EUR-Lex - 22010A0212(01) - EN Important legal notice | 22010A0212(01) Agreement between the European Union and Japan on mutual legal assistance in criminal matters Official Journal L 039 , 12/02/2010 P. 0020 - 0035 Agreementbetween the European Union and Japan on mutual legal assistance in criminal mattersTHE EUROPEAN UNION,andJAPAN,DESIRING to establish more effective cooperation between the European Union Member States and Japan in the area of mutual legal assistance in criminal matters,DESIRING that such cooperation will contribute to combating crime,REAFFIRMING their commitment to respect for justice, principles of the rule of law and democracy, and judicial independence,HAVE AGREED AS FOLLOWS:Article 1Object and purpose1. The requested State shall, upon request by the requesting State, provide mutual legal assistance (hereinafter referred to as "assistance") in connection with investigations, prosecutions and other proceedings, including judicial proceedings, in criminal matters in accordance with the provisions of this Agreement.2. This Agreement does not apply to extradition, transfer of proceedings in criminal matters and enforcement of sentences other than confiscation provided for under Article 25.Article 2DefinitionsFor the purpose of this Agreement:(a) the term "Contracting Parties" means the European Union and Japan;(b) the term "Member State" means a Member State of the European Union;(c) the term "State" means a Member State or Japan;(d) the term "items" means documents, records and other articles of evidence;(e) the term "property" means assets of every kind, whether corporeal or incorporeal, movable or immovable, tangible or intangible, and legal documents or instruments evidencing title to or interest in such assets;(f) the term "instrumentalities" means any property used or intended to be used, in any manner, wholly or in part, to commit a criminal offence;(g) the term "proceeds" means any property derived from or obtained, directly or indirectly, through the commission of a criminal offence;(h) the term "freezing or seizure" means temporarily prohibiting the transfer, conversion, disposition or movement of property or temporarily assuming custody or control of property on the basis of an order issued by a court or other competent authority; and(i) the term "confiscation", which includes forfeiture where applicable, means a penalty or a measure, ordered by a court or other judicial authority following proceedings in relation to a criminal offence or criminal offences resulting in the final deprivation of property.Article 3Scope of assistanceAssistance shall include the following:(a) taking testimony or statements;(b) enabling the hearing by videoconference;(c) obtaining items, including through the execution of search and seizure;(d) obtaining records, documents or reports of bank accounts;(e) examining persons, items or places;(f) locating or identifying persons, items or places;(g) providing items in the possession of the legislative, administrative or judicial authorities of the requested State as well as the local authorities thereof;(h) serving documents and informing a person of an invitation to appear in the requesting State;(i) temporary transfer of a person in custody for testimony or other evidentiary purposes;(j) assisting in proceedings related to freezing or seizure and confiscation of proceeds or instrumentalities; and(k) any other assistance permitted under the laws of the requested State and agreed upon between a Member State and Japan.Article 4Designation and responsibilities of Central AuthoritiesEach State shall designate the Central Authority that is the authority responsible for sending, receiving and responding to requests for assistance, the execution of such requests or their transmission to the authorities having jurisdiction to execute such requests under the laws of the State. The Central Authorities shall be the authorities listed in Annex I to this Agreement.Article 5Communication between Central Authorities1. Requests for assistance under this Agreement shall be sent by the Central Authority of the requesting State to the Central Authority of the requested State.2. The Central Authorities of the Member States and Japan shall communicate directly with one another for the purpose of this Agreement.Article 6Authorities competent to originate requestsThe authorities which are competent under the laws of the States to originate requests for assistance pursuant to this Agreement are set out in Annex II to this Agreement.Article 7AuthenticationDocuments transmitted by a State pursuant to this Agreement which are attested by the signature or seal of a competent authority or the Central Authority of the State need not be authenticated.Article 8Requests for assistance1. The requesting State shall make a request in writing.2. The requesting State may, in urgent cases, after having been in contact with the requested State, make a request by any other reliable means of communication, including fax or e-mail. In such cases, the requesting State shall provide supplementary confirmation of the request in writing promptly thereafter, if the requested State so requires.3. A request shall include the following:(a) the name of the competent authority conducting the investigation, prosecution or other proceeding, including judicial proceeding;(b) the facts pertaining to the subject of the investigation, prosecution or other proceeding, including judicial proceeding;(c) the nature and stage of the investigation, prosecution or other proceeding, including judicial proceeding;(d) the text or a statement of the relevant laws, including applicable penalties, of the requesting State;(e) a description of the assistance requested; and(f) a description of the purpose of the assistance requested.4. A request shall, to the extent possible and relevant to the assistance requested, include the following:(a) information on the identity and location of any person from whom testimony, statements or items are sought;(b) a list of questions to be asked to the person from whom testimony or statements are sought;(c) a precise description of persons or places to be searched and of items to be sought;(d) a description of why the requesting State considers that the requested records, documents or reports of bank accounts are relevant and necessary for the purpose of the investigation into the offence, and other information that may facilitate the execution of the request;(e) information regarding persons, items or places to be examined;(f) information regarding persons, items or places to be located or identified;(g) information on the identity and location of a person to be served with a document or informed of an invitation, that person’s relationship to the proceeding, and the manner in which service is to be made;(h) information on the allowances and expenses to which a person whose appearance is sought before the competent authority of the requesting State will be entitled; and(i) a precise description of proceeds or instrumentalities, the location thereof, and the identity of the owner thereof.5. A request shall, to the extent necessary, also include the following:(a) a description of any particular manner or procedure to be followed in executing the request;(b) a description of the reasons for confidentiality concerning the request; and(c) any other information that should be brought to the attention of the requested State to facilitate the execution of the request.6. If the requested State considers that the information contained in a request for assistance is not sufficient to meet the requirements under this Agreement to enable the execution of the request, the requested State may request that additional information be provided.Article 9LanguageA request and any documents attached thereto shall be accompanied by a translation into an official language of the requested State or, in all or, in urgent cases, into a language specified in Annex III to this Agreement.Article 10Execution of requests1. The requested State shall promptly execute a request in accordance with the relevant provisions of this Agreement. The competent authorities of the requested State shall take every possible measure in their power to ensure the execution of a request.2. A request shall be executed by using measures that are in accordance with the laws of the requested State. The particular manner or procedure described in the request referred to in paragraph 4(g) or paragraph 5(a) of Article 8 shall be followed to the extent that it is not contrary to the laws of the requested State, and where it is practically possible. In case the execution of the request in the manner or procedure described in the request poses a practical problem for the requested State, the requested State shall consult with the requesting State in order to solve the practical problem.3. If the execution of a request is deemed to interfere with an ongoing investigation, prosecution or other proceeding, including judicial proceeding, in the requested State, the requested State may postpone the execution. The requested State shall inform the requesting State of the reasons for the postponement and consult the further procedure. Instead of postponing the execution, the requested State may make the execution subject to conditions deemed necessary after consultations with the requesting State. If the requesting State accepts such conditions, the requesting State shall comply with them.4. The requested State shall make its best efforts to keep confidential the fact that a request has been made, the contents of the request, the outcome of the execution of the request and other relevant information concerning the execution of the request if such confidentiality is requested by the requesting State. If a request cannot be executed without disclosure of such information, the requested State shall so inform the requesting State, which shall then determine whether the request should nevertheless be executed.5. The requested State shall respond to reasonable inquiries by the requesting State concerning the status of the execution of a request.6. The requested State shall promptly inform the requesting State of the result of the execution of a request, and shall provide the requesting State with the testimony, statements or items, obtained as a result of the execution, including any claim from a person from whom testimony, statements or items are sought regarding immunity, incapacity or privilege under the laws of the requesting State. The requested State shall provide originals or, if there are reasonable grounds, certified copies of records or documents. If a request cannot be executed in whole or in part, the requested State shall inform the requesting State of the reasons therefore.Article 11Grounds for refusal of assistance1. Assistance may be refused if the requested State considers that:(a) a request concerns a political offence or an offence connected with a political offence;(b) the execution of a request is likely to prejudice its sovereignty, security, ordre public or other essential interests. For the purpose of this subparagraph, the requested State may consider that the execution of a request concerning an offence punishable by death under the laws of the requesting State or, in the relations between one Member State, set out in Annex IV to this Agreement, and Japan, an offence punishable by life imprisonment under the laws of the requesting State, could prejudice essential interests of the requested State, unless the requested State and the requesting State agree on the conditions under which the request can be executed;(c) there are well-founded reasons to suppose that