ARTICLE XIII - DESIGNATION
OF PERSONNEL
AND PRIVILEGES AND IMMUNITIES
Article XIII of the Treaty provides for the designation of those individuals
who will carry out the implementation of the Treaty on the territories
of other States Parties and for the privileges and immunities which
they will be accorded for the purposes of the Treaty.
Section I of Article XIII consists of three paragraphs. It provides
for the designation of personnel who will carry out the duties relating
to the Treaty. All such personnel must be officially designated in accordance
with this Section. Thus, States Parties are not obligated to receive
personnel from another State Party who have not been designated by a
State Party. Also, the Section makes clear that designated personnel
must be acceptable to the other States Parties.
Paragraph 1 of Section I provides that each State Party shall, at
the same time that it deposits its instrument of ratification to either
of the Depositaries, provide to all other States Parties, for their
review, a list of designated personnel who will carry out all duties-relating
to the conduct of observation flights for that State Party, including
monitoring the processing of the sensor output. Paragraph 1 also provides
that no such list of designated personnel shall include more than 400
individuals at any time. Paragraph I further provides that the list
shall contain the name, gender, date of birth, place of birth, passport
number, and function (for example, aircrew member or flight representative)
for each individual included. Finally, paragraph 1 provides that each
State Party shall have the right to amend its list of designated personnel
until 30 days after entry into force of the Treaty and once every six
months thereafter.
Paragraph 1 makes clear that the designated list of personnel can
never, at any time, exceed 400 individuals. Therefore, the list at any
one time may be less than 400 and, during the implementation of the
Treaty, the list may be altered as it reaches 400 so as not to exceed
that limit. However, the time limit placed on the States Parties' right
to amend the list is to prevent a multitude of amendments to the list
at different times by each State Party. With the time limit, the amendments
will occur on a timely basis but also only at regular intervals. This
will make it easier for domestic agencies to issue visas and other necessary
documents to individuals who will be designated and accepted by the
States Parties.
Paragraph 2 of Section I provides that in the event any Individual
included on the original list or any amended list is unacceptable to
a State Party reviewing the list, that State Party shall, no later than
30 days after receipt of each list, notify the State Party providing
the list that such individual shall not be accepted by the objecting
State Party. Paragraph 2 also provides that individuals not declared
unacceptable within that 30-day period shall be deemed accepted. Paragraph
2 further provides that in the event a State Party subsequently determines
that an individual is unacceptable, that State Party shall so notify
the State Party that designated such individual. Finally, paragraph
2 provides that individuals who are declared unacceptable shall be removed
from the list previously submitted to the objecting State Party.
According to paragraph 2, a State Party has the right to delete the
name of an individual from a list provided by another State Party at
any time. A State Party may delete the name from a list of personnel
either within 30 days after receipt of each list or at any time subsequent
to the 30 days after receipt of the list. Therefore, a State Party is
assured that an individual it objects to can be deleted at any time
from a list provided by any other State Party. However, if one State
Party requests deletion of an individual from a list, that does not
preclude that individual from being accepted by other States Parties.
Thus, a situation could arise in which, for example, State Party X
accepts an individual whom State Party Y has refused to accept (acceptance
of an individual is automatic if no objection is made to that individual).
If that individual came to State Party X for the purpose of carrying
out the conduct of observation flights, including monitoring the processing
of the sensor output, State Party X would I be obligated to allow that
individual onto their territory., However, the State Party Y could prevent
that same individual from carrying out the conduct of observation flights,
including monitoring the processing of the sensor output, on State Party
Y territory. Lastly, it should be noted that while the original list
and any amended list of designated personnel are subject to review,
requested deletions are not subject to such review.
Paragraph 3 of Section I provides that the observed Party shall provide
visas and any other documents as required to ensure that each accepted
individual may enter and remain on the territory of that State Party
for the purpose of carrying out duties relating to the conduct of observation
flights, including monitoring the processing of the sensor output. This
paragraph makes clear that the obligation to provide visas and other
documents applies only with respect to those personnel which have been
accepted in accordance with paragraph 2 of Section I of this Article.
Paragraph 3 further provides that each State Party has three options
with respect to the provision of visas and other necessary documents.
They may be provided either:
(A) no less than 30 days after the individual is deemed to be accepted,
in which case the visa shall be valid for a period of no less than 24
months;
(B) no later than one hour after the arrival of the individual at
the point of entry, in which case the visa shall be valid for the
duration of that individual's duties; or
(C) at any other time, by mutual agreement of the States Parties
involved.
It should be noted that both paragraphs 1 and 2 of this Section are
applied provisionally pursuant to Article XVIII, Section I, paragraph
1 of the Treaty. However, the mechanisms of paragraph 1, and therefore
paragraph 2, do not come into play for an individual State Party until
it has deposited its instruments of ratification to either of the Depositaries,
at which time the State Party must simultaneously provide its list to
all other States Parties. Paragraph 3 has not been provisionally applied.
Section II of Article XIII sets forth the privileges and immunities
that the States Parties must accord to designated and accepted personnel
who are engaged in activity pursuant to the Treaty. The purpose of such
privileges and immunities is to ensure that designated personnel may
carry out their duties efficiently and without interference. The privileges
and immunities set forth in Section 11 are largely based on the Vienna
Convention on Diplomatic Relations of April 18, 1961, hereinafter referred
to as the Vienna Convention, of which the United States is a party (Vienna
Convention on Diplomatic Relations, done at Vienna on April 18, 1961,
23 UST 3227, 500 UNTS 95). The Vienna Convention is the primary international
agreement governing such privileges and immunities. The privileges and
immunities set forth in Article XIII, Section II apply to designated
personnel while in transit, during the period on the territory of another
State Party, and thereafter with respect to acts performed during the
course of their official duties.
Paragraph I of Section II provides that in order to Txercise their
functions effectively, for the purpose of implementing the Treaty and
not for their personal benefit, personnel designated in accordance with
the provisions of Section I, paragraph 1 of this Article shall be accorded
the privileges and immunities enjoyed by diplomatic agents pursuant
to the following Articles of the Vienna Convention:
(A) Article 29;
(B) Article 30, paragraph 2;
(C) Article 31, paragraphs 1, 2, and 3;
(D) Article 34; and
(E) Article 35.
