarers' identity documents and such other items as may be required for the seafarer to gain employment;  (b) maintaining, with due regard to the right to privacy and the need to protect confidentiality, full and complete records of the seafarers covered by their recruitment and placement system, which should include but not be limited to:  (i) the seafarers' qualifications;  (ii) record of employment;  (iii) personal data relevant to employment; and  (iv) medical data relevant to employment;  (c) maintaining up‐to‐date lists of the ships for which the seafarer recruitment and placement services provide seafarers and ensuring that there is a means by which the services can be contacted in an emergency at all hours;  

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(d) procedures to ensure that seafarers are not subject to exploitation by the seafarer recruitment and placement services or their personnel with regard to the offer of engagement on particular ships or by particular companies;  (e) procedures to prevent the opportunities for exploitation of seafarers arising from the issue of joining advances or any other financial transaction between the shipowner and the seafarers which are handled by the seafarer recruitment and placement services;  (f) clearly publicizing costs, if any, which the seafarer will be expected to bear in the recruitment process;  (g) ensuring that seafarers are advised of any particular conditions applicable to the job for which they are to be engaged and of the particular shipowner's policies relating to their employment;  (h) procedures which are in accordance with the principles of natural justice for dealing with cases of incompetence or indiscipline consistent with national laws and practice and, where applicable, with collective agreements;  (i) procedures to ensure, as far as practicable, that all mandatory certificates and documents submitted for employment are up to date and have not been fraudulently obtained and that employment references are verified;  (j) procedures to ensure that requests for information or advice by families of seafarers while the seafarers are at sea are dealt with promptly and sympathetically and at no cost; and  (k) verifying that labour conditions on ships where seafarers are placed are in conformity with applicable collective bargaining agreements concluded between a shipowner and a representative seafarers' organization and, as a matter of policy, supplying seafarers only to shipowners that offer terms and conditions of employment to seafarers which comply with applicable laws or regulations or collective agreements.  3. Consideration should be given to encouraging international cooperation between Members and relevant organizations, such as:  (a) the systematic exchange of information on the maritime industry and labour market on a bilateral, regional and multilateral basis;  (b) the exchange of information on maritime labour legislation;  (c) the harmonization of policies, working methods and legislation governing recruitment and placement of seafarers;  (d) the improvement of procedures and conditions for the international recruitment and placement of seafarers; and  (e) workforce planning, taking account of the supply of and demand for seafarers and the requirements of the maritime industry.   Title 2. Conditions of Employment Regulation 2.1 ‐ Seafarers' employment agreements  Purpose: To ensure that seafarers have a fair employment agreement  1. The terms and conditions for employment of a seafarer shall be set out or referred to in a clear written legally enforceable agreement and shall be consistent with the standards set out in the Code.  2. Seafarers' employment agreements shall be agreed to by the seafarer under conditions which ensure that the seafarer has an opportunity to review and seek advice on the terms and conditions in the agreement and freely accepts them before signing.  3. To the extent compatible with the Member's national law and practice, seafarers' employment agreements shall be understood to incorporate any applicable collective bargaining agreements.   Standard A2.1 ‐ Seafarers' employment agreements  1. Each Member shall adopt laws or regulations requiring that ships that fly its flag comply with the following requirements:  (a) seafarers working on ships that fly its flag shall have a seafarers' employment agreement signed by both the seafarer and the shipowner or a representative of the shipowner (or, where they are not employees, evidence of contractual or similar arrangements) providing them with decent working and living conditions on board the ship as required by this Convention;  (b) seafarers signing a seafarers' employment agreement shall be given an opportunity to examine and seek advice on the agreement before signing, as well as such other facilities as are necessary to ensure that they have freely entered into an agreement with a sufficient understanding of their rights and responsibilities;  

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(c) the shipowner and seafarer concerned shall each have a signed original of the seafarers' employment agreement;  (d) measures shall be taken to ensure that clear information as to the conditions of their employment can be easily obtained on board by seafarers, including the ship's master, and that such information, including a copy of the seafarers' employment agreement, is also accessible for review by officers of a competent authority, including those in ports to be visited; and  (e) seafarers shall be given a document containing a record of their employment on board the ship.  2. Where a collective bargaining agreement forms all or part of a seafarers' employment agreement, a copy of that agreement shall be available on board. Where the language of the seafarers' employment agreement and any applicable collective bargaining agreement is not in English, the following shall also be available in English (except for ships engaged only in domestic voyages):  (a) a copy of a standard form of the agreement; and  (b) the portions of the collective bargaining agreement that are subject to a port State inspection under Regulation 5.2.  3. The document referred to in paragraph 1(e) of this Standard shall not contain any statement as to the quality of the seafarers' work or as to their wages. The form of the document, the particulars to be recorded and the manner in which such particulars are to be entered, shall be determined by national law.  4. Each Member shall adopt laws and regulations specifying the matters that are to be included in all seafarers' employment agreements governed by its national law. Seafarers' employment agreements shall in all cases contain the following particulars:  (a) the seafarer's full name, date of birth or age, and birthplace;  (b) the shipowner's name and address;  (c) the place where and date when the seafarers' employment agreement is entered into;  (d) the capacity in which the seafarer is to be employed;  (e) the amount of the seafarer's wages or, where applicable, the formula used for calculating them;  (f) the amount of paid annual leave or, where applicable, the formula used for calculating it;  (g) the termination of the agreement and the conditions thereof, including:  (i) if the agreement has been made for an indefinite period, the conditions entitling either party to terminate it, as well as the required notice period, which shall not be less for the shipowner than for the seafarer;  (ii) if the agreement has been made for a definite period, the date fixed for its expiry; and  (iii) if the agreement has been made for a voyage, the port of destination and the time which has to expire after arrival before the seafarer should be discharged;  (h) the health and social security protection benefits to be provided to the seafarer by the shipowner;  (i) the seafarer's entitlement to repatriation;  (j) reference to the collective bargaining agreement, if applicable; and  (k) any other particulars which national law may require.  5. Each Member shall adopt laws or regulations establishing minimum notice periods to be given by the seafarers and shipowners for the early termination of a seafarers' employment agreement. The duration of these minimum periods shall be determined after consultation with the shipowners' and seafarers' organizations concerned, but shall not be shorter than seven days.  6. A notice period shorter than the minimum may be given in circumstances which are recognized under national law or regulations or applicable collective bargaining agreements as justifying termination of the employment agreement at shorter notice or without notice. In determining those circumstances, each Member shall ensure that the need of the seafarer to terminate, without penalty, the employment agreement on shorter notice or without notice for compassionate or other urgent reasons is taken into account.   Guideline B2.1 ‐ Seafarers' employment agreements  Guideline B2.1.1 ‐ Record of employment  1. In determining the particulars to be recorded in the record of employment referred to in Standard A2.1, paragraph 1(e), each Member should ensure that this document contains sufficient information, with a translation in English, to facilitate the acquisition of further work or to satisfy the sea‐service requirements for upgrading or promotion. A seafarers' discharge book may satisfy the requirements of paragraph 1(e) of that Standard.   

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Regulation 2.2 ‐ Wages  Purpose: To ensure that seafarers are paid for their services  1. All seafarers shall be paid for their work regularly and in full in accordance with their employment agreements.   Standard A2.2 ‐ Wages  1. Each Member shall require that payments due to seafarers working on ships that fly its flag are made at no greater than monthly intervals and in accordance with any applicable collective agreement.  2. Seafarers shall be given a monthly account of the payments due and the amounts paid, including wages, additional payments and the rate of exchange used where payment has been made in a currency or at a rate different from the one agreed to.  3. Each Member shall require that shipowners take measures, such as those set out in paragraph 4 of this Standard, to provide seafarers with a means to transmit all or part of their earnings to their families or dependants or legal beneficiaries.  4. Measures to ensure that seafarers are able to transmit their earnings to their families include:  (a) a system for enabling seafarers, at the time of their entering employment or during it, to allot, if they so desire, a proportion of their wages for remittance at regular intervals to their families by bank transfers or similar means; and  (b) a requirement that allotments should be remitted in due time and directly to the person or persons nominated by the seafarers.  5. Any charge for the service under paragraphs 3 and 4 of this Standard shall be reasonable in amount, and the rate of currency exchange, unless otherwise provided, shall, in accordance with national laws or regulations, be at the prevailing market rate or the official published rate and not unfavourable to the seafarer.  6. Each Member that adopts national laws or regulations governing seafarers' wages shall give due consideration to the guidance provided in Part B of the Code.   Guideline B2.2 ‐ Wages  Guideline B2.2.1 ‐ Specific definitions  1. For the purpose of this Guideline, the term:  (a) able seafarer means any seafarer who is deemed competent to perform any duty which may be required of a rating serving in the deck department, other than the duties of a supervisory or specialist rating, or who is defined as such by national laws, regulations or practice, or by collective agreement;  (b) basic pay or wages means the pay, however composed, for normal hours of work; it does not include payments for overtime worked, bonuses, allowances, paid leave or any other additional remuneration;  (c) consolidated wage means a wage or salary which includes the basic pay and other pay‐related benefits; a consolidated wage may include compensation for all overtime hours which are worked and all other pay‐related benefits, or it may include only certain benefits in a partial consolidation;  (d) hours of work means time during which seafarers are required to do work on account of the ship;  (e) overtime means time worked in excess of the normal hours of work. Guideline B2.2.2 ‐ Calculation and payment  1. For seafarers whose remuneration includes separate compensation for overtime worked:  (a) for the purpose of calculating wages, the normal hours of work at sea and in port should not exceed eight hours per day;  (b) for the purpose of calculating overtime, the number of normal hours per week covered by the basic pay or wages should be prescribed by national laws or regulations, if not determined by collective agreements, but should not exceed 48 hours per week; collective agreements may provide for a different but not less favourable treatment;  (c) the rate or rates of compensation for overtime, which should be not less than one and one‐quarter times the basic pay or wages per hour, should be prescribed by national laws or regulations or by collective agreements, if applicable; and  (d) records of all overtime worked should be maintained by the master, or a person assigned by the master, and endorsed by the seafarer at no greater than monthly intervals.  2. For seafarers whose wages are fully or partially consolidated:  

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(a) the seafarers' employment agreement should specify clearly, where appropriate, the number of hours of work expected of the seafarer in return for this remuneration, and any additional allowances which might be due in addition to the consolidated wage, and in which circumstances;  (b) where hourly overtime is payable for hours worked in excess of those covered by the consolidated wage, the hourly rate should be not less than one and one‐quarter times the basic rate corresponding to the normal hours of work as defined in paragraph 1 of this Guideline; the same principle should be applied to the overtime hours included in the consolidated wage;  (c) remuneration for that portion of the fully or partially consolidated wage representing the normal hours of work as defined in paragraph 1(a) of this Guideline should be no less than the applicable minimum wage; and  (d) for seafarers whose wages are partially consolidated, records of all overtime worked should be maintained and endorsed as provided for in paragraph 1(d) of this Guideline.  3. National laws or regulations or collective agreements may provide for compensation for overtime or for work performed on the weekly day of rest and on public holidays by at least equivalent time off duty and off the ship or additional leave in lieu of remuneration or any other compensation so provided.  4. National laws and regulations adopted after consulting the representative shipowners' and seafarers' organizations or, as appropriate, collective agreements should take into account the following principles:  (a) equal remuneration for work of equal value should apply to all seafarers employed on the same ship without discrimination based upon race, colour, sex, religion, political opinion, national extraction or social origin;  (b) the seafarers' employment agreement specifying the applicable wages or wage rates should be carried on board the ship; information on the amount of wages or wage rates should be made available to each seafarer, either by providing at least one signed copy of the relevant information to the seafarer in a language which the seafarer understands, or by posting a copy of the agreement in a place accessible to seafarers or by some other appropriate means;  (c) wages should be paid in legal tender; where appropriate, they may be paid by bank transfer, bank cheque, postal cheque or money order;  (d) on termination of engagement all remuneration due should be paid without undue delay;  (e) adequate penalties or other appropriate remedies should be imposed by the competent authority where shipowners unduly delay, or fail to make, payment of all remuneration due;  (f) wages should be paid directly to seafarers' designated bank accounts unless they request otherwise in writing;  (g) subject to subparagraph (h) of this paragraph, the shipowner should impose no limit on seafarers' freedom to dispose of their remuneration;  (h) deduction from remuneration should be permitted only if:  (i) there is an express provision in national laws or regulations or in an applicable collective agreement and the seafarer has been informed, in the manner deemed most appropriate by the competent authority, of the conditions for such deductions; and  (ii) the deductions do not in total exceed the limit that may have been established by national laws or regulations or collective agreements or court decisions for making such deductions;  (i) no deductions should be made from a seafarer's remuneration in respect of obtaining or retaining employment;  (j) monetary fines against seafarers other than those authorized by national laws or regulations, collective agreements or other measures should be prohibited;  (k) the competent authority should have the power to inspect stores and services provided on board ship to ensure that fair and reasonable prices are applied for the benefit of the seafarers concerned; and  (l) to the extent that seafarers' claims for wages and other sums due in respect of their employment are not secured in accordance with the provisions of the International Convention on Maritime Liens and Mortgages, 1993, such claims should be protected in accordance with the Protection of Workers' Claims (Employer's Insolvency) Convention, 1992 (No. 173).  5. Each Member should, after consulting with representative shipowners' and seafarers' organizations, have procedures to investigate complaints relating to any matter contained in this Guideline.   

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Guideline B2.2.3 ‐ Minimum wages  1. Without prejudice to the principle of free collective bargaining, each Member should, after consulting representative shipowners' and seafarers' organizations, establish procedures for determining minimum wages for seafarers. Representative shipowners' and seafarers' organizations should participate in the operation of such procedures.  2. When establishing such procedures and in fixing minimum wages, due regard should be given to international labour standards concerning minimum wage fixing, as well as the following principles:  (a) the level of minimum wages should take into account the nature of maritime employment, crewing levels of ships, and seafarers' normal hours of work; and  (b) the level of minimum wages should be adjusted to take into account changes in the cost of living and in the needs of seafarers.  3. The competent authority should ensure:  (a) by means of a system of supervision and sanctions, that wages are paid at not less than the rate or rates fixed; and  (b) that any seafarers who have been paid at a rate lower than the minimum wage are enabled to recover, by an inexpensive and expeditious judicial or other procedure, the amount by which they have been underpaid.  Guideline B2.2.4 ‐ Minimum monthly basic pay or wage figure for able seafarers  1. The basic pay or wages for a calendar month of service for an able seafarer should be no less than the amount periodically set by the Joint Maritime Commission or another body authorized by the Governing Body of the International Labour Office. Upon a decision of the Governing Body, the Director‐General shall notify any revised amount to the Members of the Organization.  2. Nothing in this Guideline should be deemed to prejudice arrangements agreed between shipowners or their organizations and seafarers' organizations with regard to the regulation of standard minimum terms and conditions of employment, provided such terms and conditions are recognized by the competent authority.   Regulation 2.3 ‐ Hours of work and hours of rest  Purpose: To ensure that seafarers have regulated hours of work or hours of rest  1. Each Member shall ensure that the hours of work or hours of rest for seafarers are regulated.  2. Each Member shall establish maximum hours of work or minimum hours of rest over given periods that are consistent with the provisions in the Code.   Standard A2.3 ‐ Hours of work and hours of rest  1. For the purpose of this Standard, the term:  (a) hours of work means time during which seafarers are required to do work on account of the ship;  (b) hours of rest means time outside hours of work; this term does not include short breaks.  2. Each Member shall within the limits set out in paragraphs 5 to 8 of this Standard fix either a maximum number of hours of work which shall not be exceeded in a given period of time, or a minimum number of hours of rest which shall be provided in a given period of time.  3. Each Member acknowledges that the normal working hours' standard for seafarers, like that for other workers, shall be based on an eight‐hour day with one day of rest per week and rest on public holidays. However, this shall not prevent the Member from having procedures to authorize or register a collective agreement which determines seafarers' normal working hours on a basis no less favourable than this standard.  4. In determining the national standards, each Member shall take account of the danger posed by the fatigue of seafarers, especially those whose duties involve navigational safety and the safe and secure operation of the ship.  5. The limits on hours of work or rest shall be as follows:  (a) maximum hours of work shall not exceed:  (i) 14 hours in any 24‐hour period; and  (ii) 72 hours in any seven‐day period;  or  (b) minimum hours of rest shall not be less than:  (i) ten hours in any 24‐hour period; and  (ii) 77 hours in any seven‐day period.  

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6. Hours of rest may be divided into no more than two periods, one of which shall be at least six hours in length, and the interval between consecutive periods of rest shall not exceed 14 hours.  7. Musters, fire‐fighting and lifeboat drills, and drills prescribed by national laws and regulations and by international instruments, shall be conducted in a manner that minimizes the disturbance of rest periods and does not induce fatigue.  8. When a seafarer is on call, such as when a machinery space is unattended, the seafarer shall have an adequate compensatory rest period if the normal period of rest is disturbed by call‐outs to work.  9. If no collective agreement or arbitration award exists or if the competent authority determines that the provisions in the agreement or award in respect of paragraph 7 or 8 of this Standard are inadequate, the competent authority shall determine such provisions to ensure the seafarers concerned have sufficient rest.  10. Each Member shall require the posting, in an easily accessible place, of a table with the shipboard working arrangements, which shall contain for every position at least:  (a) the schedule of service at sea and service in port; and  (b) the maximum hours of work or the minimum hours of rest required by national laws or regulations or applicable collective agreements.  11. The table referred to in paragraph 10 of this Standard shall be established in a standardized format in the working language or languages of the ship and in English.  12. Each Member shall require that records of seafarers' daily hours of work or of their daily hours of rest be maintained to allow monitoring of compliance with paragraphs 5 to 11 inclusive of this Standard. The records shall be in a standardized format established by the competent authority taking into account any available guidelines of the International Labour Organization or shall be in any standard format prepared by the Organization. They shall be in the languages required by paragraph 11 of this Standard. The seafarers shall receive a copy of the records pertaining to them which shall be endorsed by the master, or a person authorized by the master, and by the seafarers.  13. Nothing in paragraphs 5 and 6 of this Standard shall prevent a Member from having national laws or regulations or a procedure for the competent authority to authorize or register collective agreements permitting exceptions to the limits set out. Such exceptions shall, as far as possible, follow the provisions of this Standard but may take account of more frequent or longer leave periods or the granting of compensatory leave for watchkeeping seafarers or seafarers working on board ships on short voyages.  14. Nothing in this Standard shall be deemed to impair the right of the master of a ship to require a seafarer to perform any hours of work necessary for the immediate safety of the ship, persons on board or cargo, or for the purpose of giving assistance to other ships or persons in distress at sea. Accordingly, the master may suspend the schedule of hours of work or hours of rest and require a seafarer to perform any hours of work necessary until the normal situation has been restored. As soon as practicable after the normal situation has been restored, the master shall ensure that any seafarers who have performed work in a scheduled rest period are provided with an adequate period of rest.   Guideline B2.3 ‐ Hours of work and hours of rest  Guideline B2.3.1 ‐ Young seafarers  1. At sea and in port the following provisions should apply to all young seafarers under the age of 18:  (a) working hours should not exceed eight hours per day and 40 hours per week and overtime should be worked only where unavoidable for safety reasons;  (b) sufficient time should be allowed for all meals, and a break of at least one hour for the main meal of the day should be assured; and  (c) a 15‐minute rest period as soon as possible following each two hours of continuous work should be allowed.  2. Exceptionally, the provisions of paragraph 1 of this Guideline need not be applied if:  (a) they are impracticable for young seafarers in the deck, engine room and catering departments assigned to watchkeeping duties or working on a rostered shift‐work system; or  (b) the effective training of young seafarers in accordance with established programmes and schedules would be impaired.  3. Such exceptional situations should be recorded, with reasons, and signed by the master.  4. Paragraph 1 of this Guideline does not exempt young seafarers from the general obligation on all seafarers to work during any emergency as provided for in Standard A2.3, paragraph 14.  

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 Regulation 2.4 ‐ Entitlement to leave  Purpose: To ensure that seafarers have adequate leave  1. Each Member shall require that seafarers employed on ships that fly its flag are given paid annual leave under appropriate conditions, in accordance with the provisions in the Code.  2. Seafarers shall be granted shore leave to benefit their health and well‐being and with the operational requirements of their positions.   Standard A2.4 ‐ Entitlement to leave  1. Each Member shall adopt laws and regulations determining the minimum standards for annual leave for seafarers serving on ships that fly its flag, taking proper account of the special needs of seafarers with respect to such leave.  2. Subject to any collective agreement or laws or regulations providing for an appropriate method of calculation that takes account of the special needs of seafarers in this respect, the annual leave with pay entitlement shall be calculated on the basis of a minimum of 2.5 calendar days per month of employment. The manner in which the length of service is calculated shall be determined by the competent authority or through the appropriate machinery in each country. Justified absences from work shall not be considered as annual leave.  3. Any agreement to forgo the minimum annual leave with pay prescribed in this Standard, except in cases provided for by the competent authority, shall be prohibited.   Guideline B2.4 ‐ Entitlement to leave  Guideline B2.4.1 ‐ Calculation of entitlement  1. Under conditions as determined by the competent authority or through the appropriate machinery in each country, service off‐articles should be counted as part of the period of service.  2. Under conditions as determined by the competent authority or in an applicable collective agreement, absence from work to attend an approved maritime vocational training course or for such reasons as illness or injury or for maternity should be counted as part of the period of service.  3. The level of pay during annual leave should be at the seafarer's normal level of remuneration provided for by national laws or regulations or in the applicable seafarers' employment agreement. For seafarers employed for periods shorter than one year or in the event of termination of the employment relationship, entitlement to leave should be calculated on a pro‐rata basis.  4. The following should not be counted as part of annual leave with pay:  (a) public and customary holidays recognized as such in the flag State, whether or not they fall during the annual leave with pay;  (b) periods of incapacity for work resulting from illness or injury or from maternity, under conditions as determined by the competent authority or through the appropriate machinery in each country;  (c) temporary shore leave granted to a seafarer while under an employment agreement; and  (d) compensatory leave of any kind, under conditions as determined by the competent authority or through the appropriate machinery in each country.   Guideline B2.4.2 ‐ Taking of annual leave  1. The time at which annual leave is to be taken should, unless it is fixed by regulation, collective agreement, arbitration award or other means consistent with national practice, be determined by the shipowner after consultation and, as far as possible, in agreement with the seafarers concerned or their representatives.  2. Seafarers should in principle have the right to take annual leave in the place with which they have a substantial connection, which would normally be the same as the place to which they are entitled to be repatriated. Seafarers should not be required without their consent to take annual leave due to them in another place except under the provisions of a seafarers' employment agreement or of national laws or regulations.  3. If seafarers are required to take their annual leave from a place other than that permitted by paragraph 2 of this Guideline, they should be entitled to free transportation to the place where they were engaged or recruited, whichever is nearer their home; subsistence and other costs directly involved should be for the account of the shipowner; the travel time involved should not be deducted from the annual leave with pay due to the seafarer.  

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4. A seafarer taking annual leave should be recalled only in cases of extreme emergency and with the seafarer's consent.   Guideline B2.4.3 ‐ Division and accumulation  1. The division of the annual leave with pay into parts, or the accumulation of such annual leave due in respect of one year together with a subsequent period of leave, may be authorized by the competent authority or through the appropriate machinery in each country.  2. Subject to paragraph 1 of this Guideline and unless otherwise provided in an agreement applicable to the shipowner and the seafarer concerned, the annual leave with pay recommended in this Guideline should consist of an uninterrupted period.   Guideline B2.4.4 ‐ Young seafarers  1. Special measures should be considered with respect to young seafarers under the age of 18 who have served six months or any other shorter period of time under a collective agreement or seafarers' employment agreement without leave on a foreign‐going ship which has not returned to their country of residence in that time, and will not return in the subsequent three months of the voyage. Such measures could consist of their repatriation at no expense to themselves to the place of original engagement in their country of residence for the purpose of taking any leave earned during the voyage.   Regulation 2.5 ‐ Repatriation  Purpose: To ensure that seafarers are able to return home  1. Seafarers have a right to be repatriated at no cost to themselves in the circumstances and under the conditions specified in the Code.  2. Each Member shall require ships that fly its flag to provide financial security to ensure that seafarers are duly repatriated in accordance with the Code.   Standard A2.5 ‐ Repatriation  1. Each Member shall ensure that seafarers on ships that fly its flag are entitled to repatriation in the following circumstances:  (a) if the seafarers' employment agreement expires while they are abroad; (b) when the seafarers' employment agreement is terminated:  (i) by the shipowner; or  (ii) by the seafarer for justified reasons; and also  (c) when the seafarers are no longer able to carry out their duties under their employment agreement or cannot be expected to carry them out in the specific circumstances.  2. Each Member shall ensure that there are appropriate provisions in its laws and regulations or other measures or in collective bargaining agreements, prescribing:  (a) the circumstances in which seafarers are entitled to repatriation in accordance with paragraph 1(b) and (c) of this Standard;  (b) the maximum duration of service periods on board following which a seafarer is entitled to repatriation ‐ such periods to be less than 12 months; and  (c) the precise entitlements to be accorded by shipowners for repatriation, including those relating to the destinations of repatriation, the mode of transport, the items of expense to be covered and other arrangements to be made by shipowners.  3. Each Member shall prohibit shipowners from requiring that seafarers make an advance payment towards the cost of repatriation at the beginning of their employment, and also from recovering the cost of repatriation from the seafarers' wages or other entitlements except where the seafarer has been found, in accordance with national laws or regulations or other measures or applicable collective bargaining agreements, to be in serious default of the seafarer's employment obligations.  4. National laws and regulations shall not prejudice any right of the shipowner to recover the cost of repatriation under third‐party contractual arrangements.  5. If a shipowner fails to make arrangements for or to meet the cost of repatriation of seafarers who are entitled to be repatriated:  (a) the competent authority of the Member whose flag the ship flies shall arrange for repatriation of the seafarers concerned; if it fails to do so, the State from which the seafarers are to be repatriated or 

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the State of which they are a national may arrange for their repatriation and recover the cost from the Member whose flag the ship flies;  (b) costs incurred in repatriating seafarers shall be recoverable from the shipowner by the Member whose flag the ship flies;  (c) the expenses of repatriation shall in no case be a charge upon the seafarers, except as provided for in paragraph 3 of this Standard.  6. Taking into account applicable international instruments, including the International Convention on Arrest of Ships, 1999, a Member which has paid the cost of repatriation pursuant to this Code may detain, or request the detention of, the ships of the shipowner concerned until the reimbursement has been made in accordance with paragraph 5 of this Standard.  7. Each Member shall facilitate the repatriation of seafarers serving on ships which call at its ports or pass through its territorial or internal waters, as well as their replacement on board.  8. In particular, a Member shall not refuse the right of repatriation to any seafarer because of the financial circumstances of a shipowner or because of the ship‐owner's inability or unwillingness to replace a seafarer.  9. Each Member shall require that ships that fly its flag carry and make available to seafarers a copy of the applicable national provisions regarding repatriation written in an appropriate language.   Guideline B2.5 ‐ Repatriation  Guideline B2.5.1 ‐ Entitlement  1. Seafarers should be entitled to repatriation:  (a) in the case covered by Standard A2.5, paragraph 1(a), upon the expiry of the period of notice given in accordance with the provisions of the seafarers' employment agreement;  (b) in the cases covered by Standard A2.5, paragraph 1(b) and (c):  (i) in the event of illness or injury or other medical condition which requires their repatriation when found medically fit to travel;  (ii) in the event of shipwreck;  (iii) in the event of the shipowner not being able to continue to fulfil their legal or contractual obligations as an employer of the seafarers by reason of insolvency, sale of ship, change of ship's registration or any other similar reason;  (iv) in the event of a ship being bound for a war zone, as defined by national laws or regulations or seafarers' employment agreements, to which the seafarer does not consent to go; and  (v) in the event of termination or interruption of employment in accordance with an industrial award or collective agreement, or termination of employment for any other similar reason.  2. In determining the maximum duration of service periods on board following which a seafarer is entitled to repatriation, in accordance with this Code, account should be taken of factors affecting the seafarers' working environment. Each Member should seek, wherever possible, to reduce these periods in the light of technological changes and developments and might be guided by any recommendations made on the matter by the Joint Maritime Commission.  3. The costs to be borne by the shipowner for repatriation under Standard A2.5 should include at least the following:  (a) passage to the destination selected for repatriation in accordance with paragraph 6 of this Guideline;  (b) accommodation and food from the moment the seafarers leave the ship until they reach the repatriation destination;  (c) pay and allowances from the moment the seafarers leave the ship until they reach the repatriation destination, if provided for by national laws or regulations or collective agreements;  (d) transportation of 30 kg of the seafarers' personal luggage to the repatriation destination; and  (e) medical treatment when necessary until the seafarers are medically fit to travel to the repatriation destination.  4. Time spent awaiting repatriation and repatriation travel time should not be deducted from paid leave accrued to the seafarers.  5. Shipowners should be required to continue to cover the costs of repatriation until the seafarers concerned are landed at a destination prescribed pursuant to this Code or are provided with suitable employment on board a ship proceeding to one of those destinations.  6. Each Member should require that shipowners take responsibility for repatriation arrangements by appropriate and expeditious means. The normal mode of transport should be by air. The Member 

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should prescribe the destinations to which seafarers may be repatriated. The destinations should include the countries with which seafarers may be deemed to have a substantial connection including:  (a) the place at which the seafarer agreed to enter into the engagement;  (b) the place stipulated by collective agreement;  (c) the seafarer's country of residence; or  (d) such other place as may be mutually agreed at the time of engagement. 7. Seafarers should have the right to choose from among the prescribed destinations the place to which they are to be repatriated.  8. The entitlement to repatriation may lapse if the seafarers concerned do not claim it within a reasonable period of time to be defined by national laws or regulations or collective agreements.   Guideline B2.5.2 ‐ Implementation by Members  1. Every possible practical assistance should be given to a seafarer stranded in a foreign port pending repatriation and in the event of delay in the repatriation of the seafarer, the competent authority in the foreign port should ensure that the consular or local representative of the flag State and the seafarer's State of nationality or State of residence, as appropriate, is informed immediately.  2. Each Member should have regard to whether proper provision is made:  (a) for the return of seafarers employed on a ship that flies the flag of a foreign country who are put ashore in a foreign port for reasons for which they are not responsible:  (i) to the port at which the seafarer concerned was engaged; or  (ii) to a port in the seafarer's State of nationality or State of residence, as appropriate; or  (iii) to another port agreed upon between the seafarer and the master or shipowner, with the approval of the competent authority or under other appropriate safeguards;  (b) for medical care and maintenance of seafarers employed on a ship that flies the flag of a foreign country who are put ashore in a foreign port in consequence of sickness or injury incurred in the service of the ship and not due to their own wilful misconduct.  3. If, after young seafarers under the age of 18 have served on a ship for at least four months during their first foreign‐going voyage, it becomes apparent that they are unsuited to life at sea, they should be given the opportunity of being repatriated at no expense to themselves from the first suitable port of call in which there are consular services of the flag State, or the State of nationality or residence of the young seafarer. Notification of any such repatriation, with the reasons therefor, should be given to the authority which issued the papers enabling the young seafarers concerned to take up seagoing employment.   Regulation 2.6 ‐ Seafarer compensation for the ship's loss or foundering  Purpose: To ensure that seafarers are compensated when a ship is lost or has foundered  1. Seafarers are entitled to adequate compensation in the case of injury, loss or unemployment arising from the ship's loss or foundering.   Standard A2.6 ‐ Seafarer compensation for the ship's loss or foundering  1. Each Member shall make rules ensuring that, in every case of loss or foundering of any ship, the shipowner shall pay to each seafarer on board an indemnity against unemployment resulting from such loss or foundering.  2. The rules referred to in paragraph 1 of this Standard shall be without prejudice to any other rights a seafarer may have under the national law of the Member concerned for losses or injuries arising from a ship's loss or foundering.   Guideline B2.6 ‐ Seafarer compensation for the ship's loss or foundering  Guideline B2.6.1 ‐ Calculation of indemnity against unemployment  1. The indemnity against unemployment resulting from a ship's foundering or loss should be paid for the days during which the seafarer remains in fact unemployed at the same rate as the wages payable under the employment agreement, but the total indemnity payable to any one seafarer may be limited to two months' wages.  2. Each Member should ensure that seafarers have the same legal remedies for recovering such indemnities as they have for recovering arrears of wages earned during the service.   

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Regulation 2.7 ‐ Manning levels  Purpose: To ensure that seafarers work on board ships with sufficient personnel for the safe, efficient and secure operation of the ship  1. Each Member shall require that all ships that fly its flag have a sufficient number of seafarers employed on board to ensure that ships are operated safely, efficiently and with due regard to security under all conditions, taking into account concerns about seafarer fatigue and the particular nature and conditions of the voyage.   Standard A2.7 ‐ Manning levels  1. Each Member shall require that all ships that fly its flag have a sufficient number of seafarers on board to ensure that ships are operated safely, efficiently and with due regard to security. Every ship shall be manned by a crew that is adequate, in terms of size and qualifications, to ensure the safety and security of the ship and its personnel, under all operating conditions, in accordance with the minimum safe manning document or an equivalent issued by the competent authority, and to comply with the standards of this Convention.  2. When determining, approving or revising manning levels, the competent authority shall take into account the need to avoid or minimize excessive hours of work to ensure sufficient rest and to limit fatigue, as well as the principles in applicable international instruments, especially those of the International Maritime Organization, on manning levels.  3. When determining manning levels, the competent authority shall take into account all the requirements within Regulation 3.2 and Standard A3.2 concerning food and catering.   Guideline B2.7 ‐ Manning levels  Guideline B2.7.1 ‐ Dispute settlement  1. Each Member should maintain, or satisfy itself that there is maintained, efficient machinery for the investigation and settlement of complaints or disputes concerning the manning levels on a ship.  2. Representatives of shipowners' and seafarers' organizations should participate, with or without other persons or authorities, in the operation of such machinery.   Regulation 2.8 ‐ Career and skill development and opportunities for seafarers' employment  Purpose: To promote career and skill development and employment opportunities for seafarers  1. Each Member shall have national policies to promote employment in the maritime sector and to encourage career and skill development and greater employment opportunities for seafarers domiciled in its territory.   Standard A2.8 ‐ Career and skill development and employment opportunities for seafarers  1. Each Member shall have national policies that encourage career and skill development and employment opportunities for seafarers, in order to provide the maritime sector with a stable and competent workforce.  2. The aim of the policies referred to in paragraph 1 of this Standard shall be to help seafarers strengthen their competencies, qualifications and employment opportunities.  3. Each Member shall, after consulting the shipowners' and seafarers' organizations concerned, establish clear objectives for the vocational guidance, education and training of seafarers whose duties on board ship primarily relate to the safe operation and navigation of the ship, including ongoing training.   Guideline B2.8 ‐ Career and skill development and employment opportunities for seafarers  Guideline B2.8.1 ‐ Measures to promote career and skill development and employment opportunities for seafarers  1. Measures to achieve the objectives set out in Standard A2.8 might include:  (a) agreements providing for career development and skills training with a shipowner or an organization of shipowners; or  (b) arrangements for promoting employment through the establishment and maintenance of registers or lists, by categories, of qualified seafarers; or  (c) promotion of opportunities, both on board and ashore, for further training and education of seafarers to provide for skill development and portable competencies in order to secure and retain 

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decent work, to improve individual employment prospects and to meet the changing technology and labour market conditions of the maritime industry.   Guideline B2.8.2 ‐ Register of seafarers  1. Where registers or lists govern the employment of seafarers, these registers or lists should include all occupational categories of seafarers in a manner determined by national law or practice or by collective agreement.  2. Seafarers on such a register or list should have priority of engagement for seafaring.  3. Seafarers on such a register or list should be required to be available for work in a manner to be determined by national law or practice or by collective agreement.  4. To the extent that national laws or regulations permit, the number of seafarers on such registers or lists should be periodically reviewed so as to achieve levels adapted to the needs of the maritime industry.  5. When a reduction in the number of seafarers on such a register or list becomes necessary, all appropriate measures should be taken to prevent or minimize detrimental effects on seafarers, account being taken of the economic and social situation of the country concerned.   Title 3. Accommodation, Recreational Facilities, Food and Catering  Regulation 3.1 ‐ Accommodation and recreational facilities  Purpose: To ensure that seafarers have decent accommodation and recreational facilities on board  1. Each Member shall ensure that ships that fly its flag provide and maintain decent accommodations and recreational facilities for seafarers working or living on board, or both, consistent with promoting the seafarers' health and well‐being.  2. The requirements in the Code implementing this Regulation which relate to ship construction and equipment apply only to ships constructed on or after the date when this Convention comes into force for the Member concerned. For ships constructed before that date, the requirements relating to ship construction and equipment that are set out in the Accommodation of Crews Convention (Revised), 1949 (No. 92), and the Accommodation of Crews (Supplementary Provisions) Convention, 1970 (No. 133), shall continue to apply to the extent that they were applicable, prior to that date, under the law or practice of the Member concerned. A ship shall be deemed to have been constructed on the date when its keel is laid or when it is at a similar stage of construction.  3. Unless expressly provided otherwise, any requirement under an amendment to the Code relating to the provision of seafarer accommodation and recreational facilities shall apply only to ships constructed on or after the amendment takes effect for the Member concerned.   Standard A3.1 ‐ Accommodation and recreational facilities  1. Each Member shall adopt laws and regulations requiring that ships that fly its flag:  (a) meet minimum standards to ensure that any accommodation for seafarers, working or living on board, or both, is safe, decent and in accordance with the relevant provisions of this Standard; and  (b) are inspected to ensure initial and ongoing compliance with those standards.  2. In developing and applying the laws and regulations to implement this Standard, the competent authority, after consulting the shipowners' and seafarers' organizations concerned, shall:  (a) take into account Regulation 4.3 and the associated Code provisions on health and safety protection and accident prevention, in light of the specific needs of seafarers that both live and work on board ship, and  (b) give due consideration to the guidance contained in Part B of this Code.  3. The inspections required under Regulation 5.1.4 shall be carried out when:  (a) a ship is registered or re‐registered; or  (b) the seafarer accommodation on a ship has been substantially altered.  4. The competent authority shall pay particular attention to ensuring implementation of the requirements of this Convention relating to:  (a) the size of rooms and other accommodation spaces;  (b) heating and ventilation;  (c) noise and vibration and other ambient factors;  (d) sanitary facilities;  (e) lighting; and  

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(f) hospital accommodation.  5. The competent authority of each Member shall require that ships that fly its flag meet the minimum standards for on‐board accommodation and recreational facilities that are set out in paragraphs 6 to 17 of this Standard.  6. With respect to general requirements for accommodation:  (a) there shall be adequate headroom in all seafarer accommodation; the minimum permitted headroom in all seafarer accommodation where full and free movement is necessary shall be not less than 203 centimetres; the competent authority may permit some limited reduction in headroom in any space, or part of any space, in such accommodation where it is satisfied that such reduction: (i) is reasonable; and  (ii) will not result in discomfort to the seafarers;  (b) the accommodation shall be adequately insulated;  (c) in ships other than passenger ships, as defined in Regulation 2(e) and (f) of the International Convention for the Safety of Life at Sea, 1974, as amended (the SOLAS Convention ), sleeping rooms shall be situated above the load line amidships or aft, except that in exceptional cases, where the size, type or intended service of the ship renders any other location impracticable, sleeping rooms may be located in the fore part of the ship, but in no case forward of the collision bulkhead;  (d) in passenger ships, and in special ships constructed in compliance with the IMO Code of Safety for Special Purpose Ships, 1983, and subsequent versions (hereinafter called special purpose ships ), the competent authority may, on condition that satisfactory arrangements are made for lighting and ventilation, permit the location of sleeping rooms below the load line, but in no case shall they be located immediately beneath working alleyways;  (e) there shall be no direct openings into sleeping rooms from cargo and machinery spaces or from galleys, storerooms, drying rooms or communal sanitary areas; that part of a bulkhead separating such places from sleeping rooms and external bulkheads shall be efficiently constructed of steel or other approved substance and be watertight and gas‐tight;  (f) the materials used to construct internal bulkheads, panelling and sheeting, floors and joinings shall be suitable for the purpose and conducive to ensuring a healthy environment;  (g) proper lighting and sufficient drainage shall be provided; and  (h) accommodation and recreational and catering facilities shall meet the requirements in Regulation 4.3, and the related provisions in the Code, on health and safety protection and accident prevention, with respect to preventing the risk of exposure to hazardous levels of noise and vibration and other ambient factors and chemicals on board ships, and to provide an acceptable occupational and on‐board living environment for seafarers.  7. With respect to requirements for ventilation and heating:  (a) sleeping rooms and mess rooms shall be adequately ventilated;  (b) ships, except those regularly engaged in trade where temperate climatic conditions do not require this, shall be equipped with air conditioning for seafarer accommodation, for any separate radio room and for any centralized machinery control room;  (c) all sanitary spaces shall have ventilation to the open air, independently of any other part of the accommodation; and  (d) adequate heat through an appropriate heating system shall be provided, except in ships exclusively on voyages in tropical climates.  8. With respect to requirements for lighting, subject to such special arrangements as may be permitted in passenger ships, sleeping rooms and mess rooms shall be lit by natural light and provided with adequate artificial light.  9. When sleeping accommodation on board ships is required, the following requirements for sleeping rooms apply:  (a) in ships other than passenger ships, an individual sleeping room shall be provided for each seafarer; in the case of ships of less than 3,000 gross tonnage or special purpose ships, exemptions from this requirement may be granted by the competent authority after consultation with the shipowners' and seafarers' organizations concerned;  (b) separate sleeping rooms shall be provided for men and for women;  (c) sleeping rooms shall be of adequate size and properly equipped so as to ensure reasonable comfort and to facilitate tidiness;  (d) a separate berth for each seafarer shall in all circumstances be provided;  (e) the minimum inside dimensions of a berth shall be at least 198 centimetres by 80 centimetres;  

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(f) in single berth seafarers' sleeping rooms the floor area shall not be less than:  (i) 4.5 square metres in ships of less than 3,000 gross tonnage;  (ii) 5.5 square metres in ships of 3,000 gross tonnage or over but less than 10,000 gross tonnage;  (iii) 7 square metres in ships of 10,000 gross tonnage or over;  (g) however, in order to provide single berth sleeping rooms on ships of less than 3,000 gross tonnage, passenger ships and special purpose ships, the competent authority may allow a reduced floor area;  (h) in ships of less than 3,000 gross tonnage other than passenger ships and special purpose ships, sleeping rooms may be occupied by a maximum of two seafarers; the floor area of such sleeping rooms shall not be less than 7 square metres;  (i) on passenger ships and special purpose ships the floor area of sleeping rooms for seafarers not performing the duties of ships' officers shall not be less than:  (i) 7.5 square metres in rooms accommodating two persons;  (ii) 11.5 square metres in rooms accommodating three persons;  (iii) 14.5 square metres in rooms accommodating four persons;  (j) on special purpose ships sleeping rooms may accommodate more than four persons; the floor area of such sleeping rooms shall not be less than 3.6 square metres per person;  (k) on ships other than passenger ships and special purpose ships, sleeping rooms for seafarers who perform the duties of ships' officers, where no private sitting room or day room is provided, the floor area per person shall not be less than:  (i) 7.5 square metres in ships of less than 3,000 gross tonnage;  (ii) 8.5 square metres in ships of 3,000 gross tonnage or over but less than 10,000 gross tonnage;  (iii) 10 square metres in ships of 10,000 gross tonnage or over;  (l) on passenger ships and special purpose ships the floor area for seafarers performing the duties of ships' officers where no private sitting room or day room is provided, the floor area per person for junior officers shall not be less than 7.5 square metres and for senior officers not less than 8.5 square metres; junior officers are understood to be at the operational level, and senior officers at the management level;  (m) the master, the chief engineer and the chief navigating officer shall have, in addition to their sleeping rooms, an adjoining sitting room, day room or equivalent additional space; ships of less than 3,000 gross tonnage may be exempted by the competent authority from this requirement after consultation with the shipowners' and seafarers' organizations concerned;  (n) for each occupant, the furniture shall include a clothes locker of ample space (minimum 475 litres) and a drawer or equivalent space of not less than 56 litres; if the drawer is incorporated in the clothes locker then the combined minimum volume of the clothes locker shall be 500 litres; it shall be fitted with a shelf and be able to be locked by the occupant so as to ensure privacy;  (o) each sleeping room shall be provided with a table or desk, which may be of the fixed, drop‐leaf or slide‐out type, and with comfortable seating accommodation as necessary.  10. With respect to requirements for mess rooms:  (a) mess rooms shall be located apart from the sleeping rooms and as close as practicable to the galley; ships of less than 3,000 gross tonnage may be exempted by the competent authority from this requirement after consultation with the shipowners' and seafarers' organizations concerned; and  (b) mess rooms shall be of adequate size and comfort and properly furnished and equipped (including ongoing facilities for refreshment), taking account of the number of seafarers likely to use them at any one time; provision shall be made for separate or common mess room facilities as appropriate.  11. With respect to requirements for sanitary facilities:  (a) all seafarers shall have convenient access on the ship to sanitary facilities meeting minimum standards of health and hygiene and reasonable standards of comfort, with separate sanitary facilities being provided for men and for women;  (b) there shall be sanitary facilities within easy access of the navigating bridge and the machinery space or near the engine room control centre; ships of less than 3,000 gross tonnage may be exempted by the competent authority from this requirement after consultation with the shipowners' and seafarers' organizations concerned;  (c) in all ships a minimum of one toilet, one wash basin and one tub or shower or both for every six persons or less who do not have personal facilities shall be provided at a convenient location;  

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(d) with the exception of passenger ships, each sleeping room shall be provided with a washbasin having hot and cold running fresh water, except where such a washbasin is situated in the private bathroom provided;  (e) in passenger ships normally engaged on voyages of not more than four hours' duration, consideration may be given by the competent authority to special arrangements or to a reduction in the number of facilities required; and  (f) hot and cold running fresh water shall be available in all wash places.  12. With respect to requirements for hospital accommodation, ships carrying 15 or more seafarers and engaged in a voyage of more than three days' duration shall provide separate hospital accommodation to be used exclusively for medical purposes; the competent authority may relax this requirement for ships engaged in coastal trade; in approving on‐board hospital accommodation, the competent authority shall ensure that the accommodation will, in all weathers, be easy of access, provide comfortable housing for the occupants and be conducive to their receiving prompt and proper attention.  13. Appropriately situated and furnished laundry facilities shall be available.  14. All ships shall have a space or spaces on open deck to which the seafarers can have access when off duty, which are of adequate area having regard to the size of the ship and the number of seafarers on board.  15. All ships shall be provided with separate offices or a common ship's office for use by deck and engine departments; ships of less than 3,000 gross tonnage may be exempted by the competent authority from this requirement after consultation with the shipowners' and seafarers' organizations concerned.  16. Ships regularly trading to mosquito‐infested ports shall be fitted with appropriate devices as required by the competent authority.  17. Appropriate seafarers' recreational facilities, amenities and services, as adapted to meet the special needs of seafarers who must live and work on ships, shall be provided on board for the benefit of all seafarers, taking into account Regulation 4.3 and the associated Code provisions on health and safety protection and accident prevention.  18. The competent authority shall require frequent inspections to be carried out on board ships, by or under the authority of the master, to ensure that seafarer accommodation is clean, decently habitable and maintained in a good state of repair. The results of each such inspection shall be recorded and be available for review.  19. In the case of ships where there is need to take account, without discrimination, of the interests of seafarers having differing and distinctive religious and social practices, the competent authority may, after consultation with the shipowners' and seafarers' organizations concerned, permit fairly applied variations in respect of this Standard on condition that such variations do not result in overall facilities less favourable than those which would result from the application of this Standard.  20. Each Member may, after consultation with the shipowners' and seafarers' organizations concerned, exempt ships of less than 200 gross tonnage where it is reasonable to do so, taking account of the size of the ship and the number of persons on board in relation to the requirements of the following provisions of this Standard:  (a) paragraphs 7(b), 11(d) and 13; and  (b) paragraph 9(f) and (h) to (l) inclusive, with respect to floor area only.  21. Any exemptions with respect to the requirements of this Standard may be made only where they are expressly permitted in this Standard and only for particular circumstances in which such exemptions can be clearly justified on strong grounds and subject to protecting the seafarers' health and safety.   Guideline B3.1 ‐ Accommodation and recreational facilities  Guideline B3.1.1 ‐ Design and construction  1. External bulkheads of sleeping rooms and mess rooms should be adequately insulated. All machinery casings and all boundary bulkheads of galleys and other spaces in which heat is produced should be adequately insulated where there is a possibility of resulting heat effects in adjoining accommodation or passageways. Measures should also be taken to provide protection from heat effects of steam or hot‐water service pipes or both.  2. Sleeping rooms, mess rooms, recreation rooms and alleyways in the accommodation space should be adequately insulated to prevent condensation or overheating.  

