# The Criminal Justice and Data Protection (Protocol No. 36) Regulations 2014

        - Previous
        - Next

U.K.

Statutory Instruments

# 2014 No. 3141

Criminal Law

Data Protection

# The Criminal Justice and Data Protection (Protocol No. 36) Regulations 2014

Made

2nd December 2014

Coming into force in accordance with regulation 1

The Secretary of State, being a Minister designated for the purposes of section 2(2) of the European Communities Act 1972                           F1 in relation to criminal justice F2 and data protection F3, in exercise of the powers conferred by that section, makes the following Regulations.                        

A draft of the Regulations has been laid before and approved by resolution of each House of Parliament in accordance with                           section 2(2) of, and paragraph 2(2) of Schedule 2 to, that Act.                        

F11972 c. 68; section 2(2) was amended by section 27(1)(a) of the Legislative and Regulatory Reform Act 2006 (c. 51), and by section 3(3) of, and Part 1 of the Schedule to, the European Union (Amendment) Act 2008 (c. 7).

F2S.I. 2012/2752.

F3S.I. 1998/2793.

## **PART 1**U.K.General

### Citation and commencementU.K.

1.  These Regulations—                  

(a)may be cited as the Criminal Justice and Data Protection (Protocol No. 36) Regulations 2014; and                  

(b)come into force on the day after the day on which they are made.                  

## **PART 2**U.K.Proceeds of Crime (Foreign Property and Foreign Orders)

### CHAPTER 1U.K.General

#### ExtentU.K.

2.  In this Part—                  

(a)Chapter 2 and regulations 19 and 20 extend to England and Wales only;                  

(b)Chapter 3, Schedule 1 and regulations 21 and 22 extend to Scotland only; and                  

(c)Chapter 4, Schedule 2 and regulations 23 and 24 extend to Northern Ireland only.                  

#### InterpretationU.K.

3.—(1) In, and for the purposes, of this Part—                  

“listed 2003 Framework Decision offence” means an offence described in Article 3(2) of the 2003 Framework Decision;                  

“listed 2006 Framework Decision offence” means an offence described in Article 6(1) of the 2006 Framework Decision;                  

“the 1995 Act” means the Proceeds of Crime (Scotland) Act 1995 F4;                  

“the 2002 Act” means the Proceeds of Crime Act 2002 F5;                  

“the 2003 Framework Decision” means Council Framework Decision 2003/577/JHA of 22nd July 2003 on the execution in the European Union of orders freezing property or evidence F6;                  

“the 2006 Framework Decision” means Council Framework Decision 2006/783/JHA of 6th October 2006 on the application of the principle of mutual recognition                     to confiscation orders F7;                  

F8...                  

(2) A reference in this Part to—

(a)property includes a reference to property of any description, whether corporeal or incorporeal, moveable or immovable, and                        legal documents and instruments evidencing title to or interest in such property;                  

(b)property used for the purposes of an offence includes a reference to property part of which has been used for those purposes;                  

(c)the proceeds of an offence or criminal conduct includes a reference to—                  

(i)any property which wholly or partly, and directly or indirectly, represents the proceeds of an offence (including payments                        or other rewards in connection with the commission of an offence); and                  

(ii)any property which is the equivalent to the full value or part of the value of the property specified in paragraph (i).                  

F41995 c. 43.

F52002 c. 29.

F6OJ No. L 196, 2.8.2003, p. 45.

F7OJ No. L 328, 24.11.2006, p. 59.

F8Words in reg. 3(1) omitted (3.12.2014) by virtue of The Criminal Justice and Data Protection (Protocol No. 36) (Amendment) Regulations 2014 (S.I. 2014/3191), regs. 1(b), **2(2)**

#### Consequential amendmentsU.K.

4.  In the Proceeds of Crime Act 2002 (External Requests and Orders) Order 2005 F9—                  

(a)in article 20 (applications to give effect to external orders), in paragraph (2), after “an order” insert “ under this Order ”;                  

(b)in article 66 (applications to give effect to external orders), in paragraph (2), after “an order” insert “ under this Order ”; and                  

(c)in article 106 (applications to give effect to external orders), in paragraph (2), after “an order” insert “ under this Order ”.                  

F9S.I. 2005/3181, to which there are amendments not relevant to these Regulations.

### CHAPTER 2E+WEngland and Wales

#### InterpretationE+W

5.  In this Chapter—                  

“domestic confiscation order” means a confiscation order under section 6 of the 2002 Act (making of order) F10 (but see regulation 20);                  

“domestic restraint order” means a restraint order under section 41 of the 2002 Act (restraint orders) F11 (but see regulation 19);                  

“relevant prosecutor” means the Director of Public Prosecutions or the Director of the Serious Fraud Office;                  

“specified information” means—                  

in relation to a certificate under regulation 6, any information required to be given by the form of certificate annexed to                              the 2003 Framework Decision;                           

in relation to a certificate under regulation 11, any information required to be given by the form of certificate annexed                              to the 2006 Framework Decision[F12;                           

 “working day” means a day other than a Saturday, Sunday, Christmas Day, Good Friday or a day which is a bank holiday under                        the Banking and Financial Dealings Act 1971]                   

F10Section 6 was amended by section 41 of, and paragraph 75 of Schedule 3 to, the Criminal Justice Act 2003 (c. 44), section                              74 of, and paragraphs 1 and 2 of Schedule 8 to, the Serious Crime Act 2007 (c. 27), and section 10 of, and paragraphs 11 and 12 of the Schedule to, the Prevention of Social Housing Fraud Act 2013 (c. 3).

F11Section 41 was amended by section 46 of the Crime and Courts Act 2013 (c. 22) on a day to be appointed.

F12Words in reg. 5 inserted (3.12.2014) by The Criminal Justice and Data Protection (Protocol No. 36) (Amendment) Regulations 2014 (S.I. 2014/3191), regs. 1(b), **2(3)**

#### Domestic restraint orders: certificationE+W

6.—(1) If any of the property to which an application for a domestic restraint order relates is property in a member State other                     than the United Kingdom, the prosecutor may ask the Crown Court to make a certificate under this regulation.                  

(2) The Crown Court may make a certificate under this regulation if—

(a)it makes a domestic restraint order in relation to property in the other member State, and                  

(b)it is satisfied that there is a good arguable case that the property—                  

(i)has been or is likely to be used for the purposes of an offence, or                  

(ii)is the proceeds of an offence.                  

(3) A certificate under this regulation is a certificate which—

(a)is made for the purposes of the 2003 Framework Decision, and                  

(b)gives the specified information.                  

(4) If the Crown Court makes a certificate under this regulation, the domestic restraint order must provide for notice of the                     certificate to be given to the person affected by it.                  

(5) A court which has relevant powers in respect of a domestic restraint order is to have the same relevant powers in respect                     of a certificate under this regulation.                  

(6) For that purpose “relevant powers” means the powers—                  

(a)to consider an appeal,                  

(b)to consider an application for reconsideration, variation or discharge, and                  

(c)to make an order on any such appeal or application.                  

#### Sending domestic restraint orders and certificates overseasE+W

7.—(1) If a certificate is made under regulation 6, the domestic restraint order and the certificate are to be forwarded by the prosecutor                     to—                  

(a)a court exercising jurisdiction in the other member State where the property is situated, or                  

(b)any authority recognised by the government of the other member State as the appropriate authority for receiving orders of                        that kind.                  

(2) The domestic restraint order and the certificate must be accompanied by a domestic confiscation order, unless the certificate                     indicates when the Crown Court expects a domestic confiscation order to be sent.                  

(3) The certificate must include a translation of it into an appropriate language of the other member State (if that language                     is not English).                  

(4) The certificate must be signed by or on behalf of the Crown Court and must include a statement as to the accuracy of the information                     given in it.                  

(5) The signature may be an electronic signature.

(6) If the domestic restraint order and the certificate are not accompanied by a domestic confiscation order, but a domestic confiscation                     order is subsequently made, it is to be sent to the prosecutor for forwarding as mentioned in paragraph (1).                  

#### Sending overseas restraint orders to the courtE+W

8.—(1) In a case where—                  

(a)a relevant prosecutor receives an overseas restraint order from the court or authority which made or confirmed the order,                        and                  

(b)conditions A to C are met,                  

the relevant prosecutor must send a copy of the order to the Crown Court.

(2) An overseas restraint order is an order made by an appropriate court or authority in a member State which—

(a)relates to—                  

(i)criminal proceedings instituted in the member State, or                  

(ii)a criminal investigation being carried on there; and                  

(b)prohibits dealing with property which is in England and Wales and which the appropriate court or authority considers to be                        property that—                  

(i)has been or is likely to be used for the purposes of criminal conduct, or                  

(ii)is the proceeds of criminal conduct.                  

(3) Condition A is that the action which the appropriate court or authority considered would constitute or, as the case may be,                     constituted the criminal conduct is not action done as an act of terrorism or for the purposes of terrorism (within the meaning                     of paragraph 11D(3) of Schedule 4 to the Terrorism Act 2000 F13 (overseas freezing orders)).                  

(4) Condition B is that the order received by the relevant prosecutor is accompanied by a certificate which—

(a)gives the specified information;                  

(b)is signed by or on behalf of the court or authority which made or confirmed the order;                  

(c)includes a statement as to the accuracy of the information given in it; and                  

(d)if it is not in English, includes a translation of it into English (or, if appropriate, Welsh).                  

(5) For the purposes of Condition B—

(a)the certificate may be treated as giving any specified information which is not given in it if the relevant prosecutor has                        the information in question;                  

(b)the signature may be an electronic signature.                  

(6) Condition C is that—

(a)the order is accompanied by another order made by [F14an appropriate court or authority] in the member State for the confiscation of the property; or                  

(b)such an order for the confiscation of the property may be made and the certificate indicates when that order is expected to                        be sent.                  

(7) An appropriate court or authority in a member State in relation to an overseas restraint order is—

(a)a court exercising criminal jurisdiction in the country,                  

(b)a prosecuting authority in the country, or                  

(c)any other authority in the country which appears to the relevant prosecutor to have the function of making such orders.                  

(8) References in this Chapter to an overseas restraint order include its accompanying certificate.

(9) In this regulation “criminal conduct” means—                  

(a)a listed 2003 Framework Decision offence; or                  

(b)conduct which—                  

(i)constitutes an offence in any part of the United Kingdom; or                  

(ii)would constitute an offence in any part of the United Kingdom if it occurred there.                  

F132000 c. 11; paragraph 11D was inserted by section 90 of, and paragraphs 1 and 3 of Schedule 4 to, the Crime (International Co-operation) Act 2003 (c. 32).

F14Words in reg. 8(6)(a) substituted (3.12.2014) by The Criminal Justice and Data Protection (Protocol No. 36) (Amendment) Regulations 2014 (S.I. 2014/3191), regs. 1(b), **2(4)**

#### Giving effect to overseas restraint ordersE+W

9.—(1) Subject to paragraph (2), where the Crown Court receives a copy of an overseas restraint order sent by the relevant prosecutor                     in accordance with regulation 8, the Court must consider giving effect to the order no later than the end of the next working                     day after the relevant day.                  

(2) In exceptional circumstances, the Crown Court may delay its consideration of the overseas restraint order, provided that it                     does consider giving effect to the order no later than the end of the fifth working day after the relevant day.                  

(3) Subject to paragraph (4), the Crown Court may consider giving effect to the overseas restraint order—

(a)at a hearing, which must be in private unless the Court directs otherwise; or                  

(b)without a hearing.                  

(4) The Crown Court must not consider giving effect to the overseas restraint order unless the relevant prosecutor—

(a)is present; or                  

(b)has had a reasonable opportunity to make representations.                  

(5) The Crown Court may decide not to give effect to the overseas restraint order only if, in its opinion, giving effect to it                     would be—                  

(a)impossible as a consequence of an immunity under the law of England and Wales; or                  

(b)incompatible with any of the Convention rights (within the meaning of the Human Rights Act 1998 F15).                  

(6) The Crown Court may postpone giving effect to an overseas restraint order in respect of any property—

(a)in order to avoid prejudicing a criminal investigation which is taking place in the United Kingdom, or                  

(b)if, under an order made by a court in criminal proceedings in the United Kingdom, the property may not be dealt with.                  

(7) In this regulation, “relevant day” means the day on which a copy of an overseas restraint order sent by the relevant prosecutor in accordance with regulation                     8 is received by the court.                  

F151998 c. 42.

#### Registration and enforcement of overseas restraint ordersE+W

10.—(1) Where the Crown Court decides to give effect to an overseas restraint order, it must—                  

(a)direct its registration as an order in that court, and                  

(b)give directions for notice of the order to be given to any person affected by it.                  

(2) For the purpose of enforcing an overseas restraint order registered in the Crown Court, the order is to have effect as if                     it were an order made by that court.                  

(3) Subject to paragraph (4), the Crown Court may cancel the registration of the order, or vary the property to which the order                     applies, on an application by a relevant prosecutor, or any other person affected by it, if or to the extent that—                  

(a)the Crown Court is of the opinion mentioned in regulation 9(5), or                  

(b)the Crown Court is of the opinion that the order has ceased to have effect in the member State.                  

(4) To make an application to cancel the registration of the order, or vary the property to which the order applies, the relevant                     prosecutor or person affected by the order must—                  

(a)apply in writing as soon as practicable after becoming aware of the grounds for doing so;                  

(b)serve the application on—                  

(i)the Crown Court;                  

(ii)the relevant prosecutor (if the applicant is not the relevant prosecutor); and                  

(iii)any person who will or may be affected by the application;                  

(c)explain why it is appropriate for the registration of the order to be cancelled or varied;                  

(d)set out the proposed terms of any variation; and                  

(e)if a hearing is requested in relation to the application, explain why a hearing is necessary.                  

(5) Subject to paragraph (6), Part 2 of the 2002 Act (confiscation: England and Wales) applies (with the appropriate modifications                     and subject to the preceding provisions of this Chapter) in relation to an overseas restraint order registered in the Crown                     Court as it applies in relation to a domestic restraint order.                  

(6) No challenge to the substantive reasons in relation to which an overseas restraint order has been made by an appropriate court                     or authority in a member State may be considered by the court.                  

#### Domestic confiscation orders: certificationE+W

11.—(1) If any of the property to which an application for a domestic confiscation order relates is property in a member State other                     than the United Kingdom, the prosecutor may ask the Crown Court to make a certificate under this regulation.                  

(2) The Crown Court may make a certificate under this regulation if—

(a)it makes a domestic confiscation order in relation to property in the other member State, and                  

(b)it is satisfied that there is a good arguable case that the property—                  

(i)was used or was intended to be used for the purposes of an offence, or                  

(ii)is the proceeds of an offence.                  

(3) A certificate under this regulation is a certificate which—

(a)is made for the purposes of the 2006 Framework Decision, and                  

(b)gives the specified information.                  

(4) If the Crown Court makes a certificate under this regulation, the domestic confiscation order must provide for notice of the                     certificate to be given to the person affected by it.                  

(5) A court which has relevant powers in respect of a domestic confiscation order is to have the same relevant powers in respect                     of a certificate under this regulation.                  

(6) For that purpose “relevant powers” means the powers—                  

(a)to consider an appeal,                  

(b)to consider an application for reconsideration, variation or discharge, and                  

(c)to make an order on any such appeal or application.                  

#### Sending domestic confiscation orders and certificates overseasE+W

12.—(1) If a certificate is made under regulation 11, the domestic confiscation order and the certificate are to be forwarded by the                     prosecutor to—                  

(a)a court exercising jurisdiction in the other member State where the property is situated, or                  

(b)any authority recognised by the government of the other member State as the appropriate authority for receiving orders of                        that kind.                  

(2) The certificate must include a translation of it into an appropriate language of the other member State (if that language                     is not English).                  

(3) The certificate must be signed by or on behalf of the Crown Court and must include a statement as to the accuracy of the information                     given in it.                  

(4) The signature may be an electronic signature.

#### Sending overseas confiscation orders to the courtE+W

13.—(1) In a case where—                  

(a)a relevant prosecutor receives an overseas confiscation order from the court or authority which made or confirmed the order,                        and                  

(b)conditions A to C are met,                  

the relevant prosecutor must send a copy of the order to the Crown Court.