Paragraph 1 of Section II also atates that designated personnel shall
be accorded the privileges enjoyed by diplomatic agents pursuant to
Article 36, paragraph 1, subparagraph (B) of the Vienna Convention,
except in relation to articles, the import or export of which is prohibited
by law or controlled by quarantine regulations.
Article 29 of the Vienna Convention provides: "The person of A diplomatic
agent shall be inviolable. He shall not be liable to any form of arrest
or detention. The receiving State shall treat him with due respect and
shall take all appropriate steps to prevent any attack on his person,
freedom or dignity."
Paragraph 2 of Article 30 of the Vienna Convention provides: "His
papers, correspondence and, except as provided in paragraph 3 of Article
31, his property shall likewise enjoy inviolability."
Paragraphs 1, 2, and 3 of Article 31 of the Vienna Convention provide:
"l. A diplomatic agent shall enjoy immunity from the criminal jurisdiction
of the receiving State. He shall also enjoy immunity from its civil
and administrative jurisdiction, except in the case of:
(a) a real action relating to private immovable property situated
in the territory of the receiving State, unless he holds it on behalf
of the sending State for the purpose of the mission;
(b) an action relating to succession in which the diplomatic agent
is involved as executor, administrator, heir or legatee as a private
person and not on behalf of the sending State; and
(c) an action relating to any professional or commercial activity
exercised by the diplomatic agent in the receiving State outside
his official functions."
"2. A diplomatic agent is not obligated to give evidence as a witness.,
"3. No measures of execution may be taken in respect of a diplomatic
agent except in the cases coming under subparagraphs (a), (b) and
(c) of paragraph 1 of this Article, and provided that the measures
concerned can be taken without infringing the inviolability of his
person or of his residence.,
Article 34 of the Vienna Convention provides that:
"A diplomatic agent shall be exempt from all dues and taxes, personnel
or real, national, regional or municipal, except:
(a) indirect taxes of a kind which are normally incorporated in
the price of goods or services;
(b) dues and taxes on private immovable property situated in the
territory of the receiving State, unless he holds it on behalf of
the ending State for the purpose of the mission;
(c) state, succession or inheritance duties levied by the receiving
State, subject to the provisions of paragraph 4 of Article 39 (of
the Vienna Convention);
(d) dues and taxes on private income having its source in the
receiving State and capital taxes on investments made in commercial
undertakings in the receiving State;
(e) charges levied for specific services rendered; and
(f) registration, court or record fees, mortgage dues and stamp
duty, with respect to immovable property, subject to the provisions
of Article 23 (of the Vienna Convention)."
Article 35 of the Vienna Convention provides that:
"The receiving State shall exempt diplomatic agents from all personal
services, from all public service of any kind whatsoever, and from military
obligations such as those connected with requisitioning, military contributions
and billeting."
Article 36, subparagraph l(b) provides that:
"1. The receiving State shall, in accordance with such laws and
regulations as it may adopt, permit entry of and grant exemption from
all customs duties, taxes, and related charges other than charges for
storage, cartage and similar services, on: ... (b) articles for the
personal use of a diplomatic agent or members of his family forming
part of the household, including articles intended for his establishment."
Paragraph 3 of Section 11 provides that the immunity from jurisdiction
may be waived by the observing Party in those cases when it would impede
the course of justice and can be waived without prejudice to the Treaty.
Paragraph 3 also provides that the immunity of personnel who are not
nationals of the observing Party may be waived only by the States Parties
of which such personnel are nationals. This provision is important because
the observing Party may be composed of designated personnel of different
nationalities. Finally, paragraph 3 provides that waiver of immunity
must always be express (rather than implied).
Paragraph 4 of Section II provides that without prejudice to their
privileges and immunities or the rights of the observing Party set forth
in the Treaty, it is the duty of designated personnel to respect the
laws and regulations of the observed Party.
Paragraph 5 of Section II provides that the transportation means of
the personnel shall be accorded the same immunities from search, requisition,
attachment or execution as those of a diplomatic mission pursuant to,
Article 22, paragraph 3 of the Vienna Convention, except as otherwise
provided for in the Treaty.
Article 22, paragraph 3 of the Vienna Convention provides that:
"3. The provisions of the mission, their furnishings, and other
property thereon and the means of transport of the mission shall be
immune from search, requisition, attachment or execution."
Return to Top
ARTICLE XIV - BENELUX
Article XIV is the Benelux Article. It consists of two paragraphs.
Paragraph 1 of Article XIV provides that solely for the purposes of
Articles II to IX and Article XI, and of Annexes A to I and Annex K
to the Treaty, the Kingdom of Belgium, the Grand Duchy of Luxembourg,
and the Kingdom of the Netherlands shall be deemed a single State Party,
hereinafter referred to as the Benelux.
Article XIV applies only to certain Articles and Annexes of the Treaty.
They are Annexes are Article II to IX and Article XI, and Annexes A
to I and Annex K. It excludes, for example, Article X on the Open Skies
Consultative Commission. Therefore, in the proceedings of the Open Skies
Consultative Commission, the Kingdom of Belgium, the Grand Duchy of
Luxembourg and the Kingdom of the Netherlands will be deemed separate
States Parties. They are viewed as separate State Parties while considering
issues and taking actions and decisions in the Open Skies Consultative
Commission. Therefore, actions and decisions taken by them in the Open
Skies Consultative Commission, do not have to be made by all of them
in unison. Article XIV similarly does not apply to Annex L (which provides
for the procedural and administrative aspects of the Open Skies Consultative
Commission).
Article XIV does, for example, apply to Article V. As a case in point,
Article V, paragraph 1 provides that each State Party shall have the
right to designate as observation aircraft one or more types or models
of aircraft registered by the relevant authorities of a State Party.