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3. The bulkhead surfaces and deckheads should be of material with a surface easily kept clean. No form of construction likely to harbour vermin should be used.  4. The bulkhead surfaces and deckheads in sleeping rooms and mess rooms should be capable of being easily kept clean and light in colour with a durable, nontoxic finish.  5. The decks in all seafarer accommodation should be of approved material and construction and should provide a non‐slip surface impervious to damp and easily kept clean.  6. Where the floorings are made of composite materials, the joints with the sides should be profiled to avoid crevices.   Guideline B3.1.2 ‐ Ventilation  1. The system of ventilation for sleeping rooms and mess rooms should be controlled so as to maintain the air in a satisfactory condition and to ensure a sufficiency of air movement in all conditions of weather and climate.  2. Air‐conditioning systems, whether of a centralized or individual unit type, should be designed to:  (a) maintain the air at a satisfactory temperature and relative humidity as compared to outside air conditions, ensure a sufficiency of air changes in all air‐conditioned spaces, take account of the particular characteristics of operations at sea and not produce excessive noises or vibrations; and  (b) facilitate easy cleaning and disinfection to prevent or control the spread of disease.  3. Power for the operation of the air conditioning and other aids to ventilation required by the preceding paragraphs of this Guideline should be available at all times when seafarers are living or working on board and conditions so require. However, this power need not be provided from an emergency source.   Guideline B3.1.3 ‐ Heating  1. The system of heating the seafarer accommodation should be in operation at all times when seafarers are living or working on board and conditions require its use.  2. In all ships in which a heating system is required, the heating should be by means of hot water, warm air, electricity, steam or equivalent. However, within the accommodation area, steam should not be used as a medium for heat transmission. The heating system should be capable of maintaining the temperature in seafarer accommodation at a satisfactory level under normal conditions of weather and climate likely to be met within the trade in which the ship is engaged. The competent authority should prescribe the standard to be provided.  3. Radiators and other heating apparatus should be placed and, where necessary, shielded so as to avoid risk of fire or danger or discomfort to the occupants.   Guideline B3.1.4 ‐ Lighting  1. In all ships, electric light should be provided in the seafarer accommodation. If there are not two independent sources of electricity for lighting, additional lighting should be provided by properly constructed lamps or lighting apparatus for emergency use.  2. In sleeping rooms an electric reading lamp should be installed at the head of each berth.  3. Suitable standards of natural and artificial lighting should be fixed by the competent authority.   Guideline B3.1.5 ‐ Sleeping rooms  1. There should be adequate berth arrangements on board, making it as comfortable as possible for the seafarer and any partner who may accompany the seafarer.  2. Where the size of the ship, the activity in which it is to be engaged and its layout make it reasonable and practicable, sleeping rooms should be planned and equipped with a private bathroom, including a toilet, so as to provide reasonable comfort for the occupants and to facilitate tidiness.  3. As far as practicable, sleeping rooms of seafarers should be so arranged that watches are separated and that no seafarers working during the day share a room with watchkeepers.  4. In the case of seafarers performing the duty of petty officers there should be no more than two persons per sleeping room.  5. Consideration should be given to extending the facility referred to in Standard A3.1, paragraph 9(m), to the second engineer officer when practicable.  

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6. Space occupied by berths and lockers, chests of drawers and seats should be included in the measurement of the floor area. Small or irregularly shaped spaces which do not add effectively to the space available for free movement and cannot be used for installing furniture should be excluded.  7. Berths should not be arranged in tiers of more than two; in the case of berths placed along the ship's side, there should be only a single tier where a sidelight is situated above a berth.  8. The lower berth in a double tier should be not less than 30 centimetres above the floor; the upper berth should be placed approximately midway between the bottom of the lower berth and the lower side of the deckhead beams.  9. The framework and the lee‐board, if any, of a berth should be of approved material, hard, smooth, and not likely to corrode or to harbour vermin.  10. If tubular frames are used for the construction of berths, they should be completely sealed and without perforations which would give access to vermin.  11. Each berth should be fitted with a comfortable mattress with cushioning bottom or a combined cushioning mattress, including a spring bottom or a spring mattress. The mattress and cushioning material used should be made of approved material. Stuffing of material likely to harbour vermin should not be used.  12. When one berth is placed over another, a dust‐proof bottom should be fitted beneath the bottom mattress or spring bottom of the upper berth.  13. The furniture should be of smooth, hard material not liable to warp or corrode.  14. Sleeping rooms should be fitted with curtains or equivalent for the sidelights.  15. Sleeping rooms should be fitted with a mirror, small cabinets for toilet requisites, a book rack and a sufficient number of coat hooks.   Guideline B3.1.6 ‐ Mess rooms  1. Mess room facilities may be either common or separate. The decision in this respect should be taken after consultation with seafarers' and shipowners' representatives and subject to the approval of the competent authority. Account should be taken of factors such as the size of the ship and the distinctive cultural, religious and social needs of the seafarers.  2. Where separate mess room facilities are to be provided to seafarers, then separate mess rooms should be provided for:  (a) master and officers; and  (b) petty officers and other seafarers.  3. On ships other than passenger ships, the floor area of mess rooms for seafarers should be not less than 1.5 square metres per person of the planned seating capacity.  4. In all ships, mess rooms should be equipped with tables and appropriate seats, fixed or movable, sufficient to accommodate the greatest number of seafarers likely to use them at any one time.  5. There should be available at all times when seafarers are on board:  (a) a refrigerator, which should be conveniently situated and of sufficient capacity for the number of persons using the mess room or mess rooms;  (b) facilities for hot beverages; and  (c) cool water facilities.  6. Where available pantries are not accessible to mess rooms, adequate lockers for mess utensils and proper facilities for washing utensils should be provided.  7. The tops of tables and seats should be of damp‐resistant material.   Guideline B3.1.7 ‐ Sanitary accommodation  1. Washbasins and tub baths should be of adequate size and constructed of approved material with a smooth surface not liable to crack, flake or corrode.  2. All toilets should be of an approved pattern and provided with an ample flush of water or with some other suitable flushing means, such as air, which are available at all times and independently controllable.  3. Sanitary accommodation intended for the use of more than one person should comply with the following:  (a) floors should be of approved durable material, impervious to damp, and should be properly drained;  (b) bulkheads should be of steel or other approved material and should be watertight up to at least 23 centimetres above the level of the deck;  

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(c) the accommodation should be sufficiently lit, heated and ventilated;  (d) toilets should be situated convenient to, but separate from, sleeping rooms and wash rooms, without direct access from the sleeping rooms or from a passage between sleeping rooms and toilets to which there is no other access; this requirement does not apply where a toilet is located in a compartment between two sleeping rooms having a total of not more than four seafarers; and (e) where there is more than one toilet in a compartment, they should be sufficiently screened to ensure privacy.  4. The laundry facilities provided for seafarers' use should include:  (a) washing machines;  (b) drying machines or adequately heated and ventilated drying rooms; and (c) irons and ironing boards or their equivalent.   Guideline B3.1.8 ‐ Hospital accommodation  1. The hospital accommodation should be designed so as to facilitate consultation and the giving of medical first aid and to help prevent the spread of infectious diseases.  2. The arrangement of the entrance, berths, lighting, ventilation, heating and water supply should be designed to ensure the comfort and facilitate the treatment of the occupants.  3. The number of hospital berths required should be prescribed by the competent authority.  4. Sanitary accommodation should be provided for the exclusive use of the occupants of the hospital accommodation, either as part of the accommodation or in close proximity thereto. Such sanitary accommodation should comprise a minimum of one toilet, one washbasin and one tub or shower.   Guideline B3.1.9 ‐ Other facilities  1. Where separate facilities for engine department personnel to change their clothes are provided, they should be:  (a) located outside the machinery space but with easy access to it; and  (b) fitted with individual clothes lockers as well as with tubs or showers or both and washbasins having hot and cold running fresh water.   Guideline B3.1.10 ‐ Bedding, mess utensils and miscellaneous provisions  1. Each Member should consider applying the following principles:  (a) clean bedding and mess utensils should be supplied by the shipowner to all seafarers for use on board during service on the ship, and such seafarers should be responsible for their return at times specified by the master and on completion of service in the ship;  (b) bedding should be of good quality, and plates, cups and other mess utensils should be of approved material which can be easily cleaned; and  (c) towels, soap and toilet paper for all seafarers should be provided by the shipowner.   Guideline B3.1.11 ‐ Recreational facilities, mail and ship visit arrangements  1. Recreational facilities and services should be reviewed frequently to ensure that they are appropriate in the light of changes in the needs of seafarers resulting from technical, operational and other developments in the shipping industry.  2. Furnishings for recreational facilities should as a minimum include a bookcase and facilities for reading, writing and, where practicable, games.  3. In connection with the planning of recreation facilities, the competent authority should give consideration to the provision of a canteen.  4. Consideration should also be given to including the following facilities at no cost to the seafarer, where practicable:  (a) a smoking room;  (b) television viewing and the reception of radio broadcasts;  (c) showing of films, the stock of which should be adequate for the duration of the voyage and, where necessary, changed at reasonable intervals;  (d) sports equipment including exercise equipment, table games and deck games;  (e) where possible, facilities for swimming;  (f) a library containing vocational and other books, the stock of which should be adequate for the duration of the voyage and changed at reasonable intervals;  (g) facilities for recreational handicrafts;  

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(h) electronic equipment such as a radio, television, video recorders, DVD/CD player, personal computer and software and cassette recorder/player;  (i) where appropriate, the provision of bars on board for seafarers unless these are contrary to national, religious or social customs; and  (j) reasonable access to ship‐to‐shore telephone communications, and email and Internet facilities, where available, with any charges for the use of these services being reasonable in amount.  5. Every effort should be given to ensuring that the forwarding of seafarers' mail is as reliable and expeditious as possible. Efforts should also be considered for avoiding seafarers being required to pay additional postage when mail has to be readdressed owing to circumstances beyond their control.  6. Measures should be considered to ensure, subject to any applicable national or international laws or regulations, that whenever possible and reasonable seafarers are expeditiously granted permission to have their partners, relatives and friends as visitors on board their ship when in port. Such measures should meet any concerns for security clearances.  7. Consideration should be given to the possibility of allowing seafarers to be accompanied by their partners on occasional voyages where this is practicable and reasonable. Such partners should carry adequate insurance cover against accident and illness; the shipowners should give every assistance to the seafarer to effect such insurance.   Guideline B3.1.12 ‐ Prevention of noise and vibration  1. Accommodation and recreational and catering facilities should be located as far as practicable from the engines, steering gear rooms, deck winches, ventilation, heating and air‐conditioning equipment and other noisy machinery and apparatus.  2. Acoustic insulation or other appropriate sound‐absorbing materials should be used in the construction and finishing of bulkheads, deckheads and decks within the sound‐producing spaces as well as self‐closing noise‐isolating doors for machinery spaces.  3. Engine rooms and other machinery spaces should be provided, wherever practicable, with soundproof centralized control rooms for engine‐room personnel. Working spaces, such as the machine shop, should be insulated, as far as practicable, from the general engine‐room noise and measures should be taken to reduce noise in the operation of machinery.  4. The limits for noise levels for working and living spaces should be in conformity with the ILO international guidelines on exposure levels, including those in the ILO code of practice entitled Ambient factors in the workplace, 2001, and, where applicable, the specific protection recommended by the International Maritime Organization, and with any subsequent amending and supplementary instruments for acceptable noise levels on board ships. A copy of the applicable instruments in English or the working language of the ship should be carried on board and should be accessible to seafarers.  5. No accommodation or recreational or catering facilities should be exposed to excessive vibration.   Regulation 3.2 ‐ Food and catering  Purpose: To ensure that seafarers have access to good quality food and drinking water provided under regulated hygienic conditions  1. Each Member shall ensure that ships that fly its flag carry on board and serve food and drinking water of appropriate quality, nutritional value and quantity that adequately covers the requirements of the ship and takes into account the differing cultural and religious backgrounds.  2. Seafarers on board a ship shall be provided with food free of charge during the period of engagement.  3. Seafarers employed as ships' cooks with responsibility for food preparation must be trained and qualified for their position on board ship.   Standard A3.2 ‐ Food and catering  1. Each Member shall adopt laws and regulations or other measures to provide minimum standards for the quantity and quality of food and drinking water and for the catering standards that apply to meals provided to seafarers on ships that fly its flag, and shall undertake educational activities to promote awareness and implementation of the standards referred to in this paragraph.  2. Each Member shall ensure that ships that fly its flag meet the following minimum standards:  (a) food and drinking water supplies, having regard to the number of seafarers on board, their religious requirements and cultural practices as they pertain to food, and the duration and nature of the voyage, shall be suitable in respect of quantity, nutritional value, quality and variety;  

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(b) the organization and equipment of the catering department shall be such as to permit the provision to the seafarers of adequate, varied and nutritious meals prepared and served in hygienic conditions; and  (c) catering staff shall be properly trained or instructed for their positions.  3. Shipowners shall ensure that seafarers who are engaged as ships' cooks are trained, qualified and found competent for the position in accordance with requirements set out in the laws and regulations of the Member concerned.  4. The requirements under paragraph 3 of this Standard shall include a completion of a training course approved or recognized by the competent authority, which covers practical cookery, food and personal hygiene, food storage, stock control, and environmental protection and catering health and safety.  5. On ships operating with a prescribed manning of less than ten which, by virtue of the size of the crew or the trading pattern, may not be required by the competent authority to carry a fully qualified cook, anyone processing food in the galley shall be trained or instructed in areas including food and personal hygiene as well as handling and storage of food on board ship.  6. In circumstances of exceptional necessity, the competent authority may issue a dispensation permitting a non‐fully qualified cook to serve in a specified ship for a specified limited period, until the next convenient port of call or for a period not exceeding one month, provided that the person to whom the dispensation is issued is trained or instructed in areas including food and personal hygene as well as handling and storage of food on board ship.  7. In accordance with the ongoing compliance procedures under Title 5, the competent authority shall require that frequent documented inspections be carried out on board ships, by or under the authority of the master, with respect to:  (a) supplies of food and drinking water;  (b) all spaces and equipment used for the storage and handling of food and drinking water; and  (c) galley and other equipment for the preparation and service of meals.  8. No seafarer under the age of 18 shall be employed or engaged or work as a ship's cook.   Guideline B3.2 ‐ Food and catering  Guideline B3.2.1 ‐ Inspection, education, research and publication  1. The competent authority should, in cooperation with other relevant agencies and organizations, collect up‐to‐date information on nutrition and on methods of purchasing, storing, preserving, cooking and serving food, with special reference to the requirements of catering on board a ship. This information should be made available, free of charge or at reasonable cost, to manufacturers of and traders in ships' food supplies and equipment, masters, stewards and cooks, and to shipowners' and seafarers' organizations concerned. Appropriate forms of publicity, such as manuals, brochures, posters, charts or advertisements in trade journals, should be used for this purpose.  2. The competent authority should issue recommendations to avoid wastage of food, facilitate the maintenance of a proper standard of hygiene, and ensure the maximum practicable convenience in working arrangements.  3. The competent authority should work with relevant agencies and organizations to develop educational materials and on‐board information concerning methods of ensuring proper food supply and catering services.  4. The competent authority should work in close cooperation with the shipowners' and seafarers' organizations concerned and with national or local authorities dealing with questions of food and health, and may where necessary utilize the services of such authorities.   Guideline B3.2.2 ‐ Ships' cooks  1. Seafarers should only be qualified as ships' cooks if they have:  (a) served at sea for a minimum period to be prescribed by the competent authority, which could be varied to take into account existing relevant qualifications or experience;  (b) passed an examination prescribed by the competent authority or passed an equivalent examination at an approved training course for cooks.  2. The prescribed examination may be conducted and certificates granted either directly by the competent authority or, subject to its control, by an approved school for the training of cooks.  

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3. The competent authority should provide for the recognition, where appropriate, of certificates of qualification as ships' cooks issued by other Members, which have ratified this Convention or the Certification of Ships' Cooks Convention, 1946 (No. 69), or other approved body.   Title 4. Health Protection, Medical Care, Welfare and Social Security Protection  Regulation 4.1 ‐ Medical care on board ship and ashore  Purpose: To protect the health of seafarers and ensure their prompt access to medical care on board ship and ashore  1. Each Member shall ensure that all seafarers on ships that fly its flag are covered by adequate measures for the protection of their health and that they have access to prompt and adequate medical care whilst working on board.  2. The protection and care under paragraph 1 of this Regulation shall, in principle, be provided at no cost to the seafarers.  3. Each Member shall ensure that seafarers on board ships in its territory who are in need of immediate medical care are given access to the Member's medical facilities on shore.  4. The requirements for on‐board health protection and medical care set out in the Code include standards for measures aimed at providing seafarers with health protection and medical care as comparable as possible to that which is generally available to workers ashore.   Standard A4.1 ‐ Medical care on board ship and ashore  1. Each Member shall ensure that measures providing for health protection and medical care, including essential dental care, for seafarers working on board a ship that flies its flag are adopted which:  (a) ensure the application to seafarers of any general provisions on occupational health protection and medical care relevant to their duties, as well as of special provisions specific to work on board ship;  (b) ensure that seafarers are given health protection and medical care as comparable as possible to that which is generally available to workers ashore, including prompt access to the necessary medicines, medical equipment and facilities for diagnosis and treatment and to medical information and expertise;  (c) give seafarers the right to visit a qualified medical doctor or dentist without delay in ports of call, where practicable;  (d) ensure that, to the extent consistent with the Member's national law and practice, medical care and health protection services while a seafarer is on board ship or landed in a foreign port are provided free of charge to seafarers; and  (e) are not limited to treatment of sick or injured seafarers but include measures of a preventive character such as health promotion and health education programmes.  2. The competent authority shall adopt a standard medical report form for use by the ships' masters and relevant onshore and on‐board medical personnel. The form, when completed, and its contents shall be kept confidential and shall only be used to facilitate the treatment of seafarers.  3. Each Member shall adopt laws and regulations establishing requirements for on‐board hospital and medical care facilities and equipment and training on ships that fly its flag.  4. National laws and regulations shall as a minimum provide for the following requirements:  (a) all ships shall carry a medicine chest, medical equipment and a medical guide, the specifics of which shall be prescribed and subject to regular inspection by the competent authority; the national requirements shall take into account the type of ship, the number of persons on board and the nature, destination and duration of voyages and relevant national and international recommended medical standards;  (b) ships carrying 100 or more persons and ordinarily engaged on international voyages of more than three days' duration shall carry a qualified medical doctor who is responsible for providing medical care; national laws or regulations shall also specify which other ships shall be required to carry a medical doctor, taking into account, inter alia, such factors as the duration, nature and conditions of the voyage and the number of seafarers on board;  (c) ships which do not carry a medical doctor shall be required to have either at least one seafarer on board who is in charge of medical care and administering medicine as part of their regular duties or at least one seafarer on board competent to provide medical first aid; persons in charge of medical care 

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on board who are not medical doctors shall have satisfactorily completed training in medical care that meets the requirements of the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers, 1978, as amended ( STCW ); seafarers designated to provide medical first aid shall have satisfactorily completed training in medical first aid that meets the requirements of STCW; national laws or regulations shall specify the level of approved training required taking into account, inter alia, such factors as the duration, nature and conditions of the voyage and the number of seafarers on board; and  (d) the competent authority shall ensure by a prearranged system that medical advice by radio or satellite communication to ships at sea, including specialist advice, is available 24 hours a day; medical advice, including the onward transmission of medical messages by radio or satellite communication between a ship and those ashore giving the advice, shall be available free of charge to all ships irrespective of the flag that they fly.   Guideline B4.1 ‐ Medical care on board ship and ashore  Guideline B4.1.1 ‐ Provision of medical care  1. When determining the level of medical training to be provided on board ships that are not required to carry a medical doctor, the competent authority should require that:  (a) ships which ordinarily are capable of reaching qualified medical care and medical facilities within eight hours should have at least one designated seafarer with the approved medical first‐aid training required by STCW which will enable such persons to take immediate, effective action in case of accidents or illnesses likely to occur on board a ship and to make use of medical advice by radio or satellite communication; and  (b) all other ships should have at least one designated seafarer with approved training in medical care required by STCW, including practical training and training in life‐saving techniques such as intravenous therapy, which will enable the persons concerned to participate effectively in coordinated schemes for medical assistance to ships at sea, and to provide the sick or injured with a satisfactory standard of medical care during the period they are likely to remain on board.  2. The training referred to in paragraph 1 of this Guideline should be based on the contents of the most recent editions of the International Medical Guide for Ships, the Medical First Aid Guide for Use in Accidents Involving Dangerous Goods, the Document for Guidance ‐ An International Maritime Training Guide, and the medical section of the International Code of Signals as well as similar national guides.  3. Persons referred to in paragraph 1 of this Guideline and such other seafarers as may be required by the competent authority should undergo, at approximately five‐year intervals, refresher courses to enable them to maintain and increase their knowledge and skills and to keep up‐to‐date with new developments.  4. The medicine chest and its contents, as well as the medical equipment and medical guide carried on board, should be properly maintained and inspected at regular intervals, not exceeding 12 months, by responsible persons designated by the competent authority, who should ensure that the labelling, expiry dates and conditions of storage of all medicines and directions for their use are checked and all equipment functioning as required. In adopting or reviewing the ship's medical guide used nationally, and in determining the contents of the medicine chest and medical equipment, the competent authority should take into account international recommendations in this field, including the latest edition of the International Medical Guide for Ships, and other guides mentioned in paragraph 2 of this Guideline.  5. Where a cargo which is classified dangerous has not been included in the most recent edition of the Medical First Aid Guide for Use in Accidents Involving Dangerous Goods, the necessary information on the nature of the substances, the risks involved, the necessary personal protective devices, the relevant medical procedures and specific antidotes should be made available to the seafarers. Such specific antidotes and personal protective devices should be on board whenever dangerous goods are carried. This information should be integrated with the ship's policies and programmes on occupational safety and health described in Regulation 4.3 and related Code provisions.  6. All ships should carry a complete and up‐to‐date list of radio stations through which medical advice can be obtained; and, if equipped with a system of satellite communication, carry an up‐to‐date and complete list of coast earth stations through which medical advice can be obtained. Seafarers with responsibility for medical care or medical first aid on board should be instructed in the use of the ship's medical guide and the medical section of the most recent edition of the International Code of 

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Signals so as to enable them to understand the type of information needed by the advising doctor as well as the advice received.   Guideline B4.1.2 ‐ Medical report form  1. The standard medical report form for seafarers required under Part A of this Code should be designed to facilitate the exchange of medical and related information concerning individual seafarers between ship and shore in cases of illness or injury.   Guideline B4.1.3 ‐ Medical care ashore  1. Shore‐based medical facilities for treating seafarers should be adequate for the purposes. The doctors, dentists and other medical personnel should be properly qualified.  2. Measures should be taken to ensure that seafarers have access when in port to:  (a) outpatient treatment for sickness and injury;  (b) hospitalization when necessary; and  (c) facilities for dental treatment, especially in cases of emergency.  3. Suitable measures should be taken to facilitate the treatment of seafarers suffering from disease. In particular, seafarers should be promptly admitted to clinics and hospitals ashore, without difficulty and irrespective of nationality or religious belief, and, whenever possible, arrangements should be made to ensure, when necessary, continuation of treatment to supplement the medical facilities available to them.   Guideline B4.1.4 ‐ Medical assistance to other ships and international cooperation  1. Each Member should give due consideration to participating in international cooperation in the area of assistance, programmes and research in health protection and medical care. Such cooperation might cover:  (a) developing and coordinating search and rescue efforts and arranging prompt medical help and evacuation at sea for the seriously ill or injured on board a ship through such means as periodic ship position reporting systems, rescue coordination centres and emergency helicopter services, in conformity with the International Convention on Maritime Search and Rescue, 1979, as amended, and the International Aeronautical and Maritime Search and Rescue (IAMSAR) Manual;  (b) making optimum use of all ships carrying a doctor and stationing ships at sea which can provide hospital and rescue facilities;  (c) compiling and maintaining an international list of doctors and medical care facilities available worldwide to provide emergency medical care to seafarers;  (d) landing seafarers ashore for emergency treatment;  (e) repatriating seafarers hospitalized abroad as soon as practicable, in accordance with the medical advice of the doctors responsible for the case, which takes into account the seafarer's wishes and needs;  (f) arranging personal assistance for seafarers during repatriation, in accordance with the medical advice of the doctors responsible for the case, which takes into account the seafarer's wishes and needs;  (g) endeavouring to set up health centres for seafarers to:  (i) conduct research on the health status, medical treatment and preventive health care of seafarers; and  (ii) train medical and health service staff in maritime medicine;  (h) collecting and evaluating statistics concerning occupational accidents, diseases and fatalities of seafarers and integrating and harmonizing the statistics with any existing national system of statistics on occupational accidents and diseases covering other categories of workers;  (i) organizing international exchanges of technical information, training material and personnel, as well as international training courses, seminars and working groups;  (j) providing all seafarers with special curative and preventive health and medical services in port, or making available to them general health, medical and rehabilitation services; and  (k) arranging for the repatriation of the bodies or ashes of deceased seafarers, in accordance with the wishes of the next of kin and as soon as practicable.  2. International cooperation in the field of health protection and medical care for seafarers should be based on bilateral or multilateral agreements or consultations among Members.   

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Guideline B4.1.5 ‐ Dependants of seafarers  1. Each Member should adopt measures to secure proper and sufficient medical care for the dependants of seafarers domiciled in its territory pending the development of a medical care service which would include within its scope workers generally and their dependants where such services do not exist and should inform the International Labour Office concerning the measures taken for this purpose.   Regulation 4.2 ‐ Shipowners' liability  Purpose: To ensure that seafarers are protected from the financial consequences of sickness, injury or death occurring in connection with their employment  1. Each Member shall ensure that measures, in accordance with the Code, are in place on ships that fly its flag to provide seafarers employed on the ships with a right to material assistance and support from the shipowner with respect to the financial consequences of sickness, injury or death occurring while they are serving under a seafarers' employment agreement or arising from their employment under such agreement.  2. This Regulation does not affect any other legal remedies that a seafarer may seek.   Standard A4.2 ‐ Shipowners' liability  1. Each Member shall adopt laws and regulations requiring that shipowners of ships that fly its flag are responsible for health protection and medical care of all seafarers working on board the ships in accordance with the following minimum standards:  (a) shipowners shall be liable to bear the costs for seafarers working on their ships in respect of sickness and injury of the seafarers occurring between the date of commencing duty and the date upon which they are deemed duly repatriated, or arising from their employment between those dates;  (b) shipowners shall provide financial security to assure compensation in the event of the death or long‐term disability of seafarers due to an occupational injury, illness or hazard, as set out in national law, the seafarers' employment agreement or collective agreement;  (c) shipowners shall be liable to defray the expense of medical care, including medical treatment and the supply of the necessary medicines and therapeutic appliances, and board and lodging away from home until the sick or injured seafarer has recovered, or until the sickness or incapacity has been declared of a permanent character; and  (d) shipowners shall be liable to pay the cost of burial expenses in the case of death occurring on board or ashore during the period of engagement.  2. National laws or regulations may limit the liability of the shipowner to defray the expense of medical care and board and lodging to a period which shall not be less than 16 weeks from the day of the injury or the commencement of the sickness.  3. Where the sickness or injury results in incapacity for work the shipowner shall be liable:  (a) to pay full wages as long as the sick or injured seafarers remain on board or until the seafarers have been repatriated in accordance with this Convention; and  (b) to pay wages in whole or in part as prescribed by national laws or regulations or as provided for in collective agreements from the time when the seafarers are repatriated or landed until their recovery or, if earlier, until they are entitled to cash benefits under the legislation of the Member concerned.  4. National laws or regulations may limit the liability of the shipowner to pay wages in whole or in part in respect of a seafarer no longer on board to a period which shall not be less than 16 weeks from the day of the injury or the commencement of the sickness.  5. National laws or regulations may exclude the shipowner from liability in respect of:  (a) injury incurred otherwise than in the service of the ship;  (b) injury or sickness due to the wilful misconduct of the sick, injured or deceased seafarer; and  (c) sickness or infirmity intentionally concealed when the engagement is entered into.  6. National laws or regulations may exempt the shipowner from liability to defray the expense of medical care and board and lodging and burial expenses in so far as such liability is assumed by the public authorities.  7. Shipowners or their representatives shall take measures for safeguarding property left on board by sick, injured or deceased seafarers and for returning it to them or to their next of kin.    

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Guideline B4.2 ‐ Shipowners' liability  1. The payment of full wages required by Standard A4.2, paragraph 3(a), may be exclusive of bonuses.  2. National laws or regulations may provide that a shipowner shall cease to be liable to bear the costs of a sick or injured seafarer from the time at which that seafarer can claim medical benefits under a scheme of compulsory sickness insurance, compulsory accident insurance or workers' compensation for accidents.  3. National laws or regulations may provide that burial expenses paid by the shipowner shall be reimbursed by an insurance institution in cases in which funeral benefit is payable in respect of the deceased seafarer under laws or regulations relating to social insurance or workers' compensation.   Regulation 4.3 ‐ Health and safety protection and accident prevention  Purpose: To ensure that seafarers' work environment on board ships promotes occupational safety and health  1. Each Member shall ensure that seafarers on ships that fly its flag are provided with occupational health protection and live, work and train on board ship in a safe and hygienic environment.  2. Each Member shall develop and promulgate national guidelines for the management of occupational safety and health on board ships that fly its flag, after consultation with representative shipowners' and seafarers' organizations and taking into account applicable codes, guidelines and standards recommended by international organizations, national administrations and maritime industry organizations.  3. Each Member shall adopt laws and regulations and other measures addressing the matters specified in the Code, taking into account relevant international instruments, and set standards for occupational safety and health protection and accident prevention on ships that fly its flag.   Standard A4.3 ‐ Health and safety protection and accident prevention  1. The laws and regulations and other measures to be adopted in accordance with Regulation 4.3, paragraph 3, shall include the following subjects:  (a) the adoption and effective implementation and promotion of occupational safety and health policies and programmes on ships that fly the Member's flag, including risk evaluation as well as training and instruction of seafarers;  (b) reasonable precautions to prevent occupational accidents, injuries and diseases on board ship, including measures to reduce and prevent the risk of exposure to harmful levels of ambient factors and chemicals as well as the risk of injury or disease that may arise from the use of equipment and machinery on board ships;  (c) on‐board programmes for the prevention of occupational accidents, injuries and diseases and for continuous improvement in occupational safety and health protection, involving seafarers' representatives and all other persons concerned in their implementation, taking account of preventive measures, including engineering and design control, substitution of processes and procedures for collective and individual tasks, and the use of personal protective equipment; and  (d) requirements for inspecting, reporting and correcting unsafe conditions and for investigating and reporting on‐board occupational accidents.  2. The provisions referred to in paragraph 1 of this Standard shall:  (a) take account of relevant international instruments dealing with occupational safety and health protection in general and with specific risks, and address all matters relevant to the prevention of occupational accidents, injuries and diseases that may be applicable to the work of seafarers and particularly those which are specific to maritime employment;  (b) clearly specify the obligation of shipowners, seafarers and others concerned to comply with the applicable standards and with the ship's occupational safety and health policy and programme with special attention being paid to the safety and health of seafarers under the age of 18;  (c) specify the duties of the master or a person designated by the master, or both, to take specific responsibility for the implementation of and compliance with the ship's occupational safety and health policy and programme; and  (d) specify the authority of the ship's seafarers appointed or elected as safety representatives to participate in meetings of the ship's safety committee. Such a committee shall be established on board a ship on which there are five or more seafarers.  3. The laws and regulations and other measures referred to in Regulation 4.3, paragraph 3, shall be regularly reviewed in consultation with the representatives of the shipowners' and seafarers' 

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organizations and, if necessary, revised to take account of changes in technology and research in order to facilitate continuous improvement in occupational safety and health policies and programmes and to provide a safe occupational environment for seafarers on ships that fly the Member's flag.  4. Compliance with the requirements of applicable international instruments on the acceptable levels of exposure to workplace hazards on board ships and on the development and implementation of ships' occupational safety and health policies and programmes shall be considered as meeting the requirements of this Convention.  5. The competent authority shall ensure that:  (a) occupational accidents, injuries and diseases are adequately reported, taking into account the guidance provided by the International Labour Organization with respect to the reporting and recording of occupational accidents and diseases;  (b) comprehensive statistics of such accidents and diseases are kept, analysed and published and, where appropriate, followed up by research into general trends and into the hazards identified; and  (c) occupational accidents are investigated.  6. Reporting and investigation of occupational safety and health matters shall be designed to ensure the protection of seafarers' personal data, and shall take account of the guidance provided by the International Labour Organization on this matter.  7. The competent authority shall cooperate with shipowners' and seafarers' organizations to take measures to bring to the attention of all seafarers information concerning particular hazards on board ships, for instance, by posting official notices containing relevant instructions.  8. The competent authority shall require that shipowners conducting risk evaluation in relation to management of occupational safety and health refer to appropriate statistical information from their ships and from general statistics provided by the competent authority.   Guideline B4.3 ‐ Health and safety protection and accident prevention  Guideline B4.3.1 ‐ Provisions on occupational accidents, injuries and diseases  1. The provisions required under Standard A4.3 should take into account the ILO code of practice entitled Accident prevention on board ship at sea and in port, 1996, and subsequent versions and other related ILO and other international standards and guidelines and codes of practice regarding occupational safety and health protection, including any exposure levels that they may identify.  2. The competent authority should ensure that the national guidelines for the management of occupational safety and health address the following matters, in particular:  (a) general and basic provisions;  (b) structural features of the ship, including means of access and asbestos‐related risks;  (c) machinery;  (d) the effects of the extremely low or high temperature of any surfaces with which seafarers may be in contact;  (e) the effects of noise in the workplace and in shipboard accommodation; (f) the effects of vibration in the workplace and in shipboard accommodation;  (g) the effects of ambient factors, other than those referred to in subparagraphs (e) and (f), in the workplace and in shipboard accommodation, including tobacco smoke;  (h) special safety measures on and below deck;  (i) loading and unloading equipment;  (j) fire prevention and fire‐fighting;  (k) anchors, chains and lines;  (l) dangerous cargo and ballast;  (m) personal protective equipment for seafarers;  (n) work in enclosed spaces;  (o) physical and mental effects of fatigue;  (p) the effects of drug and alcohol dependency;  (q) HIV/AIDS protection and prevention; and  (r) emergency and accident response.  3. The assessment of risks and reduction of exposure on the matters referred to in paragraph 2 of this Guideline should take account of the physical occupational health effects, including manual handling of loads, noise and vibration, the chemical and biological occupational health effects, the mental occupational health effects, the physical and mental health effects of fatigue, and occupational 

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accidents. The necessary measures should take due account of the preventive principle according to which, among other things, combating risk at the source, adapting work to the individual, especially as regards the design of workplaces, and replacing the dangerous by the non‐dangerous or the less dangerous, have precedence over personal protective equipment for seafarers.  4. In addition, the competent authority should ensure that the implications for health and safety are taken into account, particularly in the following areas:  (a) emergency and accident response;  (b) the effects of drug and alcohol dependency; and  (c) HIV/AIDS protection and prevention.   Guideline B4.3.2 ‐ Exposure to noise  1. The competent authority, in conjunction with the competent international bodies and with representatives of shipowners' and seafarers' organizations concerned, should review on an ongoing basis the problem of noise on board ships with the objective of improving the protection of seafarers, in so far as practicable, from the adverse effects of exposure to noise.  2. The review referred to in paragraph 1 of this Guideline should take account of the adverse effects of exposure to excessive noise on the hearing, health and comfort of seafarers and the measures to be prescribed or recommended to reduce shipboard noise to protect seafarers. The measures to be considered should include the following:  (a) instruction of seafarers in the dangers to hearing and health of prolonged exposure to high noise levels and in the proper use of noise protection devices and equipment;  (b) provision of approved hearing protection equipment to seafarers where necessary; and  (c) assessment of risk and reduction of exposure levels to noise in all accommodation and recreational and catering facilities, as well as engine rooms and other machinery spaces.   Guideline B4.3.3 ‐ Exposure to vibration  1. The competent authority, in conjunction with the competent international bodies and with representatives of shipowners' and seafarers' organizations concerned, and taking into account, as appropriate, relevant international standards, should review on an ongoing basis the problem of vibration on board ships with the objective of improving the protection of seafarers, in so far as practicable, from the adverse effects of vibration.  2. The review referred to in paragraph 1 of this Guideline should cover the effect of exposure to excessive vibration on the health and comfort of seafarers and the measures to be prescribed or recommended to reduce shipboard vibration to protect seafarers. The measures to be considered should include the following:  (a) instruction of seafarers in the dangers to their health of prolonged exposure to vibration;  (b) provision of approved personal protective equipment to seafarers where necessary; and  (c) assessment of risks and reduction of exposure to vibration in all accommodation and recreational and catering facilities by adopting measures in accordance with the guidance provided by the ILO code of practice entitled Ambient factors in the workplace, 2001, and any subsequent revisions, taking account of the difference between exposure in those areas and in the workplace.   Guideline B4.3.4 ‐ Obligations of shipowners  1. Any obligation on the shipowner to provide protective equipment or other accident prevention safeguards should, in general, be accompanied by provisions requiring their use by seafarers and by a requirement for seafarers to comply with the relevant accident prevention and health protection measures.  2. Account should also be taken of Articles 7 and 11 of the Guarding of Machinery Convention, 1963 (No. 119), and the corresponding provisions of the Guarding of Machinery Recommendation, 1963 (No. 118), under which the obligation to ensure compliance with the requirement that machinery in use is properly guarded, and its use without appropriate guards prevented, rests on the employer, while there is an obligation on the worker not to use machinery without the guards being in position nor to make inoperative the guards provided.   Guideline B4.3.5 ‐ Reporting and collection of statistics  1. All occupational accidents and occupational injuries and diseases should be reported so that they can be investigated and comprehensive statistics can be kept, analysed and published, taking account 

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of protection of the personal data of the seafarers concerned. Reports should not be limited to fatalities or to accidents involving the ship.  2. The statistics referred to in paragraph 1 of this Guideline should record the numbers, nature, causes and effects of occupational accidents and occupational injuries and diseases, with a clear indication, as applicable, of the department on board a ship, the type of accident and whether at sea or in port.  3. Each Member should have due regard to any international system or model for recording accidents to seafarers which may have been established by the International Labour Organization.   Guideline B4.3.6 ‐ Investigations  1. The competent authority should undertake investigations into the causes and circumstances of all occupational accidents and occupational injuries and diseases resulting in loss of life or serious personal injury, and such other cases as may be specified in national laws or regulations.  2. Consideration should be given to including the following as subjects of investigation:  (a) working environment, such as working surfaces, layout of machinery, means of access, lighting and methods of work;  (b) incidence in different age groups of occupational accidents and occupational injuries and diseases;  (c) special physiological or psychological problems created by the shipboard environment;  (d) problems arising from physical stress on board a ship, in particular as a consequence of increased workload;  (e) problems arising from and effects of technical developments and their influence on the composition of crews; and  (f) problems arising from any human failures.   Guideline B4.3.7 ‐ National protection and prevention programmes  1. In order to provide a sound basis for measures to promote occupational safety and health protection and prevention of accidents, injuries and diseases which are due to particular hazards of maritime employment, research should be undertaken into general trends and into such hazards as are revealed by statistics.  2. The implementation of protection and prevention programmes for the promotion of occupational safety and health should be so organized that the competent authority, shipowners and seafarers or their representatives and other appropriate bodies may play an active role, including through such means as information sessions, on‐board guidelines on maximum exposure levels to potentially harmful ambient workplace factors and other hazards or outcomes of a systematic risk evaluation process. In particular, national or local joint occupational safety and health protection and accident prevention committees or ad hoc working parties and on‐board committees, on which shipowners' and seafarers' organizations concerned are represented, should be established.  3. Where such activity takes place at company level, the representation of seafarers on any safety committee on board that shipowner's ships should be considered.   Guideline B4.3.8 ‐ Content of protection and prevention programmes  1. Consideration should be given to including the following in the functions of the committees and other bodies referred to in Guideline B4.3.7, paragraph 2:  (a) the preparation of national guidelines and policies for occupational safety and health management systems and for accident prevention provisions, rules and manuals;  (b) the organization of occupational safety and health protection and accident prevention training and programmes;  (c) the organization of publicity on occupational safety and health protection and accident prevention, including films, posters, notices and brochures; and  (d) the distribution of literature and information on occupational safety and health protection and accident prevention so that it reaches seafarers on board ships.  2. Relevant provisions or recommendations adopted by the appropriate national authorities or organizations or international organizations should be taken into account by those preparing texts of occupational safety and health protection and accident prevention measures or recommended practices.  

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3. In formulating occupational safety and health protection and accident prevention programmes, each Member should have due regard to any code of practice concerning the safety and health of seafarers which may have been published by the International Labour Organization.   Guideline B4.3.9 ‐ Instruction in occupational safety and health protection and the prevention of occupational accidents  1. The curriculum for the training referred to in Standard A4.3, paragraph 1(a), should be reviewed periodically and brought up to date in the light of development in types and sizes of ships and in their equipment, as well as changes in manning practices, nationality, language and the organization of work on board ships.  2. There should be continuous occupational safety and health protection and accident prevention publicity. Such publicity might take the following forms:  (a) educational audiovisual material, such as films, for use in vocational training centres for seafarers and where possible shown on board ships;  (b) display of posters on board ships;  (c) inclusion in periodicals read by seafarers of articles on the hazards of maritime employment and on occupational safety and health protection and accident prevention measures; and  (d) special campaigns using various publicity media to instruct seafarers, including campaigns on safe working practices.  3. The publicity referred to in paragraph 2 of this Guideline should take account of the different nationalities, languages and cultures of seafarers on board ships.   Guideline B4.3.10 ‐ Safety and health education of young seafarers  1. Safety and health regulations should refer to any general provisions on medical examinations before and during employment and on the prevention of accidents and the protection of health in employment, which may be applicable to the work of seafarers. Such regulations should specify measures which will minimize occupational dangers to young seafarers in the course of their duties.  2. Except where a young seafarer is recognized as fully qualified in a pertinent skill by the competent authority, the regulations should specify restrictions on young seafarers undertaking, without appropriate supervision and instruction, certain types of work presenting special risk of accident or of detrimental effect on their health or physical development, or requiring a particular degree of maturity, experience or skill. In determining the types of work to be restricted by the regulations, the competent authority might consider in particular work involving:  (a) the lifting, moving or carrying of heavy loads or objects;  (b) entry into boilers, tanks and cofferdams;  (c) exposure to harmful noise and vibration levels;  (d) operating hoisting and other power machinery and tools, or acting as signallers to operators of such equipment;  (e) handling mooring or tow lines or anchoring equipment;  (f) rigging;  (g) work aloft or on deck in heavy weather;  (h) nightwatch duties;  (i) servicing of electrical equipment;  (j) exposure to potentially harmful materials, or harmful physical agents such as dangerous or toxic substances and ionizing radiations;  (k) the cleaning of catering machinery; and  (l) the handling or taking charge of ships' boats.  3. Practical measures should be taken by the competent authority or through the appropriate machinery to bring to the attention of young seafarers information concerning the prevention of accidents and the protection of their health on board ships. Such measures could include adequate instruction in courses, official accident prevention publicity intended for young persons and professional instruction and supervision of young seafarers.  4. Education and training of young seafarers both ashore and on board ships should include guidance on the detrimental effects on their health and well‐being of the abuse of alcohol and drugs and other potentially harmful substances, and the risk and concerns relating to HIV/AIDS and of other health risk related activities.   