the request for assistance has been made with a view to prosecuting or punishing a person by reason of race, religion, nationality, ethnic origin, political opinions or sex, or that such person’s position may be prejudiced for any of those reasons;(d) the person, who is subject to criminal investigations, prosecutions or other proceedings, including judicial proceedings, for which the assistance is requested, in the requesting State, has already been finally convicted or acquitted for the same facts in a Member State or Japan; or(e) a request does not conform to the requirements of this Agreement.2. The requested State may refuse assistance which would necessitate coercive measures under its laws if it considers that the conduct that is the subject of the investigation, prosecution or other proceeding, including judicial proceeding, in the requesting State would not constitute a criminal offence under the laws of the requested State. In the relations between Japan and two Member States, set out in Annex IV to this Agreement, assistance may be refused if the requested State considers that the conduct that is the subject of the investigation, prosecution or other proceeding, including judicial proceeding, in the requesting State would not constitute a criminal offence under the laws of the requested State.3. Assistance shall not be refused on the ground of bank secrecy.4. Before refusing assistance pursuant to this Article, the requested State shall consult with the requesting State when the requested State considers that assistance may be provided subject to certain conditions. If the requesting State accepts such conditions, the requesting State shall comply with them.5. If assistance is refused, the requested State shall inform the requesting State of the reasons for the refusal.Article 12Costs1. The requested State shall bear all costs related to the execution of a request, unless otherwise agreed between the requesting State and the requested State.2. Notwithstanding the provisions of paragraph 1, the requesting State shall bear:(a) the fees of an expert witness;(b) the costs of translation, interpretation and transcription;(c) the allowances and expenses related to travel of persons pursuant to Articles 22 and 24;(d) the costs of establishing a video link and costs related to the servicing of a video link in the requested State; and(e) the costs of an extraordinary nature;unless otherwise agreed between the requesting State and the requested State.3. If the execution of a request would impose costs of an extraordinary nature, the requesting State and the requested State shall consult in order to determine the conditions under which the request will be executed.Article 13Limitations on use of testimony, statements, items or information1. The requesting State shall not use testimony, statements, items or any information, including personal data, provided or otherwise obtained under this Agreement other than in the investigation, prosecution or other proceeding, including judicial proceeding, described in the request without prior consent of the requested State. In giving such prior consent, the requested State may impose such conditions as it deems appropriate.2. The requested State may request that testimony, statements, items or any information, including personal data, provided or otherwise obtained under this Agreement be kept confidential or be used only subject to other conditions it may specify. If the requesting State agrees to such confidentiality or accepts such conditions, it shall comply with them.3. In exceptional circumstances a State may, at the time it is providing testimony, statements, items or any information, including personal data, request that the receiving State will give information on the use made of them.Article 14Transport, maintenance and return of items1. The requested State may request that the requesting State transport and maintain items provided under this Agreement in accordance with the conditions specified by the requested State, including the conditions deemed necessary to protect third-party interests in the items to be transferred.2. The requested State may request that the requesting State return any items provided under this Agreement in accordance with the conditions specified by the requested State, after such items have been used for the purpose described in a request.3. The requesting State shall comply with a request made pursuant to paragraph 1 or 2. When such a request has been made, the requesting State shall not examine the items without the prior consent of the requested State if the examination impairs or could impair the item.Article 15Taking of testimony or statements1. The requested State shall take testimony or statements. The requested State shall employ coercive measures in order to do so, if such measures are necessary and the requesting State provides the requested State with information justifying those measures under the laws of the requested State.2. The requested State shall make its best efforts to make possible the presence of such persons as specified in a request for taking testimony or statements during the execution of the request, and to allow such persons to question the person from whom testimony or statements are sought. In the case that such direct questioning is not permitted, such persons shall be allowed to submit questions to be posed to the person from whom testimony or statements are sought.3. If a person, from whom testimony or statements are sought pursuant to this Article, asserts a claim of immunity, incapacity or privilege under the laws of the requesting State, testimony or statements may nevertheless be taken, unless the request includes a statement from the requesting State that when such immunity, incapacity or privilege is claimed, the testimony or statements cannot be taken.Article 16Hearing by videoconference1. If a person is in the requested State and has to be heard as a witness or an expert witness by the competent authorities of the requesting State, the requested State may enable testimony or a statement to be taken from that person by those competent authorities by videoconference, if such hearing is necessary for the proceedings of the requesting State. The requesting and the requested States shall consult, if necessary, in order to facilitate resolution of legal, technical or logistical issues that may arise in the execution of the request.2. The following rules shall apply to the hearing by videoconference unless otherwise agreed between the requesting State and the requested State:(a) the authority of the requested State will identify the person to be heard specified in the request, and invite the person to facilitate his or her appearance;(b) the hearing will be conducted directly by, or under the direction of, the competent authority of the requesting State in accordance with its own laws and the fundamental principles of the law of the requested State;(c) the authority of the requested State will be present during the hearing, where necessary assisted by an interpreter, and will observe the hearing. If the authority of the requested State is of the view that during the hearing the fundamental principles of the law of the requested State are being infringed, it will immediately take the necessary measures to ensure that the hearing continues in accordance with the said principles;(d) at the request of the requesting State or the person to be heard, the requested State will ensure, if necessary, that the person is assisted by an interpreter; and(e) the person to be heard may claim the right not to testify which would accrue to him or her under the laws of either the requesting or the requested State. Other measures necessary for the protection of the person as agreed upon between the authorities of the requesting and the requested States will also be taken.Article 17Obtaining of items1. The requested State shall obtain items. The requested State shall employ coercive measures, including search and seizure in order to do so, if such measures are necessary and the requesting State provides the requested State with information justifying those measures under the laws of the requested State.2. The requested State shall make its best efforts to make possible the presence of such persons as specified in a request for obtaining items during the execution of the request.Article 18Bank accounts1. The requested State shall confirm whether a natural or legal person that is the subject of a criminal investigation holds or controls one or more accounts in the banks specified in the request.2. The requested State shall provide the specified records, documents or reports of the specified accounts, the records of banking operations which have been carried out during a specified period through the accounts specified in the request, or identified in accordance with paragraph 1 and the specified records, documents or reports of any sending or recipient account.3. The obligations set out in this Article shall apply only to the extent that the information is in the possession of the bank keeping the account.4. The requested State may make an execution of a request in paragraphs 1 and 2 dependent on the conditions it applies in respect of requests for obtaining items.Article 19Examination of persons, items or places1. The requested State shall examine persons, items or places. The requested State shall employ coercive measures in order to do so, if such measures are necessary and the requesting State provides the requested State with information justifying those measures under the laws of the requested State.2. The requested State shall make its best efforts to make possible the presence of such persons as specified in a request for examining persons, items or places during the execution of the request.Article 20Locating or identifying persons, items or placesThe requested State shall make its best efforts to locate or identify persons, items or places.Article 21Providing items in possession of the legislative, administrative, judicial or local authorities1. The requested State shall provide the requesting State with items that are in the possession of the legislative, administrative or judicial authorities of the requested State as well as the local authorities thereof and are available to the general public.2. The requested State shall make its best efforts to provide the requesting State with items, including criminal records, that are in the possession of the legislative, administrative or judicial authorities of the requested State as well as the local authorities thereof and are not available to the general public, to the same extent and under the same conditions as such items would be available to its investigative and prosecuting authorities.Article 22Service of documents and informing a person of an invitation1. The requested State shall effect service of documents, including service of summons or other documents requiring the appearance of a person before the competent authority of the requesting State, on persons in the requested State. The requested State shall inform a person in that State of an invitation to appear before the competent authority of the requesting State.2. Where a request concerns service of a document requiring the appearance of a person before the competent authority of the requesting State, the request shall be received by the Central Authority of the requested State not less than 50 days before the scheduled appearance date. In urgent cases, the requested State may waive this requirement.3. Where the requesting State knows that the addressee does not understand the language which the documents, served or sent pursuant