In this respect, the Kingdom of Belgium, the Grand Duchy of Luxembourg
and the Kingdom of the Netherlands that form a single Party, the Benelux,
may designate observation aircraft together and may not designate aircraft
as separate States Parties since "each State Party" as referred to in
this case refers to all three of those States as a single State Party.
Paragraph 2 provides that without prejudice to the provisions of Article
XV, the above-mentioned States Parties may terminate this arrangement
by notifying all other States Parties thereof.
Article XV is the Article on Duration and Withdrawal. It is referenced
in paragraph 2 of Article XIV to make clear that the two provisions
regarding termination of the Benelux arrangements and the right of,
for example, the Kingdom of Belgium to withdraw from the Treaty are
to be understood as separate and distinct actions and one does not necessarily
prejudice the other. For example, if the Kingdom of Belgium, the Grand
Duchy of Luxembourg and the Kingdom of the Netherlands decide to terminate
their single State Party arrangement, this act will not mean they are
withdrawing from the Treaty, either as a single State Party or as the
Benelux. To withdraw from the Treaty, those States Parties must act
in accordance with the provisions set forth in Article XV.
Paragraph 2 also provides that the arrangement shall be deemed terminated
on the next December 31 following the 60-day period after such notification.
Finally, it should be noted that Article XIV has been applied provisionally
pursuant to Article XVII, Section 1, paragraph l(E). Therefore, the
Kingdom of Belgium, the Grand Duchy of Luxembourg, and the Kingdom of
the Netherlands are presently referred to as the Benelux. However, of
the Articles and Annexes that apply to the Benelux arrangement, only
Article VI, Section I, paragraph 4 and Article XI are provisionally
applied.
Return to Top
ARTICLE XV - DURATION AND WITHDRAWAL
Article XV of the Treaty deals with the duration of and the procedures
for withdrawal from the Treaty. It consists of three paragraphs.
Paragraph 1 provides that the Treaty shall be of unlimited duration.
The purpose of this paragraph is to make clear that the States Parties
did not envision a date for the termination of the Treaty.
Paragraph 2 provides that a State Party shall have the-right to withdraw
from the Treaty. Paragraph 2 also provides that a State Party intending
to withdraw shall provide notice of its decision to withdraw to either
Depositary at least six months in advance of the date of its intended
withdrawal and to all other States Parties. There is no requirement
for the withdrawing State Party to provide an explanation for its withdrawal.
Paragraph 2 further provides that the Depositaries shall promptly inform
all other States Parties of such notice.
Paragraph 3 provides that in the event a State Party gives notice
of its decision to withdraw from the Treaty in accordance with paragraph
2 of this Article, the Depositaries shall convene a conference of the
States Parties no less than 30 days and no more than 60 days after they
have received such notice, in order to consider the effect of the withdrawal
on the Treaty.
The duties of the Depositaries noted in paragraphs 2 and 3 of this
Article are also listed in Article XVII, paragraph 7 of the Treaty.
Article XVII deals with the Depositaries, Entry into Force and Accession.
Paragraph 7 of Article XVII lists the duties of the Depositaries of
the Treaty.
Return to Top
ARTICLE XVI - AMENDMENTS AND PERIODIC REVIEW
Article XVI deals with amendments to the Treaty and the periodic review
of the implementation of the Treaty. Article XVI consists of three paragraphs.
Paragraph 1 provides that each State Party shall have the right to
propose amendments to the Treaty and that the text of each proposed
amendment shall be submitted to either Depositary (Canada or the Republic
of Hungary), which shall circulate it to all States Parties for consideration.
Paragraph I also provides that, if so requested by no less than three
States Parties within a period of 90 days after circulation of the proposed
amendment, the Depositaries shall convene a conference of the States
Parties to consider the proposed amendment. Paragraph 1 further provides
that such a conference shall open no earlier than 30 days and no later
than 60 days after receipt of the third of such requests.
Paragraph 1 establishes a threshold for the number of requests necessary
for convening a conference to consider a proposed amendment. Such a
conference, while likely to be useful for a majority of cases, does
not constitute a prerequisite for the approval of amendments.
Paragraph 2 provides that an amendment to the Treaty shall be subject
to the approval of all States Parties, either by providing notification,
in writing, of their approval to a Depositary within a period of 90
days after circulation of the proposed amendment, or by expressing their
approval at a conference convened in accordance with paragraph 1 of
this Article. Paragraph 2 also provides that an amendment so approved
shall be subject to ratification in accordance with the provisions of
Article XVII, paragraph 1, and shall enter into force 60 days after
the deposit of instruments of ratification by all of the States Parties.
Article XVII, paragraph 1 provides, in pertinent part, that the Treaty
shall be subject to ratification by each State Party in accordance with
its constitutional procedures.
In sum, five steps must be accomplished before an amendment may enter
into force. First, the amendment must be proposed either by a State
Party, submitted to a Depositary, and then circulated to all States
Parties, or by the Open Skies Consultative Commission pursuant to Article
X, paragraph 5 of the Treaty. Second, the proposed amendment must be
considered by the States Parties, either in the context of an amendment
conference, within the framework of the Open Skies Consultative Commission,
or individually by the States Parties themselves. Third, the proposed
amendment must be approved by all States Parties. Fourth, the approved
amendment must then be ratified by all States Parties. Fifth, instruments
of ratification must be deposited with a Depositary and 60 days thereafter
it enters into force.
Article X, paragraph 5 provides the standard by which to judge whether
a proposed change to the Treaty should be handled as an amendment in
accordance with Article XVI or treated as a measure to enhance the viability
and effectiveness of the Treaty and not requiring an amendment in accordance
with Article X. Article X, paragraph 5 provides, in pertinent part,
that the Open Skies Consultative Commission may agree on improvements
to the viability and effectiveness of the Treaty, consistent with its
provisions. The standard is whether the proposed change relates to the
specific points listed in that paragraph or to other matters of an administrative
or technical nature. If a proposed change does not meet either of these
tests, it must be treated as an amendment. In case of doubt, any decision
as to whether a proposed change must be handled as an amendment must
be made on the basis of consensus among the States Parties pursuant
to Article X, paragraph 2, which provides in part that the Open Skies
Consultative Commission shall take decisions or make recommendations
by consensus. Paragraph 2 also provides that consensus shall be understood
to mean the absence of any objection by any State Party to the taking
of a decision or the making of a recommendation.