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Guideline B4.3.11 ‐ International cooperation  1. Members, with the assistance as appropriate of intergovernmental and other international organizations, should endeavour, in cooperation with each other, to achieve the greatest possible uniformity of action for the promotion of occupational safety and health protection and prevention of accidents.  2. In developing programmes for promoting occupational safety and health protection and prevention of accidents under Standard A4.3, each Member should have due regard to relevant codes of practice published by the International Labour Organization and the appropriate standards of international organizations.  3. Members should have regard to the need for international cooperation in the continuous promotion of activity related to occupational safety and health protection and prevention of occupational accidents. Such cooperation might take the form of:  (a) bilateral or multilateral arrangements for uniformity in occupational safety and health protection and accident prevention standards and safeguards; (b) exchange of information on particular hazards affecting seafarers and on means of promoting occupational safety and health protection and preventing accidents;  (c) assistance in testing of equipment and inspection according to the national regulations of the flag State;  (d) collaboration in the preparation and dissemination of occupational safety and health protection and accident prevention provisions, rules or manuals;  (e) collaboration in the production and use of training aids; and  (f) joint facilities for, or mutual assistance in, the training of seafarers in occupational safety and health protection, accident prevention and safe working practices.   Regulation 4.4 ‐ Access to shore‐based welfare facilities  Purpose: To ensure that seafarers working on board a ship have access to shore‐based facilities and services to secure their health and well‐being  1. Each Member shall ensure that shore‐based welfare facilities, where they exist, are easily accessible. The Member shall also promote the development of welfare facilities, such as those listed in the Code, in designated ports to provide seafarers on ships that are in its ports with access to adequate welfare facilities and services.  2. The responsibilities of each Member with respect to shore‐based facilities, such as welfare, cultural, recreational and information facilities and services, are set out in the Code.   Standard A4.4 ‐ Access to shore‐based welfare facilities  1. Each Member shall require, where welfare facilities exist on its territory, that they are available for the use of all seafarers, irrespective of nationality, race, colour, sex, religion, political opinion or social origin and irrespective of the flag State of the ship on which they are employed or engaged or work.  2. Each Member shall promote the development of welfare facilities in appropriate ports of the country and determine, after consultation with the shipowners' and seafarers' organizations concerned, which ports are to be regarded as appropriate.  3. Each Member shall encourage the establishment of welfare boards which shall regularly review welfare facilities and services to ensure that they are appropriate in the light of changes in the needs of seafarers resulting from technical, operational and other developments in the shipping industry.   Guideline B4.4 ‐ Access to shore‐based welfare facilities  Guideline B4.4.1 ‐ Responsibilities of Members  1. Each Member should:  (a) take measures to ensure that adequate welfare facilities and services are provided for seafarers in designated ports of call and that adequate protection is provided to seafarers in the exercise of their profession; and  (b) take into account, in the implementation of these measures, the special needs of seafarers, especially when in foreign countries and when entering war zones, in respect of their safety, health and spare‐time activities.  2. Arrangements for the supervision of welfare facilities and services should include participation by representative shipowners' and seafarers' organizations concerned.  

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3. Each Member should take measures designed to expedite the free circulation among ships, central supply agencies and welfare establishments of welfare materials such as films, books, newspapers and sports equipment for use by seafarers on board their ships and in welfare centres ashore.  4. Members should cooperate with one another in promoting the welfare of seafarers at sea and in port. Such cooperation should include the following:  (a) consultations among competent authorities aimed at the provision and improvement of seafarers' welfare facilities and services, both in port and on board ships;  (b) agreements on the pooling of resources and the joint provision of welfare facilities in major ports so as to avoid unnecessary duplication;  (c) organization of international sports competitions and encouragement of the participation of seafarers in sports activities; and  (d) organization of international seminars on the subject of welfare of seafarers at sea and in port.   Guideline B4.4.2 ‐ Welfare facilities and services in ports  1. Each Member should provide or ensure the provision of such welfare facilities and services as may be required, in appropriate ports of the country.  2. Welfare facilities and services should be provided, in accordance with national conditions and practice, by one or more of the following:  (a) public authorities;  (b) shipowners' and seafarers' organizations concerned under collective agreements or other agreed arrangements; and  (c) voluntary organizations.  3. Necessary welfare and recreational facilities should be established or developed in ports. These should include:  (a) meeting and recreation rooms as required;  (b) facilities for sports and outdoor facilities, including competitions; (c) educational facilities; and  (d) where appropriate, facilities for religious observances and for personal counselling.  4. These facilities may be provided by making available to seafarers in accordance with their needs facilities designed for more general use.  5. Where large numbers of seafarers of different nationalities require facilities such as hotels, clubs and sports facilities in a particular port, the competent authorities or bodies of the countries of origin of the seafarers and of the flag States, as well as the international associations concerned, should consult and cooperate with the competent authorities and bodies of the country in which the port is situated and with one another, with a view to the pooling of resources and to avoiding unnecessary duplication.  6. Hotels or hostels suitable for seafarers should be available where there is need for them. They should provide facilities equal to those found in a good‐class hotel, and should wherever possible be located in good surroundings away from the immediate vicinity of the docks. Such hotels or hostels should be properly supervised, the prices charged should be reasonable in amount and, where necessary and possible, provision should be made for accommodating seafarers' families.  7. These accommodation facilities should be open to all seafarers, irrespective of nationality, race, colour, sex, religion, political opinion or social origin and irrespective of the flag State of the ship on which they are employed or engaged or work. Without in any way infringing this principle, it may be necessary in certain ports to provide several types of facilities, comparable in standard but adapted to the customs and needs of different groups of seafarers.  8. Measures should be taken to ensure that, as necessary, technically competent persons are employed full time in the operation of seafarers' welfare facilities and services, in addition to any voluntary workers.   Guideline B4.4.3 ‐ Welfare boards  1. Welfare boards should be established, at the port, regional and national levels, as appropriate. Their functions should include:  (a) keeping under review the adequacy of existing welfare facilities and monitoring the need for the provision of additional facilities or the withdrawal of underutilized facilities; and  (b) assisting and advising those responsible for providing welfare facilities and ensuring coordination between them.  

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2. Welfare boards should include among their members representatives of shipowners' and seafarers' organizations, the competent authorities and, where appropriate, voluntary organizations and social bodies.  3. As appropriate, consuls of maritime States and local representatives of foreign welfare organizations should, in accordance with national laws and regulations, be associated with the work of port, regional and national welfare boards.   Guideline B4.4.4 ‐ Financing of welfare facilities  1. In accordance with national conditions and practice, financial support for port welfare facilities should be made available through one or more of the following:  (a) grants from public funds;  (b) levies or other special dues from shipping sources;  (c) voluntary contributions from shipowners, seafarers, or their organizations; and  (d) voluntary contributions from other sources.  2. Where welfare taxes, levies and special dues are imposed, they should be used only for the purposes for which they are raised.   Guideline B4.4.5 ‐ Dissemination of information and facilitation measures  1. Information should be disseminated among seafarers concerning facilities open to the general public in ports of call, particularly transport, welfare, entertainment and educational facilities and places of worship, as well as facilities provided specifically for seafarers.  2. Adequate means of transport at moderate prices should be available at any reasonable time in order to enable seafarers to reach urban areas from convenient locations in the port.  3. All suitable measures should be taken by the competent authorities to make known to shipowners and to seafarers entering port any special laws and customs, the contravention of which may jeopardize their freedom.  4. Port areas and access roads should be provided by the competent authorities with adequate lighting and signposting and regular patrols for the protection of seafarers.   Guideline B4.4.6 ‐ Seafarers in a foreign port  1. For the protection of seafarers in foreign ports, measures should be taken to facilitate:  (a) access to consuls of their State of nationality or State of residence; and (b) effective cooperation between consuls and the local or national authorities.  2. Seafarers who are detained in a foreign port should be dealt with promptly under due process of law and with appropriate consular protection.  3. Whenever a seafarer is detained for any reason in the territory of a Member, the competent authority should, if the seafarer so requests, immediately inform the flag State and the State of nationality of the seafarer. The competent authority should promptly inform the seafarer of the right to make such a request. The State of nationality of the seafarer should promptly notify the seafarer's next of kin. The competent authority should allow consular officers of these States immediate access to the seafarer and regular visits thereafter so long as the seafarer is detained.  4. Each Member should take measures, whenever necessary, to ensure the safety of seafarers from aggression and other unlawful acts while ships are in their territorial waters and especially in approaches to ports.  5. Every effort should be made by those responsible in port and on board a ship to facilitate shore leave for seafarers as soon as possible after a ship's arrival in port.   Regulation 4.5 ‐ Social security  Purpose: To ensure that measures are taken with a view to providing seafarers with access to social security protection  1. Each Member shall ensure that all seafarers and, to the extent provided for in its national law, their dependants have access to social security protection in accordance with the Code without prejudice however to any more favourable conditions referred to in paragraph 8 of article 19 of the Constitution.  2. Each Member undertakes to take steps, according to its national circumstances, individually and through international cooperation, to achieve progressively comprehensive social security protection for seafarers.  

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3. Each Member shall ensure that seafarers who are subject to its social security legislation, and, to the extent provided for in its national law, their dependants, are entitled to benefit from social security protection no less favourable than that enjoyed by shoreworkers.   Standard A4.5 ‐ Social security  1. The branches to be considered with a view to achieving progressively comprehensive social security protection under Regulation 4.5 are: medical care, sickness benefit, unemployment benefit, old‐age benefit, employment injury benefit, family benefit, maternity benefit, invalidity benefit and survivors' benefit, complementing the protection provided for under Regulations 4.1, on medical care, and 4.2, on shipowners' liability, and under other titles of this Convention.  2. At the time of ratification, the protection to be provided by each Member in accordance with Regulation 4.5, paragraph 1, shall include at least three of the nine branches listed in paragraph 1 of this Standard.  3. Each Member shall take steps according to its national circumstances to provide the complementary social security protection referred to in paragraph 1 of this Standard to all seafarers ordinarily resident in its territory. This responsibility could be satisfied, for example, through appropriate bilateral or multilateral agreements or contribution‐based systems. The resulting protection shall be no less favourable than that enjoyed by shoreworkers resident in their territory.  4. Notwithstanding the attribution of responsibilities in paragraph 3 of this Standard, Members may determine, through bilateral and multilateral agreements and through provisions adopted in the framework of regional economic integration organizations, other rules concerning the social security legislation to which seafarers are subject.  5. Each Member's responsibilities with respect to seafarers on ships that fly its flag shall include those provided for by Regulations 4.1 and 4.2 and the related provisions of the Code, as well as those that are inherent in its general obligations under international law.  6. Each Member shall give consideration to the various ways in which comparable benefits will, in accordance with national law and practice, be provided to seafarers in the absence of adequate coverage in the branches referred to in paragraph 1 of this Standard.  7. The protection under Regulation 4.5, paragraph 1, may, as appropriate, be contained in laws or regulations, in private schemes or in collective bargaining agreements or in a combination of these.  8. To the extent consistent with their national law and practice, Members shall cooperate, through bilateral or multilateral agreements or other arrangements, to ensure the maintenance of social security rights, provided through contributory or non‐contributory schemes, which have been acquired, or are in the course of acquisition, by all seafarers regardless of residence.  9. Each Member shall establish fair and effective procedures for the settlement of disputes.  10. Each Member shall at the time of ratification specify the branches for which protection is provided in accordance with paragraph 2 of this Standard. It shall subsequently notify the Director‐General of the International Labour Office when it provides social security protection in respect of one or more other branches stated in paragraph 1 of this Standard. The Director‐General shall maintain a register of this information and shall make it available to all interested parties.  11. The reports to the International Labour Office pursuant to article 22 of the Constitution, shall also include information regarding steps taken in accordance with Regulation 4.5, paragraph 2, to extend protection to other branches.   Guideline B4.5 ‐ Social security  1. The protection to be provided at the time of ratification in accordance with Standard A4.5, paragraph 2, should at least include the branches of medical care, sickness benefit and employment injury benefit.  2. In the circumstances referred to in Standard A4.5, paragraph 6, comparable benefits may be provided through insurance, bilateral and multilateral agreements or other effective means, taking into consideration the provisions of relevant collective bargaining agreements. Where such measures are adopted, seafarers covered by such measures should be advised of the means by which the various branches of social security protection will be provided.  3. Where seafarers are subject to more than one national legislation covering social security, the Members concerned should cooperate in order to determine by mutual agreement which legislation is to apply, taking into account such factors as the type and level of protection under the respective legislations which is more favourable to the seafarer concerned as well as the seafarer's preference.  

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4. The procedures to be established under Standard A4.5, paragraph 9, should be designed to cover all disputes relevant to the claims of the seafarers concerned, irrespective of the manner in which the coverage is provided.  5. Each Member which has national seafarers, non‐national seafarers or both serving on ships that fly its flag should provide the social security protection in the Convention as applicable, and should periodically review the branches of social security protection in Standard A4.5, paragraph 1, with a view to identifying any additional branches appropriate for the seafarers concerned.  6. The seafarers' employment agreement should identify the means by which the various branches of social security protection will be provided to the seafarer by the shipowner as well as any other relevant information at the disposal of the shipowner, such as statutory deductions from the seafarers' wages and shipowners' contributions which may be made in accordance with the requirements of identified authorized bodies pursuant to relevant national social security schemes.  7. The Member whose flag the ship flies should, in effectively exercising its jurisdiction over social matters, satisfy itself that the shipowners' responsibilities concerning social security protection are met, including making the required contributions to social security schemes.   Title 5. Compliance and Enforcement  1. The Regulations in this Title specify each Member's responsibility to fully implement and enforce the principles and rights set out in the Articles of this Convention as well as the particular obligations provided for under its Titles 1, 2, 3 and 4.  2. Paragraphs 3 and 4 of Article VI, which permit the implementation of Part A of the Code through substantially equivalent provisions, do not apply to Part A of the Code in this Title.  3. In accordance with paragraph 2 of Article VI, each Member shall implement its responsibilities under the Regulations in the manner set out in the corresponding Standards of Part A of the Code, giving due consideration to the corresponding Guidelines in Part B of the Code.  4. The provisions of this Title shall be implemented bearing in mind that seafarers and shipowners, like all other persons, are equal before the law and are entitled to the equal protection of the law and shall not be subject to discrimination in their access to courts, tribunals or other dispute resolution mechanisms. The provisions of this Title do not determine legal jurisdiction or a legal venue.   Regulation 5.1 ‐ Flag State responsibilities  Purpose: To ensure that each Member implements its responsibilities under this Convention with respect to ships that fly its flag  Regulation 5.1.1 ‐ General principles  1. Each Member is responsible for ensuring implementation of its obligations under this Convention on ships that fly its flag.  2. Each Member shall establish an effective system for the inspection and certification of maritime labour conditions, in accordance with Regulations 5.1.3 and 5.1.4 ensuring that the working and living conditions for seafarers on ships that fly its flag meet, and continue to meet, the standards in this Convention.  3. In establishing an effective system for the inspection and certification of maritime labour conditions, a Member may, where appropriate, authorize public institutions or other organizations (including those of another Member, if the latter agrees) which it recognizes as competent and independent to carry out inspections or to issue certificates or to do both. In all cases, the Member shall remain fully responsible for the inspection and certification of the working and living conditions of the seafarers concerned on ships that fly its flag.  4. A maritime labour certificate, complemented by a declaration of maritime labour compliance, shall constitute prima facie evidence that the ship has been duly inspected by the Member whose flag it flies and that the requirements of this Convention relating to working and living conditions of the seafarers have been met to the extent so certified.  5. Information about the system referred to in paragraph 2 of this Regulation, including the method used for assessing its effectiveness, shall be included in the Member's reports to the International Labour Office pursuant to article 22 of the Constitution.     

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Standard A5.1.1 ‐ General principles  1. Each Member shall establish clear objectives and standards covering the administration of its inspection and certification systems, as well as adequate overall procedures for its assessment of the extent to which those objectives and standards are being attained.  2. Each Member shall require all ships that fly its flag to have a copy of this Convention available on board.   Guideline B5.1.1 ‐ General principles  1. The competent authority should make appropriate arrangements to promote effective cooperation between public institutions and other organizations, referred to in Regulations 5.1.1 and 5.1.2, concerned with seafarers' shipboard working and living conditions.  2. In order to better ensure cooperation between inspectors and shipowners, seafarers and their respective organizations, and to maintain or improve seafarers' working and living conditions, the competent authority should consult the representatives of such organizations at regular intervals as to the best means of attaining these ends. The manner of such consultation should be determined by the competent authority after consulting with shipowners' and seafarers' organizations.   Regulation 5.1.2 ‐ Authorization of recognized organizations  1. The public institutions or other organizations referred to in paragraph 3 of Regulation 5.1.1 ( recognized organizations ) shall have been recognized by the competent authority as meeting the requirements in the Code regarding competency and independence. The inspection or certification functions which the recognized organizations may be authorized to carry out shall come within the scope of the activities that are expressly mentioned in the Code as being carried out by the competent authority or a recognized organization.  2. The reports referred to in paragraph 5 of Regulation 5.1.1 shall contain information regarding any recognized organization, the extent of authorizations given and the arrangements made by the Member to ensure that the authorized activities are carried out completely and effectively.   Standard A5.1.2 ‐ Authorization of recognized organizations  1. For the purpose of recognition in accordance with paragraph 1 of Regulation 5.1.2, the competent authority shall review the competency and independence of the organization concerned and determine whether the organization has demonstrated, to the extent necessary for carrying out the activities covered by the authorization conferred on it, that the organization:  (a) has the necessary expertise in the relevant aspects of this Convention and an appropriate knowledge of ship operations, including the minimum requirements for seafarers to work on a ship, conditions of employment, accommodation, recreational facilities, food and catering, accident prevention, health protection, medical care, welfare and social security protection;  (b) has the ability to maintain and update the expertise of its personnel;  (c) has the necessary knowledge of the requirements of this Convention as well as of applicable national laws and regulations and relevant international instruments; and  (d) is of the appropriate size, structure, experience and capability commensurate with the type and degree of authorization.  2. Any authorizations granted with respect to inspections shall, as a minimum, empower the recognized organization to require the rectification of deficiencies that it identifies in seafarers' working and living conditions and to carry out inspections in this regard at the request of a port State.  3. Each Member shall establish:  (a) a system to ensure the adequacy of work performed by recognized organizations, which includes information on all applicable national laws and regulations and relevant international instruments; and  (b) procedures for communication with and oversight of such organizations.  4. Each Member shall provide the International Labour Office with a current list of any recognized organizations authorized to act on its behalf and it shall keep this list up to date. The list shall specify the functions that the recognized organizations have been authorized to carry out. The Office shall make the list publicly available.     

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Guideline B5.1.2 ‐ Authorization of recognized organizations  1. The organization seeking recognition should demonstrate the technical, administrative and managerial competence and capacity to ensure the provision of timely service of satisfactory quality.  2. In evaluating the capability of an organization, the competent authority should determine whether the organization:  (a) has adequate technical, managerial and support staff;  (b) has sufficient qualified professional staff to provide the required service, representing an adequate geographical coverage;  (c) has proven ability to provide a timely service of satisfactory quality; and  (d) is independent and accountable in its operations.  3. The competent authority should conclude a written agreement with any organization that it recognizes for purposes of an authorization. The agreement should include the following elements:  (a) scope of application;  (b) purpose;  (c) general conditions;  (d) the execution of functions under authorization;  (e) legal basis of the functions under authorization;  (f) reporting to the competent authority;  (g) specification of the authorization from the competent authority to the recognized organization; and  (h) the competent authority's supervision of activities delegated to the recognized organization.  4. Each Member should require the recognized organizations to develop a system for qualification of staff employed by them as inspectors to ensure the timely updating of their knowledge and expertise.  5. Each Member should require the recognized organizations to maintain records of the services performed by them such that they are able to demonstrate achievement of the required standards in the items covered by the services.  6. In establishing the oversight procedures referred to in Standard A5.1.2, paragraph 3(b), each Member should take into account the Guidelines for the Authorization of Organizations Acting on Behalf of the Administration, adopted in the framework of the International Maritime Organization.   Regulation 5.1.3 ‐ Maritime labour certificate and declaration of maritime labour compliance  1. This Regulation applies to ships of:  (a) 500 gross tonnage or over, engaged in international voyages; and  (b) 500 gross tonnage or over, flying the flag of a Member and operating from a port, or between ports, in another country.  For the purpose of this Regulation, international voyage means a voyage from a country to a port outside such a country.  2. This Regulation also applies to any ship that flies the flag of a Member and is not covered by paragraph 1 of this Regulation, at the request of the shipowner to the Member concerned.  3. Each Member shall require ships that fly its flag to carry and maintain a maritime labour certificate certifying that the working and living conditions of seafarers on the ship, including measures for ongoing compliance to be included in the declaration of maritime labour compliance referred to in paragraph 4 of this Regulation, have been inspected and meet the requirements of national laws or regulations or other measures implementing this Convention.  4. Each Member shall require ships that fly its flag to carry and maintain a declaration of maritime labour compliance stating the national requirements implementing this Convention for the working and living conditions for seafarers and setting out the measures adopted by the shipowner to ensure compliance with the requirements on the ship or ships concerned.  5. The maritime labour certificate and the declaration of maritime labour compliance shall conform to the model prescribed by the Code.  6. Where the competent authority of the Member or a recognized organization duly authorized for this purpose has ascertained through inspection that a ship that flies the Member's flag meets or continues to meet the standards of this Convention, it shall issue or renew a maritime labour certificate to that effect and maintain a publicly available record of that certificate.  7. Detailed requirements for the maritime labour certificate and the declaration of maritime labour compliance, including a list of the matters that must be inspected and approved, are set out in Part A of the Code.  

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Standard A5.1.3 ‐ Maritime labour certificate and declaration of maritime labour compliance  1. The maritime labour certificate shall be issued to a ship by the competent authority, or by a recognized organization duly authorized for this purpose, for a period which shall not exceed five years. A list of matters that must be inspected and found to meet national laws and regulations or other measures implementing the requirements of this Convention regarding the working and living conditions of seafarers on ships before a maritime labour certificate can be issued is found in Appendix A5‐I.  2. The validity of the maritime labour certificate shall be subject to an intermediate inspection by the competent authority, or by a recognized organization duly authorized for this purpose, to ensure continuing compliance with the national requirements implementing this Convention. If only one intermediate inspection is carried out and the period of validity of the certificate is five years, it shall take place between the second and third anniversary dates of the certificate. Anniversary date means the day and month of each year which will correspond to the date of expiry of the maritime labour certificate. The scope and depth of the intermediate inspection shall be equal to an inspection for renewal of the certificate. The certificate shall be endorsed following satisfactory intermediate inspection.  3. Notwithstanding paragraph 1 of this Standard, when the renewal inspection has been completed within three months before the expiry of the existing maritime labour certificate, the new maritime labour certificate shall be valid from the date of completion of the renewal inspection for a period not exceeding five years from the date of expiry of the existing certificate.  4. When the renewal inspection is completed more than three months before the expiry date of the existing maritime labour certificate, the new maritime labour certificate shall be valid for a period not exceeding five years starting from the date of completion of the renewal inspection.  5. A maritime labour certificate may be issued on an interim basis:  (a) to new ships on delivery;  (b) when a ship changes flag; or  (c) when a shipowner assumes responsibility for the operation of a ship which is new to that shipowner.  6. An interim maritime labour certificate may be issued for a period not exceeding six months by the competent authority or a recognized organization duly authorized for this purpose.  7. An interim maritime labour certificate may only be issued following verification that:  (a) the ship has been inspected, as far as reasonable and practicable, for the matters listed in Appendix A5‐I, taking into account verification of items under subparagraphs (b), (c) and (d) of this paragraph;  (b) the shipowner has demonstrated to the competent authority or recognized organization that the ship has adequate procedures to comply with this Convention;  (c) the master is familiar with the requirements of this Convention and the responsibilities for implementation; and  (d) relevant information has been submitted to the competent authority or recognized organization to produce a declaration of maritime labour compliance.  8. A full inspection in accordance with paragraph 1 of this Standard shall be carried out prior to expiry of the interim certificate to enable issue of the full‐term maritime labour certificate. No further interim certificate may be issued following the initial six months referred to in paragraph 6 of this Standard. A declaration of maritime labour compliance need not be issued for the period of validity of the interim certificate.  9. The maritime labour certificate, the interim maritime labour certificate and the declaration of maritime labour compliance shall be drawn up in the form corresponding to the models given in Appendix A5‐II.  10. The declaration of maritime labour compliance shall be attached to the maritime labour certificate. It shall have two parts:  (a) Part I shall be drawn up by the competent authority which shall: (i) identify the list of matters to be inspected in accordance with paragraph 1 of this Standard; (ii) identify the national requirements embodying the relevant provisions of this Convention by providing a reference to the relevant national legal provisions as well as, to the extent necessary, concise information on the main content of the national requirements; (iii) refer to ship‐type specific requirements under national legislation; (iv) record any substantially equivalent provisions adopted pursuant to paragraph 3 of Article VI; and (v) clearly indicate any exemption granted by the competent authority as provided in Title 3; and  

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(b) Part II shall be drawn up by the shipowner and shall identify the measures adopted to ensure ongoing compliance with the national requirements between inspections and the measures proposed to ensure that there is continuous improvement.  The competent authority or recognized organization duly authorized for this purpose shall certify Part II and shall issue the declaration of maritime labour compliance.  11. The results of all subsequent inspections or other verifications carried out with respect to the ship concerned and any significant deficiencies found during any such verification shall be recorded, together with the date when the deficiencies were found to have been remedied. This record, accompanied by an English‐language translation where it is not in English, shall, in accordance with national laws or regulations, be inscribed upon or appended to the declaration of maritime labour compliance or made available in some other way to seafarers, flag State inspectors, authorized officers in port States and shipowners' and seafarers' representatives.  12. A current valid maritime labour certificate and declaration of maritime labour compliance, accompanied by an English‐language translation where it is not in English, shall be carried on the ship and a copy shall be posted in a conspicuous place on board where it is available to the seafarers. A copy shall be made available in accordance with national laws and regulations, upon request, to seafarers, flag State inspectors, authorized officers in port States, and shipowners' and seafarers' representatives.  13. The requirement for an English‐language translation in paragraphs 11 and 12 of this Standard does not apply in the case of a ship not engaged in an international voyage.  14. A certificate issued under paragraph 1 or 5 of this Standard shall cease to be valid in any of the following cases:  (a) if the relevant inspections are not completed within the periods specified under paragraph 2 of this Standard;  (b) if the certificate is not endorsed in accordance with paragraph 2 of this Standard;  (c) when a ship changes flag;  (d) when a shipowner ceases to assume the responsibility for the operation of a ship; and  (e) when substantial changes have been made to the structure or equipment covered in Title 3.  15. In the case referred to in paragraph 14(c), (d) or (e) of this Standard, a new certificate shall only be issued when the competent authority or recognized organization issuing the new certificate is fully satisfied that the ship is in compliance with the requirements of this Standard.  16. A maritime labour certificate shall be withdrawn by the competent authority or the recognized organization duly authorized for this purpose by the flag State, if there is evidence that the ship concerned does not comply with the requirements of this Convention and any required corrective action has not been taken.  17. When considering whether a maritime labour certificate should be withdrawn in accordance with paragraph 16 of this Standard, the competent authority or the recognized organization shall take into account the seriousness or the frequency of the deficiencies.   Guideline B5.1.3 ‐ Maritime labour certificate and declaration of maritime labour compliance  1. The statement of national requirements in Part I of the declaration of maritime labour compliance should include or be accompanied by references to the legislative provisions relating to seafarers' working and living conditions in each of the matters listed in Appendix A5‐I. Where national legislation precisely follows the requirements stated in this Convention, a reference may be all that is necessary. Where a provision of the Convention is implemented through substantial equivalence as provided under Article VI, paragraph 3, this provision should be identified and a concise explanation should be provided. Where an exemption is granted by the competent authority as provided in Title 3, the particular provision or provisions concerned should be clearly indicated.  2. The measures referred to in Part II of the declaration of maritime labour compliance, drawn up by the shipowner, should, in particular, indicate the occasions on which ongoing compliance with particular national requirements will be verified, the persons responsible for verification, the records to be taken, as well as the procedures to be followed where non‐compliance is noted. Part II may take a number of forms. It could make reference to other more comprehensive documentation covering policies and procedures relating to other aspects of the maritime sector, for example documents required by the International Safety Management (ISM) Code or the information required by Regulation 5 of the SOLAS Convention, Chapter XI‐1 relating to the ship's Continuous Synopsis Record.  

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3. The measures to ensure ongoing compliance should include general international requirements for the shipowner and master to keep themselves informed of the latest advances in technology and scientific findings concerning workplace design, taking into account the inherent dangers of seafarers' work, and to inform the seafarers' representatives accordingly, thereby guaranteeing a better level of protection of the seafarers' working and living conditions on board.  4. The declaration of maritime labour compliance should, above all, be drafted in clear terms designed to help all persons concerned, such as flag State inspectors, authorized officers in port States and seafarers, to check that the requirements are being properly implemented.  5. An example of the kind of information that might be contained in a declaration of maritime labour compliance is given in Appendix B5‐I.  6. When a ship changes flag as referred to in Standard A5.1.3, paragraph 14(c), and where both States concerned have ratified this Convention, the Member whose flag the ship was formerly entitled to fly should, as soon as possible, transmit to the competent authority of the other Member copies of the maritime labour certificate and the declaration of maritime labour compliance carried by the ship before the change of flag and, if applicable, copies of the relevant inspection reports if the competent authority so requests within three months after the change of flag has taken place.   Regulation 5.1.4 ‐ Inspection and enforcement  1. Each Member shall verify, through an effective and coordinated system of regular inspections, monitoring and other control measures, that ships that fly its flag comply with the requirements of this Convention as implemented in national laws and regulations.  2. Detailed requirements regarding the inspection and enforcement system referred to in paragraph 1 of this Regulation are set out in Part A of the Code.   Standard A5.1.4 ‐ Inspection and enforcement  1. Each Member shall maintain a system of inspection of the conditions for seafarers on ships that fly its flag which shall include verification that the measures relating to working and living conditions as set out in the declaration of maritime labour compliance, where applicable, are being followed, and that the requirements of this Convention are met.  2. The competent authority shall appoint a sufficient number of qualified inspectors to fulfil its responsibilities under paragraph 1 of this Standard. Where recognized organizations have been authorized to carry out inspections, the Member shall require that personnel carrying out the inspection are qualified to undertake these duties and shall provide them with the necessary legal authority to perform their duties.  3. Adequate provision shall be made to ensure that the inspectors have the training, competence, terms of reference, powers, status and independence necessary or desirable so as to enable them to carry out the verification and ensure the compliance referred to in paragraph 1 of this Standard.  4. Inspections shall take place at the intervals required by Standard A5.1.3, where applicable. The interval shall in no case exceed three years.  5. If a Member receives a complaint which it does not consider manifestly unfounded or obtains evidence that a ship that flies its flag does not conform to the requirements of this Convention or that there are serious deficiencies in the implementation of the measures set out in the declaration of maritime labour compliance, the Member shall take the steps necessary to investigate the matter and ensure that action is taken to remedy any deficiencies found.  6. Adequate rules shall be provided and effectively enforced by each Member in order to guarantee that inspectors have the status and conditions of service to ensure that they are independent of changes of government and of improper external influences.  7. Inspectors, issued with clear guidelines as to the tasks to be performed and provided with proper credentials, shall be empowered:  (a) to board a ship that flies the Member's flag;  (b) to carry out any examination, test or inquiry which they may consider necessary in order to satisfy themselves that the standards are being strictly observed; and  (c) to require that any deficiency is remedied and, where they have grounds to believe that deficiencies constitute a serious breach of the requirements of this Convention (including seafarers' rights), or represent a significant danger to seafarers' safety, health or security, to prohibit a ship from leaving port until necessary actions are taken.  

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8. Any action taken pursuant to paragraph 7(c) of this Standard shall be subject to any right of appeal to a judicial or administrative authority.  9. Inspectors shall have the discretion to give advice instead of instituting or recommending proceedings when there is no clear breach of the requirements of this Convention that endangers the safety, health or security of the seafarers concerned and where there is no prior history of similar breaches.  10. Inspectors shall treat as confidential the source of any grievance or complaint alleging a danger or deficiency in relation to seafarers' working and living conditions or a violation of laws and regulations and give no intimation to the shipowner, the shipowner's representative or the operator of the ship that an inspection was made as a consequence of such a grievance or complaint.  11. Inspectors shall not be entrusted with duties which might, because of their number or nature, interfere with effective inspection or prejudice in any way their authority or impartiality in their relations with shipowners, seafarers or other interested parties. In particular, inspectors shall:  (a) be prohibited from having any direct or indirect interest in any operation which they are called upon to inspect; and  (b) subject to appropriate sanctions or disciplinary measures, not reveal, even after leaving service, any commercial secrets or confidential working processes or information of a personal nature which may come to their knowledge in the course of their duties.  12. Inspectors shall submit a report of each inspection to the competent authority. One copy of the report in English or in the working language of the ship shall be furnished to the master of the ship and another copy shall be posted on the ship's notice board for the information of the seafarers and, upon request, sent to their representatives.  13. The competent authority of each Member shall maintain records of inspections of the conditions for seafarers on ships that fly its flag. It shall publish an annual report on inspection activities within a reasonable time, not exceeding six months, after the end of the year.  14. In the case of an investigation pursuant to a major incident, the report shall be submitted to the competent authority as soon as practicable, but not later than one month following the conclusion of the investigation.  15. When an inspection is conducted or when measures are taken under this Standard, all reasonable efforts shall be made to avoid a ship being unreasonably detained or delayed.  16. Compensation shall be payable in accordance with national laws and regulations for any loss or damage suffered as a result of the wrongful exercise of the inspectors' powers. The burden of proof in each case shall be on the complainant.  17. Adequate penalties and other corrective measures for breaches of the requirements of this Convention (including seafarers' rights) and for obstructing inspectors in the performance of their duties shall be provided for and effectively enforced by each Member.   Guideline B5.1.4 ‐ Inspection and enforcement  1. The competent authority and any other service or authority wholly or partly concerned with the inspection of seafarers' working and living conditions should have the resources necessary to fulfil their functions. In particular:  (a) each Member should take the necessary measures so that duly qualified technical experts and specialists may be called upon, as needed, to assist in the work of inspectors; and  (b) inspectors should be provided with conveniently situated premises, equipment and means of transport adequate for the efficient performance of their duties.  2. The competent authority should develop a compliance and enforcement policy to ensure consistency and otherwise guide inspection and enforcement activities related to this Convention. Copies of this policy should be provided to all inspectors and relevant law‐enforcement officials and should be made available to the public and shipowners and seafarers.  3. The competent authority should establish simple procedures to enable it to receive information in confidence concerning possible breaches of the requirements of this Convention (including seafarers' rights) presented by seafarers directly or by representatives of the seafarers, and permit inspectors to investigate such matters promptly, including:  (a) enabling masters, seafarers or representatives of the seafarers to request an inspection when they consider it necessary; and  

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(b) supplying technical information and advice to shipowners and seafarers and organizations concerned as to the most effective means of complying with the requirements of this Convention and of bringing about a continual improvement in seafarers' on‐board conditions.  4. Inspectors should be fully trained and sufficient in numbers to secure the efficient discharge of their duties with due regard to:  (a) the importance of the duties which the inspectors have to perform, in particular the number, nature and size of ships subject to inspection and the number and complexity of the legal provisions to be enforced;  (b) the resources placed at the disposal of the inspectors; and  (c) the practical conditions under which inspections must be carried out in order to be effective.  5. Subject to any conditions for recruitment to the public service which may be prescribed by national laws and regulations, inspectors should have qualifications and adequate training to perform their duties and where possible should have a maritime education or experience as a seafarer. They should have adequate knowledge of seafarers' working and living conditions and of the English language.  6. Measures should be taken to provide inspectors with appropriate further training during their employment.  7. All inspectors should have a clear understanding of the circumstances in which an inspection should be carried out, the scope of the inspection to be carried out in the various circumstances referred to and the general method of inspection.  8. Inspectors provided with proper credentials under the national law should at a minimum be empowered:  (a) to board ships freely and without previous notice; however, when commencing the ship inspection, inspectors should provide notification of their presence to the master or person in charge and, where appropriate, to the seafarers or their representatives;  (b) to question the master, seafarer or any other person, including the shipowner or the shipowner's representative, on any matter concerning the application of the requirements under laws and regulations, in the presence of any witness that the person may have requested;  (c) to require the production of any books, log books, registers, certificates or other documents or information directly related to matters subject to inspection, in order to verify compliance with the national laws and regulations implementing this Convention;  (d) to enforce the posting of notices required under the national laws and regulations implementing this Convention;  (e) to take or remove, for the purpose of analysis, samples of products, cargo, drinking water, provisions, materials and substances used or handled;  (f) following an inspection, to bring immediately to the attention of the shipowner, the operator of the ship or the master, deficiencies which may affect the health and safety of those on board ship;  (g) to alert the competent authority and, if applicable, the recognized organization to any deficiency or abuse not specifically covered by existing laws or regulations and submit proposals to them for the improvement of the laws or regulations; and  (h) to notify the competent authority of any occupational injuries or diseases affecting seafarers in such cases and in such manner as may be prescribed by laws and regulations.  9. When a sample referred to in paragraph 8(e) of this Guideline is being taken or removed, the shipowner or the shipowner's representative, and where appropriate a seafarer, should be notified or should be present at the time the sample is taken or removed. The quantity of such a sample should be properly recorded by the inspector.  10. The annual report published by the competent authority of each Member, in respect of ships that fly its flag, should contain:  (a) a list of laws and regulations in force relevant to seafarers' working and living conditions and any amendments which have come into effect during the year;  (b) details of the organization of the system of inspection;  (c) statistics of ships or other premises subject to inspection and of ships and other premises actually inspected;  (d) statistics on all seafarers subject to its national laws and regulations;  (e) statistics and information on violations of legislation, penalties imposed and cases of detention of ships; and  (f) statistics on reported occupational injuries and diseases affecting seafarers.   

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Regulation 5.1.5 ‐ On‐board complaint procedures  1. Each Member shall require that ships that fly its flag have on‐board procedures for the fair, effective and expeditious handling of seafarer complaints alleging breaches of the requirements of this Convention (including seafarers' rights).  2. Each Member shall prohibit and penalize any kind of victimization of a seafarer for filing a complaint.  3. The provisions in this Regulation and related sections of the Code are without prejudice to a seafarer's right to seek redress through whatever legal means the seafarer considers appropriate.   Standard A5.1.5 ‐ On‐board complaint procedures  1. Without prejudice to any wider scope that may be given in national laws or regulations or collective agreements, the on‐board procedures may be used by seafarers to lodge complaints relating to any matter that is alleged to constitute a breach of the requirements of this Convention (including seafarers' rights).  2. Each Member shall ensure that, in its laws or regulations, appropriate on board complaint procedures are in place to meet the requirements of Regulation 5.1.5. Such procedures shall seek to resolve complaints at the lowest level possible. However, in all cases, seafarers shall have a right to complain directly to the master and, where they consider it necessary, to appropriate external authorities.  3. The on‐board complaint procedures shall include the right of the seafarer to be accompanied or represented during the complaints procedure, as well as safeguards against the possibility of victimization of seafarers for filing complaints. The term victimization covers any adverse action taken by any person with respect to a seafarer for lodging a complaint which is not manifestly vexatious or maliciously made.  4. In addition to a copy of their seafarers' employment agreement, all seafarers shall be provided with a copy of the on‐board complaint procedures applicable on the ship. This shall include contact information for the competent authority in the flag State and, where different, in the seafarers' country of residence, and the name of a person or persons on board the ship who can, on a confidential basis, provide seafarers with impartial advice on their complaint and otherwise assist them in following the complaint procedures available to them on board the ship.   Guideline B5.1.5 ‐ On‐board complaint procedures  1. Subject to any relevant provisions of an applicable collective agreement, the competent authority should, in close consultation with shipowners' and seafarers' organizations, develop a model for fair, expeditious and well‐documented on‐board complaint‐handling procedures for all ships that fly the Member's flag. In developing these procedures the following matters should be considered:  (a) many complaints may relate specifically to those individuals to whom the complaint is to be made or even to the master of the ship. In all cases seafarers should also be able to complain directly to the master and to make a complaint externally; and  (b) in order to help avoid problems of victimization of seafarers making complaints about matters under this Convention, the procedures should encourage the nomination of a person on board who can advise seafarers on the procedures available to them and, if requested by the complainant seafarer, also attend any meetings or hearings into the subject matter of the complaint. 2. At a minimum the procedures discussed during the consultative process referred to in paragraph 1 of this Guideline should include the following:  (a) complaints should be addressed to the head of the department of the seafarer lodging the complaint or to the seafarer's superior officer;  (b) the head of department or superior officer should then attempt to resolve the matter within prescribed time limits appropriate to the seriousness of the issues involved;  (c) if the head of department or superior officer cannot resolve the complaint to the satisfaction of the seafarer, the latter may refer it to the master, who should handle the matter personally;  (d) seafarers should at all times have the right to be accompanied and to be represented by another seafarer of their choice on board the ship concerned;  (e) all complaints and the decisions on them should be recorded and a copy provided to the seafarer concerned;  (f) if a complaint cannot be resolved on board, the matter should be referred ashore to the shipowner, who should be given an appropriate time limit for resolving the matter, where 

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appropriate, in consultation with the seafarers concerned or any person they may appoint as their representative; and  (g) in all cases seafarers should have a right to file their complaints directly with the master and the shipowner and competent authorities.   Regulation 5.1.6 ‐ Marine casualties  1. Each Member shall hold an official inquiry into any serious marine casualty, leading to injury or loss of life, that involves a ship that flies its flag. The final report of an inquiry shall normally be made public.  2. Members shall cooperate with each other to facilitate the investigation of serious marine casualties referred to in paragraph 1 of this Regulation.   Standard A5.1.6 ‐ Marine casualties  (No provisions)   Guideline B5.1.6 ‐ Marine casualties  (No provisions)   Regulation 5.2 ‐ Port State responsibilities  Purpose: To enable each Member to implement its responsibilities under this Convention regarding international cooperation in the implementation and enforcement of the Convention standards on foreign ships  Regulation 5.2.1 ‐ Inspections in port  1. Every foreign ship calling, in the normal course of its business or for operational reasons, in the port of a Member may be the subject of inspection in accordance with paragraph 4 of Article V for the purpose of reviewing compliance with the requirements of this Convention (including seafarers' rights) relating to the working and living conditions of seafarers on the ship.  2. Each Member shall accept the maritime labour certificate and the declaration of maritime labour compliance required under Regulation 5.1.3 as prima facie evidence of compliance with the requirements of this Convention (including seafarers' rights). Accordingly, the inspection in its ports shall, except in the circumstances specified in the Code, be limited to a review of the certificate and declaration.  3. Inspections in a port shall be carried out by authorized officers in accordance with the provisions of the Code and other applicable international arrangements governing port State control inspections in the Member. Any such inspection shall be limited to verifying that the matter inspected is in conformity with the relevant requirements set out in the Articles and Regulations of this Convention and in Part A only of the Code.  4. Inspections that may be carried out in accordance with this Regulation shall be based on an effective port State inspection and monitoring system to help ensure that the working and living conditions for seafarers on ships entering a port of the Member concerned meet the requirements of this Convention (including seafarers' rights).  5. Information about the system referred to in paragraph 4 of this Regulation, including the method used for assessing its effectiveness, shall be included in the Member's reports pursuant to article 22 of the Constitution.   Standard A5.2.1 ‐ Inspections in port  1. Where an authorized officer, having come on board to carry out an inspection and requested, where applicable, the maritime labour certificate and the declaration of maritime labour compliance, finds that:  (a) the required documents are not produced or maintained or are falsely maintained or that the documents produced do not contain the information required by this Convention or are otherwise invalid; or  (b) there are clear grounds for believing that the working and living conditions on the ship do not conform to the requirements of this Convention; or  (c) there are reasonable grounds to believe that the ship has changed flag for the purpose of avoiding compliance with this Convention; or  

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(d) there is a complaint alleging that specific working and living conditions on the ship do not conform to the requirements of this Convention;  a more detailed inspection may be carried out to ascertain the working and living conditions on board the ship. Such inspection shall in any case be carried out where the working and living conditions believed or alleged to be defective could constitute a clear hazard to the safety, health or security of seafarers or where the authorized officer has grounds to believe that any deficiencies constitute a serious breach of the requirements of this Convention (including seafarers' rights).  2. Where a more detailed inspection is carried out on a foreign ship in the port of a Member by authorized officers in the circumstances set out in subparagraph (a), (b) or (c) of paragraph 1 of this Standard, it shall in principle cover the matters listed in Appendix A5‐III.  3. In the case of a complaint under paragraph 1(d) of this Standard, the inspection shall generally be limited to matters within the scope of the complaint, although a complaint, or its investigation, may provide clear grounds for a detailed inspection in accordance with paragraph 1(b) of this Standard. For the purpose of paragraph 1(d) of this Standard, complaint means information submitted by a seafarer, a professional body, an association, a trade union or, generally, any person with an interest in the safety of the ship, including an interest in safety or health hazards to seafarers on board. 4. Where, following a more detailed inspection, the working and living conditions on the ship are found not to conform to the requirements of this Convention, the authorized officer shall forthwith bring the deficiencies to the attention of the master of the ship, with required deadlines for their rectification. In the event that such deficiencies are considered by the authorized officer to be significant, or if they relate to a complaint made in accordance with paragraph 3 of this Standard, the authorized officer shall bring the deficiencies to the attention of the appropriate seafarers' and shipowners' organizations in the Member in which the inspection is carried out, and may:  (a) notify a representative of the flag State;  (b) provide the competent authorities of the next port of call with the relevant information.  5. The Member in which the inspection is carried out shall have the right to transmit a copy of the officer's report, which must be accompanied by any reply received from the competent authorities of the flag State within the prescribed deadline, to the Director‐General of the International Labour Office with a view to such action as may be considered appropriate and expedient in order to ensure that a record is kept of such information and that it is brought to the attention of parties which might be interested in availing themselves of relevant recourse procedures.  6. Where, following a more detailed inspection by an authorized officer, the ship is found not to conform to the requirements of this Convention and:  (a) the conditions on board are clearly hazardous to the safety, health or security of seafarers; or  (b) the non‐conformity constitutes a serious or repeated breach of the requirements of this Convention (including seafarers' rights);  the authorized officer shall take steps to ensure that the ship shall not proceed to sea until any non‐conformities that fall within the scope of subparagraph (a) or (b) of this paragraph have been rectified, or until the authorized officer has accepted a plan of action to rectify such non‐conformities and is satisfied that the plan will be implemented in an expeditious manner. If the ship is prevented from sailing, the authorized officer shall forthwith notify the flag State accordingly and invite a representative of the flag State to be present, if possible, requesting the flag State to reply within a prescribed deadline. The authorized officer shall also inform forthwith the appropriate shipowners' and seafarers' organizations in the port State in which the inspection was carried out.  7. Each Member shall ensure that its authorized officers are given guidance, of the kind indicated in Part B of the Code, as to the kinds of circumstances justifying detention of a ship under paragraph 6 of this Standard.  8. When implementing their responsibilities under this Standard, each Member shall make all possible efforts to avoid a ship being unduly detained or delayed. If a ship is found to be unduly detained or delayed, compensation shall be paid for any loss or damage suffered. The burden of proof in each case shall be on the complainant.   Guideline B5.2.1 ‐ Inspections in port  1. The competent authority should develop an inspection policy for authorized officers carrying out inspections under Regulation 5.2.1. The objective of the policy should be to ensure consistency and to otherwise guide inspection and enforcement activities related to the requirements of this Convention 

