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Refusal of assistance is addressed in Article 2. Assistance may be refused (subject to the law of the Requested State) on six enumerated grounds: where the offence is regarded as a political offence or an offence only under military law; where the request concerns a fiscal offence; where the offender has been finally acquitted, pardoned or has served the sentence; where the person would be immune by reason of lapse of time under the law of the Requested State; where there are substantial grounds for believing the request is made to facilitate prosecution on discriminatory grounds (race, sex, religion, nationality or political opinions); or where the Requested State considers that granting the request would seriously impair its sovereignty, security, public order or other essential interests. Article 2(2) elaborates that essential interests may include prejudice to an ongoing investigation, danger to any person, or the imposition of an excessive burden on resources.

Compulsory measures attract an additional dual-criminality filter. Article 3(1) permits refusal where the acts or omissions, if committed in the Requested State in similar circumstances, would not be punishable under its laws. This does not apply, however, where the assistance is directed to establishing the innocence of a person.

Once assistance is granted, strict controls govern subsequent use. Article 4(1) prohibits the Requesting State from using information or material for any purpose for which assistance would not have been granted under the Treaty without the prior consent of the Requested State. Article 4(2) limits the right to examine such material to those affected by the request, their legal representatives or victims, again absent prior consent.

Confidentiality obligations are reciprocal. Article 5 requires each State to use its best endeavours to observe the standard of confidentiality requested by the other, both in carrying out the request and in protecting material once received.

Institutional machinery is created by Article 6. Each Party must maintain a Central Office. For Australia this is the Attorney-General’s Department in Canberra (until another authority is designated); for Switzerland it is the Federal Office for Police Matters of the Federal Department of Justice and Police in Berne. All requests must travel through the Central Offices, which are authorised to communicate directly with each other and to arrange prompt execution by competent authorities.

The content and form of requests are prescribed in exhaustive detail by Article 7. Mandatory elements include the identity of the competent authority, the subject matter and nature of the investigation or proceeding, a description of the essential acts or omissions (including the applicable law), the purpose of the request, any particular procedures requested, identifying particulars of the person under investigation, and any confidentiality requirements. Optional but recommended elements cover witness details, whether sworn evidence is required, descriptions of documents, fees and allowances, and precise descriptions of premises to be searched. Language requirements are strict: Swiss requests to Australia must be in English; Australian requests to Switzerland must be in an official Swiss language specified by Switzerland. Incomplete requests may be supplemented (Article 7(4)).

Execution of requests is governed by Article 8. The Requested State applies its own law as it would to a comparable domestic matter, but must endeavour to follow any particular procedures specified by the Requesting State where its law permits. Delivery of the response must occur as soon as practicable. Postponement is allowed if the material is required for domestic proceedings, although certified copies must be supplied in the interim. The Requested State must notify the Requesting State of likely significant delays and of any decision to refuse a request in whole or in part, together with reasons. Before refusing, the Requested State must consider whether conditional assistance can be offered, and the Requesting State must comply with any conditions imposed.

Return of documents and material is mandatory under Article 9. Upon completion of proceedings the Requesting State must return anything supplied if requested. Third-party claims asserted before handover bind the Requesting State to return the items as soon as possible after proceedings conclude.

Evidentiary provisions occupy Articles 10–12. “Evidence” expressly includes production of documents or material (Article 10(1)). Persons to whom the foreign proceedings relate, the relevant authority and legal representatives may be present and put questions during the taking of evidence in the Requested State if that would prevent inadmissibility in the Requesting State or would otherwise facilitate the request (Article 10(2)). A person required to give evidence may decline if they possess a right to refuse under the law of either State; where the right arises under the law of the Requesting State the Requested State relies on a certificate from the Central Office of the Requesting State (Article 11). Certification of documents is not required unless specifically requested, in which case it must follow the form sought provided it is consistent with the law of the Requested State (Article 12).

Transfer of prisoners is regulated by Article 13. A prisoner in the Requested State may be transferred to the Requesting State to give evidence or assist in investigations with the prisoner’s consent. Transfer may be delayed if the prisoner’s presence is required domestically. The Requesting State must keep the prisoner in custody, return the prisoner at the conclusion of the matter (or earlier if no longer required), and treat time spent in its custody as time served in the Requested State. If the sentence expires while abroad, the former prisoner becomes entitled to the same fees and expenses as a voluntary witness under Article 14. A prisoner who withholds consent cannot be penalised or subjected to coercive measures.