to paragraph 1, are drawn up in or translated into, the requesting State shall endeavour to translate the documents, or shall, at least, translate the important passages thereof, also into the language the addressee understands.4. Documents served pursuant to paragraph 1 shall include a statement that the addressee may obtain information from the competent authority by which the document was issued or from other authorities of the requesting State regarding his or her essential rights and obligations concerning the documents, if any.5. In informing the result of the service of documents in accordance with paragraph 6 of Article 10, the requested State shall give proof of service by means of a receipt dated and signed by the person served or by means of a statement made by the requested State that service has been effected, as well as on the date, place and manner of service. The requested State shall, upon request by the requesting State, promptly inform the requesting State, where possible, of the response of the person who is invited or required to appear before the competent authority of the requesting State under paragraph 1.6. A person who has been invited or required to appear before the competent authority of the requesting State under paragraph 1, but does not appear before that authority shall not, by reason thereof, be liable to any penalty or be subjected to any coercive measure in the requesting State, notwithstanding any contrary statement in the request or documents served or sent.Article 23Safe conduct1. A person who is invited or required to appear before the competent authority of the requesting State under paragraph 1 of Article 22 shall not:(a) be subject to detention or any restriction of personal liberty in that State by reason of any conduct or conviction that precedes the departure of the person from the requested State; or(b) be obliged to give evidence or to assist in any investigation, prosecution or other proceeding, including judicial proceeding, other than the proceeding specified in the request.2. If the safe conduct provided for in paragraph 1 cannot be provided, the requesting State shall be able to make a decision whether to appear before the competent authority of the requesting State.3. The safe conduct provided for in paragraph 1 shall cease when:(a) the person, having had, for a period of 15 consecutive days from the date when his or her presence is no longer required by the competent authority or from the day when he or she failed to appear before that authority on the scheduled appearance date, an opportunity of leaving, has nevertheless remained voluntarily in the requesting State; or(b) the person, having left the requesting State, voluntarily returns to it.4. When the requesting State knows that the safe conduct provided for in paragraph 1 has ceased pursuant to paragraphs 3(a) and 3(b), the requesting State shall so inform the requested State without delay, if such information is requested by the requested State and considered necessary by the requesting State.Article 24Temporary transfer of persons in custody1. A person in custody of the requested State whose presence in the requesting State is necessary for testimony or other evidentiary purposes shall be temporarily transferred for those purposes to the requesting State, if the person consents and if the requesting State and the requested State agree, when permitted under the laws of the requested State.2. The requesting State shall keep the person transferred pursuant to paragraph 1 in the custody of the requesting State, unless permitted by the requested State to do otherwise.3. The requesting State shall immediately return the person transferred to the requested State, as agreed beforehand, or as otherwise agreed between the requesting State and the requested State.4. The person transferred shall receive credit for service of the sentence being served in the requested State for the time spent in the custody of the requesting State.5. The person transferred to the requesting State pursuant to this Article shall enjoy the safe conduct provided for in paragraph 1 of Article 23 in the requesting State until the return to the requested State, unless the person consents to give evidence or assist in any investigation, prosecution or other proceeding, including judicial proceeding, other than the proceeding specified in the request and the requesting State and the requested State agree thereto.6. A person who does not consent to be transferred pursuant to this Article shall not, by reason thereof, be liable to any penalty or be subjected to any coercive measure in the requesting State, notwithstanding any contrary statement in the request.Article 25Freezing or seizure and confiscation of proceeds or instrumentalities1. The requested State shall assist, to the extent permitted by its laws, in proceedings related to freezing or seizure and confiscation of the proceeds or instrumentalities.2. A request for the confiscation described in paragraph 1 shall be accompanied by a decision of a court or other judicial authority imposing the confiscation.3. The requested State that has custody over proceeds or instrumentalities may transfer such proceeds or instrumentalities, in whole or in part, to the requesting State, to the extent permitted by the laws of the requested State and upon such conditions as it deems appropriate.4. In applying this Article, the legitimate rights and interests of bona fide third parties shall be respected under the laws of the requested State.Article 26Spontaneous exchange of information1. Member States and Japan may, without prior request, provide information relating to criminal matters to each other to the extent permitted by the laws of the providing State.2. The providing State may impose conditions on the use of such information by the receiving State. In such a case, the providing State shall give prior notice to the receiving State of the nature of the information to be provided and of the conditions to be imposed. The receiving State shall be bound by those conditions if it agrees to them.Article 27Relation to other instruments1. Nothing in this Agreement shall prevent any State from requesting assistance or providing assistance in accordance with other applicable international agreements, or pursuant to its laws that may be applicable.2. Nothing in this Agreement shall prevent a Member State and Japan from concluding international agreements confirming, supplementing, extending or amplifying the provisions thereof.Article 28Consultations1. The Central Authorities of the Member States and Japan shall, if necessary, hold consultations for the purpose of resolving any difficulties with regard to the execution of a request, and facilitating speedy and effective assistance under this Agreement, and may decide on such measures as may be necessary for this purpose.2. The Contracting Parties shall, as appropriate, hold consultations on any matter that may arise in the interpretation or application of this Agreement.Article 29Territorial application1. This Agreement shall apply to the territory of Japan and, in relation to the European Union, to:(a) the territories of the Member States; and(b) territories for whose external relations a Member State has responsibility, or countries that are not Member States for whom a Member State has other duties with respect to external relations, where agreed upon by an exchange of diplomatic notes between the Contracting Parties, duly confirmed by the relevant Member State.2. The application of this Agreement to any territory or country in respect of which extension has been made in accordance with paragraph 1(b) may be terminated by either Contracting Party giving six months’ written notice to the other Contracting Party through the diplomatic channel, where duly confirmed between the relevant Member State and Japan.Article 30Status of annexesAnnexes to this Agreement form an integral part of this Agreement. Annexes I, II and III may be modified by mutual consent in writing of the Contracting Parties without amendment of this Agreement.Article 31Entry into force and termination1. This Agreement shall enter into force on the 30th day after the date on which the Contracting Parties exchange diplomatic notes informing each other that their respective internal procedures necessary to give effect to this Agreement have been completed.2. This Agreement shall apply to any request for assistance presented on or after the date upon which this Agreement enters into force, whether the acts relevant to the request were committed before, on or after that date.3. Either Contracting Party may terminate this Agreement at any time by giving written notice to the other Contracting Party, and such termination shall be effective six months after the date of such notice.IN WITNESS WHEREOF, the undersigned Plenipotentiaries have signed this Agreement.DONE in duplicate, in the English and Japanese languages, both texts being equally authentic, and signed at Brussels on the thirtieth day of November 2009, and at Tokyo on the+++++ TIFF +++++day of December 2009. This Agreement shall also be drawn up in the Bulgarian, Czech, Danish, Dutch, Estonian, Finnish, French, German, Greek, Hungarian, Italian, Latvian, Lithuanian, Maltese, Polish, Portuguese, Romanian, Slovak, Slovenian, Spanish and Swedish languages, and the Contracting Parties shall authenticate those language versions by an exchange of diplomatic notes.For the European Union+++++ TIFF +++++For Japan+++++ TIFF +++++--------------------------------------------------ANNEX ITHE CENTRAL AUTHORITIESThe Central Authorities of the Contracting Parties are the following authorities:the Kingdom of Belgium: the Federal Public Service Justice, International Criminal Cooperation Department;the Republic of Bulgaria: the Ministry of Justice;the Czech Republic:- before the case is brought before a court (i.e. in pre-trial proceedings): the Supreme Public Prosecutor’s Office of the Czech Republic, and- after the case has been brought before a court (i.e. in trial stage of criminal proceedings): the Ministry of Justice of the Czech Republic;the Kingdom of Denmark: the Ministry of Justice;the Federal Republic of Germany: the Federal Office of Justice;the Republic of Estonia: the Ministry of Justice;Ireland: the Minister for Justice, Equality and Law Reform or a person designated by the Minister;the Hellenic Republic: the Ministry of Justice, Transparency and Human Rights;the Kingdom of Spain: the Ministry of Justice, the Subdirectorate General for international legal cooperation;the French Republic: the Ministry of Justice, the Office for International Mutual Assistance in Criminal Matters, Directorate for Criminal Matters and Pardons;the Italian Republic: the Ministry of Justice, Department of Judicial Affairs – Directorate General of Criminal Matters;the Republic of Cyprus: the Ministry of Justice and Public Order;the Republic of Latvia:- during pre-trial investigation until prosecution: State Police,- during pre-trial investigation until submitting the case to the court: the General Prosecutor’s Office, and- during the trial: the Ministry of Justice;the Republic of Lithuania:- the Ministry of Justice of the Republic of Lithuania, and- the General Prosecutor’s Office of the Republic of Lithuania;the Grand Duchy of Luxembourg: the Prosecutor General;the Republic of Hungary:- the Ministry of Justice and Law Enforcement, and- the Office of the Prosecutor General;the Republic of Malta: the Office of the Attorney General;the Kingdom of the Netherlands: the Ministry of Justice in The Hague;the Republic of Austria: the Ministry of Justice;the Republic of Poland:- during pre-trial stage: the National Public Prosecutor’s Office,- during the trial: the Ministry of Justice,the Portuguese Republic: the Prosecutor General’s Office;Romania: the Ministry of Justice and Civil Liberties, the General Directorate for Cooperation, Directorate for International Law and Treaties, Division for International Judicial Cooperation in Criminal Matters;the Republic of Slovenia: the Ministry of Justice, the Directorate for international cooperation and international legal assistance;the Slovak Republic:- in pre-trial proceedings: the General Prosecutor’s Office,- in trial stage: the Ministry of Justice, and,- for receiving: the Ministry of Justice,the Republic of Finland: the Ministry of Justice;the Kingdom of Sweden: the Ministry of Justice;the United Kingdom of Great Britain and Northern Ireland:the Home Office (United Kingdom Central Authority), Her Majesty’s Revenue and Customs, Crown Office and Procurator Fiscal Service;Japan: the Minister of Justice and the National Public Safety Commission or persons designated by them.