(2) An overseas confiscation order is an order made by an appropriate court or authority in a member State for the confiscation                     of property which is in England and Wales, or is the property of a resident of England and Wales, and which the appropriate                     court or authority considers—                  

(a)was used or intended to be used for the purposes of criminal conduct, or                  

(b)is the proceeds of criminal conduct.                  

(3) Condition A is that a person has been convicted of that criminal conduct in the member State.

(4) Condition B is that the overseas confiscation order was made at the conclusion of the proceedings that gave rise to the conviction.

(5) Condition C is that the order is accompanied by a certificate which—

(a)gives the specified information;                  

(b)is signed by or on behalf of the court or authority which made or confirmed the order,                  

(c)includes a statement as to the accuracy of the information given in it, and                  

(d)if it is not in English, includes a translation of it into English (or, if appropriate, Welsh).                  

(6) For the purposes of Condition C—

(a)the certificate may be treated as giving any specified information which is not given in it if the relevant prosecutor has                        the information in question;                  

(b)the signature may be an electronic signature.                  

(7) An appropriate court or authority in a member State in relation to an overseas confiscation order is—

(a)a court exercising criminal jurisdiction in the country,                  

(b)a prosecuting authority in the country, or                  

(c)any other authority in the country which appears to the relevant prosecutor to have the function of making such orders.                  

(8) References in this Chapter to an overseas confiscation order include its accompanying certificate.

(9) In this regulation—

“resident of England and Wales” means—                  

an individual who is normally resident in England and Wales, or

a body of persons (whether corporate or not) established in England and Wales (including a company registered in England and                              Wales);                           

“criminal conduct” means—                  

a listed 2006 Framework Decision offence; or

conduct which—

constitutes an offence in any part of the United Kingdom; or

would constitute an offence in any part of the United Kingdom if it occurred there.

#### Giving effect to overseas confiscation ordersE+W

14.—(1) Where the Crown Court receives a copy of an overseas confiscation order sent by the relevant prosecutor in accordance with                     regulation 13, the Court must consider giving effect to the order.                  

(2) Subject to paragraph (3), the Crown Court may consider giving effect to the overseas confiscation order—

(a)at a hearing, which must be in private unless the Court directs otherwise; or                  

(b)without a hearing.                  

(3) The Crown Court must not consider giving effect to the overseas confiscation order unless the relevant prosecutor—

(a)is present; or                  

(b)has had a reasonable opportunity to make representations.                  

(4) The Crown Court may decide not to give effect to the overseas confiscation order only if, in its opinion, giving effect to                     it would be—                  

(a)statute-barred, provided that the criminal conduct that gave rise to the order falls within the jurisdiction of England and                        Wales;                  

(b)impossible as a consequence of an immunity under the law of England and Wales; or                  

(c)incompatible with any of the Convention rights (within the meaning of the Human Rights Act 1998).                  

(5) The Crown Court may postpone giving effect to an overseas confiscation order in respect of any property—

(a)in order to avoid prejudicing a criminal investigation which is taking place in the United Kingdom;                  

(b)where it considers that there is a risk that the amount recovered through the execution of the order in England and Wales                        may exceed the amount specified in the order because of simultaneous execution of the order in more than one member State;                  

(c)if, under an order made by a court in criminal proceedings in the United Kingdom, the property may not be dealt with, or the                        property is subject to proceedings for such an order; or                  

(d)if a person affected by the order has applied to cancel the registration of the order, or vary the property to which the order                        applies, in accordance with regulation 15.                  

#### Registration and enforcement of overseas confiscation ordersE+W

15.—(1) Where the Crown Court decides to give effect to an overseas confiscation order, it must—                  

(a)direct its registration as an order in that court, and                  

(b)give directions for notice of the order to be given to any person affected by it.                  

(2) For the purpose of enforcing an overseas confiscation order registered in the Crown Court, the order is to have effect as                     if it were an order made by that court.                  

(3) Subject to paragraph (4), the Crown Court may cancel the registration of the order, or vary the property to which the order                     applies, on an application by a relevant prosecutor, or any other person affected by it, if or to the extent that—                  

(a)the Crown Court is of the opinion mentioned in regulation 14(4), or                  

(b)the Crown Court is of the opinion that the order has ceased to have effect in the member State.                  

(4) To make an application to cancel the registration of the order, or vary the property to which the order applies, the relevant                     prosecutor or person affected by the order must—                  

(a)apply in writing as soon as practicable after becoming aware of the grounds for doing so;                  

(b)serve the application on—                  

(i)the Crown Court;                  

(ii)the relevant prosecutor (if the applicant is not the relevant prosecutor); and                  

(iii)any person who will or may be affected by the application;                  

(c)explain why it is appropriate for the registration of the order to be cancelled or varied;                  

(d)set out the proposed terms of any variation; and                  

(e)if a hearing is requested in relation to the application, explain why a hearing is necessary.                  

(5) Subject to paragraphs (6) and (7), Part 2 of the 2002 Act (confiscation: England and Wales) applies (with the appropriate                     modifications and subject to the preceding provisions of this Chapter) in relation to an overseas confiscation order registered                     in the Crown Court as it applies in relation to a domestic confiscation order.                  

(6) Sections 12 (interest on unpaid sums), 35 (enforcement as fines), 38 (provisions about imprisonment or detention) and 39 (reconsideration                     etc: variation of prison term) of the 2002 Act do not apply to an overseas confiscation order registered in the Crown Court F16.                  

(7) No challenge to the substantive reasons in relation to which an overseas confiscation order has been made by an appropriate                     court or authority in a member State may be considered by the court.                  

F16Section 35 was amended by section 74 of, and paragraphs 1 and 19 of Schedule 8 to, the Serious Crime Act 2007. Section 38 was amended                              by section 304 of, and paragraph 141 of Schedule 32 to, the Criminal Justice Act 2003. Section 39 was amended by section 74                              of, and paragraphs 1 and 21 of Schedule 8 to, the Serious Crime Act 2007.

### CHAPTER 3SScotland

#### Provision in relation to the proceeds of crime as respects ScotlandS

16.  Schedule 1 (Proceeds of Crime (Foreign Property and Foreign Orders): Scotland) makes provision in relation to the proceeds                     of crime as respects Scotland.                  

### CHAPTER 4N.I.Northern Ireland

#### Provision in relation to the proceeds of crime in relation to Northern IrelandN.I.

17.  Schedule 2 (Proceeds of Crime (Foreign Property and Foreign Orders): Northern Ireland) makes provision in relation to the                     proceeds of crime in relation to Northern Ireland.                  

### CHAPTER 5U.K.Notification, communication etc., and application to saved orders

#### Notification, communication etc.U.K.

18.—(1) Where proceedings are started in relation to an overseas restraint order or an overseas confiscation order—                  

(a)the relevant court must notify the relevant authority; and                  

(b)the relevant authority must notify the court or authority which made or confirmed the overseas restraint order or the overseas                        confiscation order (as the case may be).                  

(2) Where the relevant court makes a relevant decision, the relevant authority must communicate that decision with reasons to                     the court or authority which made or confirmed the overseas restraint order or the overseas confiscation order to which the                     decision relates as soon as reasonably practicable.                  

(3) Where an overseas confiscation order provides for the confiscation of one or more specified items of property from the subject                     of the order, the relevant authority must seek the consent of the court or authority which made or confirmed the overseas                     confiscation order to replace such provision with a requirement that the subject of the order pay a sum of money equivalent                     to the value of any such specified items of property.                  

(4) Where an overseas confiscation order provides for the confiscation of a sum of money, the relevant authority must—

(a)seek the consent of the court or authority which made or confirmed the overseas confiscation order to convert the amount provided                        into the currency of that member State; and                  

(b)where consent is granted, arrange for such conversion at a rate of exchange that was available on the date that the overseas                        confiscation order was [F17made or confirmed] .                  

(5) Where the amount obtained in relation to an overseas confiscation order is greater than or equal to an amount equivalent to                     10,000 Euros, the relevant authority must transfer to the court or authority which made or confirmed the order 50% of the                     amount obtained, unless otherwise agreed with that court or authority.                  

(6) Where a domestic confiscation order certified in accordance with regulation 11, paragraph 7 of Schedule 1 or paragraph 7 of                     Schedule 2 ceases to have effect or has been part satisfied, the relevant authority must notify any court or authority to                     whom the order has been sent in accordance with regulation 12, paragraph 8 of Schedule 1 or paragraph 8 of Schedule 2 (as                     the case may be) as soon as reasonably practicable.                  

(7) Where, in the opinion of the relevant authority, giving effect to a domestic confiscation order certified in accordance with                     regulation 11, paragraph 7 of Schedule 1 or paragraph 7 of Schedule 2 may lead to more than the amount specified in that order                     being confiscated, the relevant authority must notify any court or authority to whom the order has been sent in accordance                     with regulation 12, paragraph 8 of Schedule 1 or paragraph 8 of Schedule 2 (as the case may be) as soon as reasonably practicable.                  

(8) In this regulation—
          -  “overseas restraint order” and “overseas confiscation order” have the meanings given in regulations 8 and 13, paragraphs 4                           and 9 of Schedule 1 or paragraphs 4 and 9 of Schedule 2 (as the case may be);                         
          -  “relevant authority” means—                          (a)
in England and Wales—
(i)
for the purposes of paragraphs (1) to (5), the “relevant prosecutor”, as defined in regulation 5; and
(ii)
for the purposes of paragraphs (6) and (7), the prosecutor;
(b)
in Scotland, the Lord Advocate;
(c)
in Northern Ireland, the “relevant prosecutor”, as defined in paragraph 1 of Schedule 2;
 
          -  “relevant court” means—                          (a)
in England and Wales, the Crown Court;
(b)
in Scotland, the “court”, as defined in paragraph 1 of Schedule 1;
(c)
in Northern Ireland, the “court”, as defined in paragraph 1 of Schedule 2;
 
          -  “relevant decision” means—                          (a)
a decision to give effect to, or to not give effect to, an overseas restraint order,
(b)
a decision to postpone giving effect to an overseas restraint order, or to end any such postponement,
(c)
a decision to discharge (or in Scotland, to recall) an overseas restraint order,
(d)
a decision to consider an appeal against, or an application to [F18cancel the registration of] or vary an overseas restraint order,                                 
(e)
a decision not to recognise or give effect to, or to give limited effect to, an overseas confiscation order,
(f)
a decision to postpone giving effect to an overseas confiscation order, or to end any such postponement, or
(g)
a decision to consider an appeal against, or an application to [F19cancel the registration of] or vary an overseas confiscation order.                                 
 

F17Words in reg. 18(4)(b) substituted (3.12.2014) by The Criminal Justice and Data Protection (Protocol No. 36) (Amendment) Regulations 2014 (S.I. 2014/3191), regs. 1(b), **2(5)(a)**

F18Words in reg. 18(8)(d) substituted (3.12.2014) by The Criminal Justice and Data Protection (Protocol No. 36) (Amendment) Regulations 2014 (S.I. 2014/3191), regs. 1(b), **2(5)(b)**

F19Words in reg. 18(8)(g) substituted (3.12.2014) by The Criminal Justice and Data Protection (Protocol No. 36) (Amendment) Regulations 2014 (S.I. 2014/3191), regs. 1(b), **2(5)(b)**

#### England and WalesE+W

##### Saved restraint ordersE+W

19.—(1) Chapter 2 of this Part applies in relation to a saved order under—                  

(a)section 77 of the Criminal Justice Act 1988 F20 (restraint orders), or                  

(b)section 26 of the Drug Trafficking Act 1994 F21 (restraint orders),                  

as it applies in relation to a restraint order under section 41 of the 2002 Act (restraint orders).

(2) Accordingly, a reference in Chapter 2 of this Part to a domestic restraint order includes a reference to a saved order of                     either of those kinds.                  

(3) A reference in this regulation to a saved order is a reference to an order as it continues to have effect by virtue of articles                     5 and 10 of the Proceeds of Crime Act 2002 (Commencement No 5, Transitional Provisions, Savings and Amendment) Order 2003                     F22 (transitional provision and savings: England and Wales).                  

F201988 c. 33; section 77 was repealed by sections 456 and 457 of, and paragraphs 1 and 17 of Schedule 11 and Schedule 12 to, the Proceeds of Crime                              Act 2002.

F211994 c. 37; section 26 was repealed by sections 456 and 457 of, and paragraphs 1 and 25 of Schedule 11 and Schedule 12 to, the Proceeds of Crime                              Act 2002.

F22S.I. 2003/333 (C. 20).

##### Saved confiscation ordersE+W

20.—(1) Chapter 2 of this Part applies to a saved order under—                  

(a)section 71 of the Criminal Justice Act 1988 F23 (confiscation orders), or                  

(b)section 2 of the Drug Trafficking Act 1994 F24 (confiscation orders),                  

as it applies to an order under section 6 of the 2002 Act (making of order).

(2) Accordingly, a reference in Chapter 2 of this Part to a domestic confiscation order includes a reference to a saved order                     of either of those kinds.                  

(3) A reference in this regulation to a saved order is a reference to an order as it continues to have effect by virtue of articles                     3 and 10 of the Proceeds of Crime Act 2002 (Commencement No 5, Transitional Provisions, Savings and Amendment) Order 2003                     (transitional provision and savings: England and Wales).                  

F23Section 71 was repealed by sections 456 and 457 of, and paragraphs 1 and 17 of Schedule 11 and Schedule 12 to, the Proceeds of Crime                              Act 2002.

F24Section 2 was repealed by sections 456 and 457 of, and paragraphs 1 and 25 of Schedule 11 and Schedule 12 to, the Proceeds of Crime                              Act 2002.

#### ScotlandS

##### Saved restraint ordersS

21.—(1) Schedule 1 applies in relation to a saved order under section 28 of the 1995 Act F25 (restraint orders) as it applies in relation to a restraint order under section 120 of the 2002 Act (restraint orders).                  

(2) Accordingly, a reference in Schedule 1 to a domestic restraint order includes a reference to a saved order under section 28                     of the 1995 Act.                  

(3) A reference in this regulation to a saved order is a reference to an order as it continues to have effect by virtue of articles                     4 and 7 of the Proceeds of Crime Act 2002 (Commencement No. 6, Transitional Provisions and Savings) (Scotland) Order 2003                     F26 (transitional provision and savings).                  

F25Section 28 has been amended by sections 456 and 457 of, and paragraphs 1 and 28 of Schedule 11 and Schedule 12 to, the Proceeds of Crime                              Act 2002.

F26S.S.I. 2003/210.

##### Saved confiscation ordersS

22.—(1) Schedule 1 applies to a saved order under section 1 of the 1995 Act F27 (confiscation orders) as it applies in relation to a confiscation order under section 92 of the 2002 Act.                  

(2) Accordingly, a reference in Schedule 1 to a domestic confiscation order includes a reference to a saved order under section                     1 of the 1995 Act.                  

(3) A reference in this regulation to a saved order is a reference to an order as it continues to have effect by virtue of articles                     3 and 7 of the Proceeds of Crime Act 2002 (Commencement No. 6, Transitional Provisions and Savings) (Scotland) Order 2003                     (transitional provision and savings).                  

F27Section 1 was repealed by sections 456 and 457 of, and paragraphs 1 and 28 of Schedule 11 and Schedule 12 to, the Proceeds of Crime                              Act 2002.

#### Northern IrelandN.I.

##### Saved restraint ordersN.I.

23.—(1) Schedule 2 applies in relation to a saved order under article 31 of the Proceeds of Crime (Northern Ireland) Order 1996 F28 (restraint orders) as it applies in relation to a restraint order under section 190 of the 2002 Act (restraint orders).                  

(2) Accordingly, a reference in Schedule 2 to a domestic restraint order includes a reference to a saved order under article 31                     of the 1996 Order.                  

(3) A reference in this regulation to a saved order is a reference to an order as it continues to have effect by virtue of articles                     6 and 10 of the Proceeds of Crime Act 2002 (Commencement No 5, Transitional Provisions, Savings and Amendment) Order 2003                     (transitional provision and savings: Northern Ireland).                  