Voluntary witnesses and experts fall under Article 14. A person in the Requested State (other than a party to the proceedings) may be summoned or requested to appear or assist. The Requested State must seek their consent and communicate the answer. The person may require advance of funds for fees, allowances and expenses. Non-compliance with a summons does not expose the person to penalty or coercive measures even if the summons states otherwise.

Safe-conduct protections are conferred by Article 15. A person transferred or summoned under Articles 13 or 14 may not be prosecuted, arrested or subjected to civil suit in the Requesting State for any act or omission preceding their departure from the Requested State, nor required to give evidence in proceedings other than those to which the request relates. These immunities lapse if the person, not being a prisoner, remains in the Requesting State more than thirty days after being notified that their presence is no longer required. Evidence given cannot found prosecution except for perjury.

Search, seizure and proceeds of crime are dealt with in Article 16. The Requested State must, subject to its law, execute requests for search and seizure and for tracing, freezing, confiscating or returning proceeds or profits of crime. In urgent cases interim measures must be taken to preserve the status quo. Material or proceeds may be handed over to the Requesting State for remission to victims or other entitled parties.

Service of documents is regulated by Article 17. The Requested State must effect service of any document required by the law of the Requesting State in connection with an investigation or proceeding. Requests must ordinarily be made at least thirty days before any required personal appearance, although this period may be waived in urgent cases.

Police-to-police cooperation is separately authorised by Article 18. To the extent permitted by domestic law, police and law-enforcement agencies may provide assistance directly, but any request involving compulsory measures must proceed under the Treaty proper. Such communications should normally travel through INTERPOL.

Representation, expenses and residual matters are covered in Articles 19–22. The Requested State must represent the interests of the Requesting State unless otherwise provided. The Requested State bears ordinary costs; the Requesting State pays for conveyance and custody of persons under Articles 13 and 14, escorting officers, and any exceptional third-party liabilities identified in advance. The Treaty does not derogate from other existing obligations or prevent further assistance under other instruments (Article 20). Consultation between Central Offices and between the Parties is mandated for operational difficulties or interpretation questions; unresolved treaty interpretation disputes may be referred to the International Court of Justice, although such referral does not affect the validity of executive or judicial decisions already made on the underlying request (Article 21). The Treaty enters into force 180 days after notification of completed internal requirements, applies to requests regardless of when the underlying acts occurred, and may be terminated on 180 days’ notice (Article 22).

In aggregate the Regulations and incorporated Treaty create a self-contained, reciprocal, conditional system for the exchange of evidence and investigative assistance that is narrower than extradition but broader than informal police cooperation, hedged by dual-criminality, human-rights, sovereignty and specialty protections at every material step.

(a) taking of testimony and statements of persons;

(b) production, preservation and handing over of documents or material;

(c) location and identification of persons;

(d) execution of requests for search and seizure, as well as requests for the tracing, freezing, confiscating and returning of the proceeds or profits of crime;

(e) making persons available to give evidence or to assist in investigations;

(f) service of documents; and

(g) other assistance consistent with the objects of this Treaty mutually acceptable to the Contracting Parties.

3. Assistance shall not include extradition, enforcement or execution of final criminal judgements except to the extent permitted by the law of the Requested State and this Treaty.

SCHEDULE—continued

ARTICLE 2

Grounds for Refusal

1. Subject to the law of the Requested State, assistance may be refused, if:

(a) the offence in connection with which assistance is requested is regarded by the Requested State as a political offence or an offence only under military law;

(b) the request concerns a fiscal offence;

(c) the request relates to an offence in respect of which the offender has been finally acquitted or pardoned or has served the sentence imposed;

(d) the results of the request for assistance are to be used to prosecute a person for an offence in respect of which, under the law of the Requested State, the person would be immune from prosecution by reason of lapse of time;

(e) there are substantial grounds for believing that the request for assistance has been made to facilitate the prosecution of a person on account of that person’s race, sex, religion, nationality or political opinions or that that person’s position may be prejudiced for any of these reasons; or

(f) the Requested State is of the opinion that the request for assistance, if granted, would seriously impair its sovereignty, security, public order or other essential interests.

2. For the purpose of sub-paragraph (f) of paragraph 1 the Requested State may include in its consideration of essential interests whether the provision of assistance could prejudice an investigation or proceeding in that State, prejudice the safety of any person or impose an excessive burden on the resources of that State.