--------------------------------------------------ANNEX IIWith regard to Article 6 of this Agreement, the authorities which are competent under the laws of the States to originate requests for assistance pursuant to this Agreement are set out below:the Kingdom of Belgium: the judicial authorities: to be understood as meaning members of the judiciary responsible for administering the law, examining magistrates and members of the Department of Public Prosecution;the Republic of Bulgaria: the Supreme Cassation Prosecutor’s Office of the Republic of Bulgaria for pre-trial cases of criminal proceedings and the courts of the Republic of Bulgaria for pending cases in trial phase of criminal proceedings;the Czech Republic: public prosecutors and courts of the Czech Republic;the Kingdom of Denmark:- the District Courts, the High Courts and the Supreme Court,- the Department of Public Prosecutions, which includes:- the Ministry of Justice,- the director of Public Prosecutions,- the Prosecutor, and- the Police Commissioners;the Federal Republic of Germany:- the Federal Ministry of Justice;- Federal Court of Justice, Karlsruhe;- the Public Prosecutor General of the Federal Court of Justice, Karlsruhe;- the Federal Office of Justice;- the Ministry of Justice of Baden-Württemberg, Stuttgart;- the Bavarian State Ministry of Justice and Consumer Protection, Munich;- the Senate Department for Justice, Berlin;- the Ministry of Justice of Land Brandenburg, Potsdam;- the Senator for Justice and Constitution of the Free Hanseatic City of Bremen, Bremen;- the Justice Authority of the Free and Hanseatic City of Hamburg, Hamburg;- the Hessian Ministry of Justice, Integration and Europe, Wiesbaden;- the Ministry of Justice of Mecklenburg-Vorpommern, Schwerin;- the Ministry of Justice of Lower-Saxony, Hanover;- the Ministry of Justice of Land North-Rhine/Westphalia, Düsseldorf;- the Ministry of Justice of Land Rhineland-Palatinate, Mainz;- the Ministry of Justice of the Saarland, Saarbrücken;- the Saxonian State Ministry of Justice, Dresden;- the Ministry of Justice of Land Saxony-Anhalt, Magdeburg;- the Ministry of Justice, Equality and Integration of Schleswig-Holstein, Kiel;- the Thuringian Ministry of Justice, Erfurt;- the Higher Regional Courts;- the Regional Courts;- the Local Courts;- the Chief Public Prosecutor at the Higher Regional Courts;- the Directors of Public Prosecutions at the Regional Courts;- the Central Office of the Land Judicial Administrations for the Investigation of National Socialist Crimes, Ludwigsburg;- the Federal Criminal Police Office;- the Central Office of the German Customs Investigations Service;the Republic of Estonia: judges and prosecutors;Ireland: the Director for Public Prosecutions;the Hellenic Republic: the Public Prosecutor’s Office at the Court of Appeal;the Kingdom of Spain: criminal court magistrates and judges, and public prosecutors;the French Republic:- first presidents, presidents, judges and magistrates at criminal courts,- examining magistrates at such courts,- members of the public prosecution service at such courts, namely:- principal public prosecutors,- deputy principal public prosecutors,- assistant principal public prosecutors,- public prosecutors and assistant public prosecutors,- representatives of police court public prosecutors, and- military court public prosecutors;the Italian RepublicProsecutors:- Director of Public Prosecution- Assistant Public Prosecutor- Director of Military Public Prosecution- Assistant Military Public Prosecutor- General Public Prosecutor- Assistant General Public Prosecutor- General Military Public Prosecutor- Assistant General Military Public ProsecutorJudges:- Judge of Peace- Investigation Judge- Preliminary hearing Judge- Ordinary Court- Military Court- Court of Assizes- Court of Appeal- Court of Assizes of Appeal- Military Court of Appeal- Court of Cassation;the Republic of Cyprus:- the Attorney General of the Republic,- the Chief of Police,- the Director of Customs & Excise,- members of the Unit for Combating Money Laundering (MOKAS), and,- any other authority or person who is entitled to make inquiries and prosecutions in the Republic of Cyprus,the Republic of Latvia: investigators, prosecutors and judges;the Republic of Lithuania: judges and prosecutors;the Grand Duchy of Luxembourg: the judicial authorities: to be understood as meaning members of the judiciary responsible for administering the law, examining magistrates and members of the Department of Public Prosecution;the Republic of Hungary: prosecutor’s offices and courts;the Republic of Malta:- the Magistrates Court,- the Juvenile Court,- the Criminal Court and the Court of Criminal Appeal,- the Attorney General,- the Deputy Attorney General,- the Legal Officers within the Attorney General’s office; and- the Magistrates;the Kingdom of the Netherlands: members of the judiciary responsible for administering the law, examining magistrates and members of the Department of Public Prosecutions;the Republic of Austria: courts and prosecutors;the Republic of Poland: prosecutors and courts;the Portuguese Republic: prosecution services in the investigation phase, investigation judges and trial judges;Romania: courts and the prosecutor’s offices of the courts;the Republic of Slovenia:- local court judges,- investigative judges,- district court judges,- higher court judges,- supreme court judges,- constitutional court judges,- district state prosecutors,- higher state prosecutors,- supreme state prosecutors;the Slovak Republic: judges and prosecutors;the Republic of Finland:- the Ministry of Justice,- the Courts of First Instance, the Courts of Appeal, and the Supreme Court,- the public prosecutors,- the police authorities, the custom authorities, and the frontier guard officers in their capacity of preliminary criminal investigations authorities in criminal proceedings under the Preliminary Criminal Investigations Act,the Kingdom of Sweden: courts and prosecutors;the United Kingdom of Great Britain and Northern Ireland: courts and prosecutors;Japan: Courts, Presiding Judges, Judges, Public Prosecutors, Public Prosecutor’s Assistant Officers, and Judicial Police Officials.--------------------------------------------------ANNEX IIIWith regard to Article 9 of this Agreement, the Member States and Japan accept the following languages:the Kingdom of Belgium: Dutch, French and German in all cases and English in urgent cases;the Republic of Bulgaria: Bulgarian in all cases and English in urgent cases;the Czech Republic: Czech in all cases and English in urgent cases;the Kingdom of Denmark: Danish in all cases and English in urgent cases;the Federal Republic of Germany: German in all cases and English in urgent cases;the Republic of Estonia: Estonian and English in all cases;Ireland: English and Irish in all cases;the Hellenic Republic: Greek in all cases and English in urgent cases;the Kingdom of Spain: Spanish in all cases;the French Republic: French in all cases;the Italian Republic: Italian in all cases and English in urgent cases;the Republic of Cyprus: Greek and English in all cases;the Republic of Latvia: Latvian in all cases and English in urgent cases;the Republic of Lithuania: Lithuanian in all cases and English in urgent cases;the Grand Duchy of Luxembourg: French and German in all cases and English in urgent cases;the Republic of Hungary: Hungarian in all cases and English in urgent cases;the Republic of Malta: Maltese in all cases;the Kingdom of the Netherlands: Dutch in all cases and English in urgent cases;the Republic of Austria: German in all cases and English in urgent cases;the Republic of Poland: Polish in all cases;the Portuguese Republic: Portuguese in all cases and English or French in urgent cases;Romania: Romanian, English or French in all cases. With regard to longer documents, Romania reserves the right, in any specific case, to require a Romanian translation or to have one made at the expense of the requesting State;the Republic of Slovenia: Slovenian and English in all cases;the Slovak Republic: Slovak in all cases;the Republic of Finland: Finnish, Swedish and English in all cases;the Kingdom of Sweden: Swedish, Danish or Norwegian in all cases, unless the authority dealing with the application otherwise allows in the individual case;the United Kingdom of Great Britain and Northern Ireland: English in all cases;Japan: Japanese in all cases and English in urgent cases. However, Japan reserves the right, in any specific urgent case, to require translation into Japanese with regard to the request from the requesting State which does not accept translation into English under this Annex.--------------------------------------------------ANNEX IVWith regard to paragraph 1(b) of Article 11 of this Agreement, "one Member State" referred to in this paragraph is the Portuguese Republic.With regard to paragraph 2 of Article 11 of this Agreement, "two Member States" referred to in this paragraph are the Republic of Austria and the Republic of Hungary.--------------------------------------------------