F28S.I. 1996/1299 (N.I. 9); Article 31 was revoked by sections 456 and 457 of, and paragraphs 1 and 31 of Schedule 11 and Schedule 12 to, the Proceeds of Crime                              Act 2002.

##### Saved confiscation ordersN.I.

24.—(1) Schedule 2 applies to a saved order under article 8 of the Proceeds of Crime (Northern Ireland) Order 1996 F29 (confiscation orders) as it applies to an order under section 156 of the 2002 Act.                  

(2) Accordingly, a reference in Schedule 2 to a domestic confiscation order includes a reference to a saved order under article                     8 of the 1996 Order.                  

(3) A reference in this regulation to a saved order is a reference to an order as it continues to have effect by virtue of articles                     4 and 10 of the Proceeds of Crime Act 2002 (Commencement No 5, Transitional Provisions, Savings and Amendment) Order 2003                     (transitional provision and savings: Northern Ireland).                  

F29Article 8 was revoked by sections 456 and 457 of, and paragraphs 1 and 31 of Schedule 11 and Schedule 12 to, the Proceeds of Crime                              Act 2002.

## **PART 3**U.K.Mutual Recognition of Financial Penalties

### ExtentU.K.

25.  Any amendment or repeal made by Schedule 3 (mutual recognition of financial penalties: amendments of Criminal Justice and                     Immigration Act 2008) has the same extent as the enactment to which it relates, except that the amendment made by paragraph                     9(2) of that Schedule extends to England and Wales and Northern Ireland.                  

### Mutual recognition of financial penaltiesU.K.

26.  Schedule 3 amends provisions of the Criminal Justice and Immigration Act 2008 F30 relating to mutual recognition of financial penalties.                  

F302008 c. 4.

## **PART 4**U.K.Data Protection in relation to Police and Judicial Cooperation in Criminal Matters

### CHAPTER 1U.K.General

#### InterpretationU.K.

27.—(1) In this Part—                  

“the Act” means the Data Protection Act 1998 F31;                  

“the Commissioner” means the Information Commissioner established by section 6 of the Act (the Commissioner);                  

“data” and “data subject” have the meanings given by section 1 of the Act (basic interpretative provisions);

“the Data Protection Framework Decision” means Council Framework Decision 2008/977/JHA of 27th November 2008 on the protection of personal data processed in the                     framework of police and judicial cooperation in criminal matters F32;                  

“Member State” means an EEA State;                  

“non-UK competent authority” means—                  

any of the police, customs, judicial or other competent authorities of a Member State other than the United Kingdom authorised                              by that State's national law to process personal data within the scope of the Data Protection Framework Decision; and                           

an agency or other body established by a legal instrument adopted under Title VI of the Treaty on European Union (as it had effect before 1st December 2009) or Chapter 1, 4 or 5 of Title V of Part Three                              of the Treaty on the Functioning of the European Union that is not in the UK;                           

“personal data” has the meaning given by section 1 of the Act;                  

“the relevant conditions” has the meaning given by section 33(1) of the Act (research, history and statistics);                  

“sensitive personal data” has the meaning given by section 2 of the Act (sensitive personal data); and                  

“UK competent authority” means an authority referred to in Schedule 4.                  

(2) Other expressions used in this Part which are defined in the Data Protection Framework Decision have the same meaning as in                     that Decision.                  

F311998 c. 29.

F32OJ No. L 350, 30.12.2008, p. 60.

#### ScopeU.K.

28.—(1) Subject to paragraph (3), this Part applies in relation to the processing of personal data by a UK competent authority which                     is carried out—                  

(a)for the purposes of the prevention, investigation, detection or prosecution of a criminal offence or the execution of a criminal                        penalty;                  

(b)in the circumstances set out in paragraph (2); and                  

(c)in the course of activities within the scope of a relevant EU measure.                  

(2) The circumstances are that the processing of personal data is or has been transmitted or made available—

(a)between Member States;                  

(b)to an authority or information system established on the basis of Title VI of the Treaty on European Union (as it had effect                        before 1st December 2009) or Chapter 1, 4 or 5 of Title V of Part Three of the Treaty on the Functioning of the European Union;                        or                  

(c)to a UK competent authority by an authority or information system established on the basis of Title VI of the Treaty on European                        Union (as it had effect before 1st December 2009) or Chapter 1, 4 or 5 of Title V of Part Three of the Treaty on the Functioning                        of the European Union.                  

(3) This Part does not apply to the processing of personal data transmitted to or made available to a UK competent authority that                     is subject to the Data Protection Framework Decision if those data originated in the United Kingdom.                  

(4) In this regulation, a relevant EU measure is—

(a)any measure adopted under Chapter 4 (judicial cooperation in criminal matters) or Chapter 5 (police cooperation) of Title                        V of Part Three of the Treaty on the Functioning of the European Union which binds the United Kingdom;                  

(b)any act of the Union in the field of police cooperation and judicial cooperation in criminal matters adopted on the basis                        of Title V or VI of the Treaty on European Union prior to the entry into force of the Treaty of Lisbon in which the UK participates                        by virtue of Title VII of Protocol 36 (transitional provisions) to the EU Treaties.                  

### CHAPTER 2U.K.Duties of competent authorities and rights of data subjects

#### Duties of competent authoritiesU.K.

29.  When undertaking activities in relation to the processing of personal data to which this Part applies, a UK competent authority                     must comply with regulations 30 to 42, 43(2), 44, 45, 47 and 48.                  

#### Principles of lawfulness, proportionality and purposeU.K.

30.—(1) Personal data must be—                  

(a)processed lawfully;                  

(b)collected only for specified, explicit and legitimate purposes;                  

(c)processed only for the purposes for which the data were collected;                  

(d)adequate, relevant and not excessive in relation to the purposes for which they were collected.                  

(2) Further processing of personal data may only be undertaken—

(a)for historical, statistical or scientific purposes, if the relevant conditions are complied with;                  

(b)for any other purpose, if—                  

(i)the processing is not incompatible with the purposes for which the data were collected;                  

(ii)the competent authority is permitted by law to carry it out; and                  

(iii)the processing is necessary and proportionate to that other purpose.                  

(3) When undertaking further processing for historical, statistical or scientific purposes, consideration must be given to whether                     the purpose can be achieved by making the data anonymous.                  

#### Rectification, erasure and blockingU.K.

31.—(1) A UK competent authority must—                  

(a)rectify personal data which are inaccurate;                  

(b)complete or update personal data where that is possible and necessary;                  

(c)erase personal data or make them anonymous where they are no longer required for the purposes for which they were lawfully                        collected or are lawfully further processed.                  

(2) Nothing in paragraph (1)(c) precludes a competent authority from archiving the data in a separate dataset for an appropriate                     period in accordance with an enactment or rule of law.                  

(3) Personal data must be blocked instead of erased if the competent authority has reasonable grounds to believe that erasure                     could affect the legitimate interests of the data subject and, once blocked, that data shall be processed only for the purpose                     which prevented their erasure.                  

(4) When the personal data are contained in a judicial decision or record related to the issuance of a judicial decision, rectification,                     erasure or blocking is permitted only where it complies with an enactment or rule of law regarding judicial proceedings.                  

(5) A competent authority which refuses to rectify, erase or block data under paragraph (1), having been asked by the data subject                     to do so, must give notice of its decision in writing to the data subject within a reasonable period of making it.                  

(6) That notice must inform the data subject that they may make a complaint about the refusal to the Commissioner.

(7) The Commissioner must examine any such complaint and, having done so, inform the data subject of whether or not the competent                     authority acted properly.                  

(8) If the accuracy of an item of personal data is contested by the data subject and its accuracy or inaccuracy cannot be ascertained,                     that item may be marked for the purpose of indicating that its accuracy or inaccuracy cannot be ascertained.                  

#### Establishment of time limits for erasure and reviewU.K.

32.  A UK competent authority must—                  

(a)establish time limits for the periodic review of the need for continued storage of personal data and for its erasure; and                  

(b)ensure that those time limits are observed.                  

#### Processing of sensitive personal dataU.K.

33.  Sensitive personal data may be processed only if—                  

(a)necessary; and                  

(b)at least one of the conditions in Schedule 3 to the Act (conditions relevant for the processing of sensitive personal data),                        with the exception of the condition in paragraph 8 of that Schedule, is satisfied.                  

#### Automated individual decisionsU.K.

34.—(1) A decision which produces an adverse legal effect for the data subject or significantly affects them and which is based solely                     on automated processing of data intended to evaluate certain personal aspects relating to the data subject shall be permitted                     where it aids the prevention, investigation, detection or prosecution of criminal offences or the execution of criminal penalties.                  

(2) A UK competent authority which proposes to make a decision permitted by paragraph (1) must take steps to safeguard the legitimate                     interests of the data subject (for example, by allowing them to make representations).                  

#### Verification of quality of data that are transmitted or made availableU.K.

35.—(1) A UK competent authority must take all reasonable steps to ensure that personal data which are inaccurate, incomplete or no                     longer up-to-date are not transmitted or made available.                  

(2) Where a UK competent authority transmits or makes available personal data it should, as far as practicable, verify the quality                     of personal data before transmitting it or making it available.                  

(3) Where a UK competent authority transmits or makes available personal data, it must, as far as possible, add available information                     which enables the recipient to assess the degree of accuracy, completeness and reliability of the data, including whether                     they are up-to-date.                  

(4) If personal data are transmitted or made available to a competent authority without that authority having requested them,                     that authority must verify without delay whether the data are necessary for the purpose for which they were transmitted.                  

(5) This paragraph applies where a UK competent authority transmits or makes available personal data to a non-UK competent authority                     and it becomes apparent that the transmitted data—                  

(a)are incorrect; or                  

(b)have been unlawfully transmitted.                  

(6) Where paragraph (5) applies, the UK competent authority must without delay—

(a)notify the recipient of the inaccuracy or unlawful transmission; and                  

(b)rectify, erase or block the data in accordance with regulation 31.                  

#### Time limitsU.K.

36.—(1) A UK competent authority transmitting or making available personal data to a non-UK competent authority or to a UK competent                     authority referred to in Part 2 of Schedule 4 must when doing so notify the recipient of the time limits established for its                     retention.                  

(2) If—

(a)a non-UK competent authority transmits or makes available data to a UK competent authority that is subject to the Data Protection                        Framework Decision; and                  

(b)when doing so, indicates a time limit for the retention of that data,                  

the UK competent authority must take steps on the expiry of that time limit to erase or block the data, or review whether                     they are still needed.                  

(3) The obligation in paragraph (2) does not apply if, on the expiry of the time limit, the data are required for a current investigation,                     the prosecution of a criminal offence or enforcement of a criminal penalty.                  

(4) If a non-UK competent authority transmits or makes available data to a UK competent authority that is subject to the Data                     Protection Framework Decision without indicating a time limit for its retention, the UK competent authority shall apply any                     relevant time limits provided for under any enactment or rule of law.                  

#### Logging and documentationU.K.

37.—(1) Any transmission of personal data by a UK competent authority must be logged or documented by that authority for the purposes                     of verifying the lawfulness of the processing and self-monitoring, and ensuring proper data integrity and security.                  

(2) A log or documentation prepared under paragraph (1) must be sent on request to the Commissioner, who may use the information                     only for the control of data protection and for ensuring proper data processing as well as data integrity and security.                  

#### Processing of personal data received from or made available by an authority in another Member StateU.K.

38.—(1) A UK competent authority may only process personal data received from or made available by a non-UK competent authority for                     the purpose for which they were transmitted or made available, or for any of the following purposes—                  

(a)the prevention, investigation, detection or prosecution of a criminal offence, or the execution of a criminal penalty, other                        than that for which the data were transmitted or made available;                  

(b)other judicial and administrative proceedings directly linked to the prevention, investigation, detection or prosecution of                        a criminal offence or execution of a criminal penalty;                  

(c)prevention of an immediate and serious threat to public security;                  

(d)any other purpose only with the prior consent of the transmitting authority or the data subject's consent given in accordance                        with national law.                  

(2) A UK competent authority may undertake further processing of personal data for historical, statistical or scientific purposes                     if the relevant conditions are complied with.                  

(3) When undertaking further processing for historical, statistical or scientific purposes, consideration must be given to whether                     the purpose can be achieved by making the data anonymous.                  

#### Compliance with national processing restrictionsU.K.

39.—(1) Where a non-UK competent authority—                  

(a)transmits or makes available data to a UK competent authority in accordance with the Data Protection Framework Decision; and                  

(b)notifies the UK competent authority of specific processing restrictions that would apply in the specific circumstances under                        the law of its Member State to the exchange of that data had it been made within that State,                  

the UK competent authority shall comply with those restrictions.

(2) Where—

(a)a UK competent authority transmits or makes available data to a non-UK competent authority in accordance with the Data Protection                        Framework Decision; and                  

(b)in the specific circumstances, the exchange of that data would have been subject to specific processing restrictions by virtue                        of or under any enactment or rule of law had it been made to another UK competent authority,                  

the UK competent authority shall notify the recipient of those restrictions.

(3) The restrictions referred to in paragraphs (1) and (2) are limited to those applying under the law of the Member State of                     the competent authority transmitting or making available the data to such exchanges of data between competent authorities                     within that State.                  

#### Transfer to competent authorities in third countries or to international bodiesU.K.

40.—(1) Personal data transmitted or made available to a UK competent authority by a non-UK competent authority may be transferred                     to a third country or an international body only if—                  

(a)it is necessary for the prevention, investigation, detection or prosecution of a criminal offence or the execution of a criminal                        penalty;                  

(b)the receiving authority in the recipient third country or receiving international body is responsible for the prevention,                        investigation, detection or prosecution of criminal offences or the execution of criminal penalties;                  

(c)subject to paragraph (2), the competent authority from which the data were obtained has given its prior consent to the transfer                        in compliance with the applicable national law; and                  

(d)subject to paragraph [F33(4)], the third country or international body concerned ensures an adequate level of protection for the intended data processing.                  

(2) Transfer without prior consent is permitted only if—

(a)transfer of the data is essential for the prevention of an immediate and serious threat to public security of a Member State                        or a third country or to essential interests of a Member State; and                  

(b)such consent cannot be obtained in good time.                  

(3) Where a transfer is made without prior consent, the authority otherwise responsible for giving it must be informed without                     delay.                  

(4) Paragraph (1)(d) does not apply where—

(a)the transfer is necessary to pursue—                  

(i)the legitimate specific interests of the data subject; or                  

(ii)other legitimate prevailing interests, especially important public interests; or                  

(b)the third country or receiving international body provides safeguards which are deemed adequate by the person or body that                        intends to make the transfer.                  

(5) The adequacy of the level of protection referred to in paragraph (1)(d) shall be assessed in the light of all the circumstances                     surrounding a data transfer operation or a set of data transfer operations including, in particular—                  

(a)the nature of the data;                  

(b)the purpose and duration of the proposed processing operation or operations;                  

(c)the State of origin and the State or international body of final destination of the data;                  

(d)the rules of law in force in the third country or which apply to the international body in question; and                  

(e)the professional rules and security measures which apply.                  

(6) In this regulation, “third country” means a State other than a Member State.                  

F33Word in reg. 40(1)(d) substituted (3.12.2014) by The Criminal Justice and Data Protection (Protocol No. 36) (Amendment) Regulations 2014 (S.I. 2014/3191), regs. 1(b), **2(6)**

#### Transmission to private partiesU.K.

41.—(1) A UK competent authority may transmit to a private party personal data received from or made available to it by a non-UK competent                     authority only if—                  

(a)the authority from which the data were obtained has consented in compliance with the applicable national law to its transmission;                  

(b)no legitimate specific interests of the data subject prevent transmission; and                  

(c)in the particular case, transmission by the UK competent authority is essential for—                  

(i)performance of a task lawfully assigned to it;                  

(ii)the prevention, investigation, detection or prosecution of criminal offences or the execution of criminal penalties;                  

(iii)prevention of an immediate and serious threat to public security; or                  

(iv)prevention of serious harm to the rights of individuals.                  

(2) The UK competent authority transmitting the data to a private party shall inform the private party of the purposes for which                     the data may exclusively be used.                  