SCHEDULE—continued

ARTICLE 3

Compulsory Measures

1. Assistance involving compulsory measures may be refused where the assistance sought relates to acts or omissions which, if committed in similar circumstances in the Requested State, would not be punishable under the laws of that State.

2. Paragraph 1 of this Article does not apply where the assistance requested is directed to establishing the innocence of a person.

ARTICLE 4

Limitation on Use of Information and Material Provided

1. Without the prior consent of the Requested State the Requesting State shall not use information or material provided by the Requested State in response to a request for assistance for a purpose in respect of which assistance would not be granted under this Treaty.

2. Except with the prior consent of the Requested State, the right to examine information or material provided in response to a request may not be granted to persons other than those affected by the request, their legal representatives, or any victim of the relevant offence.

ARTICLE 5

Confidentiality

1. The Requested State shall, in carrying out a request for assistance, use its best endeavours to observe the standard of confidentiality requested by the Requesting State.

2. The Requesting State shall use its best endeavours to observe the standard of confidentiality requested of it by the

SCHEDULE—continued

Requested State in respect of information or material furnished in response to the request for assistance.

ARTICLE 6

Central Office

1. The Contracting Parties shall each appoint a Central Office for the purpose of this Treaty. Until the relevant Contracting Party designates another authority, the Central Office of Australia shall be the Attorney-General’s Department in Canberra and the Central Office for Switzerland shall be the Federal Office for Police Matters of the Federal Department of Justice and Police in Berne.

2. Requests for assistance shall be made through the Central Offices, each of which shall arrange for the prompt carrying out of such requests by the appropriate competent authorities in the Requested State.

3. The Central Offices may communicate directly with each other.

ARTICLE 7

Contents of Requests

1. Requests for assistance shall include:

(a) the name of the competent authority conducting the investigations or proceedings to which the request relates;

(b) the subject matter and nature of the investigations or proceedings and, except in cases of requests for service of documents, a description of the essential acts or omissions alleged or sought to be ascertained, including the text, or a statement, of the law applicable at the place where the offence was committed;

(c) the purpose for which the request is made and the nature of the assistance sought;

SCHEDULE—continued

(d) details of any particular procedure that the Requesting State wishes to be followed;

(e) the full name, place and date of birth, address and any other information which may aid in the identification of the person or persons who are, at the time of the request, the subject of the investigations or proceedings; and

(f) the requirements, if any, of confidentiality and the reasons therefor.

2. Requests for assistance, to the extent necessary and insofar as possible, shall include:

(a) information described under sub-paragraph (e) of paragraph 1 concerning any witness or other person who is affected by the request;

(b) a statement as to whether sworn or affirmed testimony or statements are required;

(c) a description of the information, statement or testimony sought;

(d) a description of the documents or material to be produced or preserved as well as a description of the appropriate person to be asked to produce them and, to the extent not otherwise provided for, the form in which they should be reproduced and certified;

(e) information as to the fees, allowances and expenses to which a person appearing in the Requesting State will be entitled; and

(f) as accurate a description as possible of any place to be searched and the material to be seized.

3. All documents submitted by Switzerland in support of the request shall be in, or shall be translated into English. All documents submitted by Australia in support of the request shall be in, or shall be translated into an official language of Switzerland, to be specified in each case by Switzerland.

SCHEDULE—continued

4. If the Requested State considers that the information contained in the request is not sufficient in accordance with this Treaty to enable the request to be dealt with, that State may request that additional information be furnished.

ARTICLE 8

Carrying out of the Requests

1. Subject to the provisions of this Treaty, the Requested State shall apply its law in carrying out requests for assistance as it would in relation to a similar matter arising in the Requested State.

2. Where the law of the Requested State permits, the Requested State shall carry out the request in accordance with the requirements specified therein.

3. The Requested State, as soon as practicable after processing the request for assistance, shall deliver to the Requesting State the response to the request.

4. The Requested State may postpone the delivery of material requested if such material is required for criminal, civil or administrative proceedings in that State. In the case of documents or records, the Requested State shall provide copies certified to be true copies of those documents and records pending the completion of such proceedings.

5. The Requested State shall promptly inform the Requesting State of circumstances, when they become known to the Requested State, which are likely to cause a significant delay in responding to the request.

6. Information affecting a person who, according to the request, is not involved in the criminal proceedings abroad, may be given if it is necessary to establish an element of the offence and if the seriousness of the offence justifies it.