Summary: EU–Japan mutual legal assistance EU–Japan mutual legal assistance SUMMARY OF: Agreement between the EU and Japan on mutual legal assistance in criminal matters Decision 2010/616/EU concluding the Agreement between the EU and Japan on mutual legal assistance in criminal matters WHAT IS THE AIM OF THE AGREEMENT AND THE DECISION? The agreement aims to establish more effective cooperation between the EU and Japan in the field of mutual legal assistance in criminal matters. The agreement is the first such ‘self-standing’ agreement between the EU and a non-EU country. Until it was concluded, no individual EU country had concluded such an agreement with Japan. The decision concludes the agreement on behalf of the EU. KEY POINTS The agreement applies to the request and supply of mutual legal assistance in relation to investigations, prosecutions and other proceedings in criminal matters. It does not apply to extradition, transfer of proceedings* in criminal matters and enforcement of sentences, apart from confiscation. The legal assistance consists of: taking testimonies, including by videoconference; searching and seizing items; obtaining information on bank accounts; examining and locating or identifying persons, items or places; providing items held by the authoritiesin one party to the authorities in the other party; serving documents (delivering a legal document to parties involves in legal proceedings); transferring persons in custody for the purpose of testimony; freezing or seizing and confiscating proceeds. Each EU country and Japan must designate a central authority with responsibility for sending, receiving and responding to requests for assistance. These authorities are also responsible for executing the requests or for transmitting the requests to the authorities with jurisdiction to execute them. Requests for assistance The country making a request for assistance must do so in writing. In urgent cases, the request may be made by other reliable means of communication. Requests for assistance must contain specific information as set out in the agreement. The requested country may ask for additional information if necessary for executing the request for assistance. The request, together with any other documents, must be accompanied by a translation in the official language of the requested country or in another language as agreed by that country. Execution of requests The requested country: must execute the request for assistance as swiftly as possible and in accordance with its national law; may postpone the execution of a request, or make execution subject to specific conditions, if it could interfere with an ongoing investigation, prosecution or other proceeding; must transmit the result of the execution, together with any testimonies or items obtained, to the requesting country. If it cannot execute a request in whole or in part, it must provide the requesting country with the reasons why; may refuse, under certain conditions, to provide assistance, for example if the request concerns an offence that is punishable by death in the requesting country. When refusing assistance, the requested country must provide the reasons why. Testimonies and statements The requesting country may only use testimonies, statements, items or information in the investigations, prosecutions or other proceedings for which it was requested. The requested country may require confidentiality or impose other conditions on the use of these data. It may also impose conditions on the transport, maintenance and return of items requested. To take testimonies or statements, the requested country may use coercive measures if necessary, provided that this is justifiable under its national law. In cases where the person concerned is to be heard as a witness in proceedings of the requesting country, the requested country may allow its competent authorities to take the testimony or statement by videoconference. Persons, items and places If necessary and justifiable under its national law, the requested country may use coercive measures to obtain items and to examine persons, items or places. The requested country must provide the requesting country with: information related to the bank accounts of the person under investigation, to the extent that the bank in question possesses it; any publicly available items that its legislative, administrative or judicial authorities possess; any non-public items, such as criminal records, that these authorities possess, to the extent and under the same conditions as they are available to its investigative and prosecuting authorities. The requested country must serve documents and summons (an order to appear before a court) to persons requested to appear before the competent authorities of the requesting country. If the person in custody is requested to give evidence, the requested country may temporarily transfer that person to the requesting country. However, the person to be transferred must first give his/her consent and the transfer must be permitted under the law of the requested country. Confiscation of proceeds The requested country should assist the requesting country in proceedings related to the freezing or seizure and confiscation of proceeds of crime, as far as it is permitted by its national law. The requesting country must provide the decision of a court or other judicial authority that imposes the confiscation, together with its request. If the proceeds are in the custody of the requested country, it may transfer them in whole or in part to the requesting country. FROM WHEN DOES THE AGREEMENT APPLY? It has applied since 2 January 2011. BACKGROUND For more information, see: Mutual legal assistance and extradition (European Commission). KEY TERMS Transfer of proceedings: a request from one country to another, asking the requested country to initiate legal proceedings for an act that is a punishable offence in both the requesting and the requested country. MAIN DOCUMENTS Agreement between the European Union and Japan on mutual legal assistance in criminal matters (OJ L 39, 12.2.2010, pp. 20-35) Council Decision 2010/616/EU of 7 October 2010 on the conclusion of the Agreement between the European Union and Japan on mutual legal assistance in criminal matters (OJ L 271, 15.10.2010, p. 3) RELATED DOCUMENTS Information concerning the date of entry into force of the Agreement between the European Union and Japan on mutual legal assistance in criminal matters (OJ L 343, 29.12.2010, p. 1) Council Decision 2010/88/CFSP/JHA of 30 November 2009 on the signing, on behalf of the European Union, of the Agreement between the European Union and Japan on mutual legal assistance in criminal matters (OJ L 39, 12.2.2010, p. 19) last update 31.07.2018


7.4.2009 EN Official Journal of the European Union L 93/23 COUNCIL FRAMEWORK DECISION 2009/315/JHA of 26 February 2009 on the organisation and content of the exchange of information extracted from the criminal record between Member States THE COUNCIL OF THE EUROPEAN UNION, Having regard to the Treaty on European Union, and in particular Articles 31 and 34(2)(b) thereof, Having regard to the proposal from the Commission and the initiative of the Kingdom of Belgium, Having regard to the opinion of the European Parliament (1), Whereas: (1) The European Union has set itself the objective of providing citizens with a high level of safety within the area of freedom, security and justice. This objective presupposes the exchange between the competent authorities of the Member States of information extracted from criminal records. (2) On 29 November 2000 the Council, in accordance with the conclusions of the Tampere European Council of 15 and 16 October 1999, adopted a programme of measures to implement the principle of mutual recognition of decisions in criminal matters (2). This Framework Decision contributes to achieving the goals provided for by measure 3 of the programme, which calls for the establishment of a standard form like that drawn up for the Schengen bodies, translated into all the official languages of the Union, for criminal records requests. (3) The Final Report on the first evaluation exercise on mutual legal assistance in criminal matters (3) called on the Member States to simplify the procedures for transferring documents between States, using, if necessary, standard forms to facilitate mutual legal assistance. (4) The need to improve the quality of information exchanged on convictions was prioritised in the European Council Declaration on Combating Terrorism of 25 and 26 March 2004 and was reiterated in the Hague Programme (4), adopted by the European Council on 4 and 5 November 2004, which called for greater exchange of information from national conviction and disqualification registers. These objectives are reflected in the Action Plan jointly adopted by the Council and the Commission on 2 and 3 June 2005 with a view to carrying out the Hague Programme. (5) With a view to improving the exchange of information between Member States on criminal records, projects developed with the aim to achieve this objective are welcomed, including the existing project for the interconnection of national criminal registers. The experience gathered from these activities has encouraged the Member States to further enhance their efforts and showed the importance to continue streamlining the mutual exchange of information on convictions between the Member States. (6) This Framework Decision is a response to the wishes expressed by the Council on 14 April 2005, following the publication of the White Paper on exchanges of information on convictions and the effect of such convictions in the European Union and the subsequent general discussion thereof. Its main aim is to improve the exchange of information on convictions and, where imposed and entered in the criminal records of the convicting Member State, on disqualifications arising from criminal conviction of citizens of the Union. (7) The application of the mechanisms established by this Framework Decision only to the transmission of information extracted from criminal records concerning natural persons should be without prejudice to a possible future broadening of the scope of application of such mechanisms to the exchange of information concerning legal persons. (8) Information on convictions handed down in other Member States is currently governed by Articles 13 and 22 of the European Convention on Mutual Assistance in Criminal Matters of 20 April 1959. These provisions are not, however, sufficient to meet the present requirements of judicial cooperation in an area such as the European Union. (9) As between the Member States, this Framework Decision should replace Article 22 of the European Convention on Mutual Assistance in Criminal Matters. In addition to the obligations of a convicting Member State to transmit information to the Member States of the person’s nationality concerning convictions handed down against their nationals which this Framework Decision incorporates and further defines, an obligation on the Member States of the person’s nationality to store information so transmitted is also introduced, in order to ensure that they are able to reply fully to requests for information from other Member States. (10) This Framework Decision should be without prejudice to the possibility of judicial authorities’ directly requesting and transmitting information from criminal records pursuant to Article 13 in conjunction with Article 15(3), of the European Convention on Mutual Assistance in Criminal Matters and without prejudice to Article 6(1) of the Convention on Mutual Assistance in Criminal Matters between the Member States of the European Union, established by Council Act of 29 May 2000 (5). (11) Improving the circulation of information on convictions is of little benefit if Member States are not able to take transmitted information into account. On 24 July 2008, Council adopted Framework Decision 2008/675/JHA on taking account of convictions in the Member States of the European Union in the course of new criminal proceedings (6). (12) The main objective of the initiative of the Kingdom of Belgium is attained by this Framework Decision to the extent that the central authority of every Member State should request and include all information provided from the criminal records of the Member State of the person’s nationality in its extract from criminal records when it replies to a request from the person concerned. Awareness of the existence of the conviction as well as, where imposed and entered in the criminal record, of a disqualification arising from it, is a prerequisite for giving them effect in accordance with the national law of the Member State in which the person intends to perform professional activity related to supervision of children. The mechanism established by this Framework Decision aims at inter alia ensuring that a person convicted of a sexual offence against children should no longer, where the criminal record of that person in the convicting Member State contains such conviction and, if imposed and entered in the criminal record, a disqualification arising from it, be able to conceal this conviction or disqualification with a view to performing professional activity related