(3) In this regulation, “private party” does not include a body which exercises functions of a public nature, whether under contract or otherwise, when engaging                     in an activity that involves the exercise of those functions.                  

#### Information on request of the competent authorityU.K.

42.  The recipient of any data transmitted or made available by a UK competent authority shall, on request by that authority, inform                     it about their processing of that data.                  

#### Information for the data subjectU.K.

43.—(1) A data subject must be informed regarding the collection or processing of personal data by a UK competent authority in accordance                     with national law.                  

(2) A UK competent authority to which personal data have been transmitted or made available by a non-UK competent authority must                     not inform the data subject of that fact without the prior consent of the non-UK competent authority.                  

#### Right of accessU.K.

44.—(1) Sections 7 (right of access to personal data), 8 (provisions supplementary to section 7) and 67 (orders, regulations and rules)                     of the Act apply in relation to the processing of personal data to which this Part applies, with the following modifications.                  

(2) Section 7 shall have effect as if—

(a)a reference to a “data controller” were a reference to a “UK competent authority” within the meaning of regulation 27(1);                  

(b)in subsection (1)—                  

(i)the references to sections 9 and 9A of the Act were omitted; and.                  

(ii)in paragraph (d), the words between “relating to him” and “has constituted or is likely to constitute” were omitted;                  

(c)after subsection (4) there was inserted—                  

“(4A)Subsection (1) does not require a UK competent authority to provide any information if, having due regard to the legitimate                        interests of the person concerned, refusal to do so is a necessary and proportionate measure to—                  

(a)avoid obstructing an official or legal inquiry, investigation or procedure;                  

(b)avoid prejudicing the prevention, detection, investigation or prosecution of criminal offences or the execution of criminal                           penalties;                  

(c)protect public security;                  

(d)protect national security; or                  

(e)protect the data subject or the rights and freedoms of others.                  

(4B)Where a UK competent authority refuses to provide information or restricts access to it in response to a request made under                        subsection (1), the authority must give the data subject written notice of its decision, which must also set out—                  

(a)except where a reason under subsection (4A) exists, the factual or legal reasons on which the decision is based; and                  

(b)notice of the data subject's entitlement to appeal to the Commissioner or to a court.”; and                  

(d)subsection (12) were omitted.                  

(3) Section 8 shall have effect as if—

(a)a reference to a “data controller” were a reference to a “UK competent authority” within the meaning of regulation 27(1);                        and                  

(b)subsection (5) were omitted.                  

#### Right to compensationU.K.

45.—(1) An individual who suffers damage by reason of any contravention by a UK competent authority of any of the requirements of                     this Part is entitled to compensation from that authority—                  

(a)for that damage; and                  

(b)for any distress suffered in addition to that damage.                  

(2) In proceedings brought by virtue of paragraph (1), it is not a defence to prove that any data transmitted or made available                     were inaccurate.                  

(3) If—

(a)a UK competent authority incorrectly transmits personal data to a non-UK competent authority; and                  

(b)the latter authority is required, in accordance with the Data Protection Framework Decision, to pay compensation to the data                        subject for damage caused by use of the incorrectly transmitted data,                  

the former must pay to the latter, on request and the provision of satisfactory evidence, an amount not exceeding the sum                     awarded in respect of that damage.                  

#### Confidentiality of processingU.K.

46.—(1) A person who has access to personal data in connection with activities referred to in regulation 29 may process that data                     only if that person is a member of, or acts on instructions of, a UK competent authority, unless he is required to do so by                     an enactment or rule of law.                  

(2) A person working for a UK competent authority may only process such personal data in accordance with this Part.

#### Security of processingU.K.

47.—(1) A UK competent authority must implement appropriate technical and organisational measures to protect personal data against—                  

(a)accidental or unlawful destruction or accidental loss, alteration, unauthorised disclosure or access, in particular where                        the processing involves transmission of that data over a network or making it available by granting direct automated access;                        and                  

(b)all other unlawful forms of processing.                  

(2) In doing so, that authority must take into account, in particular, the risks represented by the processing and the nature                     of the data to be protected.                  

(3) Such measures must ensure a level of security appropriate to the risks represented by the processing and the nature of the                     data to be protected, having regard to the state of the art and the cost of their implementation.                  

(4) A UK competent authority must in respect of automated data processing adopt measures, policies and practices designed to—

(a)deny unauthorised persons access to data-processing equipment used for processing personal data (equipment access control);                  

(b)prevent the unauthorised reading, copying, modification or removal of data media (data media control);                  

(c)prevent the unauthorised input of data and the unauthorised inspection, modification or deletion of stored personal data (storage                        control);                  

(d)prevent the use of automated data-processing systems by unauthorised persons using data communication equipment (user control);                  

(e)ensure that persons authorised to use an automated data-processing system only have access to the data covered by their access                        authorisation (data access control);                  

(f)ensure that it is possible to verify and establish the bodies to which personal data have been or may be transmitted or made                        available using data communication equipment (communication control);                  

(g)ensure that it is subsequently possible to verify and establish which personal data have been input into automated data-processing                        systems and when and by whom the data were input (input control);                  

(h)prevent the unauthorised reading, copying, modification or deletion of personal data during transfers of personal data or                        during transportation of data media (transport control);                  

(i)ensure that installed systems may, in case of interruption, be restored (recovery);                  

(j)ensure that the functions of the system perform, that the appearance of faults in the functions is reported (reliability)                        and that stored data cannot be corrupted by means of a malfunctioning of the system (integrity).                  

(5) Where a UK competent authority wishes to designate a data processor to carry out processing on its behalf, the authority—

(a)may do so only if the processor guarantees that it will—                  

(i)observe the requisite technical and organisational measures required by virtue of paragraph (1); and                  

(ii)comply with instructions given by that competent authority; and                  

(b)must monitor the processor in those respects.                  

(6) Personal data may be processed by a processor only on the basis of a legal act or a written contract.

#### Prior consultationU.K.

48.—(1) A UK competent authority that wishes to process personal data in the circumstances described in paragraph (2) must consult                     the Commissioner before doing so.                  

(2) Those circumstances are that the processing of the data will form part of a new filing system to be created where—

(a)sensitive personal data are to be processed; or                  

(b)the type of processing, in particular using new technologies, mechanisms or procedures, holds otherwise specific risks for                        the fundamental rights and freedoms, and in particular the privacy, of the data subject.                  

### CHAPTER 3U.K.Miscellaneous

#### Unlawful obtaining etc. of personal data within the scope of this PartU.K.

49.—(1) This regulation applies in relation to personal data processed by a UK competent authority which falls within regulation 28(1).                  

(2) A person shall not knowingly or recklessly, without the consent of a UK competent authority—

(a)obtain or disclose personal data to which this regulation applies or the information contained in such data; or                  

(b)procure the disclosure to another person of the information contained in personal data.                  

(3) Paragraph (2) does not apply to a person who shows—

(a)that the obtaining, disclosing or procuring—                  

(i)was necessary for the purpose of preventing or detecting crime; or                  

(ii)was required or authorised by or under any enactment, by any rule of law or by the order of a court;                  

(b)that he acted in the reasonable belief that he had in law the right to obtain or disclose the data or information or, as the                        case may be, to procure the disclosure of the information to the other person;                  

(c)that he acted in the reasonable belief that he would have had the consent of the relevant UK competent authority if that authority                        had known of the obtaining, disclosing or procuring and the circumstances of it; or                  

(d)that in the particular circumstances the obtaining, disclosing or procuring was justified as being in the public interest.                  

(4) A person who contravenes paragraph (2) is guilty of an offence.

(5) A person who sells personal data is guilty of an offence if he has obtained the data in contravention of paragraph (2).

(6) A person who offers to sell personal data is guilty of an offence if—

(a)he has obtained the data in contravention of paragraph (2); or                  

(b)he subsequently obtains the data in contravention of that subsection.                  

(7) For the purposes of paragraph (6), an advertisement indicating that personal data are or may be for sale is an offer to sell                     the data.                  

(8) For the purposes of paragraphs (5) to (7), “personal data” includes information extracted from personal data.                  

#### Application of the Data Protection Act 1998U.K.

50.—(1) The Act shall not apply to the processing of personal data to which this Part applies, except so far as regulations 27, 44                     or 51 provide otherwise.                  

(2) Paragraph (1) is without prejudice to section 54 of the Act.

#### Other functions of the CommissionerU.K.

51.—(1) The following provisions of the Act apply for the purposes of this Part as they apply for the purposes of the Act, with the                     modifications set out in paragraph (2)—                  

(a)in Part 5 (enforcement)—                  

(i)sections 40, except subsections (4)(b), (9) and (10), and 41 (enforcement notices);                  

(ii)sections 42 (request for assessment) and 43, except subsection (10) (information notices);                  

(iii)section 47 (failure to comply with notice); and                  

(iv)sections 48, except subsection (4), and 49, except subsection (5) (appeals);                  

(b)in Part 6 (miscellaneous and general)—                  

(i)sections 51 to 52E (functions of the Commissioner);                  

(ii)section 54A (inspection of overseas information systems);                  

(iii)sections 55A to 55E (monetary penalties);                  

(iv)sections 58 and 59 (information);                  

(v)section 60 (except for subsection (4)(a) and (b)) (prosecutions and penalties);                  

(vi)section 63(1), (2) and (5) (application to Crown); and                  

(vii)sections 64(1)(c), (2) and (3) (transmission of notices etc. by electronic or other means) and 65 (service of notices by Commissioner).                  

(2) The modifications referred to in paragraph (1) are—

(a)any reference to a matter listed in the first column of the table in Schedule 5 is to be construed as a reference to the matter                        in the corresponding entry in the second column of that table; and                  

(b)a provision including a reference to a “special information notice” is to be read as if that reference were omitted.                  

#### Consequential provisionsU.K.

52.  The Act is amended as follows—                  

(a)in section 5(1) (application of Act), after subsection (1) insert—                  

“(1A)Subsection (1) is subject to regulation 50 of the Criminal Justice and Data Protection (Protocol No. 36) Regulations 2014.”;                  

(b)in section 54 (international co-operation)—                  

(i)in subsection (1)(b), after “the Data Protection Directive” insert “ and the Data Protection Framework Decision ”;                  

(ii)in subsection (3) omit the “and” after paragraph (a);                  

(iii)after subsection (3)(b) insert—                  

“, and                  

(c)the exercise within the United Kingdom at the request of a supervisory authority in another EEA State, in cases falling within                           the scope of the Data Protection Framework Decision as it applies to that State, of functions of the Commissioner specified                           in the order.”;                  

(iv)in subsection (8), after the definition of “the Convention” insert—                  

““the Data Protection Framework Decision” means the Council Framework Decision 2008/977/JHA of 27th November 2008 on the protection of personal data processed in                           the framework of police and judicial cooperation in criminal matters;”.                     

## **PART 5**U.K.Exchange of Information and Intelligence between Law Enforcement Authorities

### InterpretationU.K.

53.  In this Part—                  

“the Framework Decision” means Council Framework Decision 2006/960/JHA of 18th December 2006 on simplifying the exchange of information and intelligence                     between law enforcement authorities of the member States of the European Union F34;                  

“Annex A” means Annex A in the Framework Decision;                  

“Annex B” means Annex B in the Framework Decision;                  

“competent authority” means an authority declared under Article 2(a) of the Framework Decision (definitions) as a “competent law enforcement authority”                     in an EEA State;                  

“EEA State” means—                  

a member State, other than the United Kingdom;

Norway, Iceland or Liechtenstein; or

Switzerland;

“information” and “intelligence” have the meanings set out in Article 2(d) of the Framework Decision;

“serious offence” means any offence in the European Framework List referred to in section 215(1) of the Extradition Act 2003 F35 (European framework list);                  

“UK competent authority” means any of the Secretary of State, the chief officer of police for a police area in England and Wales, the Chief Constable                     of the Police Service of Scotland, the Chief Constable of the Police Service of Northern Ireland, the National Crime Agency,                     Her Majesty's Revenue and Customs and the Serious Fraud Office.                  

F34OJ No. L 386, 29.12.2006, p. 89.

F352003 c. 41.

### Duty to provide information or intelligenceU.K.

54.—(1) Subject to regulation 55, a UK competent authority which receives a request within its competence in accordance with the Framework                     Decision must ensure that information or intelligence is provided to the requesting competent authority in accordance with                     this Part.                  

(2) A UK competent authority must not apply conditions stricter than those applicable at national level for providing and requesting                     information or intelligence to a competent authority in accordance with this Part.                  

### Time limitsU.K.

55.  Subject to regulation 59—                  

(a)in an urgent case regarding a serious offence—                  

(i)a UK competent authority must respond within eight hours of a request when the information or intelligence requested in accordance                        with the Framework Decision is held in a database directly accessible by the UK competent authority; but                  

(ii)where the provision of the information or intelligence requested in accordance with the Framework Decision within the period                        of eight hours would put a disproportionate burden on the UK competent authority, the UK competent authority—                  

(aa)may postpone the provision of the information or intelligence for up to three days;                  

(bb)must immediately inform the requesting competent authority of this postponement; and                  

(cc)must provide reasons on the form set out in Annex A;                  

(b)in a non-urgent case regarding a serious offence—                  

(i)a UK competent authority must ensure that a request for information or intelligence in accordance with the Framework Decision                        is responded to within one week if the requested information or intelligence is held in a database directly accessible by                        the UK competent authority; but                  

(ii)if the UK competent authority is unable to respond within seven days, it must provide reasons for that on the form set out                        in Annex A; and                  

(c)in all other cases—                  

(i)a UK competent authority must ensure that the information requested in accordance with the Framework Decision is communicated                        to the requesting competent authority within 14 days; but                  

(ii)if the UK competent authority is unable to respond within 14 days, it must provide reasons on the form set out in Annex A.                  

### Requests for information or intelligenceU.K.

56.  For the purpose of detection, prevention or investigation of an offence, a UK competent authority—                  

(a)must use Annex B for the purpose of requesting information and intelligence from a competent authority and such a request                        must contain at least the information set out in Annex B; and                  

(b)must not request more information and intelligence or set narrower timeframes than necessary for the purpose of the request.                  

### Spontaneous exchange of information or intelligenceU.K.

57.  Subject to regulation 59, a UK competent authority must, without the need for any prior request, provide such relevant information                     or intelligence to a competent authority where the UK competent authority has reasonable grounds to believe that such information                     or intelligence could assist in the detection, prevention or investigation of a serious offence.                  

### Requirements for the sharing of information or intelligenceU.K.

58.—(1) A UK competent authority must use information or intelligence provided in accordance with the Framework Decision only for                     the purposes for which, and subject to the conditions on which, it has been supplied unless—                  

(a)such use may assist in preventing an immediate and serious threat to public security; or                  

(b)processing for other purposes is authorised by the EEA State which has provided the information or intelligence.                  

(2) When providing information or intelligence to a competent authority in accordance with the Framework Decision, a UK competent                     authority may impose conditions—                  

(a)on the use of the information or intelligence; and                  

(b)on reporting the result of the criminal investigation or criminal intelligence operation for which the provision of information                        and intelligence has taken place.                  

(3) Where—

(a)a receiving competent authority is not bound by the conditions imposed by the UK competent authority under paragraph (2);                        and                  

(b)the national law of the competent authority lays down that the restrictions on use are waived for judicial authorities, legislative                        bodies or any other independent body established by law and made responsible for supervising the competent authority,                  

the UK competent authority may make representations to the competent authority concerning the use of the information or intelligence.

(4) Where, on receiving information or intelligence, a UK competent authority is not bound by the conditions imposed by a competent                     authority because the law in the relevant part of the United Kingdom provides that the restrictions on use are waived for                     judicial authorities, legislative bodies or any other independent body established by law and made responsible for supervising                     the UK competent authority, the UK competent authority must consult the EEA State from whom it has received the information                     or intelligence and take into account, so far as possible, its representations before so using the information or intelligence.                  

(5) A UK competent authority which receives information or intelligence from a competent authority must give the competent authority                     which provided the information or intelligence information about the use and further processing of the transmitted information                     or intelligence if requested to do so by the competent authority.                  

(6) A UK competent authority which provides information or intelligence to a competent authority may request information about                     the use and further processing of the transmitted information or intelligence.                  