Paragraph 3 provides that unless requested to do so earlier by no
less than three States Parties, the Depositaries shall convene a conference
of the States Parties to review the implementation of the Treaty three
years after entry into force of the Treaty and at five-year intervals
thereafter. In addition to this schedule of review conferences that
will be periodically convened, this paragraph provides for a mechanism
whereby a review conference can be convened at any time. However, no
less than three States Parties must request that an earlier conference
be convened.
Finally, the duties of the Depositaries noted in paragraphs 1 to 3
of this Article are also listed in Article XVII, paragraph 7. Article
XVII deals in detail with the Depositaries, Entry into Force and Accession.
Paragraph 7 of Article XVII lists the duties of the Depositaries of
the Treaty.
Return to Top
ARTICLE XVII - DEPOSITARIES, ENTRY INTO
FORCE AND ACCESSION
Article XVII of the Treaty deals with the duties of the Depositaries,
the ratification and entry into force of the Treaty, and the accession
of other States to the Treaty. Article XVII consists of seven paragraphs.
Paragraph 1 provides that the Treaty shall be subject to ratification
by each State Party in accordance with its constitutional procedures.
Paragraph I also provides that instruments of ratification and instruments
of accession shall be deposited with the Government of Canada or the
Government of the Republic of Hungary or both, which are designated
the Depositaries. Paragraph 1 further provides that the Treaty shall
be registered by the Depositaries pursuant to Article 102 of the Charter
of the United Nations.
Paragraph 1 specifies two steps that must be taken before the Treaty
can enter into force. The first is that the Treaty must be ratified
by each State Party in accordance with its constitutional procedures.
The Treaty, does not attempt to specify such procedures for each State
Party.
The second requirement is that once the Treaty has been ratified,
the instruments of ratification must be deposited with at least one
Depositary.
Paragraph 2 provides that the Treaty shall enter into force 60 days
after the deposit of 20 instruments of ratification, including those
of the Depositaries, and of States Parties whose individual allocation
of passive quotas as set forth in Annex A is eight or more.
Paragraph 2 thus establishes three specific requirements before the
Treaty can enter into force. The first is the deposit of 20 instruments
of ratification. This number compares with the twenty-four States that
participated in the actual negotiations, the 25 States that signed the
Treaty on March 24 in Helsinki, and the 33 potential signatories if
all of the newly independent States that have emerged on the territory
of the former Soviet Union decide to sign prior to entry into force.
The above-mentioned requirement for the deposit of 20 instruments of
ratification prior to entry into force can be met by any of these States.
The second requirement mentioned in paragraph 2 that must be fulfilled
before the Treaty can enter into force is that both Depositaries ratify
the Treaty and deposit their instruments of ratification. It is considered
likely that the Depositaries, Canada and the Republic of Hungary, will
be among the first twenty States to ratify the Treaty. The third requirement
that must be fulfilled before the Treaty can enter into force is that
of the 20 States Parties mentioned in paragraph 2, all States Parties
whose individual allocation of passive quotas as set forth in Annex
A is eight or more must be included. This is a requirement for entry
into force because the States negotiating the Treaty desired a guarantee
that the Treaty will not enter into force without the participation
of the largest States Parties. Those States Parties with an individual
allocation of passive quota as set forth in Annex A of eight or more
are:
(1) the Federal Republic of Germany (8);
(2) the United States (42);
(3) the Republic of Belarus and the Russian Federation group of States
Parties (42);
(4) Canada (12);
(5) the French Republic (12);
(6) the United Kingdom of Great Britain and Northern Ireland (12);
(7) the Italian Republic (12);
(8) the Republic of Turkey (12); and (9) Ukraine (12).
Therefore, of the 20 States Parties that must ratify the Treaty and
deposit instruments of ratification, the above nine States Parties (and
Hungary) must be included before the Treaty can enter into force.
Paragraph 3 provides that the Treaty shall be open for signature by
Armenia, Azerbaijan, Georgia, Kazakhstan, Kirgystan, Moldova, Tajikistan,
Turkmenistan and Uzbekistan and shall be subject to ratification by
them. Paragraph 3 also provides that any of these States which do not
sign the Treaty before it enters into force in accordance with the provisions
of paragraph 2 of Article XVII may accede to it at any time by depositing
an instrument of accession with one of the Depositaries.
Paragraph 3 thus provides for two ways in which the States mentioned
in that paragraph may become States Parties to the Treaty. The Treaty
lists only those nine States as authorized to sign the Treaty prior
to entry into force. This provision was included because of the desire
of all participants to facilitate the participation in Open Skies of
all the States of the former Soviet Union.
Paragraph 4 provides that for six months after entry into force of
the Treaty, any other State participating in the Conference on Security
and Cooperation in Europe may submit a written request for accession
to one of the Depositaries. Paragraph 4 also provides that the Depositary
receiving such a request shall circulate it promptly to all States Parties.
Paragraph 4 further provides that the States requesting to accede may
also, if they so wish, request an allocation of a passive quota and
the level of this quota. Finally, paragraph 4 provides that the matter
shall be considered at the next regular meeting of the open Skies Consultative
Commission and decided in due course.
Paragraph 4 focuses on those States, other than those mentioned in
paragraph 3, who participate in the Conference on Security and Cooperation
in Europe, but are not among the original signatories to the Open Skies
Treaty. It should be read in connection with paragraph 5, which sets
forth the procedures for accession to the Treaty by any State beginning
after the expiration of the period of six months after entry into force.
The intention was to highlight the desire of many participants that
States participating in the Conference on Security and Cooperation in
Europe should be able to accede to the Open Skies Treaty as soon as
possible. The paragraph should not be interpreted to read that such
States can apply for accession to the Treaty only within the six months
after entry into force, the initial time in which those States can apply
for accession to the Treaty. They may also apply for accession to the
Treaty at any time thereafter.