to supervision of children in another Member State. (13) This Framework Decision establishes rules on the protection of personal data transmitted between the Member States as a result of its implementation. Existing general rules on the protection of personal data processed in the framework of police and judicial cooperation in criminal matters are complemented by the rules established in this Framework Decision. Furthermore, the Council of Europe Convention of 28 January 1981 for the Protection of Individuals with regard to Automatic Processing of Personal Data applies to the personal data handled on the basis of this Framework Decision. This Framework Decision also incorporates the provisions of Council Decision 2005/876/JHA of 21 November 2005 on the exchange of information extracted from the criminal record (7) which limit the use the requesting Member State can make of information asked for. This Framework Decision supplements such provisions with specific rules applying where the Member State of the person’s nationality forwards information on convictions transmitted to it by the convicting Member State. (14) This Framework Decision does not modify obligations and practices established in relation to third States under the European Convention on Mutual Assistance in Criminal Matters, in so far as that instrument remains applicable. (15) Under Council of Europe Recommendation No R (84) 10 on criminal records and rehabilitation of convicted persons, the main aim of establishment of criminal records is to inform the authorities responsible for the criminal justice system of the background of a person subject to legal proceedings with a view to adapting the decision to be taken to the individual situation. Since all other use of criminal records that might compromise the chances of social rehabilitation of the convicted person must be as limited as possible, the use of information transmitted under this Framework Decision for purposes other than that of criminal proceedings can be limited in accordance with the national law of the requested Member State and the requesting Member State. (16) The aim of the provisions of this Framework Decision concerning the transmission of information to the Member State of the person’s nationality for the purpose of its storage and retransmission is not to harmonise national systems of criminal records of the Member States. This Framework Decision does not oblige the convicting Member State to change its internal system of criminal records as regards the use of information for domestic purposes. (17) Improving the circulation of information on convictions is of little benefit if such information cannot be understood by the Member State receiving it. Mutual understanding may be enhanced by the creation of a ‘standardised European format’ allowing information to be exchanged in a uniform, electronic and easily machine-translatable way. Information on convictions sent by the convicting Member State should be transmitted in the official language or one of the official languages of that Member State. Measures should be taken by Council to set up the information exchange system introduced by this Framework Decision. (18) This Framework Decision respects the fundamental rights and observes the principles recognised by Article 6 of the Treaty on European Union and reflected by the Charter of Fundamental Rights of the European Union. (19) This Framework Decision respects the principle of subsidiarity referred to in Article 2 of the Treaty on European Union and set out in Article 5 of the Treaty establishing the European Community since the improvement of systems for the transmission of information on convictions between Member States cannot be carried out adequately by the Member States unilaterally and requires coordinated action in the European Union. In accordance with the principle of proportionality, as set out in the Article 5 of the Treaty establishing the European Community, this Framework Decision does not go beyond what is necessary in order to achieve that objective, HAS ADOPTED THIS FRAMEWORK DECISION: Article 1 Objective The purpose of this Framework Decision is: (a) to define the ways in which a Member State where a conviction is handed down against a national of another Member State (the ‘convicting Member State’) transmits the information on such a conviction to the Member State of the convicted person’s nationality (the ‘Member State of the person’s nationality’); (b) to define storage obligations for the Member State of the person’s nationality and to specify the methods to be followed when replying to a request for information extracted from criminal records; (c) to lay down the framework for a computerised system of exchange of information on convictions between Member States to be built and developed on the basis of this Framework Decision and the subsequent decision referred to in Article 11(4). Article 2 Definitions For the purposes of this Framework Decision: (a) ‘conviction’ means any final decision of a criminal court against a natural person in respect of a criminal offence, to the extent these decisions are entered in the criminal record of the convicting Member State; (b) ‘criminal proceedings’ means the pre-trial stage, the trial stage itself and the execution of the conviction; (c) ‘criminal record’ means the national register or registers recording convictions in accordance with national law. Article 3 Central authority 1. For the purposes of this Framework Decision, each Member State shall designate a central authority. However, for the transmission of information under Article 4 and for replies under Article 7 to requests referred to in Article 6, Member States may designate one or more central authorities. 2. Each Member State shall inform the General Secretariat of the Council and the Commission of the central authority or authorities designated in accordance with paragraph 1. The General Secretariat of the Council shall notify the Member States and Eurojust of this information. Article 4 Obligations of the convicting Member State 1. Each Member State shall take the necessary measures to ensure that all convictions handed down within its territory are accompanied, when provided to its criminal record, by information on the nationality or nationalities of the convicted person if he is a national of another Member State. 2. The central authority of the convicting Member State shall, as soon as possible, inform the central authorities of the other Member States of any convictions handed down within its territory against the nationals of such other Member States, as entered in the criminal record. If it is known that the convicted person is a national of several Member States, the relevant information shall be transmitted to each of these Member States, even if the convicted person is a national of the Member State within whose territory he was convicted. 3. Information on subsequent alteration or deletion of information contained in the criminal record shall be immediately transmitted by the central authority of the convicting Member State to the central authority of the Member State of the person’s nationality. 4. Any Member State which has provided information under paragraphs 2 and 3 shall communicate to the central authority of the Member State of the person’s nationality, on the latter’s request in individual cases, a copy of the convictions and subsequent measures as well as any other information relevant thereto in order to enable it to consider whether they necessitate any measure at national level. Article 5 Obligations of the Member State of the person’s nationality 1. The central authority of the Member State of the person’s nationality shall store all information in accordance with Article 11(1) and (2) transmitted under Article 4(2) and (3), for the purpose of retransmission in accordance with Article 7. 2. Any alteration or deletion of information transmitted in accordance with Article 4(3) shall entail identical alteration or deletion by the Member State of the person’s nationality regarding information stored in accordance with paragraph 1 of this Article for the purpose of retransmission in accordance with Article 7. 3. For the purpose of retransmission in accordance with Article 7 the Member State of the person’s nationality may only use information which has been updated in accordance with paragraph 2 of this Article. Article 6 Request for information on convictions 1. When information from the criminal record of a Member State is requested for the purposes of criminal proceedings against a person or for any purposes other than that of criminal proceedings, the central authority of that Member State may, in accordance with its national law, submit a request to the central authority of another Member State for information and related data to be extracted from the criminal record. 2. When a person asks for information on his own criminal record, the central authority of the Member State in which the request is made may, in accordance with its national law, submit a request to the central authority of another Member State for information and related data to be extracted from the criminal record, provided the person concerned is or was a resident or a national of the requesting or requested Member State. 3. Once the time limit set out in Article 11(7) has elapsed, whenever a person asks the central authority of a Member State other than the Member State of the person’s nationality for information on his own criminal record, the central authority of the Member State in which the request is made shall submit a request to the central authority of the Member State of the person’s nationality for information and related data to be extracted from the criminal record in order to be able to include such information and related data in the extract to be provided to the person concerned. 4. All requests from the central authority of a Member State for information extracted from the criminal record shall be submitted using the form set out in the Annex. Article 7 Reply to a request for information on convictions 1. When information extracted from the criminal record is requested under Article 6 from the central authority of the Member State of the person’s nationality for the purposes of criminal proceedings, that central authority shall transmit to the central authority of the requesting Member State information on: (a) convictions handed down in the Member State of the person’s nationality and entered in the criminal record; (b) any convictions handed down in other Member States which were transmitted to it after 27 April 2012, in application of Article 4, and stored in accordance with Article 5(1) and (2); (c) any convictions handed down in other Member States which were transmitted to it by 27 April 2012, and entered in the criminal record; (d) any convictions handed down in third countries and subsequently transmitted to it and entered in the criminal record. 