### Reasons to withhold information or intelligenceU.K.

59.—(1) A UK competent authority may refuse to provide information or intelligence only where it has reasonable grounds to believe                     that the provision of information or intelligence would—                  

(a)harm essential national security interests of the United Kingdom;                  

(b)jeopardise the success of a current investigation or a criminal intelligence operation or the safety of individuals; or                  

(c)clearly be disproportionate or irrelevant with regard to the purposes for which it has been requested.                  

(2) Where a request pertains to an offence punishable by a term of imprisonment of one year or less under the law of any part                     of the United Kingdom, the UK competent authority may refuse to provide the requested information or intelligence.                  

(3) A UK competent authority may refuse to transmit under the Framework Decision information or intelligence received from an                     EEA State or third country where it does not have the consent of that EEA State or third country to do so.                  

(4) A UK competent authority may refuse to transmit under the Framework Decision information or intelligence where otherwise prohibited                     by law.                  

### CircularsU.K.

60.—(1) The appropriate authority may issue circulars in relation to the implementation of the Framework Decision to which relevant                     UK competent authorities must have regard insofar as relevant to their functions.                  

(2) In paragraph (1), the “appropriate authority” means—                  

(a)in relation to England and Wales, the Secretary of State;                  

(b)as respects Scotland—                  

(i)in relation to reserved matters within the meaning of the Scotland Act 1998 F36 the Secretary of State;                  

(ii)for any other matters, the Scottish Ministers;                  

(c)in relation to Northern Ireland—                  

(i)for excepted matters within the meaning of the Northern Ireland Act 1998 F37, the Secretary of State;                  

(ii)for reserved matters within the meaning of the Northern Ireland Act 1998—                  

(aa)the Secretary of State; or                  

(bb)the Department of Justice with the consent of the Secretary of State;                  

(iii)for any other matters, the Department of Justice.                  

(3) In [F38paragraphs (1) and (4)] , the “relevant UK competent authorities” means—                  

(a)in relation to England and Wales, the Secretary of State, the chief officer of police for a police area in England and Wales,                        the National Crime Agency, Her Majesty's Revenue and Customs and the Serious Fraud Office;                  

(b)as respects Scotland, the Secretary of State, the Chief Constable of the Police Service of Scotland, the National Crime Agency                        and Her Majesty's Revenue and Customs;                  

(c)in relation to Northern Ireland, the Secretary of State, the Chief Constable of the Police Service of Northern Ireland, the                        National Crime Agency, Her Majesty's Revenue and Customs and the Serious Fraud Office.                  

(4) Relevant [F39UK] competent authorities must have regard to any circular previously issued in relation to the implementation of the Framework                     Decision.                  

F361998 c. 46.

F371998 c. 47.

F38Words in reg. 60(3) substituted (3.12.2014) by The Criminal Justice and Data Protection (Protocol No. 36) (Amendment) Regulations 2014 (S.I. 2014/3191), regs. 1(b), **2(7)(a)**

F39Word in reg. 60(4) inserted (3.12.2014) by The Criminal Justice and Data Protection (Protocol No. 36) (Amendment) Regulations 2014 (S.I. 2014/3191), regs. 1(b), **2(7)(b)**

### Joint investigation teamsU.K.

61.—(1) For the purposes of this regulation—                  

“international joint investigation team” has the same meaning as in section 88(7) of the Police Act 1996 F40;                  

“UK competent authority” means any of the Secretary of State, the chief officer of police for a police area in England and Wales, the Chief Constable                     of the Police Service of Scotland, the Chief Constable of the Police Service of Northern Ireland, the National Crime Agency,                     Her Majesty's Revenue and Customs and the Serious Fraud Office;                  

“UK member” means a member of an international joint investigation team from a UK competent authority or a member of a UK competent                     authority who has been seconded to an international joint investigation team.                  

(2) Information lawfully obtained by a UK member which is not otherwise available to the UK competent authority participating                     in an international joint investigation team may be used for any of the following purposes—                  

(a)for the purposes for which the team has been set up;                  

(b)subject to the lawful prior consent of the member State where the information became available, for detecting, investigating                        and prosecuting other criminal offences;                  

(c)for preventing an immediate and serious threat to public security and, subject to the consent condition in sub-paragraph (b),                        for any criminal investigation arising if subsequently opened;                  

(d)for other purposes to the extent that this is agreed between the member States setting up the team.                  

F401996 c. 16; section 88(7) was amended by S.I. 2012/1809.

## **PART 6**U.K.Exchange of Information Relating to Criminal Convictions

### InterpretationU.K.

62.  In this Part—                  

“the Framework Decision” means Council Framework Decision 2009/315/JHA of 26th February 2009 on the organisation and content of the exchange of information                     extracted from the criminal record between member States F41;                  

“central authority” means an authority designated under Article 3 of the Framework Decision;                  

“conviction”, except where otherwise provided, has the meaning given in Article 2(a) of the Framework Decision (definitions);

“criminal proceedings” has the meaning given in Article 2(b) of the Framework Decision;                  

“criminal record” has the meaning given in Article 2(c) of the Framework Decision;                  

“third country” means a state other than a member State;                  

“UK Central Authority” means the body designated under regulation 63;                  

“UK criminal record” means—                  

in relation to England and Wales, information in any form relating to convictions on a names database held by the Secretary                              of State for the use of police forces generally;                           

in relation to Scotland, the criminal history database of the Police Service of Scotland for the use of the police forces                              generally;                           

in relation to Northern Ireland, the Northern Ireland Criminal History Database of the Causeway System.

F41OJ No. L 93, 7.4.2009, p. 23.

### Designation as a “central authority”U.K.

63.  The Chief Constable of Hampshire Constabulary is designated as the “central authority” for the United Kingdom.                  

### Obligations upon conviction of a national of a member StateU.K.

64.—(1) Where a conviction is entered on the UK criminal record, it must be accompanied where available by information on the nationality                     or nationalities of the convicted person if he or she is a national of another member State.                  

(2) The UK Central Authority must, as soon as possible, inform the central authorities of the other member States, in accordance                     with regulation 73, of any convictions against the nationals of those member States within the United Kingdom, as entered                     in the UK criminal record.                  

(3) In relation to information contained in the UK criminal record by virtue of paragraph (1), any subsequent alteration or deletion                     of such information must be immediately transmitted by the UK Central Authority, in accordance with regulation 73, to the                     central authority of the member State of the person's nationality.                  

(4) Where the UK Central Authority has provided information to another member State under paragraphs (2) or (3), it must communicate                     to the central authority of the member State of the person's nationality, on that member State's request, a copy of the conviction                     and subsequent measures as well as any other relevant information in order to enable it to consider whether it necessitates                     any measure at national level.                  

### Obligations upon receipt of information under Article 4(2) and (3) of the Framework DecisionU.K.

65.—(1) Where the UK Central Authority receives, under Article 4(2) or (3) of the Framework Decision (obligations of the convicting                     member State), information from another member State, the UK Central Authority—                  

(a)must store the information listed in regulation 73(1)(a) and (b) for the purpose of retransmission in accordance with regulations                        67, 68 or 69; and                  

(b)may store the information listed in regulation 73(1)(c) and (d) for the purpose of retransmission in accordance with regulations                        67, 68 or 69.                  

(2) Where the UK Central Authority receives information in accordance with Article 4(3) of the Framework Decision, it must make                     identical alteration or deletion of the relevant information stored in accordance with paragraph (1).                  

(3) For the purpose of retransmission in accordance with regulations 67, 68 or 69, the UK Central Authority may, where relevant,                     only use information which has been updated in accordance with paragraph (2).                  

### Requests for information under Article 6 of the Framework Decision for the purposes of criminal proceedings, other purposes                     and by a personU.K.

66.—(1) When information from the UK criminal record is requested for the purposes of criminal proceedings against a person or for                     any purposes other than criminal proceedings, the UK Central Authority may submit a request to the central authority of another                     member State for information and related data to be extracted from the criminal record, under Article 6(1) of the Framework                     Decision (request for information on convictions).                  

(2) When a person asks for information on their own UK criminal record under Article 6(2) of the Framework Decision, the UK Central                     Authority may submit a request to the central authority of another member State for information and related data to be extracted                     from the criminal record of that member State, provided that the person concerned is or was a resident, or a national, of                     the United Kingdom or that other member State.                  

(3) The UK Central Authority must submit the request using the form set out in the Annex to the Framework Decision.

### Replies to a request for information under Article 6 of the Framework Decision in relation to criminal proceedings and proceedings                     other than criminal proceedingsU.K.

67.—(1) When information is requested under Article 6 of the Framework Decision (request for information on convictions) from the                     UK Central Authority in relation to a national of the United Kingdom for the purposes of criminal proceedings, the UK Central                     Authority must transmit to the central authority of the requesting member State information on the following—                  

(a)convictions handed down in the United Kingdom and entered in the UK criminal record;                  

(b)any convictions handed down in other member States which were transmitted to the UK Central Authority after 27th April 2012,                        in application of Article 4 of the Framework Decision (obligations of the convicting member State), and stored in accordance                        with regulation 65;                  

(c)any convictions handed down in other member States which were transmitted to the UK Central Authority on or before 27th April                        2012 and entered in the UK criminal record;                  

(d)any convictions handed down in a country which is not a member State and subsequently transmitted to the UK Central Authority                        and entered in the UK criminal record.                  

(2) When information is requested under Article 6 of the Framework Decision from the UK Central Authority in relation to a national                     of the United Kingdom for any purposes other than that of criminal proceedings, the UK Central Authority must transmit to                     the central authority of the requesting member State information on the following—                  

(a)convictions handed down in the United Kingdom and entered in the UK criminal record;                  

(b)any convictions handed down in other member States—                  

(i)which were transmitted to the UK Central Authority after 27th April 2012, in application of Article 4 of the Framework Decision,                        and stored in accordance with regulation 65; and                  

(ii)in respect of which, the central authority of the member State which transmitted the information has not stated that such                        information may not be retransmitted for any purposes other than that of criminal proceedings;                  

(c)any convictions handed down in other member States which were transmitted to the UK Central Authority [F42on or before] 27th April 2012 and entered in the UK criminal record;                  

(d)any conviction handed down in a country which is not a member State and subsequently transmitted to the UK Central Authority                        and entered in the UK criminal record.                  

(3) For the purposes of paragraph (2), “conviction” means a conviction within the meaning of the Rehabilitation of Offenders Act 1974 F43 which is not spent within the meaning of that Act.                  

(4) Where information under paragraph (2)(b) has not been transmitted because the central authority of the member State which                     transmitted the information has stated that such information may not be retransmitted for any purposes other than that of                     criminal proceedings, the UK Central Authority must, 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.                  

F42Words in reg. 67(2)(c) substituted (3.12.2014) by The Criminal Justice and Data Protection (Protocol No. 36) (Amendment) Regulations 2014 (S.I. 2014/3191), regs. 1(b), **2(8)**

F431974 c. 53. Relevant amendments have been made by paragraph 1 of Schedule 15 to the Children Act 1989 (c. 41), **paragraph 1** of Schedule 13 to, and paragraph 20(c) of Schedule 11 to, the Criminal Justice Act 1991 (c. 53), **paragraph 47** of Schedule 9 to the Powers of Criminal Courts (Sentencing) Act 2000 (c. 6), **paragraph 63** of Schedule 16 to the Armed Forces Act 2006 (c. 52), **section 24(1)** of, and paragraph 8 of Schedule 7 to, the Criminal Justice and Licensing (Scotland) Act 2010 asp 13 and paragraph 134(3) of Schedule 9 to the Protection of Freedoms Act 2012 (c. 9).

### Replies to a request for information under Article 6 of the Framework Decision by a third countryU.K.

68.  When information extracted from the UK criminal record is requested from the UK Central Authority in relation to a national                     of the United Kingdom by a third country, the UK Central Authority may reply in respect of convictions transmitted by another                     member State as if the request were made by a member State.                  

### Replies to a request for information under Article 6 of the Framework Decision to a central authority of a member State other                     than the member State of the person's nationalityU.K.

69.  When information from the UK criminal record is requested under Article 6 of the Framework Decision (request for information                     on convictions) from the UK Central Authority in relation to a person who is not a national of the United Kingdom, the UK                     Central Authority must transmit information on convictions handed down in the United Kingdom and on convictions handed down                     against third country nationals and against stateless persons contained in its UK criminal record to the same extent as provided                     for in Article 13 of the European Convention on Mutual Assistance in Criminal Matters of 20th April 1959 (judicial records).                  

### Form of reply to a request for information under Article 6 of the Framework DecisionU.K.

70.  The reply to a request for information under regulations 67, 68 or 69 must be made using the form set out in the Annex to                     the Framework Decision.                  

### Deadlines for replies to a request for information under Article 6 of the Framework DecisionU.K.

71.—(1) Subject to paragraph (2), replies to the requests referred to in [F44Article 6(1) of the Framework Decision] must be transmitted by the UK Central Authority 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.                  

(2) If the UK Central Authority requires further information to identify the person involved in the request, it must 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.                  

(3) Replies to the request referred to in [F45Article 6(2) of the Framework Decision] must be transmitted to the central authority of the requesting member State within twenty working days from the date the                     request was received.                  

(4) For the purposes of this Part, “working day” means a day other than a Saturday, Sunday, Christmas Day, Good Friday or a day which is a bank holiday under the Banking                     and Financial Dealings Act 1971.                  

F44Words in reg. 71(1) substituted (3.12.2014) by The Criminal Justice and Data Protection (Protocol No. 36) (Amendment) Regulations 2014 (S.I. 2014/3191), regs. 1(b), **2(9)(a)**

F45Words in reg. 71(3) substituted (3.12.2014) by The Criminal Justice and Data Protection (Protocol No. 36) (Amendment) Regulations 2014 (S.I. 2014/3191), regs. 1(b), **2(9)(b)**

### Conditions for the use of personal dataU.K.

72.—(1) Subject to paragraph (3), personal data provided to the UK Central Authority under Article 7(1) and (4) of the Framework Decision                     (reply to a request for information on convictions) for the purposes of criminal proceedings may be used only for the purposes                     of the criminal proceedings for which it was requested (as specified in the form set out in the Annex to the Framework Decision).                  

(2) Subject to paragraph (3), personal data provided to the UK Central Authority under Article 7(2) and (4) of the Framework Decision                     for any purposes other than that of criminal proceedings may be used 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 to the Framework Decision.                  

(3) Personal data provided to the UK Central Authority under Article 7(1), (2) and (4) may be used for preventing an immediate                     and serious threat to public security.                  

(4) Where personal data received from another member State under Article 4 of the Framework Decision (obligations of the convicting                     member State) is transmitted to a third country in accordance with regulation 68, the UK Central Authority must—                  

(a)take the necessary measures to ensure that such personal data is subject to the same usage limitations as those applicable                        in a requesting member State in accordance with paragraph (2) of this regulation;                  

(b)specify that personal data, if transmitted to a third country in accordance with regulation 68 for the purposes of criminal                        proceedings, may be further used by that third country only for the purposes of criminal proceedings.                  

(5) This regulation does not apply to personal data obtained by the UK Central Authority under the Framework Decision that originated                     from the United Kingdom.                  

### Format and other ways of organising and facilitating exchanges of information on convictionsU.K.

73.—(1) When transmitting information in accordance with regulation 64(2) and (3), the UK Central Authority must transmit—                  

(a)the following information—                  

(i)the convicted person's—                  

(aa)full name;                  

(bb)date of birth;                  

(cc)town and country of birth;                  

(dd)gender;                  

(ee)nationality;                  

(ff)if applicable, previous names;                  

(ii)the date of conviction;                  

(iii)the name of the convicting court;                  

(iv)the date on which the decision of the convicting court became final;                  

(v)the date of the offence underlying the conviction;                  

(vi)the name or legal classification of the offence;                  

(vii)reference to the applicable legal provisions relating to the offence;                  

(viii)the sentence imposed in respect of the conviction, as well as any supplementary penalties, security measures and all subsequent                        decisions modifying the enforcement of the sentence.                  