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(including seafarers' rights). Copies of this policy should be provided to all authorized officers and should be available to the public and shipowners and seafarers.  2. When developing a policy relating to the circumstances warranting a detention of the ship under Standard A5.2.1, paragraph 6, of the competent authority should consider that, with respect to the breaches referred to in Standard A5.2.1, paragraph 6(b), the seriousness could be due to the nature of the deficiency concerned. This would be particularly relevant in the case of the violation of fundamental rights and principles or seafarers' employment and social rights under Articles III and IV. For example, the employment of a person who is under age should be considered as a serious breach even if there is only one such person on board. In other cases, the number of different defects found during a particular inspection should be taken into account: for example, several instances of defects relating to accommodation or food and catering which do not threaten safety or health might be needed before they should be considered as constituting a serious breach.  3. Members should cooperate with each other to the maximum extent possible in the adoption of internationally agreed guidelines on inspection policies, especially those relating to the circumstances warranting the detention of a ship.   Regulation 5.2.2 ‐ Onshore seafarer complaint‐handling procedures  1. Each Member shall ensure that seafarers on ships calling at a port in the Member's territory who allege a breach of the requirements of this Convention (including seafarers' rights) have the right to report such a complaint in order to facilitate a prompt and practical means of redress.   Standard A5.2.2 ‐ Onshore seafarer complaint‐handling procedures  1. A complaint by a seafarer alleging a breach of the requirements of this Convention (including seafarers' rights) may be reported to an authorized officer in the port at which the seafarer's ship has called. In such cases, the authorized officer shall undertake an initial investigation.  2. Where appropriate, given the nature of the complaint, the initial investigation shall include consideration of whether the on‐board complaint procedures provided under Regulation 5.1.5 have been explored. The authorized officer may also conduct a more detailed inspection in accordance with Standard A5.2.1.  3. The authorized officer shall, where appropriate, seek to promote a resolution of the complaint at the ship‐board level.  4. In the event that the investigation or the inspection provided under this Standard reveals a non‐conformity that falls within the scope of paragraph 6 of Standard A5.2.1, the provisions of that paragraph shall be applied.  5. Where the provisions of paragraph 4 of this Standard do not apply, and the complaint has not been resolved at the ship‐board level, the authorized officer shall forthwith notify the flag State, seeking, within a prescribed deadline, advice and a corrective plan of action.  6. Where the complaint has not been resolved following action taken in accordance with paragraph 5 of this Standard, the port State shall transmit a copy of the authorized officer's report to the Director‐General. The report must be accompanied by any reply received within the prescribed deadline from the competent authority of the flag State. The appropriate shipowners' and seafarers' organizations in the port State shall be similarly informed. In addition, statistics and information regarding complaints that have been resolved shall be regularly submitted by the port State to the Director‐General. Both such submissions are provided in order that, on the basis of such action as may be considered appropriate and expedient, a record is kept of such information and is brought to the attention of parties, including shipowners' and seafarers' organizations, which might be interested in availing themselves of relevant recourse procedures.  7. Appropriate steps shall be taken to safeguard the confidentiality of complaints made by seafarers.   Guideline B5.2.2 ‐ Onshore seafarer complaint‐handling procedures  1. Where a complaint referred to in Standard A5.2.2 is dealt with by an authorized officer, the officer should first check whether the complaint is of a general nature which concerns all seafarers on the ship, or a category of them, or whether it relates only to the individual case of the seafarer concerned.  2. If the complaint is of a general nature, consideration should be given to undertaking a more detailed inspection in accordance with Standard A5.2.1.  3. If the complaint relates to an individual case, an examination of the results of any on‐board complaint procedures for the resolution of the complaint concerned should be undertaken. If such 

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procedures have not been explored, the authorized officer should suggest that the complainant take advantage of any such procedures available. There should be good reasons for considering a complaint before any on‐board complaint procedures have been explored. These would include the inadequacy of, or undue delay in, the internal procedures or the complainant's fear of reprisal for lodging a complaint.  4. In any investigation of a complaint, the authorized officer should give the master, the shipowner and any other person involved in the complaint a proper opportunity to make known their views.  5. In the event that the flag State demonstrates, in response to the notification by the port State in accordance with paragraph 5 of Standard A5.2.2, that it will handle the matter, and that it has in place effective procedures for this purpose and has submitted an acceptable plan of action, the authorized officer may refrain from any further involvement with the complaint.   Regulation 5.3 ‐ Labour‐supplying responsibilities  Purpose: To ensure that each Member implements its responsibilities under this Convention as pertaining to seafarer recruitment and placement and the social protection of its seafarers  1. Without prejudice to the principle of each Member's responsibility for the working and living conditions of seafarers on ships that fly its flag, the Member also has a responsibility to ensure the implementation of the requirements of this Convention regarding the recruitment and placement of seafarers as well as the social security protection of seafarers that are its nationals or are resident or are otherwise domiciled in its territory, to the extent that such responsibility is provided for in this Convention.  2. Detailed requirements for the implementation of paragraph 1 of this Regulation are found in the Code.  3. Each Member shall establish an effective inspection and monitoring system for enforcing its labour‐supplying responsibilities under this Convention.  4. Information about the system referred to in paragraph 3 of this Regulation, including the method used for assessing its effectiveness, shall be included in the Member's reports pursuant to article 22 of the Constitution.   Standard A5.3 ‐ Labour‐supplying responsibilities  1. Each Member shall enforce the requirements of this Convention applicable to the operation and practice of seafarer recruitment and placement services established on its territory through a system of inspection and monitoring and legal proceedings for breaches of licensing and other operational requirements provided for in Standard A1.4.   Guideline B5.3 ‐ Labour‐supplying responsibilities  1. Private seafarer recruitment and placement services established in the Member's territory and securing the services of a seafarer for a shipowner, wherever located, should be required to assume obligations to ensure the proper fulfilment by shipowners of the terms of their employment agreements concluded with seafarers.   Appendix A5‐I The working and living conditions of seafarers that must be inspected and approved by the flag State before certifying a ship in accordance with Standard A5.1.3, paragraph 1:  Minimum age  Medical certification  Qualifications of seafarers  Seafarers' employment agreements  Use of any licensed or certified or regulated private recruitment and placement service  Hours of work or rest  Manning levels for the ship  Accommodation  On‐board recreational facilities  Food and catering  On‐board medical care  On‐board complaint procedures  Payment of wages  

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 Appendix A5‐II1  Appendix A5‐III   General areas that are subject to a detailed inspection by an authorized officer in a port of a Member carrying out a port State inspection pursuant to Standard A5.2.1:  Minimum age  Qualifications of seafarers  Seafarers' employment agreements  Use of any licensed or certified or regulated private recruitment and placement service  Hours of work or rest  Manning levels for the ship  Accommodation  On‐board recreational facilities  Food and catering  Health and safety and accident prevention  On‐board medical care  On‐board complaint procedures  Payment of wages   Appendix B5‐I Example of a National Declaration2 

                                                                 1 Example of Maritime Labour Certificate, available at: http://www.ilo.org/ilolex/english/convdisp1.htm 2 Example of a National Declaration, available at: http://www.ilo.org/ilolex/english/convdisp1.htm 

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National Interest Analysis [2010] ATNIA 58

with attachment on consultation

International Labour Organization Convention No. 186: Maritime Labour Convention, done at Geneva on 7 February 2006

[2010] ATNIF 44

Regulation Impact Statement

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NATIONAL INTEREST ANALYSIS: CATEGORY 1 TREATY

SUMMARY PAGE

International Labour Organization Convention No. 186: Maritime Labour Convention, done at Geneva on 7 February 2006

[2010] ATNIF 44

Nature and Timing of Proposed Treaty Action 1. The proposed treaty action is ratification of International Labour Organization (ILO) Maritime Labour Convention, 2006 (No. 186) (the Convention). 2. The Convention was adopted by the 94th (Maritime) Session of the International Labour Conference on 7 February 2006. Article VIII of the Convention provides that it will enter into force 12 months after the date on which instruments of ratification have been registered by at least 30 ILO Members with a total share in the world gross tonnage of ships of 33 per cent. The tonnage requirement has been met (see paragraph 16) and, as at 14 September 2010, 10 ILO member states have ratified the Convention (see Annexure 1). In 2009, the European Union (EU) Council of Ministers directed EU members to ratify the Convention by the end of 2010. The ILO believes that the further 20 ratifications needed for entry into force are likely to be received by the end of 2010, resulting in the Convention entering into force by December 2011. 3. It is proposed that the Convention be ratified as soon as possible by Australia. It is not possible to make ‘reservations’ with respect to ILO Conventions. As the ILO is a body in which governments and organisations of employers and workers are voting members, it is considered that making 'reservations' or 'declarations' would undermine the tripartite efforts that have gone into the development of those Conventions and therefore the ILO precludes them from being made. 4. The Convention provides for a period of 12 months to elapse between the date of registration of a State’s instrument of ratification and the entry into force of the Convention for that State. The International Labour Office has advised that in an ideal situation, States should be in a position to issue valid documentation to its ships immediately following ratification. Therefore, Australia may not have to wait 12 months after ratification to issue the required documentation necessary to certify Australian-flagged ships as compliant with the Convention so that they are not at risk of detention in overseas ports. It would also enable the Australian Maritime Safety Authority (AMSA) to inspect foreign-flagged ships against the provisions of the Convention. This is currently being explored in consultation with the Australian Government Solicitor and the Office of International Law. Overview and National Interest Summary 5. The Convention sets minimum requirements for seafarers to work on ships. Ratification will ensure decent working and living conditions for seafarers on foreign-flagged ships entering Australian ports and on Australian ships. 6. Failure to ratify the Convention may have significant implications for Australian ships trading internationally. Article VIII of the Convention provides that it is binding only upon ILO Members that ratify the Convention. However, even if Australia does not ratify the Convention, once it enters into force, its terms will be applied to Australian ships entering the ports of States that have ratified it. Should Australia not ratify the Convention, Australian-flagged vessels will not be carrying the necessary documentation to show prima facie compliance with the Convention and may be subject to detention in foreign ports. Additionally, failure to ratify the Convention would also diminish Australia’s status as a leading port State and would make it difficult for Australia to assist developing nations in our region to become compliant with the Convention.

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Reasons for Australia to take the proposed treaty action 7. Australian ratification will ensure decent working and living conditions for seafarers on foreign-flagged ships entering Australian ports and on Australian ships. Australian-flagged ships will consequently be protected from unfair competition from foreign ships on which crews have substandard living and working conditions. 8. Article V of the Convention provides that ships must not be placed at a disadvantage because their flag State has ratified this Convention and other flag States have not. In this way, the Convention seeks to create a level playing field by removing incentives to operate ships with poorly qualified crew and who are not afforded decent living and working conditions. 9. The practical implication of Article V is that once the Convention comes into force generally, Australian-flagged ships entering a port of a foreign State which has ratified the Convention - regardless of whether or not Australia ratifies the Convention - will be treated in the same way and will be required to conform to the same standards, as the ships of States that have ratified. 10. The effect of Article V could increase costs for Australian ship owners trading internationally if Australia does not ratify the Convention. Regulation 5.1.3 of the Convention requires ships of 500 gross tons or over to hold a Maritime Labour Certificate and a Declaration of Maritime Labour Compliance. Unless Australia ratifies the Convention and puts in place compliance measures, Australia will lack the authority to inspect and certify these ships. The likely consequence would be additional costs to Australian shipowners, who would be subject to enforcement measures in other countries due to incapacity to provide certification of Australian compliance. Also, the additional costs could encourage Australian shipowners to flag their ships off-shore, in turn affecting seafarers and other workers in the industry, as more Australian-based jobs are lost and those who choose to stay in the industry compete for fewer jobs. Another possible consequence is that Australian shipowners may be forced to pass increased costs onto consumers, diminishing the commercial competiveness of the Australian shipping industry as it will not be able to compete with ships flagged under a State that has ratified the Convention. 11. Additionally, failing to ratify the Convention would diminish Australia’s status as a leading port State and would make it difficult for Australia to assist developing nations in our region to become compliant with the Convention. 12. A key strategic objective of Australia’s engagement with the ILO is to provide policy leadership within the Asia-Pacific region in promoting labour standards. Ratification by Australia would encourage other Asia-Pacific countries to consider the merits of applying and enforcing international maritime labour standards. 13. Australia has been a member of the ILO since 1919 and has ratified 59 out of the ILO’s 188 Conventions. Forty-seven of these Conventions remain in force for Australia. Obligations 14. The Convention consolidates 37 separate ILO maritime labour conventions adopted since 1920 and replaces them with a single, coherent instrument. Of the 37, Australia has ratified 13 (see Annexure 2). 15. The Convention is the most complex and lengthy ILO Convention in history. It is designed to reflect the demands on shipping in a globalised world and has three purposes: (a) to lay down, in its Articles and Regulations, a firm set of rights and principles; (b) to allow, through the Code, a considerable degree of flexibility in the way Members implement those rights and principles; and (c) to ensure that the rights and principles are properly complied with and enforced by Member States.

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16. The Convention comprises three different but related parts: the Articles, the Regulations and the Code. The Articles and Regulations set out core rights and principles, while the Code provides the details for their implementation. The Regulations and the Code are organised into general areas under five Titles:

• Title 1: Minimum requirements for seafarers to work on a ship • Title 2: Conditions of employment • Title 3: Accommodation, recreational facilities, food and catering • Title 4: Health protection, medical care, welfare and social security protection • Title 5: Compliance and enforcement

17. The obligations prescribed by each of these Titles are described in greater detail at Annexure 3. 18. Article II of the Convention limits the scope and application of the Convention to particular ships. The Convention applies to all ships other than:

• ships which navigate exclusively in inland waters or waters within, or closely adjacent to, sheltered waters (Article II(1)(i));

• ships which navigate exclusively in areas where port regulations apply (Article II(1)(i)); • ships engaged in fishing or in similar pursuits (Article II(4)); • ships of traditional build such as dhows and junks (Article II(4)); • warships or naval auxiliaries (Article II(4)); and • ships not ordinarily engaged in commercial activities (Article II(4).

19. Article II(6) allows the competent authority of a Member State to exclude ships of less than 200 gross tonnage not engaged in international voyages from the obligations of the Convention. The Australian Government intends to exclude relevant ships in this way. This would mean that in Australia, the Convention would cover ships of 200 gross tons or over regardless of whether they are making international voyages or not. Similarly, ships less than 200 gross tons engaged in international voyages will be covered by the Convention. 20. On this basis, it is estimated that the Convention would apply to around 100 ships in Australia.1 While these ships represent only a small proportion of total Australian shipping, they are critical to Australia's international and domestic trade and commerce. 21. Under Article 22 of the ILO Constitution, member States that have ratified an ILO Convention or Protocol must submit a report on the implementation of the Convention to the ILO Committee of Experts on the Application of Conventions and Recommendations on a two- or five-yearly basis. Only the eight key Conventions as defined under the ILO 1998 Declaration on the Fundamental Principles and Rights at Work must be reported against on a two-yearly basis. The Convention is not one of these instruments. Australia will be required to report against the Convention on a five yearly basis should the Convention be ratified. The first report would be due on 1 September in the first 12 months immediately following the Convention coming into force for Australia. Implementation 22. Australian law and practice largely complies with the Convention, which means that ratification will have a low regulatory impact on the Australian shipping industry and on Australia's current port State control processes. The AMSA will have responsibility for exercising Australia's flag and port State responsibilities under the Convention and is the competent authority to certify Australian ships and inspect ships against the Convention.

1 Source: National Maritime Safety Committee, National Data Set, October 2009

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23. The implementation of the Convention is shared between the Commonwealth, State and Territory governments. It is also regulated by a range of legislation in all jurisdictions in areas such as maritime, occupational health and safety, workplace relations and compulsory education laws. 24. All jurisdictions have completed, or are close to completing, a comprehensive assessment of relevant legislation and practice. To date, only minor technical amendments will be required in order to comply with the Convention. In some jurisdictions (for example, Tasmania), no legislative amendments will be required. 25. At the Commonwealth level, minor technical amendments to the Navigation Act 1912 (Navigation Act) and Marine Orders (delegated legislation made under the Navigation Act) will be required. This will include an extended port State control system for the inspection and certification of maritime labour conditions on board ships with a gross tonnage of 500 tons and over on international voyages. These amendments are being progressed and are intended to be in place in the first half of 2011.

 26. Marine surveyors from AMSA routinely inspect foreign ships at Australian ports to ensure that those ships comply with relevant safety and environmental protection standards. These inspections will be extended to include inspections to ensure compliance with the Convention. For ships that are registered in a ratifying State, this will generally mean checking to see if the ship is carrying a Maritime Labour Certificate and a Declaration of Maritime Labour Compliance issued by its flag State. Ships may be required to undergo a full inspection in relation to the Convention as a whole if they are found not to have the certificates. 27. The Convention provides for a period of 12 months to elapse between the date of registration of a State’s instrument of ratification and the entry into force of the Convention for that State. The International Labour Office has advised at Australia’s request that “a Member would, and, indeed, ideally, should be in a position to issue valid documentation to its ships following ratification even if the Convention is not yet legally binding (in force) for the country concerned. The 12 month period following ratification is to allow Members, which may need the time, to complete the process of national implementation before they are held accountable under international law and under the ILO supervisory system for their obligations under the Convention”. This could mean that Australia may not have to wait 12 months after ratification to be able to fulfil its obligations under the Convention, including issuing the required documentation and enabling AMSA to inspect foreign-flagged ships against the provisions of the Convention when they enter Australian ports. 28. Under the 1998 Labour Ministers’ Council Resolution for a Framework Concerning Cooperation on ILO Matters, the Commonwealth Government will not normally ratify an ILO Convention or Protocol unless compliance has been established in all jurisdictions and the relevant governments have provided individual formal agreement to ratification. 29. As of 2 February 2010, all state and territory governments with the exception of Western Australia have provided in-principle support for ratification of the Convention. The Commonwealth Government expects to receive formal advice on compliance with the Convention from each jurisdiction by the end of 2010. Costs 30. There are no significant costs associated with the ratification of the Convention as Australia already substantially complies with the provisions of the Convention. 31. There will be some minor costs incurred in drafting minor technical amendments to existing legislation. 32. There will be some costs associated with training the AMSA marine surveyors and costs associated with foreign-flagged ship inspections required for compliance with port State obligations

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under the Convention. However, this will not result in significant costs to Australia as such costs will be fully recovered by way of the quarterly levy currently imposed on ships entering Australian ports. Where ships are found to be non-compliant with the requirements of the Convention further inspections to verify rectification will be cost recovered from the ship. 33. A system of regular inspections, monitoring and other control measures will be established in accordance with the Convention. 34. There will be an additional charge by recognised organisations (which already carry out a number of functions relating to Australia-flagged ships on behalf of AMSA) to cover inspection of ships to determine if they comply with the Convention. While the actual charge will vary from one recognised organisation to another, indications are that it could be up to $7,500 per ship in each five year inspection cycle. It is estimated that this would impact on 35 Australian registered ships. Regulation Impact Statement 35. A Regulation Impact Statement is attached (ID 1139). Future Treaty Action 36. Article XIV provides that future amendments to the Convention may be adopted by the annual General Conference of the ILO in the framework of Article 19 of the Constitution of the ILO and its rules and procedures for the adoption of Conventions. Amendments to the Code may also be adopted following a proposal by the Director-General of the ILO, the government of an ILO member State, the group of Shipowner representatives or the group of Seafarer representatives, in accordance with the procedures in Article XV. Proposals to amend existing labour standards occur very rarely. 37. Any proposal to take binding treaty action in respect of an instrument arising out of a revision of the Convention would be subject to Australia’s treaty-making procedures, including tabling and consideration by the Joint Standing Committee on Treaties. Withdrawal or denunciation 38. Article IX permits denunciation by a ratifying Member State within a one-year period following ten years after the Convention comes into force. A denunciation shall not take effect until one year after the date on which it is registered. 39. If the Convention is not denounced within that period, the Convention remains in force for that Member State for another ten years. The ten-yearly interval for denunciation of an ILO Convention is a standard period and is included in all ILO Conventions. 40. Action to denounce the Convention would be subject to Australia’s treaty-making procedures. Contact details International Labour and Research Branch Workplace Relations Policy Group Department of Education, Employment and Workplace Relations

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ATTACHMENT ON CONSULTATION

International Labour Organization Convention No. 186: Maritime Labour Convention,

done at Geneva on 7 February 2006 [2010] ATNIF 44

CONSULTATION

Consultation with States and Territories 41. There has been consultation with State and Territory governments on this Convention at both the Ministerial and officials levels. 42. States and Territories were provided with the opportunity in 2004 to comment on the draft text and to provide information for inclusion in the briefing for the Australian delegation to the ILO Preparatory Technical Maritime Conference (PTMC) to consider the draft text for a consolidated maritime labour Convention. 43. States and Territories were also provided with the opportunity in 2005 to comment on the draft text of the Convention and to provide information for inclusion in the briefing for the Australian delegation to the 94th (Maritime) Session of the International Labour Conference (which was the meeting at which the Convention was adopted). 44. The status of Australia’s compliance with the Convention and prospects for ratification have been regularly considered at annual meetings of Commonwealth, State and Territory officials responsible for ILO matters. Specifically, the Convention was discussed at meetings held in August 2005, April 2006, July 2007, September 2008 and September 2009. The Convention has further been discussed at the High Level Officials’ Group on 23 November 2009, 26 February 2010 and 30 April 2010. Furthermore, the Commonwealth has also convened discussions on the Convention with ILO Technical Officers in each State and Territory in February 2010, May 2010, June 2010 and July 2010. 45. On 22 December 2008, the then Minister for Employment and Workplace Relations, the Hon Julia Gillard MP, wrote to her State and Territory counterparts seeking their views on ratification of the Convention by 30 June 2009. Law and practice reports were sought from the State and Territory governments. 46. The Convention was also discussed at the Workplace Relations Ministers’ Council (WRMC) on 3 April 2009, where Members agreed that consideration of ratifying the Convention will be pursued as a priority, subject to resolution of any compliance issues. Further discussion on the Convention took place at the WRMC meetings of 25 September and 11 December 2009. 47. Briefing on the Convention was provided to the Standing Committee on Treaties on 17 November 2009. 48. Officials from the Department of Education, Employment and Workplace Relations and the Australian Maritime Safety Authority have attended inter-agency meetings of every State government as well as the Northern Territory Government to assist in undertaking a thorough assessment of compliance gaps with the Convention. The dates on which these meetings were convened are listed below.

• New South Wales Government, on 11 February 2010 • Tasmanian Government, on 17 March 2010 • Victorian Government, on 18 March 2010

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• Queensland Government, on 19 March 2010 • Northern Territory Government, on 22 March 2010 • Western Australian Government, on 8 April 2010 • South Australian Government, on 9 April 2010

49. As at 2 February 2010 all State and Territory Governments with the exception of Western Australia have provided in-principle support to ratify the Convention, subject to the resolution of all compliance issues. The dates on which this advice was provided is also listed below.

• New South Wales - 2 February 2010 • Victoria - 21 September 2009 • Queensland - 18 December 2009 • South Australia - 29 July 2009 • Tasmania - 9 June 2009

Northern Territory - 21 D• ecember 2009 50. On 10 July 2009, the Australian Capital Territory Government Solicitor advised that the Convention does not apply within the territorial area of the Australian Capital Territory. 51. On 11 December 2009, the Hon Troy Buswell MLA, the then Western Australian (WA) Minister for Commerce, wrote to the then Minister for Employment and Workplace Relations, the Hon Julia Gillard MP, advising that the WA Government could not support ratification before compliance is achieved in its jurisdiction. Minister Buswell further advised that it was Western Australia’s intent to continue with steps to achieve full compliance and could only advise of their views on ratification at that time. 52. On 11 June 2010, the Hon Simon O’Brien MLC, WA Minister for Transport, wrote to Minister Gillard, advising that no significant marine safety compliance issues had been identified in Western Australia. Further to this letter, the WA Minister for Commerce, the Hon Bill Marmion MLA, wrote to Minister Gillard on 16 June to advise that they were still not at the stage of seeking advice from the State Solicitor’s Office and were therefore unable to advise as to whether it would meet the deadline for putting in place compliance measures by the end of 2010. Minister Marmion further advised that it was WA’s intention to take the necessary steps to achieve compliance before supporting ratification of the Convention. Other consultation 53. On 22 December 2008, the then Minister for Employment and Workplace Relations, the Hon Julia Gillard MP, wrote to the Maritime Union of Australia (MUA), the Australian Shipowners Association (ASA), the Australian Chamber of Commerce and Industry (ACCI), the Australian Council of Trade Unions (ACTU) and the Australian Industry Group (Ai Group) seeking their views on ratification of the Convention by 30 June 2009. 54. The MUA wrote to the Minister for Employment and Workplace Relations on 19 February 2008 seeking ratification the Convention by August 2008. The MUA wrote again to the Minister on 17 August 2009 confirming its support for ratification. 55. The ASA wrote to the Minister for Employment and Workplace Relations on 13 August 2009 strongly urging the Australian Government to ratify the Convention. 56. The Department of Education, Employment and Workplace Relations has held meetings with the MUA and ASA to progress consideration of Australia’s ratification and implementation of the Convention. These meetings were convened on 23 July 2009, 11 May 2010 and 17 August 2010.

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57. The ACTU, ACCI and Ai Group have advised of their support for ratification of the Convention through the International Labour Affairs Committee (ILAC) of the National Workplace Relations Consultative Council. Discussion at the ILAC meetings on 3 March and 31 October 2008, 2 March and 23 October 2009 and 1 March 2010 have focussed on the progress of the ratification process and resolution of compliance issues.

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ANNEXURE 1

CURRENT STATUS LIST as at November 2010

RATIFYING COUNTRIES AND DATE OF RATIFICATION

Bahamas 11:02:2008 Bosnia and Herzegovina 18:01:2010 Bulgaria 12:04:2010 Canada 15:06:2010 Croatia 12:02:2010 Liberia 07:06:2006 Marshall Islands 25:09:2007 Norway 10:02:2009 Panama 06:02:2009 Spain 04:02:2010

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ANNEXURE 2 CONVENTIONS RATIFIED BY AUSTRALIA THAT ARE REVISED BY THE MARITIME LABOUR CONVENTION The Maritime Labour Convention was adopted by the 94th (Maritime) Session of the International Labour Conference (the Maritime Conference) on 7 February 2006. It consolidates 37 separate ILO maritime labour conventions adopted since 1920 and replaces them with a single, coherent instrument. Of these, Australia has ratified 13. Nine of these ratifications are still in force – they are briefly described below. Ratified Conventions that are no longer in force are also listed below. A full copy of each Convention is online at http://www.ilo.org/ilolex/english/convdisp1.htm.

1. Repatriation of Seafarers (Revised), 1987 (No. 166) Convention 166 specifies the circumstances under which seafarers are to be entitled to repatriation and requires that national laws or regulations or collective agreements prescribe the maximum periods of service on board following which a seafarer is entitled to repatriation.

2. Accommodation of Crews (Supplementary Provisions), 1970 (No. 133) Convention 133 applies to all sea-going ships engaged in the transport of passengers or cargo, or employed for any other commercial purpose, as defined by national laws or regulations. The requirements for crew accommodation include provisions for sleeping rooms, mess rooms and recreation facilities.

3. Accommodation to Crews (Revised), 1949 (No. 92) Convention 92 applies to every sea-going mechanically propelled vessel engaged in the transport of cargo or passengers for the purpose of trade and registered in a territory for which Convention 92 is in force. It does not apply to vessels of less than 500 tons.

4. Medical Examination (Seafarers), 1946 (No. 73) Convention 73 provides that no seafarers shall be employed on a sea-going vessel unless they produce a certificate attesting to their fitness for work at sea, signed by a medical practitioner or, in the case of sight testing, by an authorised person. Convention 73 does not apply to vessels of less than 200 gross registered tons or to fishing vessels.

5. Certification of Ships’ Cooks, 1946 (No. 69) Convention 69 provides that every ship’s cook must hold a certificate of qualification which may not be granted unless they have reached a prescribed minimum age, served at sea for a minimum period decided by the competent authority and passed an examination as prescribed.

6. Minimum Age (Sea) (Revised), 1936 (No. 58) Convention 58 provides that persons under the age of 15 years of age shall not be employed on vessels, other than vessels upon which only members of the same family are employed. National laws or regulations may provide for the issue of a certificate permitting children not less than 14 years of age to be employed in cases where the appropriate authority is satisfied that such employment will be beneficial to the child. Convention 58 does not apply to fishing vessels.

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7. Seamen’s Articles of Agreement, 1926 (No. 22)

Convention 22 provides that articles of agreement shall be signed by the shipowner or its representative and by seafarers under conditions which ensure adequate supervision.

8. Medical Examination of Young Persons (Sea) Convention, 1921 (No. 16) Convention 16 provides that employment of young persons of less than 18 years of age on any vessel, other than vessels in which only members of the same family are employed, shall be conditional upon the production of a medical certificate attesting to fitness for work.

9. Unemployment Indemnity (Shipwreck), 1920 (No. 8) Convention 8 ensures that seafarers who become unemployed as a result of the loss of certain types of vessels are paid an indemnity for the period of unemployment by the owner of the vessel of the person who contracted them for employment (limited to two months’ wages). Ratified Conventions that are no longer in force or did not come into force are: Placing of Seamen Convention, 1920 (No. 9) Minimum Age (Trimmers and Stokers) Convention, 1921 (No. 15) Hours of Work and Manning (Sea) Convention, 1936 (No. 57) Wages, Hours of Work and Manning (Sea) Convention, 1946 (No. 76)

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ANNEXURE 3 KEY OBLIGATIONS OF THE MLC REGULATIONS AND CODE Title 1: Minimum requirements for seafarers to work on a ship The purpose of Title 1 is to ensure that: • no under-age persons work on a ship; • all seafarers shall hold medical certificates attesting that they are medically fit to perform their

duties at sea; • seafarers are trained or qualified to carry out their duties on board ship; and • seafarers have access to an efficient well regulated seafarers recruitment and placement system Title 2: Conditions of employment The purpose of Title 2 is to ensure that seafarers: • are employed under written, legally enforceable employment agreements that contain prescribed

details and particulars; • are paid for their services in accordance with their employment agreements; • have regulated hours of work and hours of rest; • have adequate annual and shore leave entitlements; • are able to return home at no cost to themselves in prescribed circumstances; • are compensated for injury, loss or unemployment when a ship is lost or has foundered; and • work on board ships with sufficient personnel for the safe, efficient and secure operation of the

ship. Title 2 also promotes career and skill development and employment opportunities for seafarers. Title 3: Accommodation, recreational facilities, food and catering The purpose of Title 3 is to ensure that seafarers: • have decent accommodation and recreational facilities on board; and • have access to good quality food and drinking water provided under regulated hygienic conditions. Title 4: Health protection, medical care, welfare and social security protection The purpose of Title 4 is to ensure that seafarers: • have prompt access to adequate medical care on board ship and ashore; • have the right to material assistance from shipowners for the financial consequences of sickness,

injury or death while they are serving under an employment agreement • are provided with occupational health and safety protection • have access to shore-based welfare facilities where they exist • have access to social security protection Title 5: Compliance and enforcement The purpose of Title 5 is to: • ensure that each Member implements its responsibilities under the MLC with respect to ships that

fly its flag; • enable each Member to implement its responsibilities under the MLC regarding international

cooperation in the implementation and enforcement of MLC standards on foreign ships; and

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• ensure that each Member implements its responsibilities under the MLC pertaining to seafarers’ recruitment and placement and the social protection of seafarers.

Flag State inspection system responsibilities The flag State is required to establish an effective system for inspection and certification of maritime labour conditions on ships that fly its flag (Regulation 5.1, paragraph 2). This involves a wide range of matters including: • drawing up the Maritime Labour Certificate and Declaration of Maritime Labour Compliance

required by the Convention; • providing a sufficient number of qualified inspectors (training and competence) to conduct

inspections at least once every three years; • developing rules or regulations providing for inspectors’ powers, status and independence; • guidelines regarding inspectors’ tasks and confidentiality; • identification (credentials) for inspectors; • reporting responsibilities; • delegation of some aspect of the inspection system to Recognised Organisations (if a Recognised

Organisation is used); • establishing a process for receiving and responding to complaints or requests for information. Port State inspection and monitoring responsibilities Every foreign ship calling in the port of a Member State in the normal course of its business or for operational reasons may be subject to inspection. The main aspect of the obligation to have effective port State inspection and monitoring systems (Regulation 5.2.1, paragraph 4) is the need to ensure that the port State has an adequate number of qualified officers trained to carry out port State control under the MLC. As Member States are required to accept maritime labour certificates and declarations of maritime labour compliance, port inspections will in most cases be limited to a review of the certificate and declaration (Article 5.2.1 paragraph 2). More detailed inspections may be carried out if the certificates and declarations are not in order, there are clear or reasonable grounds to suspect infringements of the Convention on the ship, or where there has been a complaint about conditions on the ship (Standard A5.2.1 paragraph 1).

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DEPARTMENT OF FOREIGN AFFAIRS AND TRADE CANBERRA

RESOLUTION MEPC.186(59) Adopted on 17 July 2009

AMENDMENTS TO THE ANNEX OF THE PROTOCOL OF 1978 RELATING TO

THE INTERNATIONAL CONVENTION FOR THE PREVENTION OF POLLUTION FROM SHIPS, 1973

(London, 17 July 2009)

Not yet in force [2010] ATNIF 46

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RESOLUTION MEPC.186(59) Adopted on 17 July 2009

AMENDMENTS TO THE ANNEX OF THE PROTOCOL OF 1978 RELATING TO

THE INTERNATIONAL CONVENTION FOR THE PREVENTION OF POLLUTION FROM SHIPS, 1973

(Addition of a new chapter 8 to MARPOL Annex I and consequential amendments to

the Supplement to the IOPP Certificate, Form B) THE MARINE ENVIRONMENT PROTECTION COMMITTEE,

RECALLING Article 38(a) of the Convention on the International Maritime Organization concerning the functions of the Marine Environment Protection Committee (the Committee) conferred upon it by international conventions for the prevention and control of marine pollution,

NOTING Article 16 of the International Convention for the Prevention of Pollution

from Ships, 1973 (hereinafter referred to as the “1973 Convention”) and article VI of the Protocol of 1978 relating to the International Convention for the Prevention of Pollution from Ships, 1973 (hereinafter referred to as the “1978 Protocol”) which together specify the amendment procedure of the 1978 Protocol and confer upon the appropriate body of the Organization the function of considering and adopting amendments to the 1973 Convention, as modified by the 1978 Protocol (MARPOL 73/78),

HAVING CONSIDERED proposed amendments to Annex I of MARPOL 73/78,

1. ADOPTS, in accordance with Article 16(2)(d) of the 1973 Convention, the amendments

to Annex I of MARPOL 73/78 concerning the addition of a new chapter 8 and consequential amendments to the Supplement to the IOPP Certificate, Form B, the text of which is set out in the annex to the present resolution;

2. DETERMINES, in accordance with Article 16(2)(f)(iii) of the 1973 Convention, that

the amendments shall be deemed to have been accepted on 1 July 2010 unless, prior to that date, not less than one-third of the Parties or Parties the combined merchant fleets of which constitute not less than 50 per cent of the gross tonnage of the world’s merchant fleet, have communicated to the Organization their objection to the amendments;

3. INVITES the Parties to note that, in accordance with Article 16(2)(g)(ii) of the 1973

Convention, the said amendments shall enter into force on 1 January 2011 upon their acceptance in accordance with paragraph 2 above;

4. REQUESTS the Secretary-General, in conformity with Article 16(2)(e) of the 1973

Convention, to transmit to all Parties to MARPOL 73/78 certified copies of the present resolution and the text of the amendments contained in the annex; and

2

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5. REQUESTS FURTHER the Secretary-General to transmit to the Members of the Organization which are not Parties to MARPOL 73/78 copies of the present resolution and its annex.

ANNEX

(Addition of a new chapter 8 to MARPOL and Annex I and consequential amendments to the Supplement to the IOPP Certificate, Form B)

1 A new chapter 8 is added:

“CHAPTER 8 – PREVENTION OF POLLUTION DURING TRANSFER OF OIL CARGO BETWEEN OIL TANKERS AT SEA

Regulation 40 Scope of application 1 The regulations contained in this chapter apply to oil tankers of 150 gross tonnage

and above engaged in the transfer of oil cargo between oil tankers at sea (STS operations) and their STS operations conducted on or after 1 April 2012. However, STS operations conducted before that date but after the approval of the Administration of STS operations Plan required under regulation 41.1 shall be in accordance with the STS operations Plan as far as possible.

2 The regulations contained in this chapter shall not apply to oil transfer operations

associated with fixed or floating platforms including drilling rigs; floating production, storage and offloading facilities (FPSOs) used for the offshore production and storage of oil; and floating storage units (FSUs) used for the offshore storage of produced oil.1

3 The regulations contained in this chapter shall not apply to bunkering operations. 4 The regulations contained in this chapter shall not apply to STS operations

necessary for the purpose of securing the safety of a ship or saving life at sea, or for combating specific pollution incidents in order to minimize the damage from pollution.

5 The regulations contained in this chapter shall not apply to STS operations where

either of the ships involved is a warship, naval auxiliary or other ship owned or operated by a State and used, for the time being, only on government non-commercial service. However, each State shall ensure, by the adoption of appropriate measures not impairing operations or operational capabilities of such ships that the STS operations are conducted in a manner consistent, so far as is reasonable and practicable, with this chapter.

Regulation 41 General Rules on safety and environmental protection

1 Revised Annex I of MARPOL, chapter 7 (resolution MEPC.117(52)) and UNCLOS article 56 are applicable

and address these operations.

3

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1 Any oil tanker involved in STS operations shall carry on board a Plan prescribing how to conduct STS operations (STS operations Plan) not later than the date of the first annual, intermediate or renewal survey of the ship to be carried out on or after 1 January 2011. Each oil tanker’s STS operations Plan shall be approved by the Administration. The STS operations Plan shall be written in the working language of the ship.

2 The STS operations Plan shall be developed taking into account the information contained in the best practice guidelines for STS operations identified by the Organization2. The STS operations Plan may be incorporated into an existing Safety Management System required by chapter IX of the International Convention for the Safety of Life at Sea, 1974, as amended, if that requirement is applicable to the oil tanker in question.

3 Any oil tanker subject to this chapter and engaged in STS operations shall comply

with its STS operations Plan. 4 The person in overall advisory control of STS operations shall be qualified to

perform all relevant duties, taking into account the qualifications contained in the best practice guidelines for STS operations identified by the Organization3.

5 Records4 of STS operations shall be retained on board for three years and be

readily available for inspection by a Party to the present Convention. Regulation 42 Notification 1 Each oil tanker subject to this chapter that plans STS operations within the

territorial sea, or the exclusive economic zone of a Party to the present Convention shall notify that Party not less than 48 hours in advance of the scheduled STS operations. Where, in an exceptional case, all of the information specified in paragraph 2 is not available not less than 48 hours in advance, the oil tanker discharging the oil cargo shall notify the Party to the present Convention, not less than 48 hours in advance that an STS operation will occur and the information specified in paragraph 2 shall be provided to the Party at the earliest opportunity.

2 The notification specified in paragraph 1 of this regulation5 shall include at least

the following:

.1 name, flag, call sign, IMO Number and estimated time of arrival of the oil tankers involved in the STS operations;

2 IMO’s “Manual on Oil Pollution, Section I, Prevention” as amended, and the ICS and OCIMF “Ship-to-ship

Transfer Guide, Petroleum”, fourth edition, 2005. 3 IMO’s “Manual on Oil Pollution, Section I, Prevention” as amended, and the ICS and OCIMF “Ship-to-ship

Transfer Guide, Petroleum”, fourth edition, 2005. 4 Revised Annex I of MARPOL chapters 3 and 4 (resolution MEPC.117(52)); requirements for recording

bunkering and oil cargo transfer operations in the Oil Record Book, and any records required by the STS operations Plan.

5 The national operational contact point as listed in document MSC-MEPC.6/Circ.4 of 31 December 2007 or its subsequent amendments.

4

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5

.2 date, time and geographical location at the commencement of the planned STS operations;

.3 whether STS operations are to be conducted at anchor or underway;

.4 oil type and quantity;

.5 planned duration of the STS operations;

.6 identification of STS operations service provider or person in overall advisory control and contact information; and

.7 confirmation that the oil tanker has on board an STS operations Plan meeting the requirements of regulation 41.

3 If the estimated time of arrival of an oil tanker at the location or area for the STS

operations changes by more than six hours, the master, owner or agent of that oil tanker shall provide a revised estimated time of arrival to the Party to the present Convention specified in paragraph 1 of this regulation.”

2 In the Record of Construction and Equipment for Oil Tankers, Form B, new section 8A

is added as follows:

“8A Ship-to-ship oil transfer operations at sea (regulation 41)

8A.1 The oil tanker is provided with an STS operations Plan in compliance with

regulation 41.”

***

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National Interest Analysis [2010] ATNIA 59

with attachment on consultation

RESOLUTION MEPC.186(59) Adopted on 17 July 2009

Amendments to the Annex of the Protocol of 1978 relating to

the International Convention for the Prevention of Pollution from Ships, 1973

[2010] ATNIF 46

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NATIONAL INTEREST ANALYSIS: CATEGORY 1 TREATY

SUMMARY PAGE

RESOLUTION MEPC.186(59) Adopted on 17 July 2009

Amendments to the Annex of the Protocol of 1978 relating to

the International Convention for the Prevention of Pollution from Ships, 1973 [2010] ATNIF 46

Nature and timing of proposed treaty action 1. The proposed treaty action is to bring into force amendments to the amended International Convention for the Prevention of Pollution from Ships done at London on 2 November 1973 (MARPOL). These amendments include addition of a new chapter 8 to MARPOL Annex I (the proposed amendments). 2. Pursuant to Article 16(2)(g)(ii) of MARPOL, the proposed amendments will enter into force on 1 January 2011. In accordance with the amendment procedure set out in Article 16 of MARPOL, the amendments to Annex I were deemed to have been accepted on 1 July 2010, unless prior to that date, not less than one-third of the Parties or Parties with a combined fleet of no less than 50 per cent of the gross tonnage of the world’s merchant fleet, communicated to the International Maritime Organization (IMO) their objection to the amendments. As at 1 July 2010, no objections were communicated to the IMO. As Australia is a Party to MARPOL and did not object to the amendments or state that Australia’s express approval is necessary, the amendments will automatically enter into force for Australia on 1 January 2011 by virtue of Article 16 (2)(g)(ii) of MARPOL and in accordance with paragraph 3 of Resolution MEPC.186(59) (the Resolution). Overview and national interest summary 3. MARPOL is one of the key international instruments addressing the problem of marine pollution from ships. MARPOL contains six technical annexes dealing respectively with oil, bulk noxious liquid substances, harmful substances in packaged form, sewage, garbage and air pollution. On 17 July 2009, the Marine Environment Protection Committee (MEPC) of the IMO adopted Resolution MEPC.186(59) to add a new Chapter 8 entitled ‘Prevention of Pollution during Transfer of Oil Cargo between Oil Tankers at Sea’ to Annex I (Prevention of Pollution by Oil). 4. The intention of the proposed amendments is to ensure that best practice techniques are employed to minimise the risk of oil pollution at sea during ship to ship (STS) transfers. Australia’s implementing legislation would apply to any such transfers in Australia’s territorial sea or exclusive economic zone, as well as to such transfers involving Australian flagged vessels wherever they may be located. 5. In particular, the proposed amendments to Annex I will require an approved STS operations plan, to be written in the working language of the ship, with operations notified and supervised by appropriately qualified persons. Records of each operation will need to be retained and available for inspection by any Party to MARPOL.

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Reasons for Australia to take the proposed treaty action 6. Australia’s acceptance of Resolution MEPC.186(59) is consistent with Australia’s long-standing support for protection of the marine environment and Australia’s active backing of, and participation in, IMO. 7. The proposed amendments are in accordance with Australia’s general obligations as a Party to the United Nations Convention on the Law of the Sea (UNCLOS) 1982. This provides for nations to adopt generally accepted international rules and standards when implementing laws and regulations to prevent, reduce and control pollution of the marine environment from vessels (Article 211 of UNCLOS). Obligations 8. The new MARPOL Chapter 8 of Annex I sets out requirements for applicable oil tankers when undertaking STS operations. Although the proposed amendments relate primarily to the operations of such oil tankers, it is the flag State’s responsibility to ensure compliance with best practice procedures. 9. Regulation 40 sets out the types of operations that are exempt from the application of Chapter 8, which include operations necessary for the purpose of securing safety at sea, saving a life at sea or securing a particular pollution incident. 10. Regulation 41 sets out general requirements relating to STS operations plans. In particular, Parties are required to ensure that any oil tanker to which Chapter 8 applies is carrying a plan prescribing how to conduct STS operations. In accordance with Regulation 41(1), an STS operations plan must be finalised no later than the date of the first annual, intermediate or renewal survey of the ship, to be carried out no later than 1 January 2011. 11. The STS operations plan must take into account information contained in the best practice guidelines for STS operations. 12. Under Regulation 41(1), a Party is required to approve the STS operations plan carried on board oil tankers that are registered in that State. 13. Regulation 42 requires oil tankers to notify the relevant Party of certain specified details of STS operations at least 48 hours before commencing STS operations in the territorial sea or exclusive economic zone of that Party. Implementation 14. The proposed amendments will be implemented into Australian law by amendment to the Protection of the Sea (Prevention of Pollution from Ships) Act 1983. Costs 15. The new requirements will not result in any extra costs or savings for the Government, business or individuals. The requirements set out in the proposed amendments are a codification of existing practices.