Paragraph 4 also states that the matter shall be considered in the
Open Skies Consultative Commission at the next regular session and decided
in due course. The matter to be considered includes both the request
for accession and the allocation of a passive quota. The paragraph leaves
open the amount of time the open Skies Consultative Commission may deliberate
before it must decide on the matter.
Though the requesting State may request an allocation of a passive
quota and the level of this quota simultaneous with its application
for accession, the open Skies Consultative Commission is not obligated
to consider the request for an allocation and level of the quota until
the application for accession has been accepted, and the instrument
of accession has been deposited with one of the Depositaries. This sequence
is pursuant to Annex A, Section 1, paragraph 2 of the Treaty which provides
in part that an allocation of a passive quotas to such a State shall
be considered during the next regular session of the Open Skies Consultative
Commission following the date of deposit of its instrument of ratification
or accession.
Paragraph 5 provides that following six months after entry into force
of the Treaty, the open Skies Consultative Commission may consider the
accession to the Treaty of any State which, in the judgment of the Commission,
is able and willing to contribute to the objectives of the Treaty.
Paragraph 5 provides for the possible participation in Open Skies
of any State, regardless of its participation or non-participation in
the Conference on Security and Cooperation in Europe. Applications under
the provisions of paragraph 5 can only be considered beginning six months
after the Treaty has entered into force. By contrast, those States listed
in paragraph 3 have no time constraint, and those States specified in
paragraph 4 can apply within the first six months after entry into force
as well as thereafter.
Paragraph 5 also includes a further procedure not applied to accession
under the provisions of paragraphs 3 and 4. Paragraph 5 provides that
the Open Skies Consultative Commission must make a judgment that States
applying for accession under this paragraph for accession to the Treaty
are able and willing to contribute to the objectives of the Treaty.
In practice, since the "able and willing" clause is otherwise undefined,
the paragraph effectively requires only that there be a consensus in
the Open Skies Consultative Commission on any application for accession
under the provisions of this paragraph, as there must be on any application
for accession.
Paragraph 6 provides that, for any State that has not deposited an
instrument of ratification by the time of entry into force, but that
subsequently ratifies or accedes to the Treaty, the Treaty shall enter
into force for that State 60 days after the date of deposit of its instrument
of ratification or accession. This paragraph makes clear that for those
States Parties that signed the Treaty on March 24, 1992 and for those
that are listed in paragraph 3 which sign the Treaty prior to entry
into force, but that may not yet have ratified the Treaty when it enters
into force, the Treaty shall enter into force for those States Parties
60 days after the deposit of their instruments of ratification. It also
provides the same time frame for which the Treaty shall enter into force
for any State that accedes to the Treaty, i.e., 60 days after the deposit
of its instrument of accession.
Paragraph 7 sets forth duties of the Depositaries. As the Depositaries,
the Government of Canada and the Government of the Republic of Hungary
are responsible for informing all States Parties of:
(A) the date of deposit of each instrument of ratification and the
date of entry into force of the Treaty;
(B) the date of an application for accession, the name of the requesting
State and the result of the procedure;
(C) the date of deposit of each instrument of accession and the date
of entry into force of the Treaty for each State that subsequently accedes
to it;
(D) the convening of a conference pursuant to Articles XV and XVI;
(E) any withdrawal in accordance with Article XV and its effective date;
(F) the date of entry into force of any amendments to the Treaty; and
(G) any other matters of which the Depositaries are required by the
Treaty to inform the States Parties.
Return to Top
ARTICLE XVIII - PROVISIONAL APPLICATION AND
PHASING OF IMPLEMENTATION OF THE TREATY
Article XVIII deals with the provisional application of certain provisions
of the Treaty and the phasing of imple- mentation of the Treaty. The
introduction of the Article provides that in order to facilitate the
implementation of the Treaty, certain of its provisions shall be provisionally
applied and others shall be implemented in phases. Section I addresses
the provisional application of particular provisions of the Treaty and
consists of two paragraphs. The purpose of the Section is to put into
effect upon signature of the Treaty, on a temporary basis, certain provisions
of the Treaty. Such provisional application confers legal rights and
obligations upon the States Parties. On the one hand, provisional application
requires the States Parties to comply with the provisions so applied
to the strict letter of the law even though the Treaty as a whole has
not yet entered into force. On the other hand, such provisional application
also enables States Parties to take full advantage of the benefits offered
by such provisional applied provisions. In short, provisional application
means that provisions so applied are legally enforceable upon signature
of the Treaty rather than upon its entry into force.
Paragraph I of Section I lists those provisions of the Treaty and
its Annexes that are being provisionally applied. The paragraph provides
that the list of provisions are provisionally applied without detriment
to Article XVII of the Treaty. The purpose of the language in paragraph
1 which references Article XVII is to make clear that the provisional
application of the listed provisions in no way affects any of the provisions
of Article XVII, which deals with Depositaries, entry into force, and
accession to the Treaty.
The provisions that are to be applied provisionally are as follows:
(A) Article VI, Section I, paragraph 4;
(B) Article X, paragraphs 1, 2, 3, 6, and 7;
(C) Article XI;
(D) Article XIII, Section 1, paragraphs I and 2;
(E) Article XIV; and
(F) Annex L, Section I.
The above provisions have been applied provisionally since March 24,
1992.
Subparagraph (A) of paragraph 1 of Section I of this Article provides
that Article VI, Section 1, paragraph 4 of the Treaty is to be applied
provisionally. Paragraph 4 of Section I of Article VI provides that
no later than 90 days after signature of the Treaty, i.e., June 22,
1992, each State Party shall provide notification to all other States
Parties:
(A) of the standing diplomatic clearance number for Open Skies observation
flights, flights of transport aircraft and transit flights; and
(B) of which language or languages of the Open Skies Consultative Commission
specified in Annex L, Section 1, paragraph 7 to the Treaty shall be
used by personnel for all activities a ssociated with the conduct of
observation flights over its territory, and for completing the mission
plan and mission report, unless the language to be used is the one recommended
in Annex 10 to the Convention on International Civil Aviation, Volume
II, paragraph 5.2.1.1.2.