7. The Requested State shall promptly inform the Requesting State of a decision of the Requested State not to comply

SCHEDULE—continued

in whole or in part with a request for assistance and the reasons for that decision.

8. Before refusing to grant a request for assistance the Requested State shall consider whether assistance may be granted subject to such conditions as it deems necessary. The Requesting State shall comply with conditions imposed by the Requested State.

ARTICLE 9

Return of Documents and Material

After completion of proceedings in the Requesting State, that State shall return to the Requested State upon request any documents or material provided in carrying out the request. If a third party asserts any claims to any documents or material in the Requested State before those documents or material are handed over to the Requesting State, the Requesting State is bound to return them as soon as possible after the conclusion of the proceedings.

ARTICLE 10

Taking of Evidence

1. In this Treaty, the giving or taking of evidence shall include the production of documents or material.

2. Where, pursuant to a request for assistance, a person is to give evidence in proceedings in the Requested State, the person to whom the relevant proceedings in the Requesting State relate, the relevant authority of the Requesting State, and the legal representatives of any of those persons, may be present and put questions in accordance with the rules of procedure of the Requested State, if:

(a) otherwise the evidence would or would be likely to be inadmissible under the law of the Requesting State; or

(b) the Requested State is satisfied that any such presence would facilitate the carrying out of the request in the Requested State.

SCHEDULE—continued

ARTICLE 11

Right to Decline to Give Evidence

A person who is required to give evidence in the Requested State pursuant to a request for assistance may decline to give evidence if under the law of either State the person has a right to refuse to give evidence. If any person claims that such a right is applicable in the Requesting State, the Requested State shall with respect thereto rely on a certificate of the Central Office of the Requesting State.

ARTICLE 12

Certification

Documents or records transmitted pursuant to this Treaty shall not require any form of certification unless so requested by the Requesting State. In such a case, and subject to the law of the Requested State, the certification shall be in the form requested by the Requesting State.

ARTICLE 13

Availability of Prisoners to Give Evidence or Information

1. A prisoner in the Requested State may, at the request of the Requesting State and with the consent of the prisoner, be made available to the Requesting State to give evidence or assist in investigations.

2. Compliance with the request may be delayed if the continued presence of the prisoner in the Requested State is necessary for the purpose of investigations or proceedings in that State.

3. While the original sentence in the Requested State has not expired, the Requesting State shall hold the prisoner in custody and shall return that person in custody to the Requested State at the conclusion of the proceedings or investigations in relation to which his or her conveyance to the Requesting State is sought under

SCHEDULE—continued

paragraph 1 of this Article or at such earlier time as that person’s presence is no longer required.

4. The period during which the prisoner is in custody in the Requesting State pursuant to this Article shall be deemed to be service in the Requested State of an equivalent period of custody in that State for all purposes.

5. Where the sentence imposed on a prisoner conveyed under this Article expires whilst the prisoner is in the Requesting State, that former prisoner shall thereafter be entitled to such fees, allowances and expenses, including return travel costs to the Requested State, as a person giving evidence or assisting in investigations pursuant to Article 14.

6. A prisoner who does not consent to be available to give evidence pursuant to this Article shall not by reason thereof be liable to any penalty or be submitted to any coercive measure.

ARTICLE 14

Availability of Other Persons to Give Evidence or Information

1. Any person in the Requested State may be summoned as a witness or expert in criminal proceedings being heard in the Requesting State unless that person is a party to those proceedings, or be requested to assist in investigations in that State.

2. The competent authorities shall request the person named in the summons or request to comply with the summons or request and shall seek that person’s consent thereto. The Requested State shall communicate forthwith that person’s answer to the Requesting State.

3. A person named in a summons or request, on consenting to appear in the Requesting State, is entitled to require that State to advance that person money to cover fees, allowances and expenses.

4. A person who does not answer a summons to appear as a witness or expert shall not by reason thereof be liable to any penalty

SCHEDULE—continued

or be submitted to any coercive measure notwithstanding any contrary statement in the summons.

ARTICLE 15

Safe Conduct

1. A person made available to give evidence in proceedings or to assist in investigations in the Requesting State shall not be prosecuted or arrested in the Requesting State or be subject to civil suit, being a civil suit to which the person could not be subjected if the person were not in the Requesting State, for any act or omission which preceded that person’s departure from the Requested State.

2. A perso

This is an opening excerpt, not the complete document.