2. When information extracted from the criminal record is requested under Article 6 from the central authority of the Member State of the person’s nationality for any purposes other than that of criminal proceedings, that central authority shall in respect of convictions handed down in the Member State of the person’s nationality and of convictions handed down in third countries, which have been subsequently transmitted to it and entered in its criminal record, reply in accordance with its national law. In respect of information on convictions handed down in another Member State, which have been transmitted to the Member State of the person’s nationality, the central authority of the latter Member State shall in accordance with its national law transmit to the requesting Member State the information which has been stored in accordance with Article 5 (1) and (2) as well as the information which has been transmitted to that central authority by 27 April 2012, and has been entered in its criminal record. When transmitting the information in accordance with Article 4, the central authority of the convicting Member State may inform the central authority of the Member State of the person’s nationality that the information on convictions handed down in the former Member State and transmitted to the latter central authority may not be retransmitted for any purposes other than that of criminal proceedings. In this case, the central authority of the Member State of the person’s nationality shall, in respect of such convictions, inform the requesting Member State which other Member State had transmitted such information so as to enable the requesting Member State to submit a request directly to the convicting Member State in order to receive information on these convictions. 3. When information extracted from the criminal record is requested from the central authority of the Member State of the person’s nationality by a third country, the Member State of the person’s nationality may reply in respect of convictions transmitted by another Member State only within the limitations applicable to the transmission of information to other Member States in accordance with paragraphs 1 and 2. 4. When information extracted from the criminal record is requested under Article 6 from the central authority of a Member State other than the Member State of the person’s nationality, the requested Member State shall transmit information on convictions handed down in the requested Member State and on convictions handed down against third country nationals and against stateless persons contained in its criminal record to the same extent as provided for in Article 13 of the European Convention on Mutual Assistance in Criminal Matters. 5. The reply shall be made using the form set out in the Annex. It shall be accompanied by a list of convictions, as provided for by national law. Article 8 Deadlines for replies 1. Replies to the requests referred to in Article 6(1) shall be transmitted by the central authority of the requested Member State to the central authority of the requesting Member State immediately and in any event within a period not exceeding ten working days from the date the request was received, as provided for by its national law, rules or practice, using the form set out in the Annex. When the requested Member State requires further information to identify the person involved in the request, it shall immediately consult the requesting Member State with a view to providing a reply within ten working days from the date the additional information is received. 2. Replies to the request referred to in Article 6(2) shall be transmitted within twenty working days from the date the request was received. Article 9 Conditions for the use of personal data 1. Personal data provided under Article 7(1) and (4) for the purposes of criminal proceedings may be used by the requesting Member State only for the purposes of the criminal proceedings for which it was requested, as specified in the form set out in the Annex. 2. Personal data provided under Article 7(2) and (4) for any purposes other than that of criminal proceedings may be used by the requesting Member State in accordance with its national law only for the purposes for which it was requested and within the limits specified by the requested Member State in the form set out in the Annex. 3. Notwithstanding paragraphs 1 and 2, personal data provided under Article 7(1), (2) and (4) may be used by the requesting Member State for preventing an immediate and serious threat to public security. 4. Member States shall take the necessary measures to ensure that personal data received from another Member State under Article 4, if transmitted to a third country in accordance with Article 7(3), is subject to the same usage limitations as those applicable in a requesting Member State in accordance with paragraph 2 of this Article. Member States shall specify that personal data, if transmitted to a third country for the purposes of a criminal proceeding, may be further used by that third country only for the purposes of criminal proceedings. 5. This Article does not apply to personal data obtained by a Member State under this Framework Decision and originating from that Member State. Article 10 Languages When submitting a request referred to in Article 6(1), the requesting Member State shall transmit to the requested Member State the form set out in the Annex in the official language or one of the official languages of the latter Member State. The requested Member State shall reply either in one of its official languages or in any other language accepted by both Member States. Any Member State may, at the time of the adoption of this Framework Decision or at a later date, indicate, in a statement to the General Secretariat of the Council, which are the official languages of the institutions of the European Union that it accepts. The General Secretariat of the Council shall notify the Member States of this information. Article 11 Format and other ways of organising and facilitating exchanges of information on convictions 1. When transmitting information in accordance with Article 4(2) and (3), the central authority of the convicting Member State shall transmit the following information: (a) information that shall always be transmitted, unless, in individual cases, such information is not known to the central authority (obligatory information): (i) information on the convicted person (full name, date of birth, place of birth (town and State), gender, nationality and – if applicable – previous name(s)); (ii) information on the nature of the conviction (date of conviction, name of the court, date on which the decision became final); (iii) information on the offence giving rise to the conviction (date of the offence underlying the conviction and name or legal classification of the offence as well as reference to the applicable legal provisions); and (iv) information on the contents of the conviction (notably the sentence as well as any supplementary penalties, security measures and subsequent decisions modifying the enforcement of the sentence); (b) information that shall be transmitted if entered in the criminal record (optional information): (i) the convicted person’s parents’ names; (ii) the reference number of the conviction; (iii) the place of the offence; and (iv) disqualifications arising from the conviction; (c) information that shall be transmitted, if available to the central authority (additional information): (i) the convicted person’s identity number, or the type and number of the person’s identification document; (ii) fingerprints, which have been taken from that person; and (iii) if applicable, pseudonym and/or alias name(s). In addition, the central authority may transmit any other information concerning convictions entered in the criminal record. 2. The central authority of the Member State of the person’s nationality shall store all information of the types listed in points (a) and (b) of paragraph 1, which it has received in accordance with Article 5(1) for the purpose of retransmission in accordance with Article 7. For the same purpose it may store the information of the types listed in point (c) of the first subparagraph and in the second subparagraph of paragraph 1. 3. Until the time limit set out in paragraph 7 has elapsed, central authorities of Member States which have not carried out the notification referred to in paragraph 6 shall transmit all information in accordance with Article 4, requests in accordance with Article 6, replies in accordance with Article 7 and other relevant information by any means capable of producing a written record under conditions allowing the central authority of the receiving Member State to establish the authenticity thereof. Once the time limit set out in paragraph 7 of this Article has elapsed, central authorities of Member States shall transmit such information electronically using a standardised format. 4. The format referred to in paragraph 3 and any other means of organising and facilitating exchanges of information on convictions between central authorities of Member States shall be set up by the Council in accordance with the relevant procedures of the Treaty on the European Union by 27 April 2012. Other such means include: (a) defining all means by which understanding and automatically translating transmitted information may be facilitated; (b) defining the means by which information may be exchanged electronically, particularly as regards the technical specification to be used and, if need be, any applicable exchange procedures; (c) possible alterations to the form set out in the Annex. 5. If the mode of transmission referred to in paragraphs 3 and 4 is not available, the first subparagraph of paragraph 3 shall remain applicable for the entire period of such unavailability. 6. Each Member State shall carry out the necessary technical alterations to be able to use the standardised format and electronically transmit it to other Member States. It shall notify the Council of the date from which it will be able to carry out such transmissions. 7. Member States shall carry out the technical alterations referred to in paragraph 6 within three years from the date of adoption of the format and the means by which information on convictions may be exchanged electronically. Article 12 Relationship to other legal instruments 1. In relations between the Member States, this Framework Decision supplements the provisions of Article 13 of the European Convention on Mutual Assistance in Criminal Matters, its additional Protocols of 17 March 1978 and 8 November 2001, the Convention on Mutual Assistance in Criminal Matters between the Member States of the European Union and its Protocol of 16 October 2001 (8). 2. For the purposes of this Framework Decision, Member States shall waive the right to rely among themselves on their reservations to Article 13 of the European Convention on Mutual Assistance in Criminal Matters. 3. Without prejudice to their application in relations between Member States and third States, this Framework Decision replaces in relations between Member States which have taken the necessary measures to comply with this Framework Decision and ultimately with effect from 27 April 2012 the provisions of Article 22 of the European Convention on Mutual Assistance in Criminal Matters, as supplemented by Article 4 of said Convention’s additional Protocol of 17 March 1978. 4. Decision 2005/876/JHA is hereby repealed. 5. This Framework Decision shall not affect the application of more favourable provisions in bilateral or multilateral agreements between Member States. Article 13 Implementation 1. Member States shall take the necessary measures to comply with the provisions of this Framework Decision by 27 April 2012. 2. Member States shall transmit to the General Secretariat of the Council and to the Commission the text of the provisions transposing into their national law the obligations imposed on them under this Framework Decision. 