(b)if entered on the UK criminal record, the following information—                  

(i)the convicted person's parents' names;                  

(ii)the reference number of the conviction;                  

(iii)the place of the offence;                  

(iv)any disqualifications arising from the conviction;                  

(c)if available to the UK Central Authority, the following 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;                  

(iii)if applicable, pseudonym and any alias names;                  

(d)at the discretion of the UK Central Authority, any other information concerning the conviction or convictions entered in the                        UK criminal record.                  

(2) The UK Central Authority must store all information listed in sub-paragraphs (a) and (b) of paragraph (1), which it has received                     in accordance with Article 5(1) of the Framework Decision (obligations of the member State of the person's nationality), for                     the purpose of retransmission in accordance with regulations 67, 68 or 69; for the same purpose it may store information of                     the types listed in sub-paragraph (c) of paragraph (1).                  

### Further rules relating to the format of transmission of information: legal classification, etcU.K.

74.  For the purposes of Article 4 of Council Decision 2009/316/JHA of 6th April 2009 on the establishment of the European Criminal                     Records Information System (ECRIS) in application of Article 11 of the Framework Decision 2009/315/JHA F46, the Chief Constable of Hampshire Constabulary is responsible for the functions of the member State.                  

F46OJ No. L 93 7.4.2009, p. 33.

## **PART 7**U.K.European Supervision Order

### CHAPTER 1U.K.Extent

#### ExtentU.K.

75.—(1) Chapter 2 (European supervision orders: England and Wales) extends to England and Wales only.                  

(2) Chapter 3 (European supervision orders: Northern Ireland) extends to Northern Ireland only.

(3) Schedule 6 (European supervision orders: grounds for refusal to monitor supervision measures) extends to England and Wales                     and Northern Ireland.                  

### CHAPTER 2E+WEuropean supervision orders: England and Wales

#### InterpretationE+W

76.  In this Chapter—                  

“central authority”, in relation to a member State other than the United Kingdom, means an authority designated by the State as a central authority                     for the purposes of the Framework Decision;                  

“the central authority for England and Wales” means the Lord Chancellor;                  

“certificate requesting monitoring under the Framework Decision” means the certificate required by Article 10 of the Framework Decision;                  

“competent authority”, in relation to a member State, means an authority designated by the State as a competent authority for the purposes of                     the Framework Decision;                  

“court” means a magistrates' court, the Crown Court, the High Court or the Court of Appeal; and references to a court include a                     judge of such a court or a justice of the peace and a judge or justice having powers to act in connection with proceedings                     before such a court;                  

“the Framework Decision” means Council Framework Decision 2009/829/JHA of 23rd October 2009 on the application, between member States of the European                     Union, of the principle of mutual recognition to decisions on supervision measures as an alternative to provisional detention                     F47;                  

“notify” means notify in writing (and “notification” is to be read accordingly).                  

F47OJ No. L 294, 11.11.2009, p. 20.

#### Recognition of supervision measures: requests to other member StatesE+W

##### Requests to other member States for monitoring supervision measuresE+W

77.—(1) A court which makes a decision on supervision measures may request a competent authority of a member State other than the                     United Kingdom (“the executing State”) to monitor the supervision measures under the Framework Decision where—                  

(a)the measures are suitable for monitoring in the executing State, and                  

(b)the executing State is one to which the request may be made.                  

(2) To make the request, the court must—

(a)issue a certificate requesting monitoring under the Framework Decision in respect of the decision on supervision measures,                        and                  

(b)give the following documents to the competent authority or to the central authority of the executing State.                  

(3) The documents are—

(a)the decision on supervision measures or a certified copy of it,                  

(b)the certificate, and                  

(c)a copy of the certificate translated into the official language, or one of the official languages, of the executing State.                  

(4) But paragraph (3)(c) does not apply if—

(a)English is an official language of the executing State, or                  

(b)the executing State has declared under Article 24 of the Framework Decision that it will accept a certificate translated into                        English.                  

(5) A court makes a “decision on supervision measures” if—

(a)it grants bail in accordance with the Bail Act 1976 F48, as modified by regulation 78, to a person who is charged with an offence, and                  

(b)requirements are imposed on the person in accordance with section 3(6) of that Act F49 (general provisions), as so modified, as a condition of bail.                  

(6) “Supervision measures” means the requirements imposed on the person as a condition of bail.                  

(7) A supervision measure is “suitable for monitoring in the executing State” if it constitutes—

(a)a supervision measure of a kind mentioned in Article 8(1) of the Framework Decision (types of supervision measures), or                  

(b)a supervision measure of a kind which the executing State has given notice, under Article 8(2) of that Decision, that it is                        prepared to monitor.                  

(8) The executing State is “one to which the request may be made” if—

(a)the person is lawfully and ordinarily resident in the executing State and consents to return to that State with a view to                        the supervision measures being monitored there under the Framework Decision, or                  

(b)the person is not lawfully and ordinarily resident in the executing State but—                  

(i)the person asks for the request to be made to a competent authority of the executing State, and                  

(ii)the competent authority consents to the making of the request.                  

(9) In regulations 78 to 84—

“the competent authority of the executing State”, in relation to a request under this regulation, means the competent authority to which the request is made;                  

“decision on supervision measures” and “supervision measures” are to be read in accordance with this regulation;

“the executing State”, in relation to a request under this regulation, means the member State of the competent authority to which the request                     is made.                  

F481976 c. 63.

F49Section 3(6) was amended by the Criminal Justice and Public Order Act 1994 (c.33), **sections 27(2)** and 168(3) and Schedule 11; the Crime and Disorder Act 1998 (c.37), **section 54(2)**; the Criminal Justice Act 2003 (c.44), **section 13(1)** and Part 2 of Schedule 37; and the Legal Services Act 2007 (c.29), **section 208(1)** and Schedule 21, paragraph 34.

##### Requirements that may be imposed in connection with a requestE+W

78.—(1) This regulation applies where a court is considering making a request under regulation 77 for a competent authority of a member                     State other than the United Kingdom to monitor supervision measures under the Framework Decision in relation to the grant                     of bail to a person who is charged with an offence.                  

(2) The requirements that may be imposed on the person under section 3(6) of the Bail Act 1976 (general provisions) include requirements                     which can only be complied with in the other State.                  

(3) Where the court is considering imposing requirements on the person which would involve electronic monitoring of the person                     in a particular area in the other State—                  

(a)sections 3AA(4) F50 and 3AB(3) F51 of the Bail Act 1976 (conditions for the imposition of electronic monitoring requirements) have effect as if for references                        to each local justice area which is a relevant area there were substituted references to that area in the other State, and                  

(b)section 3AC of that Act F52 (electronic monitoring: general provisions) has effect as if subsection (2) were omitted.                  

F50Section 3AA(4) was inserted by the Criminal Justice and Immigration Act 2008 (c.4), **section 51** and Schedule 11 paragraph 3(4).

F51Section 3AB(3) was inserted by the Criminal Justice and Immigration Act 2008, section 51 and Schedule 11 paragraph (4).

F52Section 3AC was inserted by the Criminal Justice and Immigration Act 2008, section 51 and Schedule 11 paragraph (4) and amended by the                              Legal Aid, Sentencing and Punishment of Offenders Act 2012 (c.10) Schedule 11 paragraph 7.

##### Recognition of requestE+W

79.—(1) A court which has made a decision on supervision measures ceases to be responsible for monitoring the supervision measures                     if—                  

(a)the court makes a request under regulation 77 for the competent authority of the executing State to monitor those measures                        under the Framework Decision, and                  

(b)the competent authority notifies the court that it has decided to recognise the decision on supervision measures under the                        Framework Decision.                  

(2) The fact that the court has ceased to be responsible for monitoring the supervision measures does not affect the court's jurisdiction                     to take subsequent decisions in relation to the decision on supervision measures, including decisions about—                  

(a)renewal, review or withdrawal of the decision on supervision measures,                  

(b)modification of the supervision measures, and                  

(c)the issue of a warrant for the arrest of the person subject to the decision.                  

(3) Where the person subject to the decision on supervision measures is in the executing State, the court may permit the person                     to attend through a live link any hearing as to whether or not to take a subsequent decision in relation to the decision.                  

(4) The person is to be treated as present in court when attending a hearing through a live link by virtue of paragraph (3).

(5) “Live link” means an arrangement by which a person (when not in the place where a hearing is being held) is able—                  

(a)to see and hear the court during the hearing, and                  

(b)to be seen and heard by the court during the hearing;                  

(and for this purpose any impairment of eyesight or hearing is to be disregarded).

(6) Where a subsequent decision relating to a person is a decision to withhold bail, the court making the decision must require                     the person to surrender to custody in England and Wales at a time appointed by the court.                  

(7) The fact that the court has ceased to be responsible for monitoring the supervision measures does not affect any power conferred                     on a constable by the Bail Act 1976 to arrest without warrant the person subject to the decision on supervision measures.                  

##### Power to withdraw certificateE+W

80.—(1) A court which has made a request under regulation 77 for the competent authority of the executing State to monitor supervision                     measures under the Framework Decision must consider whether to withdraw the certificate requesting monitoring under that Decision                     if the competent authority informs the court that—                  

(a)the competent authority could refuse to monitor the supervision measures on the ground mentioned in Article 15(1)(h) of that                        Decision (grounds for non-recognition) but is nevertheless willing to monitor them,                  

(b)the competent authority has taken a decision, in accordance with Article 13 (adaptation of supervision measures) of that Decision,                        adapting the supervision measures, or                  

(c)there is a maximum period during which, under the law of the executing State, the supervision measures may be monitored.                  

(2) But a decision to withdraw the certificate under paragraph (1)(b) or (c) may be made only if monitoring of the supervision                     measures in the executing State has not yet started.                  

(3) If the court withdraws the certificate under this regulation, it must inform the competent authority.

(4) A decision to withdraw the certificate under this regulation must be taken, and the competent authority must be informed under                     paragraph (3), no later than 10 days after the day on which the competent authority informs the court as mentioned in paragraph                     (1).                  

(5) This regulation applies where a court informs the competent authority of the executing State under regulation 81(2)(b) that                     it has renewed a decision on supervision measures, or modified supervision measures, as it applies where the court makes a                     request under regulation 77 in relation to the original decision on supervision measures.                  

##### Duties where measures being monitored by executing StateE+W

81.—(1) This regulation applies in relation to any time when a court which has made a decision on supervision measures—                  

(a)has ceased under regulation 79 to be responsible for monitoring the supervision measures, and                  

(b)has not yet become responsible under regulation 83 for monitoring them again.                  

(2) The court must immediately inform the competent authority of the executing State if—

(a)legal proceedings are brought in relation to the decision on supervision measures, or                  

(b)the court takes a subsequent decision in relation to the decision on supervision measures, as mentioned in regulation 79(2)                        (a “supervening decision”).                  

(3) The court must consider whether to take a supervening decision if the competent authority of the executing State notifies                     the court, using the form set out in Annex II to the Framework Decision, of—                  

(a)a breach of the supervision measures, or                  

(b)any other finding which could result in the court taking a supervening decision.                  

(4) Where the decision on supervision measures provides for the measures to have effect for a specified period, the court must,                     before the expiry of that period, inform the competent authority of the executing State—                  

(a)as to whether the court expects the monitoring of the supervision measures to be necessary for a further period, and                  

(b)if so, of the expected length of that period.                  

(5) The court must inform the competent authority under paragraph (4)—

(a)following a request from that authority, or                  

(b)if no such request is made, on the initiative of the court.                  

(6) If the competent authority of the executing State requests information from the court as to whether monitoring of the supervision                     measures is still necessary in the circumstances of the case, the court must respond without delay.                  

(7) If—

(a)the law of the executing State requires periodic confirmation of the need to prolong the monitoring of the supervision measures,                        and                  

(b)the competent authority of the executing State requests that confirmation from the court and sets a reasonable time limit                        for the request to be complied with,                  

the court must respond within that time limit.

##### Request to extend maximum period for which measures may be monitoredE+W

82.—(1) This regulation applies in relation to any time when a court which has made a decision on supervision measures—                  

(a)has ceased under regulation 79 to be responsible for monitoring the supervision measures, and                  

(b)has not yet become responsible under regulation 83 for monitoring them again.                  

(2) The court may make a request under this regulation if—

(a)under the law of the executing State, there is a maximum period during which the supervision measures may be monitored,                  

(b)the period is due to expire, and                  

(c)the court considers that the supervision measures are still needed.                  

(3) A request under this regulation is a request to the competent authority of the executing State for the period to be extended.

(4) The request must specify the period for which an extension is likely to be needed.

##### Court becoming responsible again for monitoring measuresE+W

83.—(1) A court which—                  

(a)has made a decision on supervision measures, and                  

(b)has ceased under regulation 79 to be responsible for monitoring the supervision measures,                  

becomes responsible for monitoring them again in any of the following cases.

(2) The first case is where the person subject to the decision on supervision measures becomes lawfully and ordinarily resident                     in a State other than the executing State.                  

(3) The second case is where the competent authority of the executing State notifies the court, in accordance with Article 20(2)(c)                     of the Framework Decision (information from the executing State), that it is not possible, in practice, to monitor the supervision                     measures.                  

(4) The third case is where the competent authority of the executing State informs the court that it has decided, in accordance                     with Article 23 of the Framework Decision (unanswered notices), to stop monitoring the supervision measures.                  

(5) The fourth case is where—

(a)the court takes a decision modifying the supervision measures, and                  

(b)the competent authority of the executing State informs the court that it has decided, in accordance with Article 18(4)(b)                        of the Framework Decision (competence to take all subsequent decisions and governing law), to refuse to monitor the modified                        supervision measures.                  

(6) The fifth case is where the court—

(a)withdraws the certificate requesting monitoring under the Framework Decision (whether in accordance with regulation 80 or                        otherwise), and                  

(b)informs the competent authority of the executing State of its withdrawal.                  

(7) The sixth case is where the court—

(a)withdraws the decision on supervision measures, and                  

(b)informs the competent authority of the executing State of its withdrawal.                  

(8) The seventh case is where—

(a)under the law of the executing State, there is a maximum period during which the supervision measures may be monitored, and                  

(b)that period expires.                  

(9) The court must consult the competent authority of the executing State with a view to avoiding as far as possible any interruption                     in the monitoring of the supervision measures as a result of this regulation.                  

##### Consultation and exchange of informationE+W

84.—(1) A court which is considering making a request under regulation 77 for a competent authority of a member State other than the                     United Kingdom to monitor supervision measures under the Framework Decision must, unless impracticable, consult the competent                     authority—                  

(a)while preparing the documents mentioned in paragraph (3) of that regulation, or                  

(b)at the latest, before giving those documents to the competent authority or to the central authority of that State.                  

(2) A court which has made a request under regulation 77 for the competent authority of the executing State to monitor supervision                     measures under the Framework Decision must, unless impracticable, consult the competent authority—                  

(a)at such times as it considers necessary, with a view to facilitating the smooth and efficient monitoring of the supervision                        measures;                  

(b)if the competent authority notifies it, in accordance with Article 19(3) of the Framework Decision (obligations of the authorities                        involved), of a serious breach of those measures.                  

(3) In consulting under this regulation, the court must co-operate with the competent authority with a view to the exchange of                     any useful information, including—                  

(a)information for verifying the identity and place of residence of the person concerned, and                  

(b)relevant information taken from the person's criminal records in accordance with applicable legislation including Part 6 of                        these Regulations.                  

(4) The court must take due account of any indications communicated by the competent authority as to the risk the person may pose                     to victims and the general public.                  

#### Recognition of supervision measures: requests from other member StatesE+W

##### Requests from other member States for monitoring supervision measuresE+W

85.—(1) This regulation applies if a competent authority of a member State other than the United Kingdom (“the issuing State”)—                  

(a)makes a decision on supervision measures, and                  

(b)makes a request for monitoring of supervision measures under the Framework Decision.                  

(2) The competent authority makes a “request for monitoring of supervision measures under the Framework Decision” if it or the                     central authority of the issuing State gives the central authority for England and Wales—                  

(a)the decision on supervision measures or a certified copy of it,                  

(b)a certificate requesting monitoring under the Framework Decision, and                  

(c)if the certificate is not in English, a copy of the certificate translated into English.                  