Article VI, Section I, paragraph 4(A) and (B) are being applied provisionally
so that this information will be available to all other participants
for planning purposes.
Subparagraph (B) of paragraph I of Section I of this Article provides
that Article X, paragraphs 1, 2, 3, 6, and 7 of the Treaty are to be
applied provisionally. Article X deals with the Open Skies Consultative
Commission.
Article X, paragraph 1 provides that in order to promote the objectives
and to facilitate the implementation of the provisions of the Treaty,
the States Parties establish an Open Skies Consultative Commission.
Paragraph 1 was applied provisionally so that the Open Skies Consultative
Commission could begin operations immediately after signature of the
Treaty. The first session of the Open Skies Consultative Commission
opened on April 2, 1992.
Article X, paragraph 2 provides that the Open Skies Consultative Commission
shall take decisions or make recommendations by consensus. Paragraph
2 also provides that consensus shall be understood to mean the absence
of any objection by any State Party to the taking of a decision or the
making of a recommendation. This paragraph establishes the principle
that the Open Skies Consultative Commission is to make decisions. It
was necessary to apply this paragraph provisionally to guarantee that
decisions made by the Open Skies Consultative Commission during the
provisional application of the Treaty, pursuant to Article XVIII, will
be valid.
Article X, paragraph 3 provides that each State Party shall have the
right to raise before the Open Skies Consultative Commission, and have
placed on its agenda, any issue relating to the Treaty, including any
issue related to the case when the observed Party provides an observation
aircraft. This paragraph is provisionally applied to allow for States
Parties, during the provisional application period, to raise before
the open Skies Consultative Commission any issue regarding the Treaty
they wish to have addressed.
However, it should be noted that Article X, paragraph 4, which addresses
specific issues the Open Skies Consultative Commission shall consider,
has not been provisionally applied. These issues are to: (A) consider
questions relating to compliance with the provisions of the Treaty;
(B) seek to resolve ambiguities and differences of interpretation that
may become apparent in the way the Treaty is implemented; (C) consider
and take decisions on applications for accession to the Treaty; and
(D) agree to those technical and administrative measures, pursuant to
the provisions of the Treaty, deemed necessary following the accession
to the Treaty by other States.
Article X, paragraph 6 provides that the Open Skies Consultative Commission
shall request the use of the facilities and administrative support of
the Conflict Prevention Center of the Conference on Security and Cooperation
in Europe, or other existing facilities in Vienna, unless it decides
otherwise.
This paragraph is provisionally applied to empower the Open Skies
Consultative Commission to make decisions regarding facilities and administrative
support at any time once it had begun meeting. This issue was on the
agenda for the initial session of the Open Skies Consultative Commission.
Article X, paragraph 7 provides that provisions for the operation
of the Open Skies Consultative Commission are set forth in Annex L to
the Treaty. This paragraph provides the link between Article X and Annex
L, Section I, which provides for the administrative and procedural aspects
of the Open Skies Consultative Commission. Since the Open Skies Consultative
Commission is empowered to meet during the period of provisional application,
this provision referring to Annex L, Section I, which is also provisionally
applied, is thereby provisionally applied as well.
Subparagraph (C) of paragraph 1 of Section I of this Article provides
that Article XI of the Treaty is to be applied provisionally. Article
XI provides that the States Parties shall transmit notifications and
reports required by the Treaty in written form. Article XI also provides
that the States Parties shall transmit such notifications and reports
through diplomatic channels or, at their choice, through other official
channels, such as the communications network of the Conference on Security
and Cooperation in Europe. Article XI is provisionally applied in order
to ensure that notifications and information exchanges required by the
Treaty during the period of provisional application are accomplished
in the manner specified in that Article.
Subparagraph (D) of paragraph I of Section I of this Article provides
that Article XIII, Section 1, paragraphs 1 and 2 of the Treaty are to
be applied provisionally. Article XIII, Section I deals with Designation
of Personnel. Article XIII, Section 1, paragraph 1 provides that each
State Party shall, at the same time that it deposits its instrument
of ratification with either of the Depositaries, provide to all other
States Parties, for their review, a list of designated personnel to
carry out all duties relating to the conduct of observation flights
for that State Party, including monitoring the processing of the sensor
output. Paragraph I also provides that no such list of designated personnel
shall include more than 400 individuals at any time.
Paragraph 1 further provides that the list shall contain the name,
gender, date of birth, place of birth, passport number, and function
for each individual included. Finally, paragraph I provides that each
State Party shall have the right to amend its list of designated personnel
until 30 days after entry into force of the Treaty and once every six
months thereafter.
Article XIII, Section I, paragraph 2 provides that in the event any
individual included on the original or any amended list is unacceptable
to a State Party reviewing the list, that State Party shall, no later
than 30 days after receipt of each list, notify the State Party providing
that list that such individual shall not be accepted by the objecting
State Party. Paragraph 2 also provides that individuals not declared
unacceptable within that 30-day period shall be deemed accepted. Paragraph
2 further provides that in the event a State Party subsequently determines
that an individual is unacceptable, that State Party shall so notify
the State Party that designated such individual. Finally, paragraph
2 provides that individuals who are declared unacceptable shall be removed
from the list previously submitted to the objecting State Party.
Article XIII, paragraphs I and 2 are provisionally applied so that,
as soon as a State Party has deposited its instrument of ratification
to a Depositary, it will also provide the information specified in paragraphs
1 and 2 on designated personnel to all other States Parties.
Subparagraph (E) of paragraph 1 of Section I of this Article provides
that Article XIV of the Treaty is to be provisionally applied. Article
XIV deals with the Benelux. Article XIV, paragraph 1, provides that
solely for the purposes of Articles II to IX and Article XI, and of
Annexes A to I and Annex K to the Treaty, the Kingdom of Belgium, the
Grand Duchy of Luxembourg, and the Kingdom of the Netherlands shall
be deemed a single State Party, hereinafter referred to as the Benelux.