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Regulation Impact Statement 16. The Office of Best Practice Regulation provided advice on 15 January 2010 that it considers the impacts of the proposed amendments to Annex I will be low, that no further analysis is required and that the preparation of a Regulation Impact Statement or quantification of compliance costs is not required. Future treaty action 17. Future amendments to Annex I or other Annexes to MARPOL will be in accordance with the amendment procedures set out in Article 16 of MARPOL. This includes amendment by a ‘tacit acceptance’ procedure, where the amendments enter into force on a specified date unless an agreed number of Parties object by an agreed date. Amendments are usually adopted by either IMO’s Marine Environment Protection Committee (MEPC) or by a Conference of Parties to MARPOL. Any such amendments would be subject to the Australian domestic treaty-making process including tabling in Parliament and consideration by the Joint Standing Committee on Treaties (JSCOT). Withdrawal or denunciation 18. MARPOL and any of its Optional Annexes may be denounced by any Parties to the Convention at any time after the expiry of five years from the date on which the Convention or such Annex enters into force for that Party. Annex I is not included in the list of ‘optional annexes’ in Article 14, therefore the acceptance of Annex I is obligatory for all contracting Parties to MARPOL. 19. Denunciation of the proposed amendments to Annex I, after they have entered into force, could be achieved only by the denunciation of the whole of MARPOL. Denunciation would be effected by the deposit of an instrument of denunciation with the Secretary-General of IMO, in accordance with Article 18 of MARPOL. The denunciation would take effect twelve months, or any longer period as specified in the notification of denunciation, after the receipt of the notification by the Secretary-General. Denunciation would be subject to Australia’s domestic treaty-making process, including tabling and consideration by the JSCOT. Contact details Safety, Environment and Liner Shipping Section Maritime Policy Reform Branch Surface Transport Policy Division Department of Infrastructure and Transport

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ATTACHMENT ON CONSULTATION

RESOLUTION MEPC.186(59) Adopted on 17 July 2009

Amendments to the Annex of the Protocol of 1978 relating to

the International Convention for the Prevention of Pollution from Ships, 1973 [2010] ATNIF 46

CONSULTATION 20. Consultation during the development of the proposed amendments to Annex I of the Protocol of 1978 relating to the International Convention for the Prevention of Pollution from Ships 1973 (MARPOL) was undertaken with the National Plan Management Committee. This group is responsible for overseeing Australia’s National Plan to Combat Pollution of the Sea by Oil and Other Noxious and Hazardous Substances and included all States, the Northern Territory, the Australian Institute of Petroleum, Australian Shipowners Association, Plastics and Chemical Industries Association, Ports Australia and Department of Infrastructure and Transport. The Petroleum section of the Department of Resources, Energy and Tourism was also consulted during the development of the proposed amendments. The text initially proposed to International Maritime Organization (IMO) was circulated to these stakeholders and comment invited. Maritime Safety Queensland was consulted specifically on application to smaller vessels (the concern being the large fleet of fishing vessels regularly conducting diesel fuel transfers in the Great Barrier Reef). The Royal Australian Navy was consulted on the notification provisions in Regulation 42 with regard to the security of warships. 21. Based on the issues raised by stakeholders during consultation, Australia submitted a paper to the IMO Bulk Liquids and Gases Subcommittee (10th Session) presenting views on several issues including: jurisdiction under United Nations Convention on the Law of the Sea (UNCLOS); application to smaller vessels, bunkers, liquefied petroleum gas tankers and offshore oil and gas industry platforms; and technical aspects. In particular, Australia argued that the regulations should not apply to Floating Production Storage and Offloading Facilities/Floating Storage Units (FPSOs/FSUs) because these vessels regularly and routinely undertake ship to ship transfer in accordance with best practice. At this meeting it was also suggested that a lower limit be put on the size of vessel to which the regulations would apply and/or the grade of oil involved. Where necessary throughout the development of the text over several IMO meetings and intersessional correspondence, Australia adopted positions consistent with these views. 22. The final text adopted only applies to oil tankers that have a gross tonnage of 150 or more transferring oil cargoes. It includes an exemption for operations where one of the vessels is a warship and operations involving FPSOs and FSUs. Limiting the application of the proposed amendments addresses the concerns raised by non-government stakeholders during consultation. States and the Northern Territory did not raise any concerns about the proposed amendments.

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DEPARTMENT OF FOREIGN AFFAIRS AND TRADE CANBERRA

Third Protocol Amending the Treaty of Amity and Cooperation in Southeast Asia

(Hanoi, 23 July 2010)

Not yet in force [2010] ATNIF 39

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Third Protocol Amending the Treaty of Amity and Cooperation in Southeast Asia

Brunei Darussalam The Kingdom of Cambodia The Republic of Indonesia The Lao People's Democratic Republic Malaysia The Union of Myanmar The Republic of the Philippines The Republic of Singapore The Kingdom of Thailand The Socialist Republic of Viet Nam The Commonwealth of Australia The People's Republic of Bangladesh The People's Republic of China The Democratic People’s Republic of Korea The French Republic The Republic of India Japan Mongolia New Zealand The Islamic Republic of Pakistan Papua New Guinea The Republic of Korea The Russian Federation The Democratic Socialist Republic of Sri Lanka The Democratic Republic of Timor-Leste The Republic of Turkey The United States of America Hereinafter referred to as the High Contracting Parties: DESIRING to ensure that there is appropriate enhancement of cooperation with all peace-loving nations both within and outside Southeast Asia, in particular, neighbouring States of the Southeast Asian region, as well as with regional organisations whose members are only sovereign States;

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CONSIDERING Paragraph 5 of the preamble of the Treaty of Amity and Cooperation in Southeast Asia, done at Denpasar, Bali, on 24 February 1976 (hereinafter referred to as the Treaty of Amity) which refers to the need for cooperation with all peace-loving nations, both within and outside Southeast Asia, in the furtherance of world peace, stability and harmony; HEREBY AGREE TO THE FOLLOWING: Article 1 Article 18, Paragraph 3, of the Treaty of Amity shall be amended to read as follows: "This Treaty shall be open for accession by States outside Southeast Asia and regional organisations whose members are only sovereign States subject to the consent of all the States in Southeast Asia, namely, Brunei Darussalam, the Kingdom of Cambodia, the Republic of Indonesia, the Lao People's Democratic Republic, Malaysia, the Union of Myanmar, the Republic of the Philippines, the Republic of Singapore, the Kingdom of Thailand and the Socialist Republic of Viet Nam." Article 2 Article 14, Paragraph 2, of the Treaty of Amity shall be amended to read as follows: “However, this article shall apply to any of the High Contracting Parties outside Southeast Asia only in cases where that High Contracting Party is directly involved in the dispute to be settled through the regional processes." Article 3 This Protocol shall be subject to ratification and shall come into force on the date the last instrument of ratification of the High Contracting Parties is deposited. DONE at Hanoi, Viet Nam, on the Twenty-Third Day of July in the Year Two Thousand and Ten, in a single copy in the English language.

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National Interest Analysis [2011] ATNIA 2

with attachment on consultation

Third Protocol Amending the Treaty of Amity and Cooperation in Southeast Asia, done at Hanoi on 23 July 2010

[2010] ATNIF 39

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NATIONAL INTEREST ANALYSIS: CATEGORY 2 TREATY

SUMMARY PAGE

Third Protocol Amending the Treaty of Amity and Cooperation in Southeast Asia, done at Hanoi on 23 July 2010

[2010] ATNIF 39 Nature and timing of proposed treaty action 1. The proposed treaty action is to ratify the Third Protocol done at Hanoi on 23 July 2010 (the Third Protocol) Amending the Treaty of Amity and Cooperation in Southeast Asia, done at Denpasar on 24 February 1976 (the Treaty). Australia acceded to the Treaty on 10 December 2005, as amended by the Protocol Amending the Treaty of Amity and Cooperation in Southeast Asia done at Manila on 15 December 1987 (the First Protocol), and the Second Protocol Amending the Treaty of Amity and Cooperation in Southeast Asia done at Manila on 25 July 1998 (the Second Protocol). The Third Protocol amends the types of High Contracting Parties that can accede to the Treaty to include regional organisations whose members are only sovereign states. 2. Pursuant to Article 3 of the Third Protocol, the Third Protocol will enter into force on the date that the last instrument of ratification of the High Contracting Parties is deposited with the Secretariat of the Association of Southeast Asian Nations (ASEAN). Overview and national interest summary 3. The purpose of the Third Protocol is to allow accession to the Treaty by regional organisations, such as the European Union, whose members are only sovereign states (Article 18, paragraph 3). All High Contracting Parties to the Treaty signed the Third Protocol amending the Treaty in Hanoi, Vietnam, on 23 July 2010. 4. As a High Contracting Party to the Treaty, Australia was asked by ASEAN to approve the Third Protocol. Australia first acceded to the Treaty when, at a Foreign Ministers’ meeting in April 2005, ASEAN made it a condition for participation in the East Asia Summit (EAS). It was considered to be in the national interest to accede to the Treaty, as part of Australia’s efforts to deepen engagement with ASEAN and to demonstrate Australia’s initiative to have a strong and productive presence in Southeast Asia. 5. The changes to the Treaty under the Third Protocol are minor and have wide support from both ASEAN and non-ASEAN High Contracting Parties to the Treaty. ASEAN actively encourages wide accession to the Treaty by non-ASEAN members, which it considers very important. While accession to the Treaty is a condition for participation in the EAS, it does not guarantee entry to the EAS. There are many signatories to the Treaty that are not members of the EAS. It would reflect poorly on Australia’s engagement with ASEAN to appear to block the Third Protocol’s minor amendments to the Treaty.

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Reasons for Australia to take the proposed treaty action 6. Australia has had strong, friendly and mutually beneficial relations with Member States of ASEAN, both individually and collectively, across a wide range of sectors – in the political sphere, through economic and trade links, on security matters, in the cultural and educational fields, and through strong and enduring people-to-people links. The Government is committed to further strengthening Australia’s relations with ASEAN Member States, both individually and collectively, and has undertaken a wide range of initiatives in each of the above fields to achieve this objective. 7. Some examples of Australia’s engagement with ASEAN include: Australia’s status as ASEAN’s first dialogue partner (since 1974); its active engagement with ASEAN through the ASEAN Post Ministerial Conference; the conclusion of the Agreement Establishing ASEAN–Australia–New Zealand Free Trade Area; and the appointment of an Australian Ambassador to ASEAN. Australia’s engagement has also included the establishment of strong regional cooperation mechanisms on transnational issues, including regional consultations on people smuggling issues, the establishment of a network of bilateral counter-terrorism memoranda of understanding and as a founding member of the ASEAN Regional Forum. 8. Being a High Contracting Party to the Treaty is part of Australia’s efforts to strengthen relations with ASEAN Member States. Among other things, the High Contracting Parties to the Treaty pledge to promote “perpetual peace, everlasting amity and cooperation among their peoples” (Article 1), as well as to cooperate in economic, social, cultural, technical and scientific fields (Article 4). The Treaty also establishes a High Council as a mechanism to resolve disputes, although this Council has never been convened (Article 14). 9. As a High Contracting Party to the Treaty, Australia was asked by ASEAN to approve a Third Protocol amending the Treaty, to be signed and ratified by all current High Contracting Parties. The signing of the Third Protocol was scheduled to take place in July 2009. The Government sought and received Executive Council authority to sign the Third Protocol in July 2009. Signing of the Third Protocol did not go ahead that year, as some High Contracting Parties to the Treaty had not been able to complete their domestic requirements for signature. On 23 July 2010, the Third Protocol amending the Treaty was signed during the ASEAN and EAS related meetings in Hanoi, Vietnam. Obligations 10. The Third Protocol amending the Treaty does not impose any additional obligations for Australia under the Treaty. 11. Article 1 of the Third Protocol amends Article 18, paragraph 3 of the Treaty to provide that the Treaty shall be open for accession by regional organisations whose members are only sovereign States. 12. Article 2 of the Third Protocol amends Article 14, paragraph 2 of the Treaty. Article 14, as amended by the First Protocol, provides that, in order to resolve disputes, the High Contracting Parties shall constitute a High Council comprising a ministerial level representative of each of the High Contracting Parties. Article 14, paragraph 2 as amended by the Third Protocol, states that this provision shall apply to any of the High Contracting Parties outside

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Southeast Asia only in cases where that High Contacting Party is directly involved in the dispute to be settled through regional processes. Implementation 13. No changes to Australian legislation are required to implement the provisions of the Third Protocol. Costs 14. No financial costs to the Australian Government are associated with the ratification of the Third Protocol. Regulation Impact Statement 15. The Office of Best Practice Regulation, Department of Finance and Deregulation has been consulted and confirms that a Regulation Impact Statement is not required. Future treaty action 16. The Treaty does not make express provision for amendments to the Treaty. However, Article 39 of the Vienna Convention on the Law of Treaties (the VCLT) provides that a treaty may be amended at any time by agreement between the parties. The Treaty has already been amended on two occasions through the adoption and entry into force of the First and Second Protocols. Additional amending Protocols agreed between the High Contracting Parties would be subject to Australia's domestic treaty-making process, including tabling in Parliament and consideration by the Joint Standing Committee on Treaties (JSCOT). The provisions of any additional amending Protocol would follow the model of the First, Second and Third Protocols, and so would not be binding upon any High Contracting Parties unless that High Contracting Party has ratified or acceded to that Protocol. Withdrawal or denunciation 17. The Treaty and the First, Second and Third Protocols do not make express provision for a High Contracting Party to withdraw from or denounce the Treaty. However it could be implied from the nature of the Treaty, which covers amity and cooperation matters, that a High Contracting Party has the right to withdraw or denounce the Treaty, as envisaged by Article 56 of the VCLT. 18. Withdrawal or denunciation of the Treaty would be subject to Australia’s domestic treaty-making process, including tabling in Parliament and consideration by JSCOT. Contact details ASEAN and EAS Section South-East Asia Division Department of Foreign Affairs and Trade

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ATTACHMENT ON CONSULTATION

Third Protocol Amending the Treaty of Amity and Cooperation in Southeast Asia,

done at Hanoi on 23 July 2010

[2010] ATNIF 39 CONSULTATION Commonwealth Government departments 19. The Third Protocol amending the Treaty, as amended by the Protocol and Second Protocol, concerns Australia’s relations with other High Contracting Parties to the Treaty. The ratification of the Third Protocol is therefore primarily a decision for the Minister for Foreign Affairs, as it is a matter of foreign policy. In June 2009, the then Minister for Foreign Affairs, the Hon Stephen Smith MP, wrote to the then Prime Minister, the Hon Kevin Rudd MP to advise the Prime Minister of his intention to agree to sign the Third Protocol. As the changes contained in the Third Protocol are of a technical nature, and do not directly affect other Commonwealth departments, wider consultation did not take place. State and Territory Governments 20. Notwithstanding the fact that the Third Protocol does not directly affect State and Territory Governments, representatives of each State and Territory were consulted through the Commonwealth-State-Territory Standing Committee on Treaties. This provided the opportunity for all States and Territories to comment on the ratification of the Third Protocol and the content of the National Interest Analysis. No substantive responses were received. 21. The Third Protocol was approved for signature by the Federal Executive Council on 9 July 2009.

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DEPARTMENT OF FOREIGN AFFAIRS AND TRADE CANBERRA

AGREEMENT BETWEEN

AUSTRALIA

AND

THE SLOVAK REPUBLIC

ON SOCIAL SECURITY

(New York, 21 September 2010)

Not yet in force

[2010] ATNIF 42

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Australia and the Slovak Republic (hereinafter “the Contracting Parties”), Wishing to strengthen the existing friendly relations between the two countries, and 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. In this Agreement, unless the context otherwise requires:

(a) “benefit” means a benefit, pension or allowance as well as any additional amount, increase or supplement payable under the legislation of that Contracting Party but, for Australia, does not include any benefit, payment or entitlement under the law concerning the superannuation guarantee; (b) “Competent Authority" means, in relation to Australia: the Secretary of the Commonwealth Department responsible for the legislation specified in subparagraph 1(a)(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 authorised representative of the Commissioner, and, in relation to the Slovak Republic the Ministry of Labour, Social Affairs and Family of the Slovak Republic responsible for the application of the legislation specified in subparagraph 1(b) of Article 2; (c) “Competent Institution” means the institution or agency which has the task of implementing the applicable legislation specified in Article 2; (d) “legislation” means, in relation to Australia, the laws specified in subparagraph 1(a)(i) of Article 2 except in Part II of the Agreement (and other Parts of the Agreement as they affect that Part) where it means the laws specified in subparagraph 1(a)(ii) of Article 2, and in relation to the Slovak Republic, the legislation specified in subparagraph 1(b) of Article 2;

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(e) “creditable period ” means a period of insurance, substitute period or equivalent period completed under the legislation of the Slovak Republic; (f) “period of Australian working life residence” means a period defined as such in the legislation of Australia but does not include any period deemed pursuant to Article 12 to be a period in which that person was an Australian resident;

2. Any term not defined in this Article has the meaning assigned to it in the applicable legislation.

Article 2 Material Scope

1. This Agreement shall apply to the following laws, as amended at the date of signature of this Agreement, and to any laws that subsequently amend, consolidate, supplement or replace them:

(a) in relation to Australia:

(i) the Acts forming the social security law in so far as the law provides for, applies to or affects the age pension;

(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);

(b) in relation to the Slovak Republic the legislation regarding: (i) old age pensions; (ii) invalidity pensions; and (iii) pensions for widows, widowers and orphans.

2. Notwithstanding the provisions of paragraph 1, the legislation of either Contracting Party shall not, unless otherwise specified in this Agreement, include treaties or any other agreement on social security entered into by either Contracting Party with a third State.

3. This Agreement shall not apply to future legislation which extends the existing legislation of either Contracting Party to new categories of beneficiaries unless the Competent Authorities agree otherwise in writing.

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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 legislation of the Slovak Republic

and, to other persons in regard to the rights they derive from the person described above.

Article 4 Equality of Treatment

Unless otherwise provided in this Agreement, all persons to whom this Agreement applies shall be treated equally by a Contracting Party in regard to rights and obligations which arise whether directly under the social security laws of Australia or the Slovak Republic or by virtue of this Agreement.

Article 5 Export of Benefits

1. Unless otherwise provided in this Agreement, benefits of one Contracting Party when payable by virtue of this Agreement are payable to persons who are residents of, or in, the territory of either Contracting Party. 2. In relation to Australia, for the purposes of paragraph 1, any additional amount, increase or supplement that is payable under this Agreement, shall be payable to a person outside Australia only for the period specified in the provisions of the Social Security Act 1991. The reference to the Social Security Act 1991 includes any laws that amend, supplement or replace that Act.

PART II

PROVISIONS ON COVERAGE

Article 6 Purpose of this Part

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The purpose of this Part is to ensure that employers and employees who are subject to the legislation of Australia or the Slovak Republic do not have a double liability under the legislation of Australia and the Slovak Republic, in respect of the same work of an employee.

Article 7 Application of this Part

This Part only applies if an employee and/or the employer of the employee would, apart from this Part, be subject to the legislation of both Contracting Parties in respect of work of the employee or remuneration paid for the work.

Article 8 Avoidance of Double Coverage

1. Unless otherwise provided in this Part, if an employee works in the territory of one Contracting Party, the employer of the employee and the employee shall in respect of the work and the remuneration paid for the work be subject only to the legislation of that Contracting Party. 2. If an employee:

(a) is covered by the legislation of one Contracting Party; (b) was sent, whether before, on or after the commencement of this Agreement, by an

employer who is subject to the legislation of that Contracting Party to work in the territory of the other Contracting Party;

(c) is working in the territory of the other Contracting Party in the employment of the

employer or a related entity of that employer; (d) a period of 4 years from the time the employee was sent to work in the territory of

the other Contracting Party has not elapsed; and (e) is not working permanently in the territory of the other Contracting Party;

the employer of the employee and the employee shall be subject only to the legislation of the first Contracting Party in respect of the work performed and the remuneration paid for that work after the commencement of this Agreement. 3. For the purposes of subparagraph 2(c) 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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4. If an employee is working in the employment of an employer on a ship or aircraft in international traffic, the employer of the employee and employee shall in respect of the employment and the remuneration paid for that employment be subject only to the legislation of the Contracting Party of which the employee is a resident.

Article 9 Diplomatic and Consular Relations and Government Employment

1. This Agreement shall not affect the provisions of the Vienna Convention on Diplomatic Relations of 18 April 1961, or the Vienna Convention on Consular Relations of 24 April 1963. 2. Employees who are sent by the Government of one Contracting Party to work temporarily in the territory of the other Contracting Party shall be subject to the legislation of only the first Contracting Party. For the purposes of this paragraph, “Government” includes in relation to Australia, a political subdivision or local authority.

Article 10 Exception agreements

The Competent Authorities or agencies designated by them, may agree in writing to make exceptions to the provisions in Articles 8 and 9.

PART III

PROVISIONS RELATING TO BENEFITS

Chapter 1 Australian Benefits

Article 11

Residence or Presence in the Slovak Republic Where a person would be qualified under the legislation of Australia or by virtue of this Agreement for an Australian 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 a resident of the Slovak Republic; and (b) is in Australia, or the Slovak Republic,

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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.

Article 12 Totalisation

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, under the legislation of Australia for that benefit; and

(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 creditable period under the legislation of the Slovak Republic;

then, for the purposes of a claim for that Australian benefit, that creditable period shall be deemed to be a period in which that person was an Australian resident only for the purposes of meeting any minimum qualifying periods for that benefit set out in the legislation of Australia. 2. For the purposes of paragraph 1, where a person:

(a) has been an Australian resident for a continuous period which is less than the minimum continuous period required by the legislation of Australia for entitlement of that person to a benefit; and

(b) has accumulated two or more separate creditable periods that equal or exceed in

total the minimum period referred to in subparagraph (a); the total of the creditable periods completed under the legislation of the Slovak Republic shall be deemed to be one continuous period. 3. For the purposes of this Article, where a period by a person as an Australian resident and a creditable period completed under the legislation of the Slovak Republic coincide, the period of coincidence shall be taken into account once only by Australia as a period as an Australian resident. 4. The minimum period of Australian working life residence to be taken into account for the purposes of paragraph 1 shall be as follows:

(a) for the purposes of an Australian benefit that is payable to a person who is not an Australian resident, the minimum period required shall be 12 months, of which at least six months must be continuous; and

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(b) for the purposes of an Australian benefit that is payable to an Australian resident,

there shall be no minimum period.

Article 13 Calculation of Benefits

1. Where an Australian benefit is payable only by virtue of this Agreement to a person who is outside Australia, the rate of that benefit shall be determined according to the legislation of Australia. The additional child amount shall not be included in the calculation of such benefits. 2. Where a person comes temporarily to Australia, paragraph 1 shall continue to apply for 26 weeks from the date of their arrival in Australia. 3. Where an Australian benefit is payable only by virtue of this Agreement to a person who is in Australia, the rate of that benefit shall be determined by:

(a) calculating that person's income according to the legislation of Australia but disregarding in that calculation any Slovak Republic benefit which that person or the partner of that person is entitled to receive if applicable; and

(b) deducting the amount of the Slovak Republic benefit which that person is entitled

to receive 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 legislation of Australia, using as the person's income the amount calculated under subparagraph (a).

4. Where a person departs temporarily from Australia, paragraph 3 shall continue to apply for 26 weeks from the date of their departure from Australia. 5. Where a member of a couple is, or both that person and his or her partner are, entitled to a Slovak Republic benefit or benefits, each of them shall be deemed, for the purposes of this Article and of the legislation of Australia, to be in receipt of one half of that benefit or one half of the total of both benefits, as the case may be.

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Chapter 2

Slovak Republic Benefits

Article 14 Totalisation

Unless otherwise provided in this Agreement, if a person is not eligible for a benefit because he or she has not completed sufficient creditable periods under the legislation of the Slovak Republic, the eligibility of that person for that benefit shall be determined by totalising these creditable periods and periods of Australian working life residence, provided those periods do not overlap.

Article 15 Calculation of Benefits

1. If, under the legislation of the Slovak Republic, a person or the survivors of that person are eligible for a benefit without the need to totalise with periods of Australian working life residence and by only taking into account creditable periods completed under the legislation of the Slovak Republic, the Competent Institution of the Slovak Republic shall determine the amount of that benefit exclusively on the basis of that creditable period. 2. If, under the legislation of the Slovak Republic, a person or the survivors of that person are eligible for a benefit only by totalising periods completed under the legislation of both Contracting Parties, the amount of that benefit shall be determined as follows:

(a) the Competent Institution of the Slovak Republic shall first determine whether, under the legislation of the Slovak Republic, the person satisfies the conditions for eligibility by taking into account the totalised periods;

(b) if the benefit is payable in accordance with sub-paragraph (a), the Competent

Institution of the Slovak Republic shall first calculate the theoretical amount of the benefit payable as if the totalised periods completed under the legislation of both Contracting Parties had been completed under the legislation of the Slovak Republic alone;

(c) based on the theoretical amount of the benefit, the institution shall determine the

amount of the benefit payable by calculating the proportion corresponding to the actual creditable periods completed under the legislation of the Slovak Republic and the totalised periods completed under the legislation of both Contracting Parties.

3. If the creditable periods completed under the legislation of the Slovak Republic are less than 12 months, no benefit under this Agreement shall be paid. The preceding sentence shall not

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apply if a benefit is payable based on those creditable periods alone. 4. If, under the legislation of the Slovak Republic, the Competent Institution can determine the amount of benefit only on the basis of creditable periods acquired according to the legislation of the Slovak Republic, the provisions of paragraph 2 shall not apply. 5. An invalidity pension for a person whose disability arose when the person was a dependent child, or while studying for a doctoral degree and under 26 years of age, shall be payable disregarding the length of the creditable period only if it concerns a person who is a permanent resident of the Slovak Republic.

PART IV

MISCELLANEOUS AND ADMINISTRATIVE PROVISIONS

Article 16 Lodgement of Documents

1. A claim, notice or appeal concerning a benefit, whether payable by virtue of this Agreement or otherwise, may be lodged in the territory of either Contracting Party. 2. For the purposes of determining the right to a benefit, the date on which a claim, notice or appeal referred to in paragraph 1 is lodged with the Competent Institution of one Contracting Party shall be considered as the date of lodgement of that document with the Competent Institution of the other Contracting Party. The Competent Institution with which a claim, notice or appeal is lodged shall refer it without delay to the Competent Institution of the other Contracting Party. 3. A claim for a benefit in accordance with the legislation of one Contracting Party, submitted after this Agreement has entered into force, shall be deemed to be a claim for a corresponding benefit in accordance with the legislation of the second Contracting Party in these instances:

a) if a person requests that it be considered a claim under the legislation of the second Contracting Party; or

b) if a person has stated in the claim that they had an affiliation with the social

security system of the second Contracting Party.

4. In relation to Australia, paragraph 3 shall only apply if the corresponding claim is received by the Competent Institution within twelve months of the lodgement of the original claim. 5. In relation to Australia, the reference in paragraph 1 to an appeal document is a reference

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to a document concerning 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 17 Payment of Benefits

In the event that a Contracting Party imposes currency controls, that Contracting Party shall, without delay, take suitable measures to ensure the payment of any amount that must be paid in accordance with this Agreement to persons described in Article 3 who reside in the territory of the other Contracting Party.

Article 18 Exemption from Fees and Authentication

1. Where the laws of a Contracting Party provide that any document which is submitted to the Competent Authority or the Competent Institution of that Contracting 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 Competent Institution of the other Contracting Party in the application of this Agreement. 2. Documents and certificates which are presented for the purposes of this Agreement shall be exempted from requirements for authentication by diplomatic or consular authorities. 3. The Competent Institutions of the Contracting Parties shall pay benefits under this Agreement without any deduction for their administrative expenses or for government administrative fees and charges for processing and paying that benefit.

Article 19 Recovery of overpayments

1. If a Competent Institution of a Contracting Party has overpaid a benefit, or paid a benefit which was not due, to any person because of the simultaneous payment of a benefit for all or part of the same period by the Competent Institution of the other Contracting Party, under this Agreement or the legislation of either Contracting Party, the amount of the overpayment may be deducted in favour of that Competent Institution from arrears of a benefit to which there is entitlement under the legislation of the other Contracting Party.

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2. In relation to Australia a reference in paragraph 1 to a benefit means a pension, benefit or allowance payable under the Acts forming the social security law of Australia as amended from time to time.

Article 20 Exchange of Information and Mutual Assistance

1. The Competent Authorities and Competent Institutions responsible for the application of this Agreement shall to the extent permitted by their national laws:

(a) communicate to each other any information necessary for the application of this Agreement or their social security laws;

(b) provide assistance to one another with regard to the determination or payment of

any benefit under this Agreement or under the legislation to which this Agreement applies;

(c) communicate to each other, as soon as possible, all information about the

measures taken by them for the application of this Agreement or about changes in their respective legislation insofar as these changes affect the application of this Agreement; and

(d) at the request of one to the other, assist each other in relation to the

implementation of agreements on social security entered into by either of the Contracting Parties with third states, to the extent and in the circumstances specified in the Administrative Arrangement made in accordance with Article 21.

2. The assistance referred to in paragraph 1 shall be provided free of charge, subject to any arrangement reached between the Competent Authorities and Competent Institutions for the reimbursement of certain types of expenses that are specified in the Administrative Arrangement pursuant to Article 21. 3. If the Competent Institution of a Contracting Party requires that a claimant or a beneficiary who resides in the territory of the other Contracting Party undergo a medical examination, the Competent Institution of the latter Contracting Party, at the request of the Competent Institution of the first Contracting Party, shall make arrangements for carrying out this examination. If the medical examination is exclusively for the use of the institution which requests it, that Competent Institution shall reimburse the Competent Institution of the other Contracting Party for the costs of the examination. However, if the medical examination is for the use of both Competent Institutions, there shall be no reimbursement of costs. 4. In no case shall the provisions of paragraph 1 be construed so as to impose on the Competent Authority or Competent Institution of a Contracting Party the obligation:

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(a) to carry out administrative measures at variance with the laws or the

administrative practice of either Contracting Party; or (b) to supply particulars which are not obtainable under the laws or in the normal

course of the administration of either Contracting Party.

Article 21 Administrative Arrangement

1. The Competent Authorities of the Contracting Parties shall establish, by means of an Administrative Arrangement, the measures necessary for the implementation of this Agreement. 2. The Competent Authorities shall appoint liaison bodies which are to be listed in the Administrative Arrangement.

Article 22 Protection of Personal Data

Unless otherwise provided under the laws of a Contracting Party, any information about an individual which is transmitted in accordance with this Agreement to a Competent Authority or a Competent Institution of a Contracting Party by a Competent Authority or a Competent Institution of the other Contracting Party is confidential and shall be used only for the purposes of implementing this Agreement and the legislation to which this Agreement applies.

Article 23 Language

1. In the application of this Agreement, the Competent Authority and the Competent Institution of a Contracting Party may communicate with the other in any of the official languages of the Contracting Parties. 2. An application or document may not be rejected by a Competent Authority or Competent Institution solely because it is in the language of the other Contracting Party.

Article 24 Resolution of Disputes

Any disagreement regarding the interpretation or application of this Agreement shall be resolved

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by mutual agreement between the Competent Authorities.

Article 25 Review of Agreement

Where a Contracting Party requests the other to meet to review this Agreement, the Contracting Parties shall meet for that purpose as soon as possible and, unless the Contracting Parties otherwise arrange, their meeting shall be held in the territory of the Contracting Party to which that request was made.

PART V

TRANSITIONAL AND FINAL PROVISIONS

Article 26 Transitional Provisions

1. The commencement date for payment of a benefit payable by virtue of this Agreement shall be determined in accordance with the legislation of the Contracting Party concerned but in no case shall that date be a date earlier than the date on which this Agreement enters into force. 2. In determining entitlement to a benefit under this Agreement, periods as an Australian resident, periods of Australian working life residence and creditable periods completed under the legislation of the Slovak Republic before the entry into force of this Agreement shall also be taken into consideration. 3. Where, on the date on which this Agreement enters into force, a person is in receipt of a benefit under the legislation of either Party, no provision of this Agreement shall affect that person’s qualification to receive that benefit. 4. Articles 8 & 9 apply from the date of entry into force of this Agreement, even if the person was sent by their employer before this date. For this purpose, the period of secondment is taken to start on the date this Agreement entered into force.

Article 27 Entry into Force

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 Contracting Parties through the diplomatic channel notifying each other that all matters as are necessary to give effect to this Agreement have been

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finalised. 2. 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.

Article 28 Termination

1. This Agreement has been entered into for an unlimited period of time. 2. Subject to paragraph 3, this Agreement shall remain in force until the last day of the twelfth month following the month in which either Contracting Party receives from the other a note through the diplomatic channel giving notice of termination of this Agreement. 3. In the event of termination, this Agreement shall continue to have effect in relation to all persons who:

(a) at the date on which termination takes effect, are in receipt of benefits; or (b) prior to that date have lodged claims for, and would be entitled to receive, benefits

by virtue of this Agreement; or (c) immediately before the date of termination are subject only to the legislation of

one Contracting Party by virtue of Articles 8, 9 or 10 of Part II of the Agreement, provided the employee continues to satisfy the criteria of those Articles.

IN WITNESS WHEREOF, the undersigned, being duly authorised thereto, have signed this Agreement. DONE in two originals at New York this 21st day of September two thousand and ten in the English and Slovak languages, each text being equally authoritative. For Australia: The Hon Kevin Rudd MP Minister for Foreign Affairs

For the Slovak Republic: Mr Mikuláš Dzurinda Minister for Foreign Affairs

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ZMLUVA MEDZI

AUSTRÁLIOU

A

SLOVENSKOU REPUBLIKOU

O SOCIÁLNOM ZABEZPEČENÍ

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Austrália a Slovenská republika (ďalej len "zmluvné strany"),

s prianím posilniť súčasné vzájomné priateľské vzťahy medzi obidvoma krajinami

a

s prianím upraviť vzťahy medzi oboma krajinami, pokiaľ ide o dávky sociálneho zabezpečenia a poistenia,

sa dohodli takto:

Prvá časť

VŠEOBECNÉ USTANOVENIA

Článok 1 Definície

1. Ak v tejto zmluve ďalej nie je uvedené inak:

(a) "dávka" znamená peňažnú dávku, dôchodok alebo príspevok vrátane akejkoľvek dodatočnej čiastky, zvýšenia alebo príplatku prislúchajúcich podľa právnych predpisov zmluvnej strany. V prípade Austrálie nezahŕňa žiadnu peňažnú dávku, platbu ani nárok na peňažnú dávku prislúchajúcu podľa zákona o dôchodkovej záruke;

(b) "príslušný úrad" znamená vo vzťahu k Austrálii: tajomník zväzového

ministerstva, ktorý má v pôsobnosti právne predpisy uvedené v článku 2 ods. 1 písm. a) bod (i), s výnimkou, keď sa uplatňuje druhá časť zmluvy (vrátane uplatňovania iných častí zmluvy, ktoré majú vplyv na uplatňovanie druhej časti), vtedy je príslušný Vládny komisár pre daňové záležitosti alebo jeho splnomocnený zástupca; a vo vzťahu k Slovenskej republike: Ministerstvo práce, sociálnych vecí a rodiny Slovenskej republiky, ktoré má v pôsobnosti právne predpisy uvedené v článku 2 ods. 1písm. b);

(c) "príslušná inštitúcia" znamená inštitúciu alebo úrad vykonávajúci právne predpisy

uvedené v článku 2; (d) "právne predpisy" znamená vo vzťahu k Austrálii zákony uvedené v článku 2 ods.

1 písm. a) bod (i), s výnimkou druhej časti zmluvy (vrátane uplatňovania iných častí zmluvy, ktoré majú vplyv na uplatňovanie druhej časti) vtedy tento pojem znamená zákony uvedené v článku 2 ods. 1 písm. a) bod (ii); a vo vzťahu k Slovenskej republike právne predpisy uvedené v článku 2 ods. 1 písm. b);

(e) "obdobie poistenia" znamená vo vzťahu k Slovenskej republike obdobie poistenia,

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náhradnú dobu alebo ekvivalentné obdobie získané podľa právnych predpisov Slovenskej republiky;

(f) "obdobie pobytu v Austrálii v produktívnom veku" znamená obdobie pobytu

definované právnymi predpismi Austrálie, pričom toto nezahŕňa obdobie podľa článku 12 považované za obdobie, počas ktorého mala osoba pobyt v Austrálii;

2. Ostatné pojmy neuvedené v tomto článku majú význam, ktorý im patrí podľa

príslušných právnych predpisov.

Článok 2 Vecný rozsah

1. Táto zmluva sa vzťahuje na nasledujúce právne predpisy v znení neskorších predpisov účinných k dátumu podpísania tejto zmluvy a na akékoľvek právne predpisy, ktoré ich novelizujú, zjednotia, doplnia alebo nahradia:

(a) vo vzťahu k Austrálii:

(i) zákony tvoriace súbor zákonov o sociálnom zabezpečení v rozsahu, v ktorom upravujú, vzťahujú sa alebo majú vplyv na starobný dôchodok:

(ii) právne predpisy týkajúce sa záruky starobného dôchodku (ktorá je v čase

podpísania tejto zmluvy upravená v zákone o dôchodkovom príspevkovom poistení (správy) z roku 1992 (Superannuation Guarantee (Administration) Act 1992), zákon o spoplatnení záruky starobného dôchodku z roku 1992 (Superannuation Guarantee Charge Act 1992) a predpisov týkajúcich sa dôchodkovej záruky (správe) (Superannuation Guarantee (Administration) Regulations);

(b) vo vzťahu ku Slovenskej republike právne predpisy upravujúce priznávanie a

vyplácanie: (i) starobných dôchodkov, (ii) invalidných dôchodkov a (iii) vdovských, vdoveckých a sirotských dôchodkov.

2. Bez ohľadu na ustanovenia odseku 1 nevzťahuje sa táto zmluva na iné právne predpisy žiadnej zo zmluvných strán, ani na inú zmluvu o sociálnom zabezpečení, ktorú uzatvorila len jedna zo zmluvných strán s treťou krajinou, ak nie je ďalej uvedené inak. 3. Ak sa príslušné úrady písomne nedohodnú inak, táto zmluva sa nevzťahuje na budúce právne predpisy, pokiaľ rozširujú existujúce právne predpisy jednej zo zmluvných strán o nové kategórie poberateľov dávok alebo dôchodkov.

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Článok 3 Osobný rozsah

Táto zmluva sa vzťahuje na každú osobu, ktorá:

(a) má alebo mala bydlisko na území Austrálie, alebo (b) podlieha alebo podliehala právnym predpisom Slovenskej republiky

a na iné osoby ak odvodzujú svoje práva od týchto osôb.

Článok 4 Rovnaké zaobchádzanie

Ak táto zmluva neustanovuje inak, so všetkými osobami, na ktoré sa táto zmluva vzťahuje, zmluvné strany zaobchádzajú rovnako, čo sa týka ich práv a povinností, ktoré vyplývajú priamo z právnych predpisov o sociálnom zabezpečení Slovenskej republiky alebo Austrálie, alebo podľa tejto zmluvy.

Článok 5 Vývoz dávok

1. Ak táto zmluva neustanovuje inak, dávky jednej zmluvnej strany prislúchajúce podľa tejto zmluvy sa vyplatia osobám, ktoré majú bydlisko alebo pobyt na území druhej zmluvnej strany. 2. Na účely odseku 1, vo vzťahu k Austrálii akákoľvek dodatočná čiastka, zvýšenie alebo príplatok, ktoré sa vyplácajú podľa tejto zmluvy, vyplácajú sa osobe mimo územie Austrálie len po čas ustanovený právnymi predpismi o sociálnom zabezpečení z roku 1991. Zákon o sociálnom zabezpečení z roku 1991 obsahuje odkaz na všetky zákony, ktoré menia, dopĺňajú alebo nahrádzajú tento zákon.

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DRUHÁ ČASŤ

USTANOVENIA O UPLATŇOVANÍ PRÁVNYCH PREDPISOV

Článok 6

Účel tejto časti

Účelom tejto časti je zabezpečiť, aby zamestnávatelia a zamestnanci, ktorí súčasne podliehajú právnym predpisom Slovenskej republiky alebo Austrálie, nepodliehali dvojitému poisteniu podľa právnych predpisov Slovenskej republiky a Austrálie, ak ide o tú istú prácu zamestnanca.

Článok 7 Uplatnenie tejto časti

Táto časť sa uplatní len v prípade, ak by zamestnanec a/alebo zamestnávateľ tohto zamestnanca, bez ohľadu na túto časť, podliehali právnym predpisom obidvoch zmluvných strán, pokiaľ ide o prácu zamestnanca alebo odmeňovanie za túto prácu.

Článok 8 Zamedzenie dvojitého poistenia

1. Ak zamestnanec pracuje na území jednej zmluvnej strany, zamestnávateľ zamestnanca aj zamestnanec podliehajú iba právnym predpisom tejto zmluvnej strany, pokiaľ ide o prácu a odmenu za túto prácu, pokiaľ nie je v tejto časti uvedené inak. 2. Ak zamestnanec:

(a) podlieha právnym predpisom jednej zmluvnej strany, (b) bol vyslaný zamestnávateľom, aby pracoval na území druhej zmluvnej strany pred

alebo po nadobudnutí platnosti tejto zmluvy, podlieha právnym prepisom prvej zmluvnej strany,

(c) pracuje na území druhej zmluvnej strany v pracovnom pomere u zamestnávateľa

alebo u organizačnej zložky tohto zamestnávateľa, (d) neuplynulo obdobie 4 rokov od času, keď bol zamestnanec vyslaný pracovať na

územie druhej zmluvnej strany a (e) zamestnanec trvalo nepracuje na území druhej zmluvnej strany,

zamestnávateľ zamestnanca aj zamestnanec podliehajú iba právnym predpisom prvej zmluvnej strany, pokiaľ ide o vykonávanú prácu a odmenu vyplatenú za túto prácu, po nadobudnutí platnosti tejto zmluvy.

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3. Na účely odseku 2 písm. c) je organizačná zložka je organizačnou zložkou zamestnávateľa vtedy, ak sú zamestnávateľ aj organizačná zložka členmi rovnakej plne alebo väčšinovo vlastnenej skupiny. 4. Ak zamestnanec je v pracovnom pomere u zamestnávateľa na lodi alebo lietadle v medzinárodnej doprave, podlieha zamestnávateľ zamestnanca aj zamestnanec v súvislosti s touto prácou a s odmenou vyplatenou za túto prácu len právnym predpisom zmluvnej strany, na ktorej území má zamestnanec bydlisko.

Článok 9 Diplomatické a konzulárne styky a štátni zamestnanci

1. Touto zmluvou nie sú dotknuté žiadne ustanovenia Viedenského dohovoru o diplomatických stykoch z 18. apríla 1961 alebo Viedenského dohovoru o konzulárnych stykoch z 24. apríla 1963. 2. Zamestnanci vyslaní ako štátni zamestnanci jednej zmluvnej strany, aby dočasne pracovali na území druhej zmluvnej strany, môžu podliehať len právnym predpisom prvej zmluvnej strany. Na účely tohto odseku sa štátnymi zamestnancami rozumejú, pokiaľ ide o Austráliu, zamestnanci vlády, jej organizačných zložiek alebo miestnej samosprávy.

Článok 10 Dohody o výnimkách

Príslušné úrady zmluvných strán alebo nimi poverené inštitúcie sa môžu vzájomne písomne dohodnúť na výnimkách z ustanovení článkov 8 a 9.

TRETIA ČASŤ

USTANOVENIA TÝKAJÚCE SA DÁVOK Prvá kapitola

Dávky podľa právnych predpisov Austrálie

Článok 11 Bydlisko alebo pobyt na území Slovenskej republiky

Ak by osobe vznikol nárok na dávky podľa právnych predpisov Austrálie alebo podľa tejto zmluvy bez toho, že by táto osoba mala bydlisko alebo pobyt na území Austrálie ku dňu uplatnenia nároku na dávku, ale:

(a) má bydlisko na území Slovenskej republiky alebo má bydlisko na území Austrálie a

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(b) nachádza sa v Slovenskej republike alebo v Austrálii,

považuje sa takáto osoba na účely uplatnenia nároku na dávku za osobu s bydliskom alebo pobytom na území Austrálie ku dátumu podania žiadosti, ak niekedy mala bydlisko na území Austrálie.

Článok 12 Úhrn poistných období

1. Ak osoba, na ktorú sa vzťahuje táto zmluva, si uplatnila nárok na dávky podľa tejto zmluvy a úhrnom získala:

(a) obdobie ako osoba s bydliskom na území Austrálie, ktoré je kratšie než obdobie nevyhnutné na to, aby táto osoba na tomto základe získala nárok na predmetnú dávku podľa právnych predpisov Austrálie a

(b) obdobie pobytu v Austrálii v produktívnom veku rovnajúce sa alebo dlhšie, ako

obdobie podľa odseku 4 a (c) započítateľné obdobie podľa právnych predpisov Slovenskej republiky;

na účely uplatnenia nároku na austrálsku dávku sa toto obdobie poistenia považuje za obdobie, počas ktorého osoba mala bydlisko v Austrálii, len na účely splnenia akýchkoľvek minimálnych započitateľných období na uplatnenie nároku na dávku stanovených právnymi predpismi Austrálie. 2. Na účely odseku 1, ak osoba:

(a) mala bydlisko na území Austrálie nepretržite po obdobie kratšie, ako je obdobie nepretržitého pobytu požadované právnymi predpismi Austrálie na to, aby osoba mala nárok na dávku a

(b) získala dve alebo viac oddelených období poistenia, ktoré sa úhrnom rovnajú

alebo prevyšujú minimálne obdobie uvedené v písmene a); považuje sa súčet započítateľných období získaných podľa právnych predpisov Slovenskej republiky za jedno nepretržite trvajúce obdobie. 3. Na účely tohto článku, ak dôjde k prekrytiu obdobia, keď má osoba bydlisko na území Austrálie, so započítateľným obdobím podľa právnych predpisov Slovenskej republiky, započíta sa toto zhodné obdobie len raz ako obdobie bydliska na území Austrálie. 4. Minimálna dĺžka obdobia pobytu v Austrálii v produktívnom veku zohľadnená na účely odseku 1 je nasledovná:

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(a) získanie austrálskej dávky vyplácanej osobe, ktorá nemala bydlisko na území Austrálie je podmienené minimálnou dĺžkou bydliska 12 mesiacov obdobia pobytu v Austrálii v produktívnom veku, z ktorých najmenej 6 mesiacov musí osoba na území bývať nepretržite a

(b) získanie austrálskej dávky vyplácanej osobe, ktorá má bydlisko na území

Austrálie, nie je podmienené žiadnym minimálnym obdobím.

Článok 13 Výpočet dávok

1. Ak je výplata austrálskej dávky podmienená iba touto zmluvou, osobe mimo územie Austrálie sa výška dávky určí podľa právnych predpisov Austrálie. Prídavok na dieťa sa pri výpočte takýchto dávok nezohľadňuje. 2. Ak osoba prichádza krátkodobo na územie Austrálie, odsek 1 platí ďalších 26 týždňov od dátumu príchodu do Austrálie. 3. Ak je výplata austrálskej dávky na území Austrálie podmienená len touto zmluvou, výška dávky sa určí:

(a) výpočtom s prihliadnutím na príjem osoby podľa právnych predpisov Austrálie, pričom vo výpočte sa nezohľadnia žiadne dávky, na ktoré vznikol nárok osobe alebo jej partnerovi v Slovenskej republike a

(b) odpočítaním čiastky dávky zo Slovenskej republiky, na ktorú má osoba nárok, od

maximálnej výšky austrálskej dávky a (c) výpočtom príslušnej výšky dávky na zvyšnú časť dávky priznanej podľa písmena

b) určenej podľa právnych predpisov Austrálie, pričom na výpočet sa použije čiastka vypočítaná podľa písmena a).

4. Ak osoba krátkodobo opustí územie Austrálie, odsek 3 platí ďalších 26 týždňov od dátumu odchodu z Austrálie. 5. Ak má jeden z partnerov alebo obidvaja partneri nárok na výplatu dávky alebo dávok

zo Slovenskej republiky, pre každého z nich, na účely tohto článku a právnych predpisov Austrálie platí, že buď dostanú polovicu z uvedenej čiastky dávky alebo z celkovej čiastky všetkých dávok, pričom každý prípad bude posúdený individuálne.