3. On the basis of that information the Commission shall, by 27 April 2015, present a report to the European Parliament and the Council on the application of this Framework Decision, accompanied if necessary by legislative proposals. Article 14 Entry into force This Framework Decision shall enter into force on the 20th day following its publication in the Official Journal of the European Union. Done at Brussels, 26 February 2009. For the Council The President I. LANGER (1) Opinion delivered on 17 June 2008 (not yet published in the Official Journal). (2) OJ C 12, 15.1.2001, p. 10. (3) OJ C 216, 1.8.2001, p. 14. (4) OJ C 53, 3.3.2005, p. 1. (5) OJ C 197, 12.7.2000, p. 3. (6) OJ L 220, 15.8.2008, p. 32. (7) OJ L 322, 9.12.2005, p. 33. (8) OJ C 326, 21.11.2001, p. 1. ANNEX Form referred to in Articles 6, 7, 8, 9 and 10 of the Council Framework Decision 2009/315/JHA on the organisation and content of the exchange of information extracted from the criminal record between Member States Request for information extracted from the criminal record Members States are to consult the Manual of Procedures for assistance in filling in this form correctly (a) Information on the requesting Member State: Member State: Central authority(ies): Contact person: Telephone (with STD code): Fax (with STD code): E-mail address: Correspondence address: File reference, if known: (b) Information on the identity of the person concerned by the request (1): Full name (forenames and all surnames) Previous names: Pseudonym and/or alias, if any: Gender: M  F  Nationality: Date of birth (in figures: dd/mm/yyyy): Place of birth (town and State): Father’s name: Mother’s name: Residence or known address: Person’s identity number or type and number of the person’s identification document: Fingerprints: Other available identification information: (c) Purpose of the request: Please tick the appropriate box (1)  criminal proceedings (please identify the authority before which the proceedings are pending and, if available, the case reference number) … … (2)  request outside the context of criminal proceedings (please identify the authority before which the proceedings are pending and, if available, the case reference number, while ticking the relevant box): (i)  from a judicial authority … … (ii)  from a competent administrative authority … … (iii)  from the person concerned for information on own criminal record … … Purpose for which the information is requested: Requesting authority:  the person concerned does not consent for this information to be divulged (if the person concerned was asked for its consent in accordance with the law of the requesting Member State). Contact person for any further information needed: Name: Telephone: E-mail address: Other information (e.g. urgency of the request): Reply to the request Information relating to the person concerned Please tick the appropriate box The undersigned authority confirms that:  there is no information on convictions in the criminal record of the person concerned  there is information on convictions entered in the criminal record of the person concerned; a list of convictions is attached  there is other information entered in the criminal record of the person concerned; such information is attached (optional)  there is information on convictions entered in the criminal record of the person concerned but the convicting Member State intimated that the information about these convictions may not be retransmitted for any purposes other than that of criminal proceedings. The request for more information may be sent directly to …(please indicate the convicting Member State)  in accordance with the national law of the requested Member State, requests made for any purposes other than that of criminal proceedings may not be dealt with. Contact person for any further information needed: Name: Telephone: E-mail address: Other information (limitations of use of the data concerning requests outside the context of criminal proceedings): Please indicate the number of pages attached to the reply form: Done at on Signature and official stamp (if appropriate): Name and position/organisation: If appropriate, please attach a list of convictions and send the complete package to the requesting Member State. It is not necessary to translate the form or the list into the language of the requesting Member State. (1) To facilitate the identification of the person as much information as possible is to be provided.

Summary: Exchange of information on criminal records between EU countries Exchange of information on criminal records between EU countries SUMMARY OF: Framework Decision 2009/315/JHA — the exchange, between EU countries, of information extracted from criminal records WHAT IS THE AIM OF THE FRAMEWORK DECISION? It sets out the general principles for the functioning of the exchange of criminal records between EU countries, alongside Decision 2009/316/JHA, which established the European Criminal Records Information System (ECRIS). It seeks to prevent criminals from escaping their past by moving to a different EU country than where they were convicted. It does this by ensuring that information on all their convictions is available whenever needed, irrespective of the EU country they were convicted in. It was amended in 2019 by Directive (EU) 2019/884, which regulates the exchange of information between EU countries on non-EU nationals and stateless persons and, along with Regulation (EU) 2019/816, ensures that ECRIS will be more effective with respect to non-EU country nationals convicted within the EU. Directive (EU) 2019/884 also will replace Decision 2009/316/JHA from 28 June 2022. KEY POINTS Objectives The objectives of the framework decision are to: set an obligation for an EU country convicting a national of another EU country to transmit information on the conviction to the country of the person’s nationality; define the obligations of the EU country of which the person is a national in storing the received information on convictions as well as the procedures that EU country must follow when replying to requests for information about its nationals; establish a set of rules for the development of a computerised system of exchange of information on convictions. Designation of authoritiesEU countries must designate central authorities to carry out the tasks related to the exchange of information. Registration of convictions and storage of informationA convicting EU country must register the nationality(ies) of the person convicted and notify the EU country(ies) of his/her nationality about details of the conviction, including information on: the convicted person; the nature and content of the conviction; and the offence that led to the conviction. The EU country of which the convicted person is a national must store information sent to it in order to reply to requests for information on convictions of its nationals. The reply should: include information on convictions on its territory and in any other countries; and be done within 10 working days, or within 20 working days if the request was made by a person concerning their own criminal record. Exchanges of information The information can be exchanged for the purpose of criminal proceedings or for any other legitimate purpose, e.g. pre-employment screenings. While the replies to requests for the purpose of criminal proceedings are obligatory, those for other purposes should be done in accordance with national law. When a central authority of an EU country receives a request for information from any relevant national authority, it may in turn ask for information from another EU country, in particular from the country of nationality of the person concerned. When a central authority of an EU country receives a request from a national of another EU country regarding their own criminal record, it must ask for information from the EU country of his/her nationality and include it in the issued certificate. In 2017, the European Commission published a report on the exchange, through ECRIS, of information extracted from criminal records between EU countries. Amending Directive (EU) 2019/884 The framework decision was amended in 2019 by Directive (EU) 2019/884, which aims to ensure the effective exchange of information on convictions of non-EU-country nationals (comprising also stateless persons and persons whose nationality is unknown) through ECRIS. The directive also ensures that ECRIS will be more effective with respect to non-EU-country nationals with prior convictions in an EU country. In addition, the directive: obliges EU countries to ensure that convictions are accompanied by information on the nationality, or nationalities, of the convicted person, where this information is available; introduces procedures to respond to requests for information; ensures that a criminal record extract requested by a non-EU national is supplemented with information from other EU countries; and lays down the technical modifications required to ensure the proper functioning of the information exchange system. All data from criminal records must be stored exclusively in databases managed by the EU countries. The central authority of an EU country will not have direct access to the criminal records databases of the other EU countries. The European Union Agency for the Operational Management of Large-Scale IT Systems in the Area of Freedom, Security and Justice (eu-LISA) is responsible for maintaining and further developing the ECRIS reference application. Implementation A report published in 2016 by the European Commission describes the implementation of the framework decision in EU countries. Overall, it notes that significant progress has been made in the exchange of criminal records information between EU countries. At the time of the report, 22 EU countries had notified the Commission of the measures they had taken to incorporate the framework decision into their national law. In the meantime, all EU countries have now notified the measures they have taken in this context. FROM WHEN DOES THE FRAMEWORK DECISION APPLY? The framework decision has applied since 27 April 2009. EU countries had to incorporate it into national law by 27 April 2012. The changes introduced by amending Directive (EU) 2019/884 will apply in all EU countries as of 28 June 2022. BACKGROUND For more information, see: European Criminal Records Information System (ECRIS) (European Commission). MAIN DOCUMENT Council Framework Decision 2009/315/JHA of 26 February 2009 on the organisation and content of the exchange of information extracted from the criminal record between Member States (OJ L 93, 7.4.2009, pp. 23-32) Successive amendments to Framework Decision 2009/315/JHA have been incorporated into the original text. This consolidated version is of documentary value only. RELATED DOCUMENTS Commission Decision 2014/858/EU of 1 December 2014 on the notification by the United Kingdom of Great Britain and Northern Ireland of its wish to participate in acts of the Union in the field of police cooperation and judicial cooperation in criminal matters adopted before the entry into force of the Treaty of Lisbon and which are not part of the Schengen acquis (OJ L 345, 1.12.2014, pp. 6-9) Council Decision 2009/316/JHA of 6 April 2009 on the establishment of the European Criminal Records Information System (ECRIS) in application of Article 11 of Framework Decision 2009/315/JHA (OJ L 93, 7.4.2009, pp. 33-48) Report from the Commission to the European Parliament and the Council concerning the exchange through the European Criminal Records Information System (ECRIS) of information extracted from criminal records between the Member States (COM(2017) 341 final, 29.6.2017) Report from the Commission to the European Parliament and the Council on the implementation of Council Framework Decision 2009/315/JHA of 26 February 2009 on the organisation and content of the exchange of information extracted from criminal record between Member States (COM(2016) 6 final, 19.1.2016) last update 09.09.2020