Article XIV, paragraph 2 provides that without prejudice to the provisions
of Article XV, the above-mentioned States Parties may terminate this
arrangement by notifying all other States Parties thereof. Paragraph
2 also provides that this arrangement shall be deemed terminated on
the next December 31 following the 60-day period after such notification.
Article XIV is provisionally applied to recognize the construct of
the Benelux for Open Skies purposes as soon as the Treaty was signed.
It should be noted that the three States Parties mentioned in Article
XIV, paragraph I are to be considered the Benelux solely for purposes
of Articles II to IX and Article XI, and Annexes A to I and Annex K.
Of all these Articles and Annexes, the only two applied provisionally
are Article VI, Section I, paragraph 4 and Article XI. Therefore, though
the Benelux has been recognized as a single State Party for Open Skies
purposes as of Treaty signature, that arrangement has effect only regarding
Article VI, Section I, paragraph 4 and Article XI during the provisional
application period.
Subparagraph (F) of paragraph 1 of Section I of this Article provides
that Annex L, Section I of the Treaty is to be provisionally applied.
Annex L, Section I deals with the general provisions of the open Skies
Consultative Commission and provides for the procedures and other administrative
aspects of the Open Skies Consultative Commission. It also specifies
the scope of operations of the Open Skies Consultative Commission.
Annex L, Section I has been provisionally applied to make clear the
procedural and administrative details that the Open Skies Consultative
Commission, which is established pursuant to Article X of the Treaty,
is to adhere to while it meets provisionally pursuant to subparagraph
l(B) of this Article. Annex L, Section I has also been provisionally
applied so the Open Skies Consultative Commission can be empowered to
carry out the activities which it is obligated to carry out in accordance
with that Annex during the period of provisional application. These
activities include settling the distribution of costs arising under
the Treaty, developing a document relating to notifications and reports
required by the Treaty and developing rules of procedures and working
methods for the Open Skies Consultative Commission, all pursuant to
Annex L, Section I.
It must be noted that the list of provisions in Article XVIII, Section
1, paragraph I is not a complete list of all the provisions of the Treaty
that are to be applied provisionally.
During the negotiations, it was understood that other provisions of
the Treaty that specify that a particular obligation is to be provisionally
applied would remain so irrespective of whether they were included in
the list of provisions to be applied provisionally in Article XVIII,
Section I, paragraph 1. The other provisions in the Treaty to be applied
provisionally but not included in the list are the following:
(A) Article IX, Section 1, paragraph 1; and Section II, paragraph
2;
(B) Article IX, Section 11, paragraph 2;
(C) Annex B, Section 11, paragraphs 2(A)(1), 2(B)and (C), and paragraph
4;
(D) Annex D, Appendix 1, Section 1, paragraphs 3, 4, and 5; Section
111, paragraphs 2, 3, 4, and 5; and
(E) Annex F, Section 1, paragraph 7.
In the above mentioned paragraphs, the open Skies Consultative Commission
has been obligated to accomplish particular tasks during the period
of provisional appli- cation. For example, in Annex D, Appendix 1, Section
I, paragraph 4, the Open Skies Consultative Commission provides that
the calibration targets for establishing the ground resolution of sideways-looking
synthetic aperture radar shall consist of arrays of trihedral corner
reflectors whose configuration shall be in accordance with the methodologies
determined within the Open Skies Consultative Commission during the
period of provisional application.
Article XVIII, Section I, paragraph 2 provides that the period of
provisional application shall be effective until March 23, 1993 and
will automatically terminate on that date, which is 12 months from the
date when the Treaty was opened for signature. The 12-month period places
a time limit on the period of provisional application so that such period
does not automatically continue indefinitely. However, the period of
provisional application may terminate sooner if the Treaty enters into
force before the 12 months expire. The period of provisional application
can be extended only if all States Parties so decide. The States Parties,
in order to extend the provisional application period, should do so
before the 12-month period expires since there is no provision for the
reinstatement of the provisional application period once it has terminated.
The paragraph also provides for another situation whereby the Treaty
enters into force and the period of provisional application terminates.
The States Parties may then decide to extend the period of provisional
application regarding States Parties that have not ratified the Treaty.
This is important because pursuant to Article XVII, paragraph 2, which
provides that the Treaty shall enter into force 60 days after the deposit
of 20 instruments of ratification, including those of the Depositaries,
and of the nine States Parties whose individual allocation of passive
quotas as set forth in Annex A is eight or more, the Treaty may enter
into force without all States Parties having ratified the Treaty. Therefore,
if the Treaty enters into force, the period of provisional application
will terminate for all States Parties. However, the Treaty will enter
into force only for those States Parties that have ratified the Treaty.
In this respect, no Treaty provisions, provisionally or otherwise, will
apply to those States Parties that have not yet ratified the Treaty.
Therefore, paragraph 2 is provided as an alternative that once the Treaty
enters into force for those States Parties that have ratified the Treaty
(thereby resulting in the termination of the period of provisional application),
the States Parties may, at that time, decide to allow the period of
provisional application to continue for those States Parties which have
not yet ratified the Treaty. Of course, at that time, the States Parties
for which the Treaty has entered into force will be bound by all Treaty
obligations.
Section II of Article XVIII addresses the phasing of the implementation
of the Treaty. The negotiators believed that it would be preferable
for certain provisions of the Treaty to be implemented at a date after
entry into force rather than at entry into force. Many States Parties
who will be designating observation aircraft acknowledged that they
would need time before they possess the full aircraft and sensor capabilities
specified in the Treaty. Therefore, the phasing of implementation was
negotiated and inserted into the Treaty text. It was envisaged that
for an initial period States Parties would operate whatever systems
they currently have available subject to Treaty limitations, and that
States Parties would only be required to meet full standards at the
end of a set period.
Paragraph 1 of Section II sets forth the applicable time frame in
which the phasing of implementation is to begin and when it is to end.