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Druhá kapitola

Dávky podľa právnych predpisov Slovenskej republiky

Článok 14 Úhrn poistných období

Ak osobe nevznikne nárok na dávku z dôvodu, že nezískala potrebné obdobie poistenia podľa právnych predpisov Slovenskej republiky, nárok na dávku sa určí spočítaním období poistenia a obdobia pobytu v Austrálii v produktívnom veku, ak sa tieto neprekrývajú a ak táto zmluva neustanovuje inak.

Článok 15 Výpočet dávok

1. Ak podľa právnych predpisov Slovenskej republiky osoba alebo pozostalé osoby získajú nárok na dávku bez spočítavania s obdobím pobytu v Austrálii v produktívnom veku, príslušná inštitúcia zohľadní iba obdobie poistenia získané podľa právnych predpisov Slovenskej republiky. Príslušná inštitúcia Slovenskej republiky vypočíta výšku dávky len za obdobie poistenia získané podľa právnych predpisov Slovenskej republiky. 2. Ak osoba, alebo pozostalé osoby spĺňajú podmienky nároku na dávky podľa právnych predpisov Slovenskej republiky len za predpokladu sčítania období získaných podľa právnych predpisov oboch zmluvných strán, výška dávky sa vypočíta takto:

(a) príslušná inštitúcia Slovenskej republiky najprv zistí, či podľa právnych predpisov Slovenskej republiky táto osoba spĺňa podmienky nároku na dávku s prihliadnutím k spočítaným obdobiam;

(b) ak nárok na dávku vznikne podľa písmena a), príslušná inštitúcia Slovenskej

republiky najprv vypočíta teoretickú výšku dávky tak, ako keby všetky obdobia získané podľa právnych predpisov oboch zmluvných strán boli získané len podľa právnych predpisov Slovenskej republiky;

(c) na základe teoretickej výšky dávky príslušná inštitúcia určí sumu dávky tak, že

vypočíta pomernú časť zodpovedajúcu skutočným obdobiam poistenia získaným podľa právnych predpisov Slovenskej republiky a sčítaným obdobiam získaným podľa právnych predpisov oboch zmluvných strán.

3. Ak obdobia poistenia získané podľa právnych predpisov Slovenskej republiky sú kratšie ako 12 mesiacov, nevznikne nárok na dávku podľa tejto zmluvy. Predchádzajúca veta neplatí, ak vznikne nárok na dávku len na základe týchto období poistenia. 4. Ak inštitúcia Slovenskej republiky môže vypočítať sumu dávky len s prihliadnutím na obdobia poistenia získané podľa právnych predpisov Slovenskej republiky, nepoužije sa ustanovenie

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odseku 2.

5. Nárok na invalidný dôchodok osobe, ktorej invalidita vznikla v období, v ktorom je nezaopatreným dieťaťom alebo počas doktorandského štúdia do dovŕšenia 26 rokov veku, vznikne aj bez ohľadu na dĺžku obdobia poistenia len, ak ide o osobu, ktorá má bydlisko na území Slovenskej republiky.

ŠTVRTÁ ČASŤ

RÔZNE A SPRÁVNE USTANOVENIA

Článok 16

Doručovanie písomností

1. Žiadosti, vyhlásenia alebo opravné prostriedky týkajúce sa dávok, či už splatných podľa tejto zmluvy alebo podľa právnych predpisov jednej zo zmluvných strán, je možné podávať na území ktorejkoľvek zo zmluvných strán. 2. Na účely určenia nároku na dávky, dátum podania žiadosti, vyhlásenia alebo opravného prostriedku uvedených v odseku 1, ktoré sú doručené príslušnej inštitúcii jednej zo zmluvných strán, považuje sa za dátum podania dokumentu príslušnej inštitúcii druhej zmluvnej strany. Príslušná inštitúcia, ktorej je podaná žiadosť, vyhlásenie alebo opravný prostriedok, tieto bez zbytočného odkladu zašle príslušnej inštitúcii druhej zmluvnej strany. 3. Žiadosť o priznanie dávky podľa právnych predpisov jednej zmluvnej strany, predložená po nadobudnutí platnosti zmluvy považuje sa za žiadosť o priznanie zodpovedajúcej dávky podľa právnych predpisov druhej zmluvnej strany v týchto prípadoch: a) ak osoba vyjadrí svoj úmysel, že jej žiadosť sa má považovať za žiadosť podľa právnych predpisov druhej zmluvnej strany, b) ak osoba v čase podania žiadosti uvedie, že obdobia poistenia boli získané podľa právnych predpisov druhej zmluvnej strany. 4. Vo vzťahu k Austrálii, odsek 3 sa uplatňuje iba v prípade, ak zodpovedajúcu žiadosť príslušná inštitúcia dostane do uplynutia dvanástich mesiacov od podania pôvodnej žiadosti. 5. Vo vzťahu k Austrálii, odkaz v odseku 1 na opravný prostriedok je odkazom na opravný prostriedok podaný správnemu orgánu zriadenému alebo vyčlenenému na účely uplatňovania právnych predpisov Austrálie o sociálnom zabezpečení.

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Článok 17

Výplata dávok

V prípade, že zmluvná strana nariadi kontrolu meny, táto zmluvná strana bezodkladne urobí potrebné opatrenia, aby zabezpečila vyplácanie akejkoľvek sumy, ktorá musí byť vyplatená podľa tejto zmluvy osobám uvedeným v článku 3, ktoré majú bydlisko na území druhej zmluvnej strany.

Článok 18 Oslobodenie od poplatkov a overovania

1. Ak právne predpisy zmluvnej strany ustanovujú, že akýkoľvek dokument predložený príslušnému úradu alebo inštitúcii tejto zmluvnej strany je úplne alebo čiastočne oslobodený od poplatkov, vrátane konzulárnych a správnych poplatkov, toto oslobodenie sa vzťahuje aj na zodpovedajúce dokumenty predkladané príslušnému úradu alebo príslušnej inštitúcii druhej zmluvnej strany pri vykonávaní tejto zmluvy. 2. Dokumenty a osvedčenia predkladané na účely tejto zmluvy sú oslobodené od overovania diplomatickým alebo konzulárnym úradom. 3. Príslušné inštitúcie zmluvných strán vyplácajú podľa tejto zmluvy svoje dávky oslobodené od akýchkoľvek zrážok za správne náklady alebo za štátne správne poplatky a výdavky za spracovanie a vyplatenie tejto dávky.

Článok 19 Vrátenie preplatkov na dávkach

1. Ak príslušná inštitúcia jednej zmluvnej strany vyplatila osobe vyššiu dávku alebo vyplatila dávku, ktorá jej nepatrila a príslušná inštitúcia druhej zmluvnej strany vyplatí súčasne osobe dávky za to isté obdobie, alebo za časť toho istého obdobia podľa tejto zmluvy, alebo právnych predpisov zmluvnej strany, príslušná inštitúcia druhej zmluvnej strany môže sumu takéhoto preplatku odpočítať v prospech príslušnej inštitúcie prvej zmluvnej strany z nedoplatkov dávky, na ktorú vznikol nárok podľa právnych predpisov druhej zmluvnej strany.

2. Dávky podľa odseku 1 znamenajú v súvislosti s Austráliou dôchodok, dávku alebo príspevok, ktoré sú splatné podľa právnych predpisov tvoriacich súbor zákonov Austrálie o sociálnom zabezpečení v neskoršom znení.

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Článok 20

Výmena informácií a vzájomná spolupráca

1. Príslušné úrady a príslušné inštitúcie zodpovedné za vykonávanie tejto zmluvy si v rozsahu povolenom ich vnútroštátnymi právnymi predpismi:

a) vzájomne odovzdávajú akékoľvek informácie potrebné na vykonávanie tejto zmluvy alebo ich právnych predpisov o sociálnom zabezpečení;

b) poskytujú vzájomnú pomoc pri určovaní nároku alebo výplate akejkoľvek dávky

podľa tejto zmluvy alebo podľa právnych predpisov, na ktoré sa táto zmluva vzťahuje;

c) vzájomne si oznamujú v čo najkratšom čase akékoľvek informácie o opatreniach

prijatých v súvislosti s uplatňovaním tejto zmluvy a o zmenách ich príslušných právnych predpisov, ktoré by mohli ovplyvniť vykonávanie tejto zmluvy;

d) na požiadanie druhej zmluvnej strany si vzájomne pomáhajú pri vykonávaní

zmlúv o sociálnom zabezpečení, ktoré uzatvorí jedna zo zmluvných strán s tretími štátmi, v rozsahu a za podmienok uvedených vo vykonávacej dohode uzatvorenej podľa článku 21.

2. Pomoc uvedená v odseku 1 sa poskytuje bezplatne, s výnimkou, ak sa príslušné úrady a príslušné inštitúcie dohodnú o náhrade určitých výdavkov, ktoré sú uvedené vo vykonávacej dohode uzatvorenej podľa článku 21. 3. Ak príslušná inštitúcia jednej zmluvnej strany požiada príslušnú inštitúciu druhej zmluvnej strany o vykonanie lekárskeho vyšetrenia žiadateľa alebo poberateľa dávok, ktorý má bydlisko na území druhej zmluvnej strany, príslušná inštitúcia druhej zmluvnej strany zariadi toto lekárske vyšetrenie. Ak je lekárske vyšetrenie výlučne len pre potreby príslušnej inštitúcie, ktorá takéto vyšetrenie požaduje, táto príslušná inštitúcia uhradí náklady s tým spojené príslušnej inštitúcii druhej zmluvnej strany. Ak je však lekárske vyšetrenie potrebné pre obidve príslušné inštitúcie, náklady sa nebudú uhrádzať. 4. Výklad ustanovení odseku 1 za žiadnych okolností neukladá príslušnému úradu alebo príslušnej inštitúcii zmluvnej strany povinnosť:

a) vykonávať akékoľvek správne opatrenia, ktoré by boli v rozpore s právnymi predpismi alebo praxou jednej alebo druhej zmluvnej strany, alebo

b) poskytovať informácie, ktoré nie je možné poskytnúť podľa právnych predpisov

alebo obvyklým správnym postupom jednej alebo druhej zmluvnej strany.

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Článok 21

Vykonávacia dohoda 1. Príslušné úrady zmluvných strán dohodnú vo vykonávacej dohode nevyhnutné opatrenia potrebné na vykonávanie tejto zmluvy. 2. Príslušné úrady určia kontaktné miesta, ktoré budú uvedené vo vykonávacej dohode.

Článok 22 Ochrana osobných údajov

Ak právne predpisy jednej zmluvnej strany neustanovujú inak, akékoľvek informácie o osobe, ktoré v súlade s touto zmluvou odovzdáva príslušný úrad alebo príslušná inštitúcia jednej zmluvnej strany, príslušnému úradu alebo príslušnej inštitúcii druhej zmluvnej strany, sú dôverné a použijú sa iba na účely uplatňovania tejto zmluvy a právnych predpisov, na ktoré sa táto zmluva vzťahuje.

Článok 23 Použitie jazyka

1. Pri uplatňovaní tejto zmluvy môže príslušný úrad a príslušná inštitúcia jednej zmluvnej strany komunikovať s druhou zmluvnou stranou v akomkoľvek zo štátnych jazykov zmluvných strán. 2. Príslušný úrad alebo príslušná inštitúcia nemôžu odmietnuť žiadosť alebo dokument len z dôvodu, že je vyhotovený v štátnom jazyku druhej zmluvnej strany.

Článok 24 Riešenie sporov

Akýkoľvek spor, ktorý vznikne pri vykonávaní a vo výklade tejto zmluvy sa vyrieši vzájomnou dohodou príslušných úradov.

Článok 25 Preskúmanie zmluvy

Ak jedna zmluvná strana požiada druhú zmluvnú stranu o stretnutie za účelom preskúmania tejto zmluvy, zmluvné strany sa za týmto účelom stretnú v čo najkratšom čase. Ak sa zmluvné strany nedohodnú inak, ich stretnutie sa uskutoční na území tej zmluvnej strany, ktorá bola požiadaná o stretnutie.

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PIATA ČASŤ

PRECHODNÉ A ZÁVEREČNÉ USTANOVENIA

Článok 26 Prechodné ustanovenia

1. Dátum nároku na výplatu dávky prislúchajúcej podľa tejto zmluvy sa určí podľa právnych predpisov príslušnej zmluvnej strany, ale v žiadnom prípade nemôže byť tento dátum skorší ako je dátum nadobudnutia platnosti tejto zmluvy. 2. Pri určovaní nároku na dávku podľa tejto zmluvy sa zohľadnia obdobia bydliska osoby na území Austrálie, obdobie pobytu v Austrálii v produktívnom veku a obdobia poistenia získané podľa právnych predpisov Slovenskej republiky pred nadobudnutím platnosti tejto zmluvy. 3. Ak v deň nadobudnutia platnosti tejto zmluvy osoba poberá dávku podľa právnych predpisov jednej zmluvnej strany, žiadne ustanovenie tejto zmluvy nesmie ovplyvniť nárok tejto osoby byť poberateľom tejto dávky. 4. Články 8 a 9 sa uplatňujú od dátumu nadobudnutia platnosti tejto zmluvy, a to aj keď zamestnávateľ vyšle túto osobu ešte pred týmto dátumom. Na tento účel sa začiatok obdobia vyslania určí za deň nadobudnutia platnosti tejto zmluvy.

Článok 27 Nadobudnutie platnosti

1. Táto zmluva nadobudne platnosť prvým dňom tretieho mesiaca nasledujúceho po mesiaci, v ktorom si zmluvné strany diplomatickou cestou vymenili oznámenia o tom, že boli splnené všetky podmienky potrebné k nadobudnutiu platnosti zmluvy. 2. Túto zmluvu možno meniť a dopĺňať ďalšími dohodami, ktoré sa po nadobudnutí platnosti stanú neoddeliteľnou súčasťou tejto zmluvy.

Článok 28 Vypovedanie

1. Táto zmluva sa uzaviera na čas neurčitý. 2. Táto zmluva zostáva v platnosti do ukončenia posledného dňa dvanásteho mesiaca nasledujúceho po mesiaci, doručenia oznámenia o výpovedi druhej zmluvnej strane, s výnimkou prípadov uvedených v odseku 3. 3. V prípade vypovedania táto zmluva naďalej platí vo vzťahu ku všetkým osobám, ktoré:

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(a) k dátumu nadobudnutia platnosti jej vypovedania poberajú dávky alebo (b) pred týmto dátumom si uplatnili nárok na dávku a podľa tejto zmluvy by mali

nárok na priznanie dávok alebo (c) bezprostredne pred dátumom vypovedania podliehali iba právnym predpisom

jednej zmluvnej strany podľa článkov 8,9 alebo 10 druhej časti tejto zmluvy, pod podmienkou, že zamestnanec naďalej spĺňa podmienky stanovené týmito článkami.

NA ZNAK TOHO, nižšie podpísaní, riadne k tomu splnomocnení, podpísali túto zmluvu. Dané v dňa v dvoch pôvodných vyhotoveniach každé v anglickom a slovenskom jazyku, pričom obidve znenia majú rovnakú platnosť. ZA AUSTRÁLIU

ZA SLOVENSKÚ REPUBLIKU

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National Interest Analysis [2011] ATNIA 1

with attachment on consultation

Agreement between Australia and the Slovak Republic on Social Security, done at New York on 21 September 2010

[2010] ATNIF 42

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NATIONAL INTEREST ANALYSIS – CATEGORY 2 TREATY

SUMMARY PAGE

Agreement between Australia and the Slovak Republic on Social Security, done at New York on 21 September 2010

[2010] ATNIF 42

Nature and timing of proposed treaty action

1. The proposed treaty action is to bring into force the Agreement between Australia and the Slovak Republic on Social Security, done at New York on 21 September 2010 (the Agreement).

2. Pursuant to Article 27, the Agreement will enter into force on the first day of the third month following the month in which diplomatic notes are exchanged by the Slovak Republic and Australia notifying each other that all matters as are necessary to give effect to the Agreement have been finalised. The Agreement is expected to enter into force in early 2012.

Overview and national interest summary

3. Australia’s social security agreements are bilateral treaties which close gaps in social security coverage for people who migrate between countries. The agreements do this by overcoming eligibility barriers to pension payment in the domestic legislation of each country, such as requirements on citizenship, minimum contributions, past residence history and current country of residence.

4. The Agreement provides for enhanced access to Australian and Slovak retirement benefits for people in Australia and the Slovak Republic and greater portability of these benefits between the two countries. Portability of benefits allows for the payment of a benefit from one country into another country. Enhanced access to benefits is an underlying principle of bilateral social security agreements where the responsibility for providing benefits is shared. Under the Agreement, residents of Australia and the Slovak Republic will be able to move between both countries with the knowledge that their rights to benefits are recognised in both countries. For Australia, the Agreement covers age pension. For the Slovak Republic, the Agreement covers old age, invalidity and survivors’ pensions.

5. Double coverage provisions have been included to ensure that compulsory pension/superannuation contributions do not need to be made into both countries’ systems when an employee is temporarily seconded to work in the other country. In the Australian context, the Agreement will exempt employers and/or employees from making compulsory social security contributions in the Slovak Republic if superannuation guarantee contributions continue to be made in Australia. Similarly, Slovak employers will be exempt from making superannuation guarantee contributions for employees sent to work temporarily in Australia provided contributions continue to be made in the Slovak Republic.

6. The Agreement will bring economic and social benefits to Australia. It will help to maximise the foreign income of Australian residents and there will be flow-on effects within the Australian economy. The double coverage provisions will facilitate business links between the two countries by removing unnecessary costs. The Agreement will serve to reinforce Australia’s political, business and strategic interests. It will also further strengthen bilateral relations between Australia and the Slovak Republic and provide choices in retirement for individuals who migrate to Australia or the Slovak Republic during or after their working lives.

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Reasons for Australia to take the proposed treaty action

7. Australia’s network of bilateral social security agreements improves access to income support for people whose adult lives are, or have been, split between Australia and another country. Most people who benefit from these agreements are age pensioners.

8. The Agreement incorporates the same principles as Australia’s other social security agreements. A key element of the Agreement, as with other social security agreements, is the sharing of responsibility between the Parties in providing adequate social security coverage for current and former residents of both countries.

9. Under the Agreement individuals may be eligible for benefits from both countries if they meet certain criteria and have lived and/or worked in both countries during their working lives. Residents of Australia and the Slovak Republic will be able to move between these countries knowing that their rights to benefits are protected.

10. The Agreement will provide substantial benefits in net pension flows to Australia. The Department of Families, Housing, Community Services and Indigenous Affairs (FaHCSIA) estimates that, in the first year of the Agreement, approximately 520 people living in Australia will claim a Slovak pension and around 60 people in the Slovak Republic will claim an Australian pension. This will increase ongoing Slovak pension flows into Australia by approximately $1.1 million per year and increase ongoing Australian pension flows into the Slovak Republic by approximately $0.08 million per year.

Obligations

11. Part I (Articles 1 to 5) of the Agreement sets out the general obligations of the Parties under the Agreement. It defines the scope of the Agreement (Articles 2 and 3), ensures that all persons to whom the Agreement applies will be treated equally by the Parties with respect to the payment of benefits (Article 4) and removes restrictions on the payment of benefits based on residence in the other country (Article 5).

12. Part II (Articles 6 to 10) includes provisions to avoid ‘double coverage’. Article 8 ensures that an employee and/or their employer will be subject only to the legislation of their home country with respect to compulsory pension/superannuation contributions where the employee has been temporarily seconded to work in the other country.

13. Part III, Chapter 1 (Articles 11 to 13) applies to benefits payable by Australia and:

a) obliges Australia to regard residents of the Slovak Republic as Australian residents and Australian residents who are temporarily in the Slovak Republic as being present in Australia, for the purpose of claiming Australian age pension (Article 11);

b) provides that creditable periods in the Slovak Republic (periods for which contributions were paid and periods related to those contributions) will be regarded as periods of residence in Australia for the purpose of meeting the ten year qualifying period of residence for Australian age pension (Article 12); and

c) specifies how the rate of Australian age pension will be calculated (Article 13).

14. Part III, Chapter 2 (Articles 14 and 15) applies to benefits paid by the Slovak Republic. The provisions are reciprocal to Australia’s in that periods of ‘Australian working life residence’ will be regarded as creditable periods in the Slovak Republic for the purpose of meeting minimum qualifying requirements. The rate of pension from the Slovak Republic will generally be based on a person’s creditable period and their pensionable earnings.

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15. Part IV (Articles 16 to 25) sets out various administrative obligations, including:

a) to regard the date of claim lodgement in one country as the date of lodgement in the other and in certain circumstances to regard a claim for pension in one country as a claim for the equivalent payment in the other (Article 16);

b) to guarantee payment of benefits in the event that currency controls are imposed by either country (Article 17);

c) to guarantee payment of benefits and submission of documents without deductions for government fees or charges (Article 18);

d) to assist each other in the recovery of a debt owed to one Party because of the payment of arrears of a benefit by the other Party (Article 19);

e) a general obligation for the Parties to assist each other in implementing the Agreement, to communicate with each other and to exchange information (Article 20);

f) for the ‘Competent Authority’ of both Parties to conclude an ‘Administrative Arrangement’ and appoint liaison bodies to implement and administer the Agreement (Article 21);

g) an obligation on both the communicating and receiving body to provide effective personal data protection (Article 22);

h) to communicate with each other in either of the official languages of both parties (Article 23);

i) to resolve disputes and meet to review the Agreement upon request by either Party (Articles 24 and 25).

16. Part V (Articles 26 to 28) contains transitional and final provisions. Article 26 ensures relevant creditable periods and periods of residence completed before the Agreement commences will be taken into consideration. It also provides that Part II of the Agreement applies to an employee who was seconded to work in the other country before the Agreement entered into force.

Implementation

17. The Social Security (International Agreements) Act 1999 (the Act) gives effect in domestic law to relevant provisions of social security agreements that are scheduled to the Act. A new Schedule containing the full text of the Agreement will be added to the Act pursuant to sections 8 and 25.

18. Provisions relating to double superannuation coverage are automatically given effect in domestic law, once the Agreement is scheduled to the Act. This is pursuant to paragraph 27(1)(e) of the Superannuation Guarantee (Administration) Act 1992 and regulation 7AC of the Superannuation Guarantee (Administration) Regulations 1993, which together provide that payment of salary or wages to an employee who has been sent temporarily to work in Australia will not give rise to a superannuation guarantee obligation for the overseas employer, provided that a scheduled social security agreement is in place.

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Cost

19. The Agreement was funded in the 2009-10 Budget at a cost of $2.004 million over the forward estimates period. It is expected to reduce ongoing pension outlays by around $0.06 million in the first full year. Departmental costs, incurred by FaHCSIA, Centrelink and the Australian Taxation Office, total $2.171 million over the forward estimates and are primarily one-off set-up costs.

Regulation Impact Statement

20. The Office of Best Practice Regulation within the Department of Finance and Deregulation has been consulted and advises that a Regulation Impact Statement is not required.

Future treaty action

21. Article 25 of the Agreement obliges the Parties to meet to review the Agreement when requested by either Party. The Agreement may be amended at any time by agreement between the Parties in accordance with Article 39 of the Vienna Convention on the Law of Treaties.

22. Any such amendments to the Agreement would be subject to Australia’s domestic treaty-making process, including tabling in Parliament and consideration by the Joint Standing Committee on Treaties (JSCOT). An ‘Administrative Arrangement’ of less-than-treaty status entered into by the ‘Competent Authorities’ pursuant to Article 21 will not be subject to Australia’s treaty-making process.

Withdrawal or denunciation

23. Article 28 provides that the Agreement shall remain in force until the last day of the twelfth month following the month in which either Party receives from the other a diplomatic note giving notice of termination. In the event of termination, Article 28 preserves the rights of those who are receiving benefits under the Agreement or who have lodged claims and would have been entitled to benefits under the Agreement and employees and/or their employers affected by the double coverage provisions of Part II.

24. Any termination of the Agreement by Australia would be subject to Australia’s domestic treaty-making process, including tabling in Parliament and consideration by JSCOT.

Contact Details

International Agreements International Branch Department of Families, Housing, Community Services and Indigenous Affairs

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ATTACHMENT ON CONSULTATION

Agreement between Australia and the Slovak Republic on Social Security, done at New York on 21 September 2010

[2010] ATNIF 42

CONSULTATION

25. FaHCSIA and The Treasury consulted with relevant community groups, welfare organisations, State and Territory Governments, employer groups and the superannuation industry.

26. On 25 October 2010, FaHCSIA wrote to 8 Slovak community groups and 16 welfare groups across Australia, in addition to all State and Territory Governments, to provide information and seek their views and comments by 1 December 2010. The Agreement text and information about the Agreement is available on FaHCSIA’s website.

27. Slovak community groups consulted were:

Beseda - The Czechoslovak Australian Association of Canberra and Region, Inc. ACT

Czechoslovakian Club in Queensland, Inc.

The Czech and Slovak Association in WA, Inc. Czechoslovak Club in SA, Inc. The Czech and Slovak Association of Tasmania, Inc.

Slovak. Association of Qld Inc.

Australian Slovak Association in New South Wales

Slovak Catholic Mission of St. Cyrilius and Methodius NSW

28. Welfare and other organisations consulted were:

Ethnic Communities Council of QLD ACT Multicultural Community Council Ethnic Communities Council of WA Australian Council of Social Services Multicultural Council of NT Inc Southern Cross Group Welfare Rights Centre Ethnic Communities Council of NSW Multicultural Communities Council of SA Ethnic Communities Council of Victoria Multicultural Council of Tasmania FECCA National Seniors Association COTA National Seniors Combined Pensioners and Superannuants Association

Association of Independent Retirees

29. State and Territory Governments consulted were:

ACT Chief Minister's Department QLD Department of Premier and Cabinet VIC Department of Premier and Cabinet NT Department of Chief Minister SA Department of Premier and Cabinet TAS Department of Premier and Cabinet WA Department of Premier and Cabinet NSW The Cabinet Office, Inter-Governmental & Regulatory Reform Branch

30. No concerns or comments about the Agreement were received.

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31. On 21 October 2010, The Treasury wrote to the organisations listed below to seek their views by 18 November 2010.

32. Organisations consulted were:

Institute of Chartered Accountants in Australia Australian Chamber of Commerce and Industry Industry Funds Forum Inc A.C.T.U. Council of Small Business Organisations of Australia Association of Superannuation Funds of Australia Investment and Financial Services Association CPA Australia National Institute of Accountants

33. No concerns or comments about the Agreement were received.

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DEPARTMENT OF FOREIGN AFFAIRS AND TRADE CANBERRA

Amendments to the Convention Establishing the Multilateral Investment Guarantee Agency to Modernise the Mandate of the Multilateral Investment

Guarantee Agency, done at Seoul on 11 October 1985

Amendment to the International Finance Corporation Articles of Agreement, done at Washington DC on 20 July 1956

Not yet in force [2011] ATNIF 2

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TREATY TEXT

Amendment of the Convention of the Multilateral Investment Guarantee Agency

to allow coverage for stand-alone debt

The Government on whose behalf the present Agreement is signed agree as follows: 1. The text of Article 12(b) pre-amendment reads: • (b) The Board, by special majority, may extend eligibility to any other medium-

or long-term form of investment, except that loans other than those mentioned in Section (a) above may be eligible only if they are related to a specific investment covered or to be covered by the Agency.

The text will be amended to read as follows: • (b) Loans other than those mentioned in Section (a) above are eligible for

coverage (i) if they are made to finance or are otherwise related to a specific investment or project in which some other form of direct investment is present, whether or not guaranteed by the Agency and regardless of when such other investment was made, or (ii) as may be otherwise approved by the Board.

Amendment of the Convention of the Multilateral Investment Guarantee Agency to broaden the process for investor registration

The Government on whose behalf the present Agreement is signed agree as follows: 1. The text of Article 12(c) pre-amendment reads: • (c) Guarantees shall be restricted to investments the implementation of which

begins subsequent to the registration of the application for the guarantee by the Agency. Such investments may include: (i) any transfer of foreign exchange made to modernize, expand, or develop an existing investment; and (ii) the use of earnings from existing investments which could otherwise be transferred outside the host country.

The text will be amended to read as follows: • (c) The Board, by special majority, may extend eligibility to any other medium-

or long-term form of investment.

Amendment of the Convention of the Multilateral Investment Guarantee Agency to broaden the scope for coverage for existing assets

The Government on whose behalf the present Agreement is signed agree as follows: 1. The text of Article 12(d) pre-amendment reads:

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• (d) In guaranteeing an investment, the Agency shall satisfy itself as to: (i) the economic soundness of the investment and its contribution to the development of the host country; (ii) compliance of the investment with the host country's laws and regulations; (iii) consistency of the investment with the declared development objectives and priorities of the host country; and (iv) the investment conditions in the host country, including the availability of fair and equitable treatment and legal protection for the investment.

The text will be amended to read as follows: • (d) Guarantees shall generally be restricted to investments the implementation

of which begins subsequent to the registration of the application for the guarantee by the Agency or receipt by the Agency of other satisfactory evidence of investor intent to obtain guarantees from the Agency. Such investments may include: (i) any transfer of foreign exchange made to modernize, expand, or develop an existing investment, in which case both the original investment and the additional investment may be considered eligible for coverage; (ii) the use of earnings from existing investments which could otherwise be transferred outside the host country; (iii) the acquisition of an existing investment by a new eligible investor; (iv) existing investments where an eligible investor is seeking to insure a pool of existing and new investments; (v) existing investments owned by an eligible investor where there is an improvement or enhancement of the underlying project or the investor otherwise demonstrates a medium- or long-term commitment to the project, and the Agency is satisfied that the project continues to have a high developmental impact in the host country; and (vi) such other investments as may be approved by the Board by special majority.

• (e) In guaranteeing an investment, the Agency shall satisfy itself as to: (i) the economic soundness of the investment and its contribution to the development of the host country; (ii) compliance of the investment with the host country's laws and regulations; (iii) consistency of the investment with the declared development objectives and priorities of the host country; and (iv) the investment conditions in the host country, including the availability of fair and equitable treatment and legal protection for the investment.

Amendment of the Convention of the Multilateral Investment Guarantee Agency to eliminate the requirement for a joint application by the investor and the host country to authorise coverage for specific additional non-commercial risks

The Government on whose behalf the present Agreement is signed agree as follows: 1. The text of Article 11(b) pre-amendment reads: • (b) Upon the joint application of the investor and the host country, the Board,

by special majority, may approve the extension of coverage under this Article to specific non-commercial risks other than those referred to in Section (a) above, but in no case to the risk of devaluation or depreciation of currency.

The text will be amended to read as follows:

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• (b) In addition, the Board, by special majority, may approve the extension of coverage under this Article to specific non-commercial risks other than those referred to in Section (a) above, but in no case to the risk of devaluation or depreciation of currency.

For the full text of the Convention of the Multilateral Investment Guarantee Agency, please see Schedule 1 to the Multilateral Investment Guarantee Agency Act 1997.

Proposed amendment of the Articles of Agreement of the International Finance Corporation to increase basic votes

The Government on whose behalf the present Agreement is signed agree as follows: 1. The Text of Article IV, Section 3(a) currently reads: • (a) Each member shall have two hundred fifty votes plus one additional vote for

each share of stock held.

The text will be amended to read as follows: • (a) The voting power of each member shall be equal to the sum of its basic votes

and share votes.

For the full text of the Articles of Agreement of the International Finance Corporation, please see Schedule 1 to the International Finance Corporation Act 1955.

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National Interest Analysis [2011] ATNIA 6

with attachment on consultation

Amendments to the Convention Establishing the Multilateral Investment Guarantee Agency

to Modernise the Mandate of the Multilateral Investment Guarantee Agency, done at Seoul on 11 October 1985

Amendment to the International Finance Corporation Articles of Agreement, done at Washington DC on 20 July 1956

[2011] ATNIF 2

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NATIONAL INTEREST ANALYSIS: CATEGORY 2 TREATY

SUMMARY PAGE

Amendments to the Convention Establishing the Multilateral Investment Guarantee Agency to Modernise the Mandate of the Multilateral Investment Guarantee Agency,

done at Seoul on 11 October 1985

Amendment to the International Finance Corporation Articles of Agreement, done at Washington DC on 20 July 1956

[2011] ATNIF 1

Nature and timing of proposed treaty actions 1. The proposed treaty action constitutes four amendments to the Convention Establishing the Multilateral Investment Guarantee Agency, done at Seoul on 11 October 1985 (the MIGA Convention) and one amendment to the International Finance Corporation Articles of Agreement, done at Washington DC on 20 July 1956 (the IFC Agreement). The MIGA and IFC are two arms of the World Bank Group. 2. The Board of Directors of the Multilateral Investment Guarantee Agency (MIGA) proposed four amendments to the MIGA Convention in its report of 28 January 2010 concerning amendments to the MIGA Convention, which was formally communicated to Australia on 29 January 2010. On 15 July 2010, Australia voted in favour of the amendments to the MIGA Convention. On 30 July, the MIGA Council of Governors adopted the four amendments to the MIGA Convention. The MIGA Convention (Articles 59 and 60) provides that amendments enter into force for all members 90 days after the Vice President and Corporate Secretary of the World Bank Group certifies, by formal communication (unless the Council specifies a different date of commencement), that not less than 60 per cent of the total membership and 80 per cent or more of the total voting power of MIGA has accepted the amendments. The World Bank formally notified Australia of the adoption of the amendments on 16 August 2010 and specified that the MIGA amendments entered into force on 14 November 2010.

3. The proposed amendment to the IFC Agreement requires adoption by the IFC Board of Governors. The Board of Governors of the IFC must cast their vote by 31 March 2011 for the proposed amendment to the IFC Agreement to adjust the allocation of basic votes. The proposed amendment will enter into force for all members three months after the Corporation certifies, by formal communication addressed to all members, that three-fifths of the Governors exercising 85 per cent of the total voting power, have accepted the amendment. Since the proposed amendment was endorsed by the Board of Governors of the World Bank at the Development Committee Spring Meeting in April 2010, an affirmative vote by the member States is anticipated. Overview and national interest summary

4. The amendments to the MIGA Convention seek to modernise MIGA’s mandate and expand its scope, allowing a greater range of projects to be eligible for MIGA coverage. Currently,

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the MIGA Convention limits MIGA to providing insurance to a narrow range of investors and investments for four defined political risks (currency transfer, expropriation and similar measures, breach of contract and war and civil disturbance).

5. The amendments will permit MIGA to: provide coverage for stand-alone debt; broaden the process for investor registration; broaden the scope for coverage for existing assets; and eliminate the requirement of a joint application by the investor and the host country to authorize coverage for specific additional non-commercial risks. The amendments do not alter MIGA’s core mandate but are aimed at reducing transaction costs and enabling MIGA to insure political risk for projects based on actuarial qualities rather than excluding projects with particular financing structures. These changes were made to allow MIGA to more effectively pursue its development mandate and to respond to the changing demands of MIGA clients.

6. The proposed amendment to the IFC Agreement aims to improve the voice and participation of developing and transition economies in the World Bank by increasing their basic votes. Historically, the fundamental principle underlying the allocation of shares in the IFC has been to reflect each new member’s relative weight in shareholding at the International Bank for Reconstruction and Development (IBRD), which broadly reflects members’ relative position in the world economy. Currently in the World Bank Group, the voting power of each IFC member is the sum of its basic votes, fixed at 250 votes per member, and its share votes, with one vote for each share of IFC stock held. The proposed amendment would increase the basic votes of developing and transition economies with a view to improving the effectiveness and legitimacy of the World Bank as the leading global development institution and enhancing the influence that developing and transition countries have over governance, policies and decision-making in the World Bank. The proposed voting reform also allows shareholders to achieve voting power adjustments in both the IBRD and the IFC, taking into account different levels of shareholder interest in and support for the different institutions.

7. These amendments introduce no substantive changes to Australia’s obligations to either the IFC or MIGA. Australia’s actual IFC shareholding will remain unchanged as a result of the increase in basic votes, while its voting share will decline marginally. Australia has an interest in seeing these amendments accepted as they will likely improve the effectiveness of the IFC and MIGA in promoting economic and financial stability, international development and poverty reduction.

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Reasons for Australia to take the proposed treaty action 8. The IFC and MIGA advance Australia’s interests by supporting international economic development and poverty reduction in developing and emerging economies. 9. MIGA’s mission is to promote foreign direct investment into developing countries to help support economic growth, reduce poverty and improve people’s lives. Investment environments and perceptions of political risk often inhibit foreign direct investment. MIGA addresses these concerns by providing political risk insurance for foreign investments in developing countries and dispute resolution services for guaranteed investments to prevent disruptions to developmentally beneficial projects. Currently, restrictions in the MIGA Convention that limit MIGA to providing insurance to a narrow range of investors and investments to four defined political risks limit its development impact. The proposed amendments will more closely align MIGA with market practices in the political risk insurance industry and allow MIGA to more effectively pursue its development mandate.

10. The IFC lends to the private sector and advances Australia’s interests by financing private sector investment, mobilizing capital in the international financial markets, and providing advisory services to businesses and governments which foster sustainable economic growth in developing countries. The proposed amendment to the IFC Agreement to increase basic votes will assist the IFC’s effectiveness in achieving these goals, by strengthening the relative voting power of developing or transition countries, giving them greater representation in the IFC. Reform of the World Bank, to better reflect global developments and increase its legitimacy with developing countries, will enhance the Bank’s role in the international development architecture and help ensure that funds invested on behalf of Australian taxpayers are best utilised. 11. The proposed amendments introduce no substantive changes to Australia’s obligations to MIGA or the IFC. Rather, they are reforms aimed at improving the capacity and legitimacy of both institutions. Australia has significant interest in seeing these amendments implemented as they will act to improve the effectiveness of MIGA and the IFC in promoting sustainable economic growth in developing countries. The proposed reform package will also assist Australia to fulfil part of its G-20 commitment to strengthen and reform the global development architecture for responding to the world’s long-term challenges by encouraging reforms to make the multilateral development banks more relevant, effective and legitimate, and to enhance developing and transition countries’ voice and influence in the World Bank through increases in voting power. Obligations MIGA Convention amendments 12. The four amendments to the MIGA Convention adopted by the Council of Governors will permit the Agency to:

Allow coverage for stand-alone debt

MIGA is currently prohibited from providing coverage in such cases by MIGA Convention Article 12(b), which allows the Board, by special majority, to extend eligibility to other types

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of medium- to long-term investments ‘except that loans other than [shareholder loans] may be eligible only if they are related to a specific [equity] investment covered or to be covered by the Agency’. MIGA is not aware of any other political risk insurance provider that is subject to a comparable limitation. This limitation results in additional costs for sponsors and interferes with their preferred structures, without any improvements in development impact for the country concerned. MIGA has consequently been unable to provide support for many projects which depend on cross-border financing. The proposed amendments will amend Article 12(b) of the Convention to allow MIGA to provide coverage to lenders for loans being made to eligible projects enterprises on a stand-alone basis, even when the Agency is not covering a related equity investment. Coverage of stand-alone debt will be allowed if the debt finances, or is otherwise related to, a project or investment where other direct investment is present. MIGA will be considerably more effective in catalysing inward direct investment into member countries if it is able to provide coverage to lenders for loans when there is no related equity investment being covered by MIGA.

Broaden the process for investor registration

The MIGA Convention requires that would-be clients register their potential investment with MIGA prior to commencing project implementation. Past experience has shown that potential clients routinely fail to file a Preliminary Application before investing funds, thus rendering their investment ineligible for coverage, despite the fact that they have discussed their pending projects with MIGA at an early stage in the project development. This problem was partly addressed when MIGA’s management changed the Operational Regulations. However, MIGA is seeking to broaden the registration procedure to permit other satisfactory evidence of investor intent in addition to the Preliminary Application. The proposed amendment to Article 12(c) will help to eliminate a minor procedural step and help lessen overall transaction costs for the client.

Broaden the scope for coverage for existing assets

The MIGA Convention was structured to limit MIGA coverage to new foreign direct investment. Coverage for existing assets was restricted by Article 12(d), and a new incoming foreign investor acquiring an existing asset would only be able to obtain MIGA political risk insurance if the acquisition was accompanied by an expansion, modernization or financial restructuring. Under recently approved changes to MIGA’s Operational Regulations, coverage was expanded to include instances where the acquisition leads to enhancements to the business that resulted from intangible benefits, such as non-monetary contributions. However, it is currently not possible for MIGA to provide political risk insurance in the event of a brownfield acquisition. This is a limitation that prevents MIGA’s participation in a large part of the foreign direct investment market. By expanding the scope to provide coverage for existing assets, the proposed amendment to Article 12(d) will allow MIGA to promote developmental impacts by making brownfield investments more attractive.

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Eliminate the requirement for a joint application by the investor and the host country to authorise coverage for specific additional non-commercial risks

The MIGA Convention does not allow for the possibility of MIGA providing political risk insurance cover for additional non-commercial risks beyond the four categories specifically laid out in Article 11(a) (currency transfer, expropriation, war and civil disturbances, and breach of contract), with some flexibility for the Board provided in Article 11(b). However, this flexibility is subject to significant procedural hurdles which have limited MIGA’s ability to expand its product offerings, as Article 11(b) requires that each host country specifically apply for issuance of any new such coverage jointly with the potential investor seeking the coverage. This administrative step also requires that the host country acknowledge that investors perceive special categories of political risk that are not typically applicable in other countries, which many governments may be reluctant to do. The proposed amendment to Article 11(b) will allow the Board to authorise other non-commercial risks by special majority vote, without the requirement of a joint application of the investor and host government.

Proposed IFC Agreement amendment 13. The proposed amendment to Article IV of the IFC Agreement will increase the number of basic votes allocated to each member. Voting share in the IFC is determined by a combination of basic votes and share votes. Basic votes are allocated equally to all members, reflecting the principle of equality of States. Share votes are allocated on the basis of shareholdings (one vote for each share of stock held) and are indicative of the relative economic weight and role of each member in the global economy. The relative voting power of developing and transition countries has eroded over time, partly because the number of basic votes has remained unchanged while the number of share votes has increased markedly. 14. The realignment principles are based on a broad and flexible alignment between IFC and IBRD shareholdings, which take into account different levels of shareholder interest in and support for the different institutions. The IFC voting reforms propose an increase in basic votes in parallel with a selective capital increase open for subscription to those members interested in increasing their shareholding and support for IFC. Australia, along with most developed countries, will not take up any additional shares in the selective capital increase so as to facilitate an overall increase in the representation of developing or transition economies. The basic votes of each member shall be the number of votes that result from the equal distribution among all members of 5.55 per cent of the aggregate sum of the voting power of all members, provided that there will be no fractional basic votes. An increase in basic votes for all members at the IFC will strengthen the relative voting power of small and low-income members, most of which are developing or transition countries, giving them greater representation. Implementation 15. Australia’s current obligations pursuant to the MIGA Convention and the IFC Agreement are given effect in Australian law by the International Finance Corporation Act 1955 (Cth) and the Multilateral Investment Guarantee Agency Act 1997 (Cth). The IFC Agreement and the MIGA Convention form schedules to the relevant Acts. The International Financial Institutions

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Legislation Amendment Act 2010 that amends the relevant Acts to update these schedules for the proposed amendments to the IFC Articles and the MIGA Convention received Royal Assent on 24 November 2010, and therefore has given effect to the changes to the MIGA Convention under Australian law. The proposed amendment to the IFC Agreement still requires adoption by the IFC Board of Governors, who must cast their vote by 31 March 2011. Costs 16. The amendments to the MIGA Convention and the IFC Agreement will not result in additional costs to the Australian Government, or State or Territory Governments. Regulation Impact Statement 17. The Office of Best Practice Regulation, Department of Finance and Deregulation has been consulted and confirms that a Regulation Impact Statement is not required. Future treaty action 18. Article 60 of the MIGA Convention sets out the procedure for amendment of this Convention. A proposal for amendment may emanate from a member, Governor or Director of MIGA and requires Board approval before submission to the Council of MIGA for its approval under Article 59. Upon Council approval, MIGA certifies the amendment by formally communicating such amendment to its membership. Amendments enter into force for all members ninety days after such formal communication, unless the Council specifies a different date. Any amendment to the MIGA Convention must be approved by Governors representing (i) not less than 60 per cent of the total membership and (ii) 80 per cent or more of the total voting power of MIGA.

19. The IFC Agreement provides, at Article VII, that the Agreement may be amended by vote of three-fifths of all the Governors exercising 85 per cent of the total voting power. Moreover, an affirmative vote of all Governors is required in respect of certain specific modifications. Where an amendment has been duly adopted, the IFC so certifies by means of formal communication to the members, and amendments enter into force for all members three months after the date of such formal communication unless the Board of Governors specify a shorter period.

Withdrawal or suspension

20. The amendments do not alter the withdrawal or suspension provisions specified in the IFC Agreement or the MIGA Convention. For MIGA, any member may, after the expiration of three years following the date upon which the Convention has entered into force with respect to such member, withdraw from MIGA at any time by giving notice in writing. Any withdrawal shall become effective ninety days following the date of the receipt of such notice by MIGA. For the IFC, any member may withdraw from membership in the IFC at any time by giving notice in writing. Withdrawal shall become effective upon the date such notice is received.

21. If a member fails to fulfil any of its obligations under the MIGA Convention or the IFC Agreement, MIGA or the IFC may, by a majority of its members exercising a majority of the total voting power, suspend its membership. The suspended member shall automatically cease to be a

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member one year from the date of its suspension unless the IFC or MIGA decides to extend the period of suspension or to restore the member to good standing. 22. A decision to withdraw from the IFC or MIGA would be subject to Australia’s domestic treaty-making process, including tabling in Parliament and consideration by JSCOT.

Contact details Development Banks Unit International Finance and Development Division Department of the Treasury

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ATTACHMENT ON CONSULTATION

Amendments to the Convention Establishing the Multilateral Investment Guarantee Agency

to Modernise the Mandate of the Multilateral Investment Guarantee Agency, done at Seoul on 11 October 1985

Amendment to the International Finance Corporation Articles of Agreement,

done at Washington DC on 20 July 1956

[2011] ATNIF 2 CONSULTATION 23. A formal domestic consultation process was not undertaken prior to the amendments to the Convention Establishing the Multilateral Investment Guarantee Agency, done at Seoul on 11 October 1985 (the MIGA Convention) and the International Finance Corporation Articles of Agreement, done at Washington DC on 20 July 1956 (the IFC Agreement) being adopted by the World Bank Board of Governors. Consultation was considered unnecessary on the basis that there were no domestic stakeholders who would likely be affected by the proposed amendments who had not already been consulted directly by the World Bank. Australia’s position on these issues was clearly stated in the public domain and interested parties were afforded transparency through publicly available documents and statements, for example through Australia’s constituency statements at the World Bank Annual Meeting in October 2008 and the Spring Meeting in April 2010.