(3) The central authority for England and Wales must give those documents to a magistrates' court.

(4) The magistrates' court must decide whether it is satisfied that any of the grounds for refusal in Schedule 6 apply.

(5) If the magistrates' court decides that none of the grounds for refusal applies, it must notify the competent authority without                     delay that it has decided to recognise the decision on supervision measures and, accordingly, to take the measures necessary                     for securing that the supervision measures are monitored.                  

(6) If the magistrates' court decides that the only ground for refusal which applies is that mentioned in paragraph 8 of Schedule                     6, it may inform the competent authority that—                  

(a)it could refuse to monitor the supervision measures on the ground mentioned in Article 15(1)(h) of the Framework Decision                        (giving reasons for the possible refusal), but                  

(b)it is nevertheless willing to monitor them.                  

(7) If—

(a)the magistrates' court informs the competent authority under paragraph (6), and                  

(b)the competent authority does not inform the magistrates' court that it has withdrawn the certificate requesting monitoring                        under the Framework Decision in accordance with Article 15(3) of that Decision,                  

the magistrates' court must notify the competent authority without delay that it has decided to recognise the decision on                     supervision measures and, accordingly, to take the measures necessary for securing that the supervision measures are monitored.                  

(8) If the magistrates' court decides that one or more of the grounds for refusal applies and does not inform the competent authority                     under paragraph (6), it must notify the competent authority without delay—                  

(a)that it has decided not to recognise the decision on supervision measures and, accordingly, not to assume responsibility for                        monitoring the supervision measures, and                  

(b)of the reasons for its decision.                  

(9) The magistrates' court must notify the competent authority without delay if, at any time after receiving the documents mentioned                     in paragraph (2) and before making a notification under paragraph (5), (7) or (8), it becomes aware of any change of residence                     of the person subject to the decision on supervision measures.                  

(10) In this regulation, regulations 86 to 94 and Schedule 6 (so far as relating to England and Wales), “decision on supervision                     measures” and “supervision measures” have the meanings given by Article 4 of the Framework Decision (definitions).                  

(11) In regulations 86 to 94 and Schedule 6 (so far as relating to England and Wales)—

“the competent authority of the issuing State”, in relation to a request for monitoring of supervision measures under the Framework Decision, means the competent authority                     which makes the request;                  

“the issuing State”, in relation to a request for monitoring of supervision measures under the Framework Decision, means the member State of                     the competent authority which makes the request;                  

“request for monitoring of supervision measures under the Framework Decision” is to be read in accordance with this regulation.                  

##### Procedural requirements relating to decision under regulation 85(4)E+W

86.—(1) A magistrates' court must take a decision under regulation 85(4) as soon as possible and, in any event—                  

(a)within 20 working days of the day on which the central authority for England and Wales receives the documents mentioned in                        regulation 85(2), or                  

(b)if legal proceedings in relation to the decision on supervision measures are brought before the end of that period, within                        40 working days of that day.                  

(2) If, in exceptional circumstances, it is not possible to comply with that time limit, the magistrates' court must immediately                     inform the competent authority of the issuing state of—                  

(a)that fact,                  

(b)the reasons for the delay, and                  

(c)the time by which it expects the decision to be taken.                  

(3) If the magistrates' court is of the view that one or more of the grounds for refusal mentioned in paragraphs 1 to 4 of Schedule                     6 may apply, it must, before taking a decision under regulation 85(4)—                  

(a)inform the competent authority,                  

(b)request the competent authority to supply without delay any further information required, and                  

(c)in the case of the ground for refusal mentioned in paragraph 1 of Schedule 6, specify a reasonable period within which the                        certificate must be completed or corrected.                  

(4) Where the magistrates' court specifies under paragraph (3)(c) a period within which the certificate must be completed or corrected,                     the decision must be taken—                  

(a)if a completed or corrected certificate is received by the magistrates' court within the specified period, as soon as reasonably                        practicable after its receipt;                  

(b)otherwise, as soon as reasonably practicable after the specified period ends.                  

(5) In this regulation “working day” means a day other than—                  

(a)a Saturday or Sunday,                  

(b)Christmas Day or Good Friday, or                  

(c)a day which is a bank holiday under the Banking and Financial Dealings Act 1971 in England and Wales.                  

##### Adaptation of supervision measuresE+W

87.—(1) This regulation applies if a magistrates' court, when making a decision under regulation 85(4) in relation to a decision on                     supervision measures, considers that—                  

(a)none of the grounds for refusal apply, but                  

(b)one or more of the supervision measures is not compatible with the law of England and Wales.                  

(2) The magistrates' court must take a decision adapting the supervision measures to bring them into line with the kind of supervision                     measures that are available under the law of England and Wales in relation to alleged offences corresponding to the alleged                     offences to which the decision on supervision measures relates.                  

(3) For this purpose, the adapted measures—

(a)must correspond as far as possible to the original measures, but                  

(b)must not be more severe than the original measures.                  

(4) The magistrates' court must, in its notification under regulation 85(5) or (7), notify the competent authority of the issuing                     State of the decision adapting the supervision measures.                  

(5) Where a decision to adapt supervision measures is taken under this regulation, references in regulations 88 to 94 to monitoring                     or breach of supervision measures are to be read as references to monitoring or breach of the adapted measures.                  

##### Recognition of decision on supervision measuresE+W

88.—(1) If a magistrates' court notifies the competent authority of the issuing State under regulation 85(5) or (7) that it has decided                     to recognise the decision on supervision measures—                  

(a)it becomes responsible for monitoring the supervision measures, and                  

(b)it must without delay take the measures it considers necessary for securing that the supervision measures are monitored.                  

(2) But the magistrates' court must notify the competent authority without delay if it is not possible, in practice, to monitor                     the supervision measures because the person subject to the decision on supervision measures cannot be found in England and                     Wales.                  

(3) The law of England and Wales which applies in relation to the monitoring of requirements imposed on a person as a condition                     of bail also applies, with any necessary modifications, in relation to the monitoring of the supervision measures by virtue                     of paragraph (1).                  

(4) In particular—

(a)a magistrates' court may, if it considers it necessary to do so for the purpose of any supervision measure, impose electronic                        monitoring requirements on a person,                  

(b)sections 3AA F53, 3AB(1) and (3) F54 and 3AC(1) F55 of the Bail Act 1976 apply to electronic monitoring requirements relating to supervision measures, and                  

(c)section 3AC(2) of that Act, and orders and rules under section 3AC(2) and (3) of that Act, apply to electronic monitoring                        relating to supervision measures.                  

F53Section 3AA was inserted by the Criminal Justice and Police Act 2001 (c. 16), **section 131(2)** and subsequently amended by the Criminal Justice and Immigration Act 2008, Schedule 11 paragraphs 1, 3 and 4.

F54Section 3AB was inserted by the Criminal Justice and Immigration Act 2008, Schedule 11 paragraphs 1 and 4.

F55Section 3AC was inserted by the Criminal Justice and Immigration Act 2008, Schedule 11 paragraphs 1 and 4.

##### Duties of court responsible for monitoring supervision measuresE+W

89.—(1) This regulation applies in relation to any time when a magistrates' court which has decided to recognise a decision on supervision                     measures—                  

(a)has become responsible under regulation 88 for monitoring the supervision measures, and                  

(b)has not yet ceased under regulation 93 to be responsible for monitoring them.                  

(2) The magistrates' court must immediately notify the competent authority of the issuing State, using the form set out in Annex II                     to the Framework Decision, if it becomes aware of—                  

(a)a breach of the supervision measures, or                  

(b)any other finding which could result in the competent authority taking a subsequent decision in relation to the decision on                        supervision measures, as mentioned in Article 18(1) of the Framework Decision (competence to take all subsequent decisions                        and governing law).                  

(3) The magistrates' court must notify the competent authority of the issuing State without delay if—

(a)legal proceedings are brought in relation to the decision to recognise the decision on supervision measures, or                  

(b)it becomes aware of any change of residence of the person subject to the decision on supervision measures.                  

##### Power to stop monitoring where no response to notification of breachE+W

90.—(1) This regulation applies if—                  

(a)a magistrates' court makes several notifications to the competent authority of the issuing State under regulation 89(2) in                        relation to a particular breach or other finding, and                  

(b)the competent authority does not take a supervening decision in response to the breach or other finding.                  

(2) The magistrates' court may—

(a)make a further notification in relation to the breach or other finding,                  

(b)invite the competent authority to take a supervening decision in response to the breach or other finding, and                  

(c)give the competent authority a reasonable period in which to do so.                  

(3) If the competent authority does not take a supervening decision within that period, the magistrates' court may decide to stop                     monitoring the supervision measures.                  

(4) If the magistrates' court decides to stop monitoring the supervision measures under this regulation, it must inform the competent                     authority of its decision.                  

(5) In this regulation a “supervening decision” means a subsequent decision in relation to a decision on supervision measures, as mentioned in Article 18(1) of the Framework                     Decision (competence to take all subsequent decisions and governing law).                  

##### Power of arrest where magistrates' court responsible for monitoring supervision measuresE+W

91.—(1) Paragraph (2) applies in relation to any time when a magistrates' court which has decided to recognise a decision on supervision                     measures—                  

(a)has become responsible under regulation 88 for monitoring the supervision measures, and                  

(b)has not yet ceased under regulation 93 to be responsible for monitoring them.                  

(2) The person subject to the decision on supervision measures may be arrested without warrant by a constable if—

(a)the constable has reasonable grounds for believing that the person is likely to breach any of the supervision measures or                        has reasonable grounds for suspecting that the person has breached any of those measures, and                  

(b)the constable considers the arrest necessary for the protection of victims or the general public or for the safeguarding of                        internal security.                  

(3) A person arrested under paragraph (2) must be brought before a magistrates' court—

(a)as soon as possible, and                  

(b)in any event, within 24 hours after the person's arrest (not counting Sundays, Christmas Day, or Good Friday).                  

(4) The magistrates' court may require the person to be detained if it is of the opinion that—

(a)the person has breached or is likely to breach any of the supervision measures, and                  

(b)the detention is necessary for the protection of victims or the general public or for the safeguarding of internal security.                  

(5) A magistrates' court must give its reasons for requiring a person to be detained under paragraph (4).

(6) If the magistrates' court does not require the person to be detained, the person must be released.

(7) A person's detention under paragraph (4) must be brought to an end if—

(a)having been notified under regulation 89(2) of the matter that resulted in the person's detention, the competent authority                        of the issuing State informs the magistrates' court that it has taken a subsequent decision in relation to the decision on                        supervision measures, as mentioned in Article 18(1) of the Framework Decision, or                  

(b)the magistrates' court ceases under regulation 93 to be responsible for monitoring the supervision measures.                  

(8) A person may not be detained under paragraph (4) for more than 28 days or, in the case of a person under the age of 18, 21                     days beginning with the day of the person's first appearance before the court under paragraph (3).                  

(9) Section 128 of the Magistrates' Courts Act 1980 F56 applies in relation to a magistrates' court's power to require a person to be detained under paragraph (4) as if—                  

(a)in subsections (1A), (3A), (3C) and (3E) references to adjournment of a case under section 10(1), 17C, 18(4) or 24C of that                        Act were to adjournment pending a decision by the [F57competent authority of the] issuing State referred to in paragraph (7)(a) above;                  

(b)the following provisions were omitted—                  
          -  in subsection (1), paragraphs (b) and (c) and the words following paragraph (c); 
          -  subsection (2); 
          -  subsections (4) and (5). 

(10) In the case of a person under the age of 18, the court's power to require the person to be detained under paragraph (4) is                     subject to section 91 of the Legal Aid, Sentencing and Punishment of Offenders Act 2012 F58 (and that section and the remainder of Chapter 3 of Part 3 of that Act, so far as relating to that section, are to apply                     as if the person had been remanded in connection with extradition proceedings).                  

(11) Nothing in this regulation affects any other power of arrest conferred on a constable.

F561980 c. 43. Section 128 was amended by the Criminal Justice Act 1982 (c. 48), Schedule 9 paragraphs 2, **3** and 4; the Police and Criminal Evidence Act 1984 (c. 60), **section 48**; the Criminal Justice Act 1988 (c. 33), **Schedule 15 paragraph 69**; the Courts and Legal Services Act 1990 (c. 41), **Schedule 18 paragraph 25**; the Criminal Procedure and Investigations Act 1996 (c. 25), **sections 49** and 52 and Schedule 5; the Powers of Criminal Courts (Sentencing) Act 2000 (c. 6), **section 168**; the Criminal Justice Act 2003 (c. 44), **Schedule 3 paragraph 51(7)** and Schedule 37 Part 4.

F57Words in reg. 91(9)(a) inserted (3.12.2014) by The Criminal Justice and Data Protection (Protocol No. 36) (Amendment) Regulations 2014 (S.I. 2014/3191), regs. 1(b), **2(10)**

F582012 c. 10.

##### Renewal or modification of supervision measures which are being monitoredE+W

92.—(1) This regulation applies in relation to any time when a magistrates' court which has decided to recognise a decision on supervision                     measures—                  

(a)has become responsible under regulation 88 for monitoring the supervision measures, and                  

(b)has not yet ceased under regulation 93 to be responsible for monitoring them.                  

(2) If the competent authority of the issuing State informs the magistrates' court that it has taken a decision renewing the decision                     on supervision measures, or modifying the supervision measures—                  

(a)that decision does not (subject as follows) affect the court's responsibility for monitoring the renewed or modified supervision                        measures, and                  

(b)references in regulations 88 to 94 to monitoring or breach of the supervision measures are to be read as references to monitoring                        or breach of the renewed or modified measures.                  

(3) If the magistrates' court had adapted the supervision measures under regulation 87 and the decision renews the measures—

(a)the adaptations apply to the renewed decision as they applied to the original decision, and                  

(b)regulation 87(5) applies accordingly.                  

(4) If the decision modifies the supervision measures and the magistrates' court considers that the modified supervision measures                     include measures other than those of a kind mentioned in Article 8(1) of the Framework Decision, the magistrates' court must—                  

(a)decide to refuse to monitor the modified supervision measures, and                  

(b)inform the competent authority of that decision.                  

(5) If the decision modifies the supervision measures and the magistrates' court—

(a)does not decide to refuse to monitor the modified supervision measures, but                  

(b)considers that one or more of those measures is not compatible with the law of England and Wales,                  

regulation 87(2) to (5) applies in relation to those measures.

##### Court ceasing to be responsible for monitoring measuresE+W

93.—(1) A magistrates' court which—                  

(a)has decided to recognise a decision on supervision measures, and                  

(b)has become responsible under regulation 88 for monitoring the supervision measures,                  

ceases to be responsible for monitoring them in any of the following cases.

(2) The first case is where the person subject to the decision on supervision measures becomes lawfully and ordinarily resident                     in a State other than the United Kingdom.                  

(3) The second case is where the magistrates' court notifies the competent authority of the issuing State under regulation 88(2)                     that it is not possible, in practice, to monitor the supervision measures.                  

(4) The third case is where the magistrates' court informs the competent authority of the issuing State that it has decided, in                     accordance with regulation 90, to stop monitoring the supervision measures.                  

(5) The fourth case is where—

(a)the supervision measures have been modified, and                  

(b)the magistrates' court informs the competent authority of the issuing State that it has decided, in accordance with regulation                        92(4), to refuse to monitor the modified supervision measures.                  

(6) The fifth case is where the competent authority of the issuing State, within the period of 10 days after the day on which                     the magistrates' court gives notification to the competent authority under regulation 85(5) or (7) (recognition of supervision                     measures)—                  

(a)withdraws, subject to paragraph (7), the certificate requesting monitoring under the Framework Decision (whether in response                        to a decision under regulation 87 adapting the supervision measures or otherwise), and                  

(b)informs the magistrates' court of its withdrawal.                  

(7) For the fifth case to apply, where the decision to withdraw the certificate referred to in paragraph (6)(a) is because the                     competent authority of the issuing State has been informed of —                  

(a)a decision to adapt under regulation 87, or                  

(b)a maximum period during which the supervision measures may be monitored,                  

the decision to withdraw the certificate must also be made before monitoring starts.