It provides that after entry into force, the Treaty shall be implemented
in phases in accordance with the provisions set forth in this Section.
It also provides that the provisions of paragraphs 2 to 6 of the Section
shall apply during the period from entry into force of the Treaty until
December 31 of the third year following the year during which entry
into force takes place. Therefore, it is during this period that Article
XVIII, Section 11 applies.
Paragraph 2 of Section 11 provides that notwithstanding the provisions
of Article IV, paragraph 1, no State Party shall during the period specified
in paragraph 1 above use an infra-red line-scanning device if one is
installed on an observation aircraft, unless otherwise agreed between
the observing and observed Parties. It also provides that such sensors
shall not be subject to certification in accordance with Annex D. It
further provides that if it is difficult to remove such sensor from
the observation aircraft, then it shall have covers or other devices
that inhibit its operation in accordance with the provisions of Article
IV, paragraph 4 during the conduct of observation flights. These covers
and devices are to prevent the collection of data during transit flights
or flights to points of entry or from points of exit over the territory
of the observed Party. It also provides that such covers or such other
devices shall be removable or operable only from outside the observation
aircraft.
Paragraph 2 of Section II makes clear that infra-red line-scanning
devices are allowed on observation aircraft during the phasing of implementation
period, though the use of such devices are prohibited. However, even
the use of these devices is allowed if the States Parties involved agree
to such use during the phasing period. In any event, these sensors are
not to be subject to certification until the phasing period has expired.
This makes clear that the use of these sensors is not to be based on
their having met any standards agreed to by the States Parties.
Paragraph 3 of Section II provides that notwithstanding the provisions
of Article IV, paragraph 9, no State Party shall, during the period
specified in paragraph I of this Section, be obliged to provide an observation
aircraft equipped with sensors from each sensor category, at the maximum
capability and in the numbers specified in Article IV, paragraph 2,
provided that the observation aircraft is equipped with the following:
(A) a single optical panoramic camera; or
(B) not less than a pair of optical framing cameras.
This paragraph makes clear that during the period of phasing of implementation,
the minimum requirement for sensors on an observation aircraft is the
cameras specified in subparagraphs (A) or (B) of paragraph 3. It is
not necessary in the interim period that the aircraft be equipped with
sensors from each of the categories of sensors at the maximum capability
and in the numbers specified in Article IV, paragraph 2 of the Treaty.
Nothing, however, would prevent a State Party from equipping its aircraft
with all of the sensors provided for in Article IV, paragraph 2, if
it desired, even during the initial period.
Paragraph 4 of Section II provides that notwithstanding the provisions
of Annex B, Section II, paragraph 2, subparagraph (A) to the Treaty,
data recording media shall be annotated with data in accordance with
existing practice of States Parties during the period specified in paragraph
1 of this Section. This paragraph provides for a temporary means for
annotation of data during the period of phasing of implementation of
the Treaty. This provision was inserted because not all States Parties
currently have the requisite automatic annotation equipment, and time
will be necessary for its acquisition and installation.
Paragraph 5 of Section II provides that notwithstanding the provisions
of Article VI, Section I, paragraph 1, no State Party during the period
specified in paragraph I of this Section shall have the right to be
provided with an aircraft capable of achieving any specified unrefuelled
range. Article VI, Section I, paragraph 1 provides in pertinent part
that in the event the observed Party provides the observation aircraft,
the observing Party shall have the right to be provided with an aircraft
capable of achieving a minimum unrefuelled range, including the necessary
fuel reserves, equivalent to one-half of the flight distance, as notified
in accordance with paragraph 5, subparagraph (G) of that Section. Article
XVIII, Section II, paragraph 5 makes clear that in those cases specified
in the above mentioned Article VI provision, an aircraft capable of
achieving a minimum unrefuelled range is not required to be provided
to the observing Party by the observed Party until the expiration of
the period of phasing of implementation.
Paragraph 6 of Section II provides that during the period specified
in paragraph 1 of this Section, the distribution of active quotas shall
be established in accordance with the provisions of Annex A, Section
II, paragraph 2 of the Treaty. Annex A, Section II, paragraph 2 provides
that following the first distribution of active quotas and until the
date of full implementation of the Treaty specified in Article XVIII,
annual distributions shall be based on the 75 percent rule established
in paragraph 1 of that Section in relation to the allocation of individual
passive quotas. Therefore, the 75 percent rule will remain in effect
until the expiration of the period of phasing of implementation.
Paragraph 7 of Section 11 provides that further phasing regarding
the introduction of additional categories of sensors or improvements
to the capabilities of existing categories of sensors shall be addressed
by the Open Skies Consultative Commission in accordance with the provisions
of Article IV, paragraph 3 concerning such introduction or improvement.
Article IV, paragraph 3 provides that the introduction of additional
categories and improvements to the capabilities of existing categories
of sensors provided for in Article IV shall be addressed by the open
Skies Consultative Commission pursuant to Article X of the Treaty. This
makes clear that as new sensor categories and improvements to the capabilities
of existing categories are added to those specified in Article IV, the
phasing of implementation for these additions may be required. According
to this paragraph, such phasing of implementation may be provided for
as agreed to within the Open Skies Consultative Commission as that need
arises.
Return to Top
ARTICLE XIX - AUTHENTIC TEXTS
Article XIX consists of one paragraph. It deals with the authentic
texts of the Treaty and the deposit of the Treaty texts with the Depositaries.
Article XIX provides that the originals of the Treaty, of which the
English, French, German, Italian, Russian and Spanish texts are equally
authentic, shall be deposited in the archives of the Depositaries (the
Republic of Hungary and Canada). Article XIX also provides that duly
certified copies of the Treaty shall be transmitted by the Depositaries
to all the States Parties.
As a practical matter, the working language of the negotiation was
English. Treaty texts in the other five language texts are deemed to
be authentic, as stated in this Article, based on their having been
duly translated and conformed to the English Treaty text at the conclusion
of the negotiations.
Return to Top
Return to Table of Contents
|