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DEPARTMENT OF FOREIGN AFFAIRS AND TRADE CANBERRA

AGREEMENT BETWEEN THE GOVERNMENT OF AUSTRALIA

AND

THE GOVERNMENT OF NEW ZEALAND

ON TRANS-TASMAN COURT PROCEEDINGS AND REGULATORY ENFORCEMENT

(Christchurch 24 July 2008)

Not yet in force [2008] ATNIF 12

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AGREEMENT BETWEEN THE GOVERNMENT OF AUSTRALIA AND THE

GOVERNMENT OF NEW ZEALAND ON TRANS-TASMAN COURT PROCEEDINGS AND REGULATORY ENFORCEMENT

Preamble The Government of Australia and the Government of New Zealand (hereinafter “the Parties”): CONSCIOUS of their long-standing friendship and close historic, political and economic relationship; RECOGNISING the development of that relationship through the framework established by the Australia New Zealand Closer Economic Relations Trade Agreement done at Canberra on 28 March 1983, and subsequent arrangements and agreements developed within that framework of which this Agreement forms a part; ACKNOWLEDGING each Party’s confidence in the judicial and regulatory institutions of the other Party; AFFIRMING their shared commitment to appropriate and effective resolution of trans-Tasman civil disputes and increased regulatory cooperation; DESIRING therefore to establish a new trans-Tasman regime, building on the existing cooperative regime covering the taking of evidence and associated court procedures, to further streamline aspects of civil court proceedings and regulatory enforcement and reduce unnecessary procedural and regulatory barriers to the conduct of litigation; HAVE agreed as follows:

Part 1 Definitions and Objective

Article 1

Definitions Adjudicative function means, in relation to tribunals, the function of determining the rights or liabilities of a person in a proceeding in which there are two (2) or more parties. Appear remotely means where a person physically located in the territory of one Party is heard, or seen and heard, using technology including video or telephone link, by a court within the territory of the other Party.

2

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Court within the territory of a Party for Australia means any federal court (including the High Court of Australia), or any court of a State or Territory. Defendant includes a judgment debtor. Judge for Australia includes a magistrate. Inferior court means a court that is not a superior court. Local registration means an entitlement to practice as a legal practitioner before a court by having fulfilled the necessary local requirements. Money judgment means a judgment under which money is payable. Non-money judgment means a judgment which does not involve the payment of money, including but not limited to, a judgment requiring a person to do or refrain from doing something. Plaintiff includes a judgment creditor. Superior court means:

1. In the case of Australia: a) the High Court of Australia; b) the Federal Court of Australia; c) the Family Court of Australia; or d) the Supreme Court of a State or Territory.

2. In the case of New Zealand: a) the High Court; b) the Court of Appeal; or c) the Supreme Court.

The territory of a Party means the land areas, internal waters and territorial sea under the sovereignty or jurisdiction of a Party, but with respect to New Zealand does not include Tokelau.

Article 2 Objective

1. The objective of this Agreement is to streamline the process for resolving civil

proceedings with a trans-Tasman element in order to reduce costs, improve efficiency, and minimise existing impediments to enforcing certain judgments and regulatory sanctions.

3

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Part 2

Service of Process and Recognition and Enforcement of Judgments in Civil Proceedings

Article 3

Application 1. This Part shall apply to civil proceedings before courts within the territory of

either Party, except civil proceedings in relation to the following matters:

a) dissolution of marriage;

b) enforcement of maintenance obligations; and

c) enforcement of child support obligations.

2. The Parties may, by mutual arrangement, exclude statutory cooperative arrangements and matters covered by existing or proposed bilateral or multilateral arrangements and agreements from the operation of this Part.

3. Actions in rem shall be excluded from the operation of Article 4. 4. The following judgments shall be capable of recognition and enforcement under

Article 5: a) final money judgments, and

b) final non-money judgments, except for the following:

i) orders about probate, letters of administration or the administration of

an estate;

ii) orders about the guardianship or management of property of someone who is incapable of managing their personal affairs or property;

iii) orders about the care, control or welfare of a child; and

iv) orders that, if not complied with, may lead to conviction for an offence

in the place where the order was made.

5. The Parties may, by mutual arrangement, exclude other non-money judgments from recognition and enforcement under Article 5.

6. A judgment shall be deemed to be final even though an appeal may be pending against it, or it may still be subject to appeal.

4

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Article 4

Service of Process 1. Initiating process in civil proceedings in a court within the territory of one Party

may be served, without leave of a court, in the territory of the other Party. 2. Service rendered in accordance with this Article shall have the same effect as if

it had occurred in the jurisdiction of the court in which the initiating process was issued.

3. A plaintiff to a proceeding in the court in which the initiating process is issued

shall not be required to establish any particular connection between the proceedings and the forum in order to render service under this Article.

4. Once service has been rendered under this Article, the defendant may apply for

a stay of the proceedings on the basis that a court within the territory of the other Party is the more appropriate court.

5. When responding to initiating process served under this Article, the defendant

may nominate an address for service in the territory of either Party.

Article 5 Recognition and Enforcement of Judgments

1. On application by the plaintiff, a judgment to which this Article applies issued

by a court within the territory of one Party shall be registered by a court within the territory of the other Party (hereinafter “the registering court”).

2. A judgment registered under this Article shall have the same force and effect,

and may be enforced, as if the judgment had been issued by the registering court.

3. The defendant shall receive notice where a judgment is registered under this

Article. 4. Subject to paragraph 6 and 8 of this Article, a judgment registered under this

Article shall only be varied or set aside by the court in which it was issued, and shall only be the subject of appeal before the courts within the territory of the Party in which it was issued.

5. The registering court may grant a stay of enforcement proceedings in order for

an application for variation or setting aside to be made in the court in which the judgment was issued, or in order for an appeal against the judgment to be lodged in the courts within the territory of the Party in which the judgment was issued.

6. The registration of a judgment pursuant to this Article may only be set aside in

the registering court, and the judgment refused recognition and enforcement in

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the country of registration, if registration of the judgment would be contrary to the public policy of that country.

7. Judgments registered under this Article shall not be refused recognition and

enforcement on the grounds that to do so would involve the direct or indirect enforcement of a foreign public or revenue law.

8. Registration of the following judgments may be set aside in the registering court

on the basis that the property in question was not, at the time of the proceedings before the court which issued the judgment, situated within the territory of the Party in which the court which issued the judgment is located:

a) judgments given in an action where the subject matter is immovable

property; and

b) judgments in an action in rem where the subject matter is movable property. 9. For the purposes of this Article, registering court means:

a) In the case of Australia: i) the Federal Court of Australia; ii) the Family Court of Australia; or iii) the Supreme Court of a State or Territory.

b) In the case of New Zealand: i) the High Court.

c) In addition, any other court within the territory of either Party that could have granted the relief contained in the judgment.

Article 6 Tribunals

1. The Parties may mutually determine a list of specified tribunals, the decisions,

or classes of decisions, of which may be capable of recognition and enforcement pursuant to Article 5 in the courts within the territory of the other Party.

2. In order to be specified under paragraph 1 of this Article, a tribunal must

exercise an adjudicative function and its decisions must be capable of enforcement without an order of a court.

3. The Parties may mutually determine the tribunals specified under paragraph 1 of

this Article the initiating process of which may be served pursuant to Article 4. 4. In order to be specified under paragraph 3, initiating process in proceedings

before that tribunal must be able to be served overseas.

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Article 7

Interim relief in support of proceedings in the territory of the other Party 1. Each Party shall nominate courts within its territory to grant interim relief in

support of proceedings commenced in the courts within the territory of the other Party.

2. Courts nominated under paragraph 1 shall have the ability to grant the same

types of interim relief in support of proceedings initiated in the courts within the territory of the other Party as they are able to grant in domestic proceedings.

Article 8 Declining jurisdiction

1. Where the appropriateness of the forum is in issue in a proceeding, courts within

the territory of each Party shall be able to grant a stay of proceedings on the ground that a court within the territory of the other Party is the more appropriate forum to determine the proceedings.

2. The courts within the territory of each Party shall determine the more

appropriate forum for the proceeding having regard to the following factors:

a) where the parties and witnesses live; b) which jurisdiction’s law is to be applied; and c) whether there is agreement between the parties to the proceeding about the

court or place where proceedings should be heard. 3. Any additional factors to which the courts within the territory of each Party must

have regard shall be determined by mutual arrangement between the Parties.

4. The preceding paragraphs are not intended to:

a) limit the discretion of the courts to have regard to factors other than those listed in paragraph 2 or mutually determined under paragraph 3; or

b) affect the power of the courts to stay a proceeding on a ground other than the ground mentioned in paragraph 1.

5. Courts within the territory of each Party shall not:

a) restrain a party from commencing proceedings in a court within the territory of the other Party on the ground that the court is not the appropriate forum for the proceeding; or

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b) restrain a party in a proceeding before a court within the territory of the other Party from taking a step in the proceeding on the ground that the court is not the appropriate forum for the proceeding.

Part 3 Regulatory Enforcement

Article 9

Enforcing civil pecuniary penalty orders 1. Civil pecuniary penalties imposed by the courts within the territory of one Party

shall be enforceable in the courts within the territory of the other Party as a civil judgment debt, under Article 5.

2. The Parties may, by mutual arrangement, exclude civil pecuniary penalty

regimes from enforcement under this Article on the basis that a regime is inconsistent with the public policy of the Party seeking to exclude it.

Article 10 Enforcing fines for certain regulatory offences

1. The Parties shall mutually determine a list of statutes (or parts or provisions of

statutes) under which fines are imposed for criminal offences under regulatory regimes that affect the effectiveness, integrity and efficiency of trans-Tasman markets and in which both Parties have a strong mutual interest.

2. Fines imposed by the courts within the territory of one Party under a statutory

provision covered by paragraph 1 shall be enforceable in the courts within the territory of the other Party in the same way as a civil judgment debt under Article 5, but must be registered in a superior court of the country registering the judgment.

Part 4 Remote Appearances and Subpoenas

Article 11

Appearing remotely in civil proceedings 1. A party or their legal representative, residing in the territory of one Party, may

appear remotely in civil proceedings in the territory of the other Party, with leave of the court.

2. Legal representatives may only appear remotely in that capacity if they have the

right to appear before that court, or the court permits an appearance without local registration.

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3. Legal representatives may seek leave to appear without local registration if they are registered where their client resides and they will be appearing remotely from that place.

4. Notwithstanding the preceding paragraphs, a party or their legal representative

seeking a stay of civil proceedings in accordance with Article 4(4) and Article 8 has the right to appear remotely without applying for leave of the court.

5. This Article is not intended to restrict the circumstances in which legal

representatives may appear in accordance with other arrangements between the Parties.

Article 12 Issue and service of subpoenas

1. Each Party shall ensure that it builds on the existing cooperative regime between

the Parties covering the taking of evidence and associated court procedures by providing for: a) subpoenas to be issued in criminal proceedings and served in the territory of

the other Party; and

b) inferior courts to issue subpoenas in proceedings before that court, or before a prescribed tribunal, without leave being sought from a superior court.

Part 5 Final Provisions

Article 13

Consultation 1. Any disputes between the Parties arising out of or in connection with this

Agreement shall be resolved amicably and expeditiously by consultation or negotiation between the Parties.

Article 14 Amendment

1. Any amendments to this Agreement agreed by the Parties shall enter into force

30 days after the date of the later notification by which the Parties notify each other that their domestic requirements for the entry into force of the amendments have been fulfilled.

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Article 15

Termination and Transitional Provision 1. Either Party may at any time give notice in writing through diplomatic channels

to the other Party of its decision to terminate this Agreement. 2. Upon such notice being given, the Agreement shall terminate on a date to be

agreed by the Parties in writing. In the absence of such agreement, this Agreement shall terminate on the later of:

a) any date specified in the notice as the date on which the termination is to be

effective; or b) the date 1 year after the date on which the notice was received.

3. The termination of this Agreement shall be without prejudice to the completion

of any proceedings commenced by persons in reliance on this Agreement before and up to the date of termination.

Article 16 Entry into Force

1. Each of the Parties shall notify the other, through diplomatic channels, of the

completion of their respective domestic procedures for the entry into force of this Agreement.

2. This Agreement shall enter into force 30 days after the date of the later of these notifications.

IN WITNESS WHEREOF the undersigned, being duly authorised by their respective Governments, have signed this Agreement.

DONE in duplicate at Christchurch on this twenty-fourth day of July, 2008.

FOR THE GOVERNMENT OF AUSTRALIA: …………………………………….

FOR THE GOVERNMENT OF NEW ZEALAND: …………………………………….

Hon Robert McClelland Attorney-General

Hon. Lianne Dalziel Minister of Commerce, Minister for Food Safety, and Associate Minister of Justice

10

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National Interest Analysis [2011] ATNIA 3

with attachment on consultation

Agreement between the Government of Australia and the Government of New Zealand

on Trans-Tasman Court Proceedings and Regulatory Enforcement, done at Christchurch on 24 July 2008

[2008] ATNIF 12

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NATIONAL INTEREST ANALYSIS: CATEGORY 1 TREATY

SUMMARY PAGE

Agreement between the Government of Australia and the Government of New Zealand

on Trans-Tasman Court Proceedings and Regulatory Enforcement, done at Christchurch on 24 July 2008

[2008] ATNIF 12

Nature and timing of proposed treaty action

1. The proposed treaty action is to bring the Agreement between the Government of Australia and the Government of New Zealand on Trans-Tasman Court Proceedings and Regulatory Enforcement, done at Christchurch on 24 July 2008 (‘the Agreement’), into force. The Agreement was signed by the Attorney-General and the New Zealand Minister of Commerce, Minister for Food Safety and Associate Minister of Justice in Christchurch on 24 July 2008. 2. Pursuant to Article 16, the Agreement will enter into force 30 days after the later date on which the Parties have notified each other in writing, through diplomatic channels, that their internal procedures necessary for its entry into force have been completed.

Overview and national interest summary

3. The objective of the Agreement is to streamline the process for resolving civil proceedings with a trans-Tasman element in order to reduce costs, improve efficiency and minimise existing impediments to enforcing certain judgments and regulatory sanctions. The Agreement increases certainty for trade by creating clear means in which to pursue civil litigation and will benefit both businesses and individuals involved in legal disputes across the Tasman.

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Reasons for Australia to take the proposed treaty action

4. The Agreement builds on the longstanding relationship and close historic, political and economic ties between Australia and New Zealand developed through and evidenced by the Australia New Zealand Closer Economic Relations Trade Agreement, done at Canberra on 28 March 1993. This Agreement forms part of the framework established by the Closer Economic Relations Trade Agreement and will create conditions for increased trade and commerce between Australia and New Zealand by providing greater certainty about the enforcement of legal rights.

5. At present, resolving trans-Tasman legal disputes is often expensive, slow and complicated. The Agreement sets out a new regime which will simplify and harmonise civil procedure rules in Australia and New Zealand by: making better use of video and audio technology to enable cheaper, more convenient remote appearances; harmonising rules of appropriate jurisdiction; streamlining procedures for the service of documents; building on the existing cooperative evidence regime to allow subpoenas to be issued in criminal proceedings; and eliminating the expense and time involved in commencing new proceedings to enforce a judgment already obtained in the other country’s courts.

6. The Agreement is based on the simple, streamlined and cost effective Service and Execution of Process Act 1992 (Cth) model, which has resolved many of the practical difficulties with service of process and enforcing judgments between the States and Territories within Australia.

Obligations

7. The Agreement acknowledges each Party’s confidence in the judicial and regulatory institutions of the other Party and affirms their shared commitment to appropriate and effective resolution of trans-Tasman civil disputes and increased regulatory cooperation.

8. The Agreement applies in the land areas, internal waters and territorial sea of each Party, but with respect to New Zealand, does not include Tokelau (Article 1).

9. Part 2 of the Agreement (Article 3 to Article 8), which deals with service of process and the recognition and enforcement of judgments in civil proceedings, applies to civil proceedings other than those concerning dissolution of marriage, enforcement of maintenance obligations and enforcement of child support obligations (Article 3.1). It allows for the enforcement of civil judgments other than those concerning: probate and the administration of estates; guardianship or management of the property of someone incapable of managing their own affairs; the care, control or welfare of a child; and orders that, if not complied with, may lead to conviction for an offence in the place where the order was made (Article 3.4). Part 2 of the Agreement also allows for the Parties to mutually agree to exclude certain types of matters covered by existing or proposed agreements or arrangements, statutory cooperative arrangements, and non-money judgments from the application of the Agreement (Article 3.2 and 3.5).

10. Article 4 of the Agreement provides for initiating processes in civil proceedings in the territory of one Party to be served in the territory of the other Party without the need to seek leave of a court, except where the initiating process relates to an action in rem, namely those focused on determining proprietary title to property. Article 4 also provides that a defendant may apply for a stay of proceedings, where the initiating process has been served in accordance with Article 4, on the basis that a court within the territory of the other Party is the more appropriate court.

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11. Article 5 provides that, on application, final judgments issued by a court within the territory of one Party shall be registered and may be enforced by a court within the territory of the other Party subject to specific exceptions. A public policy exception to the registration and enforcement of judgments has been retained for the court where a judgment is registered in order to cater for the rare occasions where registration of the judgment would conflict with important public policy considerations in that country.

12. Article 6 allows the Parties to mutually determine a list of specified tribunals performing adjudicative functions whose decisions will be recognised and enforced within the territory of the other Party. The initiating processes of such tribunals may also, by mutual determination of the Parties, be capable of being served in the territory of the other Party.

13. Article 7 provides that nominated courts within each Party’s territory shall have the same ability to grant interim relief in support of proceedings commenced in the courts within the territory of the other Party as they are able to grant in domestic proceedings.

14. Article 8 provides that the courts within the territory of one Party shall decline jurisdiction on the ground that a court within the territory of the other Party is the more appropriate forum to determine the proceedings. The Agreement also sets out the factors that each Party’s courts shall consider to determine the more appropriate forum for the proceedings, such as where the Parties and witnesses live, which jurisdiction’s law is to be applied and whether the Parties to the proceedings have agreed on the place or court where the proceedings should be heard. These factors do not limit the discretion of the courts to have regard to other factors. Courts within the territory of each Party shall not restrain a Party from commencing proceedings, or continuing them, in a court within the other Party’s territory on the ground that it is not the appropriate forum.

15. Article 9 provides that civil pecuniary penalties within the territory of one Party shall be enforceable in the courts within the territory of the other Party as a civil judgment debt. The Agreement provides that a civil pecuniary penalty may, by mutual agreement, be excluded from enforcement on the basis that the civil pecuniary penalty regime is inconsistent with the public policy of the Party seeking to exclude it.

16. Article 10 allows the Parties to mutually determine a list of statutes or statutory provisions allowing fines to be imposed for criminal offences under regulatory regimes which affect the effectiveness, integrity and efficiency of trans-Tasman markets. Where such fines are imposed by a court within the territory of one Party they will be enforceable in the courts within the territory of the other Party.

17. Article 11 provides for remote appearances in the territory of the Party that is not hearing the civil proceeding with leave of the court hearing the proceeding. Where a Party is seeking a stay of civil proceedings, that Party has a right to appear remotely without leave of the court.

18. Article 12 provides for subpoenas issued in criminal proceedings to be served in the territory of the other Party and for inferior courts to issue subpoenas in proceedings before it without leave being sought from a superior court.

19. Article 13 provides that the Parties will resolve any disputes arising out of the Agreement amicably and expeditiously through consultation or negotiation.

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Implementation

20. Giving effect to the Agreement requires amendments to Australian and New Zealand law. The Trans-Tasman Proceedings Act 2010 (Cth) and the corresponding New Zealand Trans-Tasman Proceeding Act 2010 (NZ) which implement the Agreement have been passed by the respective Parliaments but will not commence until after the Agreement has entered into force. In Australia, regulations under the Trans-Tasman Proceedings Act 2010 need to be made and in New Zealand, Orders in Council need to be developed. The relevant Australian and New Zealand court rules also need to be amended.

Costs

21. The only costs arising from acceding to the Agreement are those relating to the amendment of the relevant laws in each jurisdiction. For Australia, these costs will be met from within existing resources.

Regulation impact statement

22. In 2007 this proposal was self-assessed by the Australian Attorney-General's Department. The Office of Best Practice Regulation, Department of Finance and Deregulation has been consulted about the Agreement and confirms that a Regulation Impact Statement is not required.

Future treaty action

23. Article 14 of the Agreement provides that any amendments agreed by the Parties shall enter into force 30 days after the date of the later notification by which the Parties notify each other that their domestic requirements for the entry into force of the amendments have been fulfilled. Any such amendment would be subject to Australia’s domestic treaty-making process, including tabling and consideration by the Joint Standing Committee on Treaties.

Withdrawal or denunciation

24. Article 15 of the Agreement provides that either Party may at any time give notice in writing through diplomatic channels to the other Party of its decision to terminate the Agreement. The termination is to take effect on a date to be agreed by the Parties in writing. In the absence of such agreement, the Agreement will terminate on the later of any date specified in the notice as the date on which the termination is to be effective or the date of one year after the date on which the notice was received.

Contact details Private International Law Section Access to Justice Division Attorney-General’s Department.

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ATTACHMENT ON CONSULTATION

Agreement between the Government of Australia

and the Government of New Zealand on Trans-Tasman Court Proceedings and Regulatory Enforcement,

done at Christchurch on 24 July 2008

[2008] ATNIF 12

CONSULTATION

Preliminary

25. In 2003, the Prime Ministers of Australia and New Zealand established a Working Group co-chaired by the Australian Attorney-General’s Department and the New Zealand Ministry of Justice to review existing trans-Tasman cooperation in the field of civil proceedings. In addition to staff from the Attorney-General's Department and the New Zealand Ministry of Justice, the Working Group included officials from the Departments of Prime Minister and Cabinet (Australia and New Zealand), the Ministry of Foreign Affairs (New Zealand), the Department of Foreign Affairs and Trade (Australia), the Ministry of Economic Development (New Zealand) and the Department of the Treasury (Australia).

26. In July 2005, the Australian Attorney-General wrote to the Attorney-General of each State and Territory, providing a pre-release copy of the discussion paper for consideration and on 1 August 2005, the Working Group publicly released a discussion paper that identified a range of existing issues with trans-Tasman arrangements for managing cross-border litigation and sought public views. Submissions to the Working Group were received from:

Australia

• Law Society of New South Wales; • Emeritus Professor JLR Davis, Australian National University; • Dr Andrew Cannon, Deputy Chief Magistrate and Senior Mining Warden for South Australia; • Law Council of Australia; • Attorney-General’s Department of New South Wales; • DLA Phillips Fox, Solicitors; • Clayton Utz, Solicitors; • Australian Securities and Investment Commission; • Department of Justice, Northern Territory; • Family Court of Australia; • Federal Court of Australia; • Australian Competition and Consumer Commission; • Department of Justice, Victoria; • Dr Reid Mortensen, Reader in Law, University of Queensland;

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New Zealand • Promina Group Limited; • Office of the Privacy Commissioner; • Bell Gully, Solicitors; • Commerce Commission; • Australia New Zealand Leadership Forum’s Trans-Tasman Competition and Consumer Issues Working Group; • Reserve Bank of New Zealand; • Telecom New Zealand Limited; • Dr Elsabe Schoeman, Senior Lecturer, Faculty of Law University of Auckland; • New Zealand Law Society Civil Litigation and Tribunals, Criminal Law and Commerical and Business Law Committees; • New Zealand Law Society Family Law Section’s International and Property Relationship Committees; • New Zealand Law Commission; • Professor Mark Henaghan, Dean of Law, University of Otago; • Ministry of Economic Development and Ministry of Consumer Affairs Takeovers Panel; • The Honourable Justice David Baragwanath; • Schnauer and Co, Barristers and Solicitors; • Ministry of Transport.

27. The Working Group report and outcomes were discussed at the Standing Committee on Attorneys-General (SCAG) meeting in November 2005.

28. On 13 December 2006 the Working Group released its final report and on 25 May 2007 the Australian and New Zealand Governments announced their intention to implement the reforms proposed by the Working Group by initially entering into a bilateral treaty between the two countries.

State and Territory and SCAG consultation on the Agreement

29. SCAG was regularly updated on the progress of the Agreement. Progress on the Agreement was on the agenda and discussed at the following SCAG meetings: 26-27 July 2007; 27-28 March 2008; 16-17 April 2009.

30. In May 2008, the draft Agreement was circulated to all State and Territory Attorneys-General for comment. In May 2008, teleconferences were conducted with interested State and Territory officials to discuss the draft text of the Agreement and answer any questions. The Agreement was also considered by relevant State and Territory courts, the ACT Parliamentary Counsel and the Chair of the Joint Rules Advisory Committee.

31. General support for the Agreement was received from States and Territories. Where required, comments made by States and Territories were incorporated into the text of the Agreement.

32. In October 2009, exposure draft legislation giving effect to the Agreement was provided to all the States and Territories for consultation. Where required, comments made by States and Territories were incorporated into the text of the Bill.

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33. In November 2010, the Australian Attorney-General’s Department commenced consultation with the States and Territories in relation to further implementation of the Agreement. These consultations are ongoing.

Australia and New Zealand Consultations

34. Regular consultation occurred between the Australian Attorney-General’s Department, the Australian Department of Foreign Affairs and Trade, the Australian Department of the Prime Minister and Cabinet, the Australian Department of the Treasury, the New Zealand Ministry of Justice and the New Zealand Ministry of Foreign Affairs and Trade on the draft terms of the Agreement. The Australian Taxation Office and the Australian Director of Public Prosecutions were also consulted on aspects of the proposed Agreement before the text was finalised.

35. In April and May 2008 the Australian Department of the Prime Minister and Cabinet, the Australian Department of Foreign Affairs and Trade and the Australian Department of the Treasury approved the draft text of the Agreement.

36. The Federal Executive Council approved the text of the Agreement on 17 July 2008.

37. The New Zealand House of Representatives Law and Order Select Committee conducted an International Treaty examination of the Agreement in June 2008 and recommended that the House of Representatives take note of its report that the National Interest Analysis was adequate.

38. In 2009, the New Zealand Ministry of Justice was regularly consulted on the draft legislation giving effect to the agreement. Where required, comments made by New Zealand were incorporated into the text of the Bill.

39. In November 2010, the Australian Departments of: Finance and Deregulation; Treasury; Foreign Affairs and Trade; Agriculture, Fisheries and Forestry; Infrastructure and Transport; and the Civil Aviation and Safety Authority were consulted about the inclusion of specific regulatory regime criminal fines within the trans-Tasman scheme.

40. Regular consultation on implementation continues to occur between the Australian Attorney-General’s Department and the New Zealand Ministry of Justice.

Commonwealth-State-Territory Standing Committee on Treaties

41. In March 2008, September 2008, July 2009 and September 2010 the Agreement was listed on the Schedule of Treaties sent to representatives on the Commonwealth-State-Territory Standing Committee on Treaties.

Federal Court consultation

42. In October 2009, exposure draft legislation giving effect to the Agreement was provided to the Federal Court of Australia, the Family Court of Australia and the Federal Magistrates Court of Australia. Where required, comments made by these courts were incorporated into the text of the Bill.

43. Consultation on implementation continues to occur between the Australian Attorney-General’s Department and the courts.

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Public consultation

44. In October 2009, exposure draft legislation giving effect to the Agreement was provided to a range of academics, legal practitioners and legal organisations, a number of which provided submissions in response to the 2005 Working Group discussion paper. Where required, comments made by those consulted were incorporated into the text of the Bill.

45. Targeted consultation on implementation continues to occur between the Australian Government and the public.

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DEPARTMENT OF FOREIGN AFFAIRS AND TRADE CANBERRA

AGREEMENT

BETWEEN

THE GOVERNMENT OF AUSTRALIA

AND

THE GOVERNMENT OF THE REPUBLIC OF SOUTH AFRICA

CONCERNING THE CO-PRODUCTION OF FILMS

(Pretoria, 18 June 2010)

Not yet in force [2010] ATNIF 40

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PREAMBLE

The Government of Australia and the Government of the Republic of South Africa

(hereinafter referred to jointly as "the Parties" and separately as a "Party")

SEEKING to enhance cooperation between their two countries in the area of film;

DESIROUS of expanding and facilitating the co-production of films which may be

beneficial to the film industries of both countries;

RECOGNISING the need for their countries to share the risks and cost of

productions, whilst increasing the output of high quality productions;

SEEKING to facilitate the cultural, creative and economic exchanges between their

two countries; and

CONVINCED that these exchanges will contribute to the enhancement of relations

between the two countries;

HEREBY AGREE as follows:

ARTICLE 1

Definitions

In this Agreement, unless the context otherwise indicates:

1.1 “Competent Authority" means the authority designated as such by each Party

in accordance with Article 2;

1.2 “co-producer” means one or more Australian nationals or one or more

nationals of the Republic of South Africa involved in the making of a

co-production film;

1.3 “third country co-producer” means any individual from another country with

which Australia or the Republic of South Africa maintains a film and

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audiovisual agreement as referred to under Article 5 (Third Country

Co-productions);

1.4 "co-production film" means a film which is approved by the Competent

Authorities and has been made by one or more Australian co-producers in

conjunction with one or more South African co-producers (or in the case of a

third country co-production, with a third country co-producer);

1.5 "film" means any aggregate of images, or of images and sounds, embodied in

any material and includes, but is not limited to, television and video

recordings, animations and digital format productions, but does not include an

item which is outside the scope of the laws of either Party which govern the

provision of benefits under the international agreements relating to the

co-production of films;

1.6 "legal entities" means any entities duly constituted or otherwise organised

under the applicable domestic law, whether for profit or otherwise, and

whether privately-owned or governmentally-owned, including any

corporations, trusts, partnerships, joint ventures, sole proprietorships or

associations;

1.7 "nationals" means:

(a) in relation to Australia, Australian citizens and permanent residents;

(b) in relation to the Republic of South Africa, South African citizens and

permanent residents;

1.8 "benefits" means all those financial and other incentives which may be offered

to co-production films by each Party from time to time under Article 6.1

(Entitlement to Benefits);

1.9 "protection and reproduction material" means those materials derived from the

original film materials for the purpose of protecting the final version of the

film; and those materials used for making copies of the film for the purpose of

distribution and exhibition of the film.

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ARTICLE 2

Competent Authorities

2.1 Each Party shall designate a Competent Authority for the purposes of

implementing this Agreement. Either Party may change their designated

Competent Authority by giving notice to the other Party through the

diplomatic channel. The change in a Competent Authority will take effect 28

days after the notice has been received.

2.2 The Competent Authorities may examine the implementation of this

Agreement and consult with each other to resolve any difficulties arising out

of its application.

ARTICLE 3

Approval of Co-production Films

3.1 Prior to the commencement of the making of a co-production film,

co-producers shall have applied to the designated Competent Authorities of

each Party for provisional approval of the film.

3.2 In approving films under this Agreement, the Competent Authorities, acting

jointly, shall apply the provisions of this Agreement and the Annex to this

Agreement consistently with Article 18.

3.3 When approving a film as a co-production film, each Competent Authority

may stipulate additional conditions of approval, framed in order to ensure that:

(a) minimum financial and creative contributions are met;

(b) the creative contribution is in reasonable proportion to the financial

contribution of each co-producer; and

(c) an overall balance is achieved in accordance with Article 17.1.

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3.4 In the event that approval by both the Competent Authorities is not granted,

the film concerned shall not be approved as an official co-production film or

as having official co-production status.

3.5 The approval of a film as a co-production by the Competent Authorities shall

not bind the relevant authorities in either country to permit the public

exhibition of the resulting film.

ARTICLE 4

Co-producer Status

The Competent Authorities shall ensure that:

(a) the Australian co-producer shall fulfil all the conditions relating to

status which would be required to be fulfilled in order for the

production to be eligible as an Australian film under Australian

legislation;

(b) the South African co-producer shall fulfil all conditions relating to

status which would be required to be fulfilled in order for the

production to be eligible as a South African film under relevant South

African legislation; and

(c) none of the co-producers shall be linked by common management,

ownership or control, save to the extent that it is inherent in the making

of the co-production film itself.

ARTICLE 5

Third Party Co-productions

5.1 Where either Party maintains with a third country a film or audio-visual

co-production agreement the Competent Authorities may jointly approve a

film as a co-production film under this Agreement that is to be made in

conjunction with a co-producer from that third country.

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5.2 Any third country co-producer shall fulfil all conditions relating to status

which would be required to be fulfilled to produce a film under the terms of

the co-production agreement in force between that co-producer's country and

either Australia or the Republic of South Africa.

ARTICLE 6

Entitlement to Benefits

6.1 A co-production film shall be entitled to the full enjoyment of all the benefits

which are or may be accorded to national films in Australia and the Republic

of South Africa respectively subject to the domestic laws in force in each

country.

6.2 Any subsidies, tax incentives, or other financial incentives which may be

granted by either Party in relation to a co-production film shall accrue to the

co-producer who is permitted to claim those benefits in accordance with the

existing measures of that Party.

6.3 Such subsidies, tax incentives or other financial benefits may not be assigned

or disposed of except to or for the benefit of a legal entity or national of that

co-producer’s country, or in the case of a third country co-production in terms

of Article 5 (Third Country Co-productions), any individual or legal entity that

falls within the relevant scope of the film or audiovisual agreement referred to

in Article 5.

6.4 A film made in accordance with an approval by the Competent Authorities

under this Agreement but completed after the termination of this Agreement

shall be treated as a co-production film and its co-producers shall accordingly

be entitled to all the benefits of this Agreement.

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ARTICLE 7

Import of Equipment

Each of the Parties shall provide, in accordance with their respective laws,

temporary admission of cinematographic and technical equipment for the

making of co-production films, upon the giving of a security or undertaking

for payment of duties and taxes until the goods are exported.

ARTICLE 8

Immigration Facilitation

Each of the Parties shall permit the nationals of the other Party, and in the case

of a third country co-production in terms of Article 5 (Third Country

Co-productions), any individual that falls within the relevant scope of the film

or audiovisual agreement referred to in Article 5, to travel to, enter and remain

in its territory for the purpose of making or exploiting a co-production film,

subject to the requirement that such individuals comply with the domestic

laws and procedures relating to entry into or temporary stay in its territory.

ARTICLE 9

Contributions

9.1 Each co-producer including, in the case of a third country co-production under

Article 5, the third country co-producer, shall have both a financial and a

creative contribution each of not less than twenty per cent (20%) of the total

financial and creative contribution for the co-production film.

9.2 The performing, technical and craft contribution (being the “creative”

contribution) of each co-producer to a co-production film shall be in

reasonable proportion to the co-producer's financial contribution.

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ARTICLE 10

Location Filming

The Competent Authorities shall have the power to approve location filming

in a country other than the countries of the participating co-producers.

ARTICLE 11

Participation

11.1 Individuals participating in the making of co-production films shall be

nationals of Australia, the Republic of South Africa, or in the case of a third

country co-production in terms of Article 5 (Third Country Co-productions),

individuals that fall within the relevant scope of the film or audiovisual

agreement referred to in Article 5.

11.2 As a general rule, only performers from the participating co-production

countries shall be engaged in productions. However, in exceptional

circumstances, where script or financing dictates, performers from other

countries may be engaged.

11.3 Where the Competent Authorities have approved location filming in a country

other than that of the participating co-producers, citizens of that country may

be employed as crowd artists, in small roles, or as additional employees whose

services are necessary for the location work to be undertaken.

11.4 In exceptional circumstances, the Competent Authorities may jointly approve

the participation of restricted numbers of technical personnel from other

countries where the technical expertise does not exist or is not available in the

co-producers’ countries at the time a relevant co-production film is to be

made.

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ARTICLE 12

Soundtrack

12.1 Unless otherwise mutually decided by the Competent Authorities, the original

soundtrack of each co-production film shall be made in one of the official

languages, including any commonly used dialect, of either Party, or where

there is a third co-producer, in one of the official languages, including any

commonly used dialect, of that third country, or in any combination of those

languages.

12.2 The original soundtrack of each co-production film shall be made in Australia

and/or the Republic of South Africa and/or, where there is a third country

co-producer, in that third country.

12.3 Narration, dubbing or subtitling shall be permitted in any other agreed

commonly used language, official language or dialect of either Party, or where

there is a third country co-producer, in a commonly used language or dialect

of that third country.

12.4 Narration, dubbing and subtitling of each co-production film shall take place

in Australia and/or the Republic of South Africa and/or where there is a third

country co-producer, in that third country.

12.5 Post release print dubbing into any other language may be carried out in a

country other than the co-producers’ countries.

12.6 The soundtrack may contain sections of dialogue in any language in so far as

this is required by the script.

12.7 Unless otherwise approved by the Competent Authorities, any music specially

composed for a co-production film shall be composed by nationals of

Australia, the Republic of South Africa, or in the case of a third country

co-production in terms of Article 5 (Third Country Co-productions), any

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individual that falls within the relevant scope of the film or audiovisual

agreement referred to in Article 5.

ARTICLE 13

Making up to First-Release Print

13.1 Co-production films shall be made and processed up to the creation of the first

release print in Australia and/or the Republic of South Africa and/or, where

there is a third country co-producer, that co-producer's country. The majority

of this work shall normally be carried out in the country of the co-producer

which has the major financial contribution.

13.2 At least ninety per cent (90%) of the footage included in a co-production film

shall, subject to any departure from this rule which is approved by the

Competent Authorities, be specially shot for that film.

ARTICLE 14

Working Conditions

The Competent Authorities shall satisfy themselves that conditions of work in

the making of co-production films under this Agreement in each of the

countries of the participating co-producers are in broad terms comparable and

that in the event that location shooting of the film takes place in a country

other than that of a co-producer, conditions shall be, in broad terms, no less

favourable.

ARTICLE 15

Acknowledgements and Credits

The Competent Authorities shall ensure that each co-production film includes

either a separate credit title indicating that the film is either an "Australian–

South African co-production" or a "South African–Australian co-production",

or where relevant, a credit which reflects the participation of Australia, the

Republic of South Africa and the country of the third country co-producer.

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ARTICLE 16

Taxation

Notwithstanding any other provision of this Agreement, for the purposes of

taxation the domestic laws in force within the territory of each Party shall

apply subject to the provisions of any tax treaty between the Parties.

ARTICLE 17

Balance

17.1 An overriding aim of this Agreement, as monitored by the Competent

Authorities, shall be to ensure that an overall balance is achieved between the

Parties with respect to:

(a) the contribution of each country to the production costs of all

co-production films;

(b) the usage of studios and laboratories;

(c) the employment of all performing, craft and technical personnel,

measured on a straight head count basis; and

(d) the participation in each of the major performing, craft and technical

categories and in particular, that of the writer, director and lead cast;

over each period of three years commencing on the date that this Agreement

enters into force. The Competent Authorities shall consult each other

informally on an annual basis with regard to progress in monitoring balance.

17.2 Either Competent Authority may withhold approval of a film as a co-

production film on the basis that the overriding aim of overall balance referred

to in Article 17.1 would be prejudiced by such approval.

17.3 Any disputes on whether the overall balance referred to in Article 17.1 is

achieved shall be settled amicably through consultation or negotiation between

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the Competent Authorities. Either Party’s Competent Authority may initiate

such consultation or negotiation by written request.

ARTICLE 18

Status of Annex

18.1. The Annex to this Agreement shall constitute an implementing arrangement in

respect of this Agreement and shall be read in conjunction with the provisions

of this Agreement. The Annex reflects the understandings of the Parties and

does not create legally binding obligations.

18.2 Any modifications to the Annex shall be jointly determined by the Competent

Authorities. Modifications to the Annex shall be in conformity with the

provisions of this Agreement.

18.3 Modifications to the Annex shall be confirmed by the Competent Authorities

in writing and shall take effect on the date specified by the Competent

Authorities.

ARTICLE 19

Amendment

This Agreement may be amended by mutual consent by Exchange of Notes

between the Parties through the diplomatic channel.

ARTICLE 20

Entry into Force

This Agreement shall enter into force on the date on which each Party has

notified the other in writing, through the diplomatic channel, of its compliance

with its domestic requirements, including any constitutional requirements,

necessary for the entry into force of this Agreement. The date of entry into

force shall be the date of the last notification.

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ARTICLE 21

Duration and Termination

This Agreement shall remain in force initially for a period of three (3) years

from the date of its entry into force, where after it shall automatically be

renewed for successive periods of three (3) years unless terminated by either

Party at the conclusion of a three year period by giving six (6) months prior

notice in writing through the diplomatic channel.

IN WITNESS WHEREOF, the undersigned, being duly authorised thereto by their

respective Governments, have signed and sealed this Agreement in two originals in

the English language.

DONE in duplicate at Pretoria on this eighteenth day of June

two thousand and ten.

For the Government of Australia: The Hon Kate Ellis MP Minister for Early Childhood Education, Childcare, Youth and Sport

For the Government of the Republic of South Africa: The Hon Lulama Xingwana Minister for Arts and Culture

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ANNEX

(1) Status of Annex

This Annex constitutes an implementing arrangement in respect of the

Agreement between the Government of Australia and the Government of the

Republic of South Africa Concerning the Co-Production of Films (“the

Agreement”), and will be read in conjunction with the provisions of the

Agreement. This Annex reflects the understandings of the Parties to the

Agreement and does not create legally binding obligations.

(2) Duration and Termination

This Annex will come into effect when the Agreement enters into force and

will be terminated when the Agreement is terminated.

(3) Designation of Competent Authorities

The Competent Authorities for the Agreement are the National Film and

Video Foundation (NFVF) in the Republic of South Africa and Screen

Australia (SA) in Australia.

(4) Approval Process

The approval process under Article 3 (Approval of Co-production Films) of

the Agreement will comprise two stages:

(a) Provisional Approval upon application; and

(b) Final Approval upon completion of the co-production film.

(5) Co-producer Contracts

In approving films, the Competent Authorities will ensure that the contracts

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between the co-producers:

(a) contain a provision for co-producers to submit contracts for approval

by the Competent Authorities prior to effecting or making any

amendments and/or deletions to a contract prior to the completion of

the co-production project;

(b) provide that a co-producer may only assign or dispose of the benefits

referred to in Article 6 (Entitlement to Benefits) of the Agreement in

accordance with Articles 6.2 and 6.3 of the Agreement;

(c) set out the arrangements regarding the ownership and use of any

intellectual property rights arising from the making of the

co-production film;

(d) provide that a sufficient number of copies of the final protection and

reproduction material used in the production be made for all the

co-producers. Each co-producer will be the owner of a copy of the

protection and reproduction material and will be entitled to use it to

make the necessary reproductions. Moreover, each co-producer will

have access to the original production material in accordance with the

conditions mutually determined between the co-producers;

(e) set out the financial liability of each co-producer for costs incurred in

the following situations:

(i) where a film is refused provisional approval as a co-production

film by the Competent Authorities;

(ii) where a film which has been given such provisional approval

fails to comply with the conditions of such approval;

(iii) where permission for the public exhibition of an approved

co-production film is withheld in any of the countries of the

co-producers; or

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(iv) where permission for the export/distribution of an approved

co-production film to a third country is withheld;

(f) set out the arrangements regarding the division between the

co-producers of the receipts from the exploitation of the film, including

those from export markets;

(g) specify the dates by which their respective contributions to the

production of that film will have been completed; and

(h) specify any other conditions imposed jointly by the Competent

Authorities when granting provisional approval.

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National Interest Analysis [2011] ATNIA 4

with attachment on consultation

Agreement between the Government of Australia and the Government of the Republic of South Africa concerning the Co-Production of Films,

done at Pretoria on 18 June 2010

[2010] ATNIF 40

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NATIONAL INTEREST ANALYSIS: CATEGORY 1 TREATY SUMMARY PAGE

Agreement between the Government of Australia and the

Government of the Republic of South Africa concerning the Co-Production of Films, done at Pretoria on 18 June 2010

[2010] ATNIF 40

Nature and timing of proposed treaty action 1. Australia signed the Agreement between the Government of Australia and the Government of the Republic of South Africa concerning the Co-Production of Films (‘the Agreement’) done at Pretoria on 18 June 2010. The Republic of South Africa advised on 5 October 2010 that South Africa has fulfilled its domestic requirements for entry into force of the treaty. 2. Article 20 of the Agreement provides that the Agreement shall enter into force once the parties have notified each other through diplomatic channels that their domestic requirements have been completed. The Agreement shall enter into force on the latter date of these two notifications. It is proposed that Australia provide such notification to South Africa via diplomatic channels as soon as practicable following tabling of the treaty in Parliament and consideration by the Joint Standing Committee on Treaties (JSCOT). Overview and national interest summary 3. The purpose of the proposed Agreement is to stimulate industry, employment, technical development and cultural exchange by facilitating film co-productions between Australia and South Africa. The Agreement provides a framework within which the relevant authorities of each country may cooperate to approve the making of a broad range of films including feature films, television, video recordings, animations and digital format productions. 4. South Africa’s film industry is growing rapidly and increased South African Government support, to encourage the creation of local content and to attract overseas productions to film in South Africa, has made it increasingly competitive internationally. The Australian film industry supported the negotiation of the Agreement from the outset, noting that as South Africa’s film industry grew, so too would the mutual benefits for production activity and cultural exchange between the two countries. This Agreement will open up new markets for Australian films and enable a creative and technical interchange between film personnel. It also has the potential to increase the output of high-quality productions through the sharing of equity investment. 5. Under the Agreement, a project approved as an official co-production will be regarded as a national production of both Australia and South Africa, and will therefore be eligible to apply for any benefits or programs of assistance available in either country. 6. The treaty action will further strengthen bilateral relations between Australia and South Africa by building upon existing interest between film makers to open up new markets for

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jointly developed Australia-South Africa film projects. The Agreement will also create a larger distribution network for quality exportable film product in the domestic markets of both countries, as well as the international market.

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Reasons for Australia to take the proposed treaty action 7. This Agreement will be the eleventh co-production arrangement that Australia has entered into under the auspices of Australia’s International Co-production Program (‘the Program’), the principal purpose of which is to foster cultural and industry development and cultural exchange between cooperating countries. In this environment, co-production arrangements are individually negotiated with the aim of sustaining and developing Australian creative resources and production. Australia is currently party to eight bilateral film co-production treaties (with the United Kingdom, Canada, Italy, Ireland, Israel, Germany, Singapore and China) and two Memoranda of Understanding (France and New Zealand). Since the inception of the Program in 1986, 127 co-productions with a total budget of approximately $1.16 billion have gone into production. 8. The objective of the proposed Agreement with South Africa is to facilitate co-productions which: • increase the output of high-quality productions by sharing equity investment with

South Africa; • open up new markets both in South Africa and internationally for Australian film,

television, animation and digital format productions; • share the risk (and cost) of film production; • establish links with South African production and distribution interests; • facilitate interchange between Australian and South African film makers, particularly those

in the principal creative positions; • create employment opportunities for Australian industry personnel; and • strengthen existing diplomatic ties between Australia and South Africa.

9. Official Australia-South Africa co-productions will gain financial benefits under the Agreement. In Australia, the main benefits available for co-productions will be their eligibility to be treated as films with a significant Australian content that can therefore access the Australian Screen Production Incentive – Producer Offset under the Income Tax Assessment Act 1997, and eligibility to qualify as ‘Australian program content’ for the purposes of the Australian Content Standard for commercial television broadcasting. Official co-productions will also be able to access direct film funding through Screen Australia. Similarly, in South Africa an official co-production will be considered a South African production for the purposes of official financial support and audiovisual regulation. 10. Since South Africa’s first post-apartheid elections in 1994, the country’s burgeoning film industry has been recognised and actively supported by the South African Government as a sector with excellent potential for growth. In 1995 when South Africa first became a viable location for film production, the industry employed around 4,000 people. Employment in the sector had grown to approximately 30,000 people by 2008, reflecting the increase in both local and foreign film production levels over that period. The production of South African feature films, for example, increased from one film in 2000 to 24 films in 2009 with a total of 74 feature films produced between 2005 and 2009. 11. The growth of the sector can be attributed to a large extent to the range of industry-specific incentives offered by the South African Government to attract foreign

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investment and to encourage the creation of local product with both domestic and broader international audience appeal. Joint Australia-South Africa film projects developed under the Agreement will have access to direct funding and tax incentives specifically targeted to support official co-productions in South Africa. The Agreement with South Africa will also provide Australian film makers with increased access to the South African and broader regional and international markets. Since the scope of the Agreement covers the production of film, television, video recordings, animations and other digital format projects, Australian producers will be able to collaborate with the full range of potential co-production partners in South Africa. 12. The Agreement is defined by the notion of reciprocity, a principle applied to ensure that over time there is an overarching balance of financial and creative participation by both countries, and that the Agreement is of comparable benefit to both countries. The Agreement will help to ensure that an overall balance is achieved between the parties in relation to their respective contributions including production costs, studio and laboratory usage, and the employment of nationals of both parties in major creative (ie. directors, writers), performing, craft and technical positions related to film co-productions made under the Agreement. 13. The Agreement will build on existing partnerships between Australian and South African film makers and provide the impetus to develop high-quality projects that may not otherwise have been undertaken. The historic and current links between the two countries should facilitate the development of co-productions which have cultural resonance with audiences in Australia and South Africa, and potentially with the international market more broadly. There is ongoing industry interest in the Agreement from both sides, and potential co-production projects await its entry into force. 14. There are no censorship issues or any other restrictions on freedom of expression in South Africa which would impact on the content of co-productions or hinder the cultural and creative exchange between Australia and South Africa under the Agreement. Obligations 15. Pursuant to Article 3.1, proposals for the making of co-production films must be submitted to the Competent Authorities of each party (as designated under Article 2) for provisional approval prior to the commencement of production. Article 3.3 provides that, in considering the approval of proposed co-productions, the Competent Authorities may stipulate additional conditions to ensure that individual projects qualify under the terms of the Agreement. Where such approval is withheld by one of the Competent Authorities, Article 3.4 requires that the project not be approved as a co-production under the Agreement. Article 3.5 ensures that neither party is bound to permit the public exhibition of a completed co-production. 16. Once approved as a co-production between Australia and South Africa, Article 6 requires that each co-production is entitled to all the benefits that are or may be accorded in Australia or South Africa to national films. In respect of each co-production, these benefits accrue to: • Australian co-producers and South African co-producers (Articles 4 and 6.2); and

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• producers from countries with which Australia or South Africa has a similar treaty and who are co-production partners (‘the third country co-producer’) in the particular project (Articles 5 and 6.3).

17. Articles 7 and 8 oblige Australia, subject to its laws, to facilitate the import, free of duties and taxes, of cinematographic and technical equipment for the making of co-productions, and to permit South African nationals or nationals of the country of any third co-producer to enter and remain in Australia for the purpose of making or exploiting a co-production. South Africa is under the same obligations in corresponding circumstances. 18. Articles 9 and 17 oblige the Competent Authorities to ensure that the required financial and creative contributions for each co-production project have been met, and to monitor the overall balance of these contributions over each three year period of the Agreement. The Competent Authorities are required to consult informally on an annual basis in order to identify and rectify any such imbalances. Where the approval of a project as a co-production will affect this overall balance, Article 17.2 allows either Competent Authority to withhold such approval. 19. Articles 10 to 13 and Article 15 specify the procedural requirements for making co-production projects. These include the approval by the Competent Authorities (under prescribed circumstances) of location filming in, and the participation of a restricted number of personnel from, countries other than those of the participating co-producers (Articles 10 and 11 respectively). 20. Article 14 requires that the working conditions in each of the countries of the participating co-producers are comparable. This is also extended in broad terms to the working conditions for approved location filming in countries other than those of the co-producers. 21. Article 16 obliges both parties to apply their respective laws for the purposes of taxation, subject to the provisions of any tax convention between Australia and South Africa. 22. The Annex, which forms an implementing arrangement (not legally binding) to be read in conjunction with the Agreement (as outlined under Article 18), names the Competent Authorities of each party, specifies the approval process, and sets out the detail of the contractual arrangements between co-producers necessary for the making of co-productions. Implementation 23. No new legislative measures are required to implement the obligations under the Agreement. 24. The Income Tax Assessment Act 1997 allows official co-productions access to tax incentives (the Producer Offset), and the Migration Act 1958 and regulations allow for entry into Australia of co-production teams as envisaged by the Agreement. 25. For goods the subject of a ‘relevant intergovernmental agreement’, the Customs Act 1901 provides for their delivery into home consumption as goods temporarily imported, without the need for the goods to be entered for that purpose, or the payment of applicable duty, provided that a security or undertaking is established. Corresponding provisions

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in A New Tax System (Goods and Services Tax) Act 1999 extend these arrangements to the otherwise applicable Goods and Services Tax. Once in force, this Agreement will constitute a ‘relevant intergovernmental agreement’ for the purposes of both the Customs and Tax Acts. Consequently, no change is required in these Acts to allow for the temporary admission, free of duty and tax, upon the giving of a security or undertaking, of cinematographic and technical equipment for the making of a co-production as required by Article 7 of the Agreement. 26. The Agreement confirms that both countries can apply their domestic tax laws, subject to the terms of any tax treaty in force between Australia and South Africa which impacts on either country’s taxing rights. The current tax treaty between Australia and the Republic of South Africa is the Agreement between the Government of Australia and the Government of the Republic of South Africa for the Avoidance of Double Taxation and the Prevention of Fiscal Evasion with respect to Taxes on Income which was signed in Canberra on 1 July 1999 and entered into force on 21 December 1999 [1999] ATS 34, as amended by the Amending Protocol signed in Pretoria on 31 March 2008 with entry into force on 12 November 2008 [2008] ATS 18. The tax treaty applies to Australian and South African income tax and includes rules which limit taxing rights over various types of income, as well as rules for reducing any double taxation where both countries exercise their right to tax. 27. The Agreement will be administered by Screen Australia on behalf of the Australian Government as part of Australia’s International Co-production Program. 28. There will be no change to the existing roles of the Commonwealth and States/Territories as a result of implementing the treaty action. Costs 29. While there will be some costs associated with the administration of the proposed Agreement, these costs will be absorbed by Screen Australia. 30. Direct agency funding of Australia-South Africa co-productions through Screen Australia will be provided from existing funds. Extending access to the Producer Offset in Division 376 of the Income Tax Assessment Act 1997 to co-productions with South Africa is expected to involve a small expense. This expense is estimated to be not zero, but rounded to zero, each year across the forward estimates period. Regulation Impact Statement 31. The Office of Best Practice Regulation, Department of Finance and Deregulation, has been consulted and confirms that a Regulation Impact Statement is not required. Future treaty action 32. Article 19 specifies that amendments to the Agreement can be made with the mutual consent of both parties through an exchange of notes.

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33. The Annex to the Agreement does not create legally binding obligations and any modifications to it will be jointly determined by the Competent Authorities and confirmed in writing. Any such modifications shall conform to the provisions of the Agreement (Article 18). Withdrawal or denunciation 34. Article 21 specifies that the Agreement shall remain in force initially for three years from the date of its entry into force, and unless either party gives written notice through diplomatic channels to terminate the Agreement six months before the end of the three years, the Agreement will automatically be renewed for successive three year periods. If written notice to terminate is given by either party six months before the end of any three year period, the Agreement will terminate at the end of those three years. Termination by Australia would also be subject to the domestic treaty approval process. 35. In the event of termination, pursuant to Article 6.4, the Agreement shall continue as if in force in respect of any co-production approved by the competent authorities, but not yet completed prior to the termination. Contact details Film Incentives and International Section Culture Division Office for the Arts, Department of the Prime Minister and Cabinet

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ATTACHMENT ON CONSULTATION

Agreement between the Government of Australia and the Government of the Republic of South Africa concerning the Co-Production of Films,

done at Pretoria on 18 June 2010

[2010] ATNIF 40

CONSULTATION 36. Negotiation of the Agreement between the Government of Australia and the Government of the Republic of South Africa concerning the Co-Production of Films (‘the Agreement’) commenced in May 2006 with the then Department of Communications, Information Technology and the Arts (DCITA) taking the lead role in close consultation with the former Australian Film Commission (now Screen Australia) and the Department of Foreign Affairs and Trade (DFAT) throughout the negotiation process. The Agreement text was also provided to the Attorney-General’s Department (AGD) for legal clearance at key points in the drafting process. Any clauses in the text relating to other portfolios were cleared by the relevant line agencies as required, and although clarification was sought on some points, no substantial concerns were raised, and all agencies were supportive of the Agreement. 37. In August 2009 the then Australian Government Ministers whose portfolio responsibilities were covered by the Agreement – the then Minister for the Environment, Heritage and the Arts, the then Minister for Foreign Affairs, the Treasurer, the Attorney-General, the then Minister for Trade, the then Minister for Immigration and Citizenship, and the Minister for Home Affairs – agreed that treaty action be taken to enter into the Agreement. The then Prime Minister was informed of the finalisation of the text of the Agreement as part of this ministerial approval process. Authorisation for Australia to sign the treaty was provided by the Federal Executive Council on 7 September 2009. 38. The Trade and Co-production Forum (TCF) – an industry consultative group convened initially by DCITA and subsequently by the Department of the Environment, Water, Heritage and the Arts (from the 2007 Federal Election until 2010 Federal Election) and now by the Office for the Arts (since the 2010 Federal Election) – was consulted at all stages of the negotiations to ensure that the Agreement was in line with current industry practice and would provide potential benefits to the Australian industry. The TCF comprises representatives of the peak film and digital content industry bodies, including: • Australian Guild of Screen Composers; • Australian Directors Guild; • Australian Writers’ Guild; • Media, Entertainment and Arts Alliance; • Screen Producers Association of Australia; • Ausfilm; • Australian Interactive Media Industry Association; • Games Developers Association of Australia;

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• Interactive Entertainment Association of Australia; • Motion Picture Distributors Association of Australia; • Independent Cinemas Association of Australia; and • Australian Cinema Exhibitors Coalition. 39. These industry bodies are national organisations that consult widely across all States and Territories. Information about the development of co-production agreements is also regularly updated, and comments invited, in Screen Australia’s public documents. 40. The development of the Agreement text was based on a template which resulted in a smooth and non-controversial negotiation process, if a somewhat protracted one. One issue which took some time to resolve concerned securing South Africa’s agreement to the duty free importation of equipment for the making of a co-production as proposed by Australia under Article 7 of the Agreement. The inclusion of this provision was supported by the Australian Customs and Border Protection Service which noted that, like Australia, South Africa is a party to the Customs Convention on the Temporary Importation of Professional Equipment [1968] ATS 6 which applies, amongst other things, to cinematographic equipment. Following confirmation from the South African Revenue Service that domestic legislation is in place to enable South Africa to meet its obligations under this Convention, various formulations of the wording of the provision were exchanged between Australia and South Africa until agreement was finally reached on the text now included at Article 7. 41. Early in the negotiation process South Africa indicated that it does not recognise ‘arrangements of less than treaty status’ – such as Australia’s film co-production Memoranda of Understanding (MOU) with France and New Zealand – which are not binding under international law. Australia’s preference (and that of the TCF members) was that the Agreement allow for the possibility of third party co-productions with France and New Zealand via Australia’s MOUs with these countries. South Africa maintained its position with respect to this issue, and as a result Article 5 of the Agreement restricts the participation of third party co-producers to countries with which Australia or South Africa have treaty level agreements. However, this issue may be resolved by South Africa’s negotiation of separate co-production treaties with France and New Zealand respectively. A co-production treaty between South Africa and France allowing third party co-productions came into force on 4 November 2010, and South Africa is currently negotiating a co-production treaty with New Zealand which is also likely to provide for third party co-productions and which is expected to come into force later in 2011. The treaties, when taken in conjunction with Article 5 of the Agreement, will enable Australian co-producers to participate as third party co-producers in projects with South Africa and either France or New Zealand. 42. State and Territory Governments have been advised of the proposed Agreement through the Standing Committee on Treaties’ (SCOT) Schedule of Treaty Action. The Agreement has been on the list of treaties under negotiation, consideration or review by the Australian Government since February 2006. No objections or concerns were raised by the State or Territory Governments as a result of this notification. This NIA was also circulated to the SCOT contact representatives on treaty related matters.

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DEPARTMENT OF FOREIGN AFFAIRS AND TRADE CANBERRA

TREATY BETWEEN

AUSTRALIA

AND

THE PEOPLE’S REPUBLIC OF CHINA

CONCERNING

TRANSFER OF SENTENCED PERSONS

Sydney, 6 September 2007

Not yet in force

[2007] ATNIF 27

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TREATY BETWEEN AUSTRALIA AND THE PEOPLE’S REPUBLIC OF CHINA

CONCERNING TRANSFER OF SENTENCED PERSONS Australia and the People’s Republic of China (hereinafter referred to as “the Parties”); On the basis of mutual respect for sovereignty and equality and mutual benefit; Desiring to cooperate in the enforcement of penal sentences; and Desiring to co-operate in the transfer of sentenced persons and to facilitate their successful reintegration into society; Have decided to conclude this Treaty and agreed as follows:

ARTICLE 1

DEFINITIONS

For the purposes of this Treaty:

(a) “Transferring Party” means the party in which the sentence was imposed on the person who may be, or has been, transferred;

(b) “Receiving Party” means the party to which the sentenced person may be, or has been, transferred;

(c) “sentenced person” refers to a person who has been sentenced by a court or tribunal to imprisonment in the Transferring Party.

ARTICLE 2

GENERAL PROVISIONS

(1) The Parties undertake to afford each other the widest measure of cooperation in respect of the transfer of sentenced persons in accordance with the provisions of this Treaty.

(2) The Parties may, in accordance with the provisions of this Treaty, transfer a sentenced person to each other to enforce the sentence imposed against the person in the territory of the Receiving Party.

ARTICLE 3

CENTRAL AUTHORITIES

(1) The Central Authorities of the Parties shall process requests for transfer in accordance with the provisions of this Treaty.

(2) The Central Authorities referred to in paragraph (1) of this Article shall be the Australian Government Attorney-General’s Department for Australia and the Ministry of Justice for the People’s Republic of China. Should either Party change its designated Central Authority, it shall notify the other Party of such change in writing through diplomatic channels.

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(3) The Central Authorities shall communicate directly with each other for the purpose of this Treaty.

ARTICLE 4

CONDITIONS FOR TRANSFER

A sentenced person may be transferred only if:

(a) the conduct on account of which the sentence was imposed against the sentenced person also constitutes an offence under the laws of the Receiving Party;

(b) the sentenced person is a national of the Receiving Party. In exceptional

circumstances both Parties can agree to waive this condition;

(c) the sentenced person has at least one year remaining to be served at the time of the request for transfer. In exceptional cases, the Parties may agree to a transfer even if the remaining period of time to be served by the sentenced person is less than one year;

(d) the judgment is final and no further legal proceedings relating to the offence, or any other offence, are pending in the Transferring Party; and

(e) the Transferring and Receiving Parties and the sentenced person all agree to the transfer. Where in view of age, or physical or mental condition of the sentenced person, either Party considers it necessary, the sentenced person’s consent may be given by the person’s legal representative. The transfer, including terms relating to the recovery of any costs which may be incurred, must be consented to in writing by the sentenced person or their legal representative.

ARTICLE 5

DECISION TO TRANSFER

Each party may determine at its discretion whether or not to agree to the transfer requested by the other Party.

ARTICLE 6

NOTIFICATION

(1) The Parties shall endeavour to inform sentenced persons of the substance of this Treaty.

(2) The sentenced person shall be kept informed in writing of the progress of their application for transfer.

ARTICLE 7

REQUEST AND REPLY

(1) A sentenced person may apply to either Party for a transfer according to this Treaty. The Party to which the sentenced person has made an application for transfer must notify the other Party in writing of the application.

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(2) A request for transfer may be made by either Party. The requested Party shall promptly inform the requesting Party of its decision whether or not to agree to the requested transfer.

(3) Requests for, and replies to, transfer shall be made in writing and transmitted through the channel as provided in Article 3.

ARTICLE 8

REQUIRED DOCUMENTS AND INFORMATION

(1) A request for transfer shall include the following:

(a) the name, date and place of birth of the sentenced person;

(b) a statement of the nationality of the sentenced person; and

(c) the location where the sentenced person is being detained.

(2) Where a request for transfer has been made, unless it has been refused by either Party, the Transferring Party shall provide the Receiving Party with the following information and documents:

(a) a certified copy of the judgment, statement of the facts upon which the conviction and sentence were based, and statement of the relevant law creating the offence;

(b) the termination date of the sentence, if applicable, and the length of time already served by the sentenced person including any pretrial confinement;

(c) details of any request, if any, for extradition of the sentenced person that has been made to the Transferring Party or of any State that has expressed interest in extraditing the sentenced person or that is likely, in the opinion of the Transferring Party, to request extradition;

(d) any corrections and medical reports on the sentenced person, including information about their treatment in the Transferring Party, and any recommendation for their further treatment in the Receiving Party; and

(e) a copy of the written application for transfer by the sentenced person.

(3) The Receiving Party shall provide the Transferring Party with the following information and documents:

(a) a statement that the sentenced person is a national of the Receiving Party;

(b) a statement that the conditions included in Article 4(a) have been met; and

(c) a statement or information describing how the sentenced person's sentence would be enforced by the Receiving Party.

(4) Either Party shall, if requested and as far as possible, provide the other Party with any relevant documents, statements or information before making a request for transfer or taking a decision on whether or not to agree to a transfer.

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ARTICLE 9

CONSENT OF THE SENTENCED PERSON AND VERIFICATION

(1) The Transferring Party shall ensure that the sentenced person or his or her legal representative voluntarily consents to the transfer with full knowledge of the legal consequences of the transfer; and makes a written declaration confirming that the consent is voluntary and made with full knowledge of the legal consequences of the transfer. The procedure for giving such consent shall be governed by the law of the Transferring Party.

(2) Where the Receiving Party requests, the Transferring Party shall afford the Receiving Party the opportunity to verify, through an official designated by the Receiving Party, that the sentenced person has consented in accordance with the conditions set out in paragraph (1) of this Article.

ARTICLE 10

DELIVERY OF THE SENTENCED PERSON Where an agreement is reached on a transfer, the Parties shall determine the time, place in the territory of the Transferring Party, and procedure for the transfer, through consultation through the channels as provided in Article 3.

ARTICLE 11

RETENTION OF JURISDICTION (1) The Transferring Party shall retain jurisdiction for the modification or cancellation of

convictions and sentences imposed by its courts. (2) The Receiving Party shall modify or terminate enforcement of the sentence as soon as it is

informed of any decision by the Transferring Party in accordance with this Article that results in modification or cancellation of a conviction or sentence imposed by its courts.

ARTICLE 12

CONTINUED ENFORCEMENT OF SENTENCE (1) After receiving the sentenced person, the Receiving Party shall continue to enforce the

sentence pursuant to the nature and the duration of the sentence determined by the Transferring Party, as if the sentence had been imposed in the Receiving Party.

(2) If the sentence as determined by the Transferring Party is by its nature or duration

incompatible with the law of the Receiving Party, the Receiving Party may adapt the sentence in accordance with the sentence prescribed by its own domestic law for a similar offence. When adapting the sentence:

(a) the Receiving Party shall be bound by the findings of facts insofar as they appear

from the judgment imposed by the Transferring Party; (b) the Receiving Party shall not adapt a penalty of deprivation of liberty to a pecuniary

penalty; (c) the adapted sentence shall, as far as possible, correspond with that imposed by the

sentence in the Transferring Party;

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(d) the adapted sentence shall be no more severe than that imposed by the Transferring Party in terms of nature or duration;

(e) the adapted sentence is not bound by the minimum duration of penalty applicable to

a similar offence prescribed by the laws of the Receiving Party; and (f) the period of time served by the sentenced person under a sentence of imprisonment

in the Transferring Party shall be deducted. (3) When adapting a sentence in accordance with paragraph (2) of this Article, the Receiving

Party shall transmit a copy of the legal document on the adaptation to the Transferring Party.

ARTICLE 13 APPLICABLE LAW FOR THE CONTINUED ENFORCEMENT OF SENTENCE

(1) The continued enforcement of the sentence after transfer shall be governed by the laws and

procedures of the Receiving Party. (2) The Receiving Party may, if a sentenced person would be a juvenile according to its law,

treat the sentenced person as a juvenile regardless of the sentenced person’s status under the law of the Transferring Party.

(3) The law of the Receiving Party shall apply to the sentenced person for the reduction of

sentence, parole or other relevant measures during enforcement of sentence. (4) Either Party may, in accordance with its domestic law, grant a pardon to the sentenced

person transferred and shall inform promptly the other Party of the decision through the channel as provided in Article 3.

(5) The Receiving Party shall terminate enforcement of the sentence as soon as it is informed of

any decision by the Transferring Party in accordance with paragraph (4) of this Article to pardon the sentenced person.

(6) The Receiving Party or the Transferring Party, as appropriate, shall inform the sentenced

person in writing of any action or decisions taken under paragraphs (2) to (4) of this Article.

ARTICLE 14 INFORMATION ON ENFORCEMENT OF SENTENCE

The Receiving Party shall provide information to the Transferring Party concerning the enforcement of the sentence if:

(a) the sentenced person is granted parole; (b) the enforcement of the sentence has been completed; (c) the sentenced person has escaped from custody or died before the enforcement of the

penalty has been completed; or (d) the Transferring Party requests a specific statement.

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ARTICLE 15

TRANSIT OF SENTENCED PERSONS

If either Party transfers a sentenced person to or from a place outside of its territory the other Party shall, subject to its domestic law, cooperate in facilitating the transit through its territory of such a sentenced person. The Party intending to make such a transfer shall give advance notice to the other Party of such transit except where air transportation is used and no landing in the territory of the other party is scheduled.

ARTICLE 16 LANGUAGE

For the purpose of this Treaty, the Parties shall communicate in their official language and provide a translation in the official language of the addressed Party.

ARTICLE 17 EXPENSES

The Receiving Party shall bear the expenses of:

(a) the transfer of the sentenced person, except the expenses incurred exclusively in the territory of the Transferring Party; and

(b) the continued enforcement of the sentence after transfer.

ARTICLE 18 CONSULTATION AND SETTLEMENT OF DISPUTES

(1) The Central Authorities of the Parties may consult with each other to promote the most

effective use of this Treaty and to agree upon such practical measures as may be necessary to facilitate the implementation of this Treaty.

(2) Any dispute arising out of the interpretation, application or implementation of this Treaty

shall be resolved through diplomatic channels.

ARTICLE 19 CERTIFICATION AND AUTHENTICATION

Any documents provided through the Central Authorities in accordance with this Treaty shall not require any form of authentication or certification.

ARTICLE 20

ENTRY INTO FORCE AND TERMINATION (1) Each Party shall inform the other by diplomatic note when all necessary steps have been

taken for entry into force of this Treaty. This Treaty shall enter into force on the thirtieth day from the date of the later diplomatic note.

(2) The Treaty shall also be applicable to the transfer of sentenced persons against whom the

sentence was imposed before its entry into force.

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7

(3) Either Party may terminate this Treaty at any time by notice in writing to the other Party through diplomatic channels. Termination shall take effect on the one hundred and eightieth day after the date on which the notice is given.

IN WITNESS WHEREOF, the undersigned, being duly authorised thereto by their respective Governments, have signed this Treaty. Done in duplicate at Sydney on the sixth day of September two thousand and seven in English and Chinese languages, each text being equally authentic.

For Australia ………………………………………

For the People’s Republic of China ………………………………………

Hon Philip Ruddock Attorney-General

HE Yang Jiechi Minister of Foreign Affairs

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澳大利亚和中华人民共和国

关于移管被判刑人的条约

澳大利亚和中华人民共和国(以下简称“双方”),在相互

尊重主权和平等互利的基础上,为开展刑罚执行及被判刑人移

管方面的合作,以便被判刑人成功重返社会,决定缔结本条约

,并议定下列条款:

第一条 定义

为本条约之目的:

一、“移交方”是指在其境内对可能或已经被移管的人员

判处刑罚的一方;

二、“接收方”是指被判刑人可能或已经被移管至其境内

的一方;

三、“被判刑人”是指在移交方被法院或法庭判处监禁刑

罚的人员。

第二条 一般规定

一、双方承诺根据本条约的规定,就移管被判刑人相互提

供最广泛的合作。

二、双方可以根据本条约的规定,相互移管被判刑人,以

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便在接收方境内执行对其所判处的刑罚。

第三条 中央机关

一、双方中央机关将根据本条约的规定处理移管请求。

二、本条第一款所述中央机关,在澳大利亚方面系指澳大

利亚政府司法部;在中华人民共和国方面系指中华人民共和国

司法部。一方如果变更其指定的中央机关,应当通过外交途径

书面通知另一方。

三、为本条约之目的,双方中央机关应相互直接联系。

第四条 移管的条件

只有符合下列条件,方可移管被判刑人:

(一)对被判刑人据以判处刑罚的行为,根据接收方法律

也构成犯罪;

(二)被判刑人为接收方公民。在例外情况下,双方可同

意放弃此项条件;

(三)在提出移管请求时,被判刑人尚未服完的刑期不少

于一年。在特殊情况下,即使被判刑人尚需服刑的时间少于一

年,双方也可同意移管;

(四)判决为终审判决,且在移交方境内不存在与所涉犯

罪或其他犯罪有关的未完结诉讼;

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(五)移交方、接收方以及被判刑人均同意移管。但任何

一方鉴于被判刑人的年龄、身体或精神状况认为必要时,可由

被判刑人的合法代理人表示同意移管。被判刑人或其合法代理

人表示同意移管,包括对返还移管费用条件的同意,应采取书

面形式。

第五条 移管的决定

任何一方均可自主决定是否同意另一方提出的移管请求。

第六条 通知

一、双方均应尽可能将本条约的内容告知被判刑人。

二、被判刑人应被书面告知处理其移管申请的进展情况。

第七条 请求与答复

一、被判刑人可依据本条约向任何一方提出移管申请。收

到被判刑人移管申请的一方应将该申请书面告知另一方。

二、任何一方均可提出移管请求。被请求方应当将其是否

同意移管请求的决定尽快通知请求方。

三、移管的请求与答复均应采取书面形式,并通过本条约

第三条规定的途径递交。

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第八条 所需文件和信息

一、移管请求应该包括以下内容:

(一)被判刑人的姓名、出生日期及出生地点;

(二)对被判刑人的国籍的说明;以及

(三)被判刑人被关押的场所。

二、如有移管请求,除非任何一方已表示不同意移管,移

交方应当向接收方提供下列信息和文件:

(一)经证明无误的判决书副本,对据以定罪量刑的事实

所作的说明,以及关于据以定罪的相关法律的说明;

(二)如可行,刑罚的终止日期、被判刑人已服完的刑期

,包括审判前羁押的时间;

(三)如果已有国家向移交方提出引渡被判刑人的请求,

这些请求的详细情况;或者任何已表示有兴趣引渡被判刑人的

国家、或移交方认为可能提出引渡请求的国家的详细情况;

(四)对被判刑人作出的矫正报告和医疗报告,包括被判

刑人在移交方接受治疗的情况,以及将在接收方对其进一步治

疗的建议;

(五)被判刑人提出移管书面申请的副本。

三、接收方应向移交方提供下列信息和文件:

(一)关于被判刑人是接收方公民的说明;

(二)关于第四条第一项所列条件已获满足的说明;以及

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(三)关于接收方将如何对被判刑人执行所判刑罚的说明

或信息。

四、在提出移管请求或就是否同意移管作出决定之前,任

何一方均应依请求尽可能向对方提供有关文件、说明或信息。

第九条 被判刑人的同意及核实

一、移交方应当确保被判刑人或者其合法代理人在完全知

晓移管法律后果的情况下自愿表示同意移管,并以书面声明对

此予以确认。表示同意移管的程序适用移交方法律。

二、应接收方请求,移交方应当为接收方提供机会,使接

收方通过其指定的官员核实被判刑人已按本条前款规定的条件

表示同意。

第十条 被判刑人的移交

双方如果均同意移管,应当通过本条约第三条规定的途径

,协商确定移交被判刑人的时间、在移交方境内移交的地点及

移交方式。

第十一条 管辖权的保留

一、移交方将保留对其法院所作定罪和量刑进行变更或撤

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销的管辖权。

二、在被告知移交方根据本条由其法院作出的任何变更或

撤销对被判刑人的定罪和量刑的决定后,接收方应立即变更或

终止刑罚的执行。

第十二条 刑罚的继续执行

一、接收方在接收被判刑人后,应按照移交方确定的刑罚

性质和期限继续执行刑罚,如同该刑罚系由接收方判定一样。

二、如果移交方所判处刑罚的性质或期限不符合接收方的

法律,接收方可以将该刑罚调整为本国法律对同类犯罪规定的

刑罚。调整刑罚时:

(一)接收方应当受移交方判决书中关于事实认定的约束;

(二)接收方不得将剥夺自由刑调整为财产刑;

(三)调整后的刑罚应当尽可能与移交方所判处的刑罚相

一致;

(四)调整后的刑罚在性质上或刑期上不得加重移交方所

判处的刑罚;

(五)调整后的刑罚不受接收方法律对同类犯罪所适用的

最低刑的约束;以及

(六)应当扣除被判刑人在移交方境内已经服刑的期间。

三、接收方根据本条第二款调整刑罚时,应当及时将调整

刑罚的法律文书副本送交移交方。

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第十三条 继续执行刑罚适用的法律

一、移管后,继续执行刑罚适用接收方的法律和程序。

二、如果被判刑人依接收方法律属未成年人,则接收方可

将该被判刑人以未成年人对待,而不论其在移交方的法律地位

三、对被判刑人的减刑、假释或其他刑罚执行中的有关措

施,适用接收方法律。

四、任何一方均可以根据本国法律,对已被移管的被判刑

人给予赦免,并应当及时将此决定通过本条约第三条规定的途

径通知另一方。

五、在被告知移交方根据本条第四款作出的任何赦免被判

刑人的决定后,接收方应立即终止刑罚的执行。

六、有关接收方或移交方应将依据本条第二款至第四款的

规定作出的任何决定或采取的任何措施,书面通知被判刑人。

第十四条 关于执行的情报

有下列情形之一的,接收方应当及时向移交方提供执行刑

罚的情报:

(一)被判刑人获得假释;

(二)刑罚已经执行完毕;

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(三)被判刑人在刑罚执行完毕之前逃脱或死亡;或

(四)移交方要求提供特别说明。

第十五条 被判刑人过境

如果任何一方将被判刑人移管至其境外或从其境外移管被

判刑人,另一方应遵照其国内法给予合作,为该被判刑人过境

提供便利。拟实施移管的一方应就此过境提前通知另一方,除

非拟使用航空运输且未计划在另一方降落。

第十六条 语言

为本条约之目的,双方应当使用各自的官方语言进行联系,

并附有另一方官方语言的译文。

第十七条 费用

接收方应承担以下费用:

(一)移管被判刑人的费用,但完全在移交方境内发生的费用

除外;以及

(二)移管后继续执行刑罚的费用。

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第十八条 协商及争议的解决

一、双方中央机关可相互协商,促使本条约得到最有效的

运用,并可就需采取的实际必要措施达成协议,以便于本条约

的实施。

二、因本条约的解释、适用或实施产生的争议,应当通过

外交途径解决。

第十九条 证明和认证

根据本条约规定经由中央机关转递的任何文件,不应要求

任何形式的证明或者认证。

第二十条 生效和终止

一、各方完成为本条约生效所需的一切必要程序后,应通

过外交照会通知另一方。本条约自后一份照会发出之日起第三

十天开始生效。

二、本条约亦适用于本条约生效前被判处刑罚人员的移管

三、任何一方可以随时通过外交途径,以书面形式通知终

止本条约。终止自该通知发出之日后第一百八十天生效。

9

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10

下列签署人经本国政府适当授权,在本条约上签字,以昭

信守。

本条约于二零零七年九月六日在悉尼签订,一式两份,均

以英文和中文写成,两种文本同等作准。

澳大利亚代表 中华人民共和国代表

总检察长 外交部长

菲利普·拉多克 杨洁篪

…………………… ……………………

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National Interest Analysis [2011] ATNIA 8

with attachment on consultation

Treaty between Australia and the People's Republic of China concerning the Transfer of Sentenced Persons,

done at Sydney on 6 September 2007

[2007] ATNIF 27

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NATIONAL INTEREST ANALYSIS: CATEGORY 2 TREATY

SUMMARY PAGE

Treaty between Australia and the People’s Republic of China concerning the Transfer of Sentenced Persons,

done at Sydney on 6 September 2007 [2007] ATNIF 27

Nature and timing of proposed treaty action

1. The proposed treaty action is entry into force of a bilateral agreement, the Treaty between Australia and the People’s Republic of China concerning Transfer of Sentenced Persons (the Treaty).

2. The Treaty was signed for Australia on 6 September 2007 by the then Attorney-General, the Hon Philip Ruddock MP.

3. Article 20(1) of the Treaty provides that it will enter into force on the thirtieth day after the later written notification by the Parties that their respective domestic requirements for the Treaty’s entry into force have been completed. On 13 May 2009, China notified Australia in writing that its domestic requirements for entry into force had been met.

Overview and national interest summary

4. The Treaty will allow Australians imprisoned in China and Chinese nationals imprisoned in Australia to apply to serve the remainder of their sentences in their home country. The Treaty will enable both Governments to exchange information about a prisoner’s sentence and imprisonment, determine a prisoner’s eligibility for transfer and agree upon terms of sentence enforcement following a prisoner’s transfer.

5. The transfer of Australians imprisoned in China will have a number of benefits for Australia. It will:

• relieve the hardship and burden on the relatives of the prisoner; • enhance the prospects of the prisoner being successfully rehabilitated and reintegrated

into Australian society; • contribute to community safety (by ensuring the effective monitoring and

management of the prisoner and by enabling the prisoner’s conviction to be recorded in their home country); and

• reduce the burden on Australian consular officials in China.

6. There are a number of requirements that must be met before a prisoner transfer can take place. Importantly, the prisoner, the Chinese Government, the Australian Government and in some circumstances the State or Territory government must all consent to the transfer. Following transfer, the sentence must be enforced, as far as possible, in accordance with the original custodial sentence, and the transferring country retains jurisdiction for the cancellation or modification of the prisoner’s conviction and sentence. The receiving party bears the costs of transferring the prisoner, except those costs incurred exclusively in the territory of the transferring party.

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Reasons for Australia to take the proposed treaty action

7. Australia has an International Transfer of Prisoners (ITP) Scheme in place to facilitate the transfer of prisoners between Australia and foreign countries. Australia’s ITP framework comprises domestic legislation – described below in paragraphs 22 to 25 – and international agreements and arrangements entered into by Australia.

8. Australia’s ITP Scheme reflects the humanitarian, rehabilitative and social objectives of prisoner transfers while ensuring, as far as possible, that the original custodial sentence of a transferred prisoner is enforced. The rehabilitative benefits of transfer for Australian prisoners may include family and social support, access to rehabilitation, education, training and employment programs free of language and cultural barriers, work release, parole monitoring and supervision, and offender registration and supervision. Transfers would also benefit Chinese prisoners, by enabling them to be considered for any rehabilitation or conditional release programs in China that might not be available to non-citizens in Australia, due to language barriers or the risk that they might flee the country.

9. ITP is forming an increasingly important part of international cooperation in the administration of criminal justice. Most developed countries participate in ITP schemes and have done so for some time. These countries include the United Kingdom, the United States of America, Canada and most European countries.

10. Australia has concluded similar bilateral prisoner transfer agreements with Cambodia [2009] ATS 4, Vietnam [2009] ATS 27, Thailand [2002] ATS 22 and Hong Kong [2006] ATS 13, and is a party to the Council of Europe Convention on the Transfer of Sentenced Persons [2003] ATS 6 (Council of Europe Convention), which facilitates the transfer of prisoners between Australia and more than 60 other countries. Australia has also concluded an arrangement with the United States for the transfer of prisoners sentenced by military commissions. These agreements have been brought into force in Australia by regulations made under the ITP Act. Once an agreement with another country has been implemented by regulations, the ITP Act applies to Australia’s prisoner transfer relationship with that country subject to the provisions of the agreement.

11. From the advent of the ITP scheme in September 2002 to 31 January 2011, there have been 63 prisoners transferred from Australia to countries including Canada, Greece, the Netherlands, the USA, France, Israel, Spain, Germany, Italy, Switzerland and the UK, and 15 prisoners transferred to Australia from countries including Thailand, Spain, Hong Kong, the UK and the USA. As at 31 January 2011 Australia was processing 45 applications for transfer out of Australia and 39 applications for transfer to Australia. These applications have been made under both the Council of Europe Convention and Australia’s ITP agreements with Thailand and Hong Kong.

12. Over recent years there has been growing public expectation that Australia will capitalise on its well-established ITP scheme by concluding bilateral ITP agreements with more of its regional neighbours. This pressure has come from a wide range of individuals and groups, including parliamentarians, media commentators, senior academics, human rights organisations, prisoner support groups, friends and families of prisoners, and prisoners themselves.

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13. The proposed Treaty with China would further strengthen the ITP relationship between Australia and China. In December 2008, regulations were made declaring China a ‘transfer country’ under the International Transfer of Prisoners Act 1997 (ITP Act). The regulations were made prior to the Treaty entering into force in order to facilitate the potential return of a seriously ill Australian citizen imprisoned in China. If JSCOT approves taking binding treaty action, new Regulations will be made to implement the Treaty. China will remain a transfer country under the ITP Act, but prisoner transfers will be conducted in accordance with the Treaty.

14. The Australian Government is not aware of any multilateral or bilateral agreement to which China is a party, other than the proposed Treaty, that may enable Australia to facilitate prisoner transfers with China.

15. The number of prisoners likely to benefit from the Treaty, if it enters into force, will depend on the number of Australians sentenced in China (and the number of Chinese sentenced in Australia) from time to time, as well as prisoners’ personal interest in transfers. The transfer of prisoners under the Treaty is likely to lead to an overall reduction in the number of Australians serving prison sentences in China. In addition to humanitarian and rehabilitative benefits, this would reduce the resource burdens placed on Australia’s consular staff in China. Consular staff from the Department of Foreign Affairs and Trade visit Australian prisoners incarcerated overseas on a regular basis and provide a range of resource-intensive consular services. There would also be cost savings for Australia in the likely reduction of Chinese nationals serving prison sentences in Australia, although this would be mitigated by costs associated with the maintenance of prisoners transferred to Australia under the Treaty. Obligations

16. The Treaty would not oblige Australia to agree to the transfer of a prisoner, and provides considerable flexibility in determining prisoner transfers. Under Article 4(b) of the Treaty, prisoners are eligible to apply to transfer from China to Australia provided that they are Australian nationals (and from Australia to China provided that they are Chinese nationals). Article 4(b) provides that the Treaty may apply to the transfer of a prisoner who is not a national of the Receiving Party in exceptional circumstances as agreed by both Parties. Requests for transfer can be initiated by the prisoner (Article 7(1)) and made by either Party (Article 7(2)).

17. The prisoner’s conviction must be final and not subject to appeal (Article 4(d)). Unless otherwise agreed between China and Australia in exceptional cases, there must be at least one year of the prisoner’s sentence remaining to be served when the transfer request is made (Article 4(c)), and conduct giving rise to the offence for which the person is imprisoned must be a criminal offence in both countries (Article 4(a)).

18. A prisoner transfer can only take place with the consent of the Australian Government, the Chinese Government, and the prisoner (Article 4(e)). Australia would be obliged to ensure that any prisoner or his or her legal representative voluntarily consents to the transfer with full knowledge of the legal consequences; and makes a written declaration confirming this (Article 9(1)), including any terms relating to the recovery of costs for the physical transfer of the prisoner (Article 4(e)). Under Article 9(2), Australia would have to afford

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China an opportunity, prior to a transfer, to verify that the prisoner has provided informed consent to the transfer.

19. Australia must endeavour to inform prisoners of the substance of the Treaty (Article 6(1)), and to inform Chinese authorities of any request for transfer (Article 7(1)). Australia would also be obliged to provide relevant information to China, upon request, before requesting a transfer or deciding whether or not to agree to a transfer (Article 8(4)).

20. The receiving country must continue to enforce the sentence as originally imposed (Article 12(1)), and must provide information to the transferring country concerning the enforcement of the sentence (Article 14). However, if the sentence is by its nature or duration incompatible with the receiving country’s domestic law, it may be adapted in accordance with the sentence prescribed under that country’s domestic law for a similar offence (Article 12(2)). In all cases the transferring country retains jurisdiction for the modification or cancellation of the conviction and sentence (Article 11(1)). Either country may, in accordance with its domestic laws, grant a pardon to the transferred person (Article 13(4)). If the transferring country makes a decision which affects the prisoner’s conviction or sentence, the receiving country would be obliged to modify the sentence accordingly (Article 11(2)). Implementation

21. Regulations will be required to be made under section 8 of the ITP Act to enable Australia to give effect to the Treaty.

22. The ITP Act provides the legislative framework for Australia’s ITP scheme, and was developed through extensive consultation and co-operation with State and Territory authorities. The provisions in the ITP Act can be enabled by either multilateral treaties, bilateral treaties, or an arrangement of less than treaty status.

23. Many prisoners eligible to apply for transfer to China will have been sentenced for State and Territory offences. The States and the Northern Territory have passed complementary ITP legislation, and all States and Territories in which there are active ITP cases currently assist the Australian Government in processing applications.

24. The ITP Act provides for the Commonwealth to conclude Administrative Arrangements with the States and Territories setting out the administrative protocols for the transfer out of foreign prisoners held as State or Federal offenders, and the transfer in (as federal prisoners) of Australians imprisoned overseas. Administrative Arrangements have been concluded with all States and Territories.

25. In Australia, the ITP Act requires that States and Territories are involved in any transfers affecting them. No provisions requiring consent of an Australian State or Territory Government were included in the Treaty on the basis that this is an internal consideration for Australia. If a sentenced person being transferred to China was sentenced under the laws of a State or Territory, the State or Territory Government enforcing the sentence must consent to the transfer. As there are no federal prisons, the relevant State or Territory Government receiving sentenced persons from China must also consent to the transfer.

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26. In the case of outward transfers of federal prisoners, the approval of the State or Territory Government enforcing the sentence is not required. However, each State or Territory will assist in processing transfers of federal offenders, by providing reports on the prisoner’s behaviour and progress through the prison system. The Australian Government works closely with States and Territories to process all applications under the ITP scheme.

Costs

27. The cost of the continued enforcement of the sentence after transfer is to be borne by the receiving party (Article 17(b)). Each prisoner transferred from Australia to China will represent a cost saving of over A$100,000 for each year the prisoner would otherwise have spent in an Australian State or Territory prison. This figure is the approximate annual cost of maintaining a person in prison in Australia according to the Productivity Commission’s 2011 Report on Government Services.

28. In relation to incoming prisoners, it has been agreed between the Commonwealth, the States and the Territories that:

• the Commonwealth will meet all general administrative costs involved in the processing of transfers;

• the State or Territory to which a prisoner wishes to return will be responsible for meeting the costs of transporting the prisoner to Australia from the international point of departure, and for maintaining the prisoner in prison; and

• if the State or Territory Minister considers that an incoming prisoner is in a position to pay the costs associated with their transfer to Australia, they may seek reimbursement by the prisoner of such costs as a condition of the transfer.

29. In relation to outgoing prisoners from Australia, China will bear the expenses of the transfer, except those expenses incurred exclusively in Australian territory (Article 17(a)). The States and Territories have agreed that the costs of moving a prisoner within Australia to the international point of departure will be borne by the State or Territory in which the prisoner is held before transfer. Regulation Impact Statement

30. A self assessment of the regulatory impact of the Treaty has been conducted. The Office of Best Practice Regulation (Productivity Commission) has confirmed that a Regulation Impact Statement is not required. Future treaty action

31. The Treaty is silent as to amendment. In the absence of an amendment provision, Article 39 of the Vienna Convention on the Law of Treaties 1969 [1974] ATS 2 would apply to allow amendment by agreement between the Parties. Any amendment to the Treaty would be effected in accordance with Australia’s domestic treaty process requirements.

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Withdrawal or denunciation

32. Either party may terminate the Treaty by written notice at any time. The Treaty will cease to have effect on the one hundred and eightieth day after notice is given (Article 20(3)). Termination of the Treaty will not affect the sentence enforcement of any prisoners who have already transferred under the Treaty. Any withdrawal from the Treaty by the Australian Government would be effected in accordance with Australia’s domestic treaty process requirements.

Contact details

Treaties, International Arrangements and Corruption Section International Crime Cooperation Division Attorney-General’s Department.

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ATTACHMENT ON CONSULTATION

Treaty between Australia and the People’s Republic of China concerning the Transfer of Sentenced Persons,

done at Sydney on 6 September 2007 [2007] ATNIF 27

CONSULTATION

33. On 22 July 2005, Senator the Hon Christopher Ellison (then Minister for Justice and Customs) wrote to all State and Territory ministers with portfolio responsibility for implementation of the ITP scheme to consult them on the Government’s intention to commence negotiations with China on a bilateral ITP treaty.

34. State and Territory Governments were also advised of this proposed treaty action through the Commonwealth-State Standing Committee on Treaties’ Schedules of Treaty Action from 2005-2010. State and Territory Officials requested briefing on all International Transfer of Prisoners treaties, and specifically on the Transfer of Sentenced Persons treaty with the People’s Republic of China, in advance of its October 2010 meeting. However, there was no comment from State or Territory officials at the October meeting, nor have there been any comments since.