(8) The sixth case is where the competent authority of the issuing State—

(a)withdraws the decision on supervision measures, and                  

(b)informs the magistrates' court of its withdrawal.                  

(9) The magistrates' court must consult the competent authority with a view to avoiding as far as possible any interruption in                     the monitoring of the supervision measures as a result of this regulation.                  

(10) The magistrates' court may at any time ask the competent authority for information as to whether monitoring of the supervision                     measures is still necessary.                  

##### Consultation and exchange of informationE+W

94.—(1) If a competent authority of a member State other than the United Kingdom consults the central authority for England and Wales                     about a request for monitoring of supervision measures under the Framework Decision which it is considering making, a magistrates'                     court specified by the central authority must, unless impracticable, co-operate in that consultation.                  

(2) Where a competent authority has made a request for monitoring of supervision measures under the Framework Decision, the magistrates'                     court to which the documents mentioned in regulation 85(2) were given must, unless impracticable, consult the competent authority—                  

(a)at such times as it considers necessary, with a view to facilitating the smooth and efficient monitoring of the supervision                        measures;                  

(b)if it notifies the competent authority under regulation 89(2) of a serious breach of those measures.                  

(3) In consulting or co-operating in consultation under this regulation, the magistrates' court must co-operate with the competent                     authority with a view to the exchange of any useful information, including—                  

(a)information for verifying the identity and place of residence of the person concerned, and                  

(b)relevant information taken from the person's criminal records in accordance with applicable legislation including Part 6 of                        these Regulations.                  

### CHAPTER 3N.I.European supervision orders: Northern Ireland

#### InterpretationN.I.

95.  In this Chapter—                  

“central authority”, in relation to a member State other than the United Kingdom, means an authority designated by the State as a central authority                     for the purposes of the Framework Decision;                  

“the central authority for Northern Ireland” means the Department of Justice in Northern Ireland;                  

“certificate requesting monitoring under the Framework Decision” means the certificate required by Article 10 of the Framework Decision;                  

“competent authority”, in relation to a member State, means an authority designated by the State as a competent authority for the purposes of                     the Framework Decision;                  

“court” means a magistrates' court, a county court, the Crown Court, the High Court or the Court of Appeal; and references to a                     court include a judge of such a court and a judge having powers to act in connection with proceedings before such a court;                  

“the Framework Decision” means Council Framework Decision 2009/829/JHA of 23rd October 2009 on the application, between member States of the European                     Union, of the principle of mutual recognition to decisions on supervision measures as an alternative to provisional detention                     F59;                  

“notify” means notify in writing (and “notification” is to be read accordingly).                  

F59OJ No. L 294, 11.11.2009, p. 20.

#### Recognition of supervision measures: requests to other member StatesN.I.

##### Requests to other member States for monitoring supervision measuresN.I.

96.—(1) A court which makes a decision on supervision measures may request a competent authority of a member State other than the                     United Kingdom (“the executing State”) to monitor the supervision measures under the Framework Decision where—                  

(a)the measures are suitable for monitoring in the executing State, and                  

(b)the executing State is one to which the request may be made.                  

(2) To make the request, the court must—

(a)issue a certificate requesting monitoring under the Framework Decision in respect of the decision on supervision measures,                        and                  

(b)give the following documents to the competent authority or to the central authority of the executing State.                  

(3) The documents are—

(a)the decision on supervision measures or a certified copy of it,                  

(b)the certificate, and                  

(c)a copy of the certificate translated into the official language, or one of the official languages, of the executing State.                  

(4) But paragraph (3)(c) does not apply if—

(a)English is an official language of the executing State, or                  

(b)the executing State has declared under Article 24 of the Framework Decision that it will accept a certificate translated into                        English.                  

(5) A court makes a “decision on supervision measures” if—

(a)it grants bail under the law for the time being in force to a person who is charged with an offence, and                  

(b)requirements are imposed on the person as a condition of bail (as to which, see regulation 97).                  

(6) “Supervision measures” means the requirements imposed on the person as a condition of bail.                  

(7) A supervision measure is “suitable for monitoring in the executing State” if it constitutes—

(a)a supervision measure of a kind mentioned in Article 8(1) of the Framework Decision (types of supervision measures), or                  

(b)a supervision measure of a kind which the executing State has given notice, under Article 8(2) of that Decision, that it is                        prepared to monitor.                  

(8) The executing State is “one to which the request may be made” if—

(a)the person is lawfully and ordinarily resident in the executing State and consents to return to that State with a view to                        the supervision measures being monitored there under the Framework Decision, or                  

(b)the person is not lawfully and ordinarily resident in the executing State but—                  

(i)the person asks for the request to be made to a competent authority of the executing State, and                  

(ii)the competent authority consents to the making of the request.                  

(9) In regulations 97 to 103—

“the competent authority of the executing State”, in relation to a request under this regulation, means the competent authority to which the request is made;                  

“decision on supervision measures” and “supervision measures” are to be read in accordance with this regulation;

“the executing State”, in relation to a request under this regulation, means the member State of the competent authority to which the request                     is made.                  

##### Requirements that may be imposed in connection with a requestN.I.

97.—(1) This regulation applies where a court is considering making a request under regulation 96 for a competent authority of a member                     State other than the United Kingdom to monitor supervision measures under the Framework Decision in relation to the grant                     of bail to a person who is charged with an offence.                  

(2) The requirements that may be imposed on the person as a condition of bail include requirements which can only be complied                     with in the other State.                  

(3) Where the court is considering imposing requirements on the person which would involve electronic monitoring of the person                     in a particular area in the other State, article 40 of the Criminal Justice (Northern Ireland) Order 2008 F60 (electronic monitoring requirement) has effect as if in paragraph (3), the words from “and a person” to the end were omitted.                  

F60S.I. 2008/1216 (N.I. 1).

##### Recognition of requestN.I.

98.—(1) A court which has made a decision on supervision measures ceases to be responsible for monitoring the supervision measures                     if—                  

(a)the court makes a request under regulation 96 for the competent authority of the executing State to monitor those measures                        under the Framework Decision, and                  

(b)the competent authority notifies the court that it has decided to recognise the decision on supervision measures under the                        Framework Decision.                  

(2) The fact that the court has ceased to be responsible for monitoring the supervision measures does not affect the court's jurisdiction                     to take subsequent decisions in relation to the decision on supervision measures, including decisions about—                  

(a)renewal, review or withdrawal of the decision on supervision measures,                  

(b)modification of the supervision measures, and                  

(c)the issue of a warrant for the arrest of the person subject to the decision.                  

(3) Where the person subject to the decision on supervision measures is in the executing State, the court may permit the person                     to attend through a live link any hearing as to whether or not to take a subsequent decision in relation to the decision.                  

(4) The person is to be treated as present in court when attending a hearing through a live link by virtue of paragraph (3).

(5) “Live link” means an arrangement by which a person (when not in the place where a hearing is being held) is able—                  

(a)to see and hear the court during the hearing, and                  

(b)to be seen and heard by the court during the hearing;                  

(and for this purpose any impairment of eyesight or hearing is to be disregarded).

(6) Where a subsequent decision relating to a person is a decision to withhold bail, the court making the decision must require                     the person to surrender to custody in Northern Ireland at a time appointed by the court.                  

(7) The fact that the court has ceased to be responsible for monitoring the supervision measures does not affect any power conferred                     on a constable by the Criminal Justice (Northern Ireland) Order 2003 F61 or the Prison Act (Northern Ireland) 1953 F62 to arrest without warrant the person subject to the decision on supervision measures.                  

(8) Where the court has ceased to be responsible for monitoring the supervision measures, the Extradition Act 2003 has effect                     in relation to the person subject to the decision on supervision measures as if the provisions listed in section 142(8A) of                     that Act included article 6 of the Criminal Justice (Northern Ireland) Order 2003 (even if the court subsequently becomes                     responsible for monitoring the supervision measures again).                  

F61S.I. 2003/1247 (N.I. 13).

F621953 c.18 (N.I.).

##### Power to withdraw certificateN.I.

99.—(1) A court which has made a request under regulation 96 for the competent authority of the executing State to monitor supervision                     measures under the Framework Decision must consider whether to withdraw the certificate requesting monitoring under that Decision                     if the competent authority informs the court that—                  

(a)the competent authority could refuse to monitor the supervision measures on the ground mentioned in Article 15(1)(h) of that                        Decision (grounds for non-recognition) but is nevertheless willing to monitor them,                  

(b)the competent authority has taken a decision, in accordance with Article 13 (adaptation of supervision measures) of that Decision,                        adapting the supervision measures, or                  

(c)there is a maximum period during which, under the law of the executing State, the supervision measures may be monitored.                  

(2) But a decision to withdraw the certificate under paragraph (1)(b) or (c) may be made only if monitoring of the supervision                     measures in the executing State has not yet started.                  

(3) If the court withdraws the certificate under this regulation, it must inform the competent authority.

(4) A decision to withdraw the certificate under this regulation must be taken, and the competent authority must be informed under                     paragraph (3), no later than 10 days after the day on which the competent authority informs the court as mentioned in paragraph                     (1).                  

(5) This regulation applies where a court informs the competent authority of the executing State under regulation 100(2)(b) that                     it has renewed a decision on supervision measures, or modified supervision measures, as it applies where the court makes a                     request under regulation 96 in relation to the original decision on supervision measures.                  

##### Duties where measures being monitored by executing StateN.I.

100.—(1) This regulation applies in relation to any time when a court which has made a decision on supervision measures—                  

(a)has ceased under regulation 98 to be responsible for monitoring the supervision measures, and                  

(b)has not yet become responsible under regulation 102 for monitoring them again.                  

(2) The court must immediately inform the competent authority of the executing State if—

(a)legal proceedings are brought in relation to the decision on supervision measures, or                  

(b)the court takes a subsequent decision in relation to the decision on supervision measures, as mentioned in regulation 98(2)                        (a “supervening decision”).                  

(3) The court must consider whether to take a supervening decision if the competent authority of the executing State notifies                     the court, using the form set out in Annex II to the Framework Decision, of—                  

(a)a breach of the supervision measures, or                  

(b)any other finding which could result in the court taking a supervening decision.                  

(4) Where the decision on supervision measures provides for the measures to have effect for a specified period, the court must,                     before the expiry of that period, inform the competent authority of the executing State—                  

(a)as to whether the court expects the monitoring of the supervision measures to be necessary for a further period, and                  

(b)if so, of the expected length of that period.                  

(5) The court must inform the competent authority under paragraph (4)—

(a)following a request from that authority, or                  

(b)if no such request is made, on the initiative of the court.                  

(6) If the competent authority of the executing State requests information from the court as to whether monitoring of the supervision                     measures is still necessary in the circumstances of the case, the court must respond without delay.                  

(7) If—

(a)the law of the executing State requires periodic confirmation of the need to prolong the monitoring of the supervision measures,                        and                  

(b)the competent authority of the executing State requests that confirmation from the court and sets a reasonable time limit                        for the request to be complied with,                  

the court must respond within that time limit.

##### Request to extend maximum period for which measures may be monitoredN.I.

101.—(1) This regulation applies in relation to any time when a court which has made a decision on supervision measures—                  

(a)has ceased under regulation 98 to be responsible for monitoring the supervision measures, and                  

(b)has not yet become responsible under regulation 102 for monitoring them again.                  

(2) The court may make a request under this regulation if—

(a)under the law of the executing State, there is a maximum period during which the supervision measures may be monitored,                  

(b)the period is due to expire, and                  

(c)the court considers that the supervision measures are still needed.                  

(3) A request under this regulation is a request to the competent authority of the executing State for the period to be extended.

(4) The request must specify the period for which an extension is likely to be needed.

##### Court becoming responsible again for monitoring measuresN.I.

102.—(1) A court which—                  

(a)has made a decision on supervision measures, and                  

(b)has ceased under regulation 98 to be responsible for monitoring the supervision measures,                  

becomes responsible for monitoring them again in any of the following cases.

(2) The first case is where the person subject to the decision on supervision measures becomes lawfully and ordinarily resident                     in a State other than the executing State.                  

(3) The second case is where the competent authority of the executing State notifies the court, in accordance with Article 20(2)(c)                     of the Framework Decision (information from the executing State), that it is not possible, in practice, to monitor the supervision                     measures.                  

(4) The third case is where the competent authority of the executing State informs the court that it has decided, in accordance                     with Article 23 of the Framework Decision (unanswered notices), to stop monitoring the supervision measures.                  

(5) The fourth case is where—

(a)the court takes a decision modifying the supervision measures, and                  

(b)the competent authority of the executing State informs the court that it has decided, in accordance with Article 18(4)(b)                        of the Framework Decision (competence to take all subsequent decisions and governing law), to refuse to monitor the modified                        supervision measures.                  

(6) The fifth case is where the court—

(a)withdraws the certificate requesting monitoring under the Framework Decision (whether in accordance with regulation 99 or                        otherwise), and                  

(b)informs the competent authority of the executing State of its withdrawal.                  

(7) The sixth case is where the court—

(a)has withdrawn the decision on supervision measures, and                  

(b)informs the competent authority of the executing State of its withdrawal.                  

(8) The seventh case is where—

(a)under the law of the executing State, there is a maximum period during which the supervision measures may be monitored, and                  

(b)that period expires.                  

(9) The court must consult the competent authority of the executing State with a view to avoiding as far as possible any interruption                     in the monitoring of the supervision measures as a result of this regulation.                  

##### Consultation and exchange of informationN.I.

103.—(1) A court which is considering making a request under regulation 96 for a competent authority of a member State other than the                     United Kingdom to monitor supervision measures under the Framework Decision must, unless impracticable, consult the competent                     authority—                  

(a)while preparing the documents mentioned in paragraph (3) of that regulation, or                  

(b)at the latest, before giving those documents to the competent authority or to the central authority of that State.                  

(2) A court which has made a request under regulation 96 for the competent authority of the executing State to monitor supervision                     measures under the Framework Decision must, unless impracticable, consult the competent authority—                  

(a)at such times as it considers necessary, with a view to facilitating the smooth and efficient monitoring of the supervision                        measures;                  

(b)if the competent authority notifies it, in accordance with Article 19(3) of the Framework Decision (obligations of the authorities                        involved), of a serious breach of those measures.                  

(3) In consulting under this regulation, the court must co-operate with the competent authority with a view to the exchange of                     any useful information, including—                  

(a)information for verifying the identity and place of residence of the person concerned, and                  

(b)relevant information taken from the person's criminal records in accordance with applicable legislation including Part 6 of                        these Regulations.                  

(4) The court must take due account of any indications communicated by the competent authority as to the risk the person may pose                     to victims and the general public.                  

#### Recognition of supervision measures: requests from other member StatesN.I.

##### Requests from other member States for monitoring supervision measuresN.I.

104.—(1) This regulation applies if a competent authority of a member State other than the United Kingdom (“the issuing State”)—                  

(a)makes a decision on supervision measures, and                  

(b)makes a request for monitoring of supervision measures under the Framework Decision.                  

(2) The competent authority makes a “request for monitoring of supervision measures under the Framework Decision” if it or the                     central authority of the issuing State gives the central authority for Northern Ireland—                  

(a)the decision on supervision measures or a certified copy of it,                  

(b)a certificate requesting monitoring under the Framework Decision, and                  

(c)if the certificate is not in English, a copy of the certificate translated into English.                  

(3) The central authority for Northern Ireland must give those documents to a magistrates' court acting for the petty sessions                     district in which it appears that the person subject to the supervision measures is normally resident.                  

(4) The magistrates' court must decide whether it is satisfied that any of the grounds for refusal in Schedule 6 apply.

(5) If the magistrates' court decides that none of the grounds for refusal applies, it must notify the competent authority without                     delay that it has decided to recognise the decision on supervision measures and, accordingly, to take the measures necessary                     for securing that the supervision measures are monitored.                  

(6) If the magistrates' court decides that the only ground for refusal which applies is that mentioned in paragraph 8 of Schedule                     6, it may inform the competent authority that—                  

(a)it could refuse to monitor the supervision measures on the ground mentioned in Article 15(1)(h) of the Framework Decision                        (giving reasons for the possible refusal), but                  

(b)it is nevertheless willing to monitor them.                  

(7) If—

(a)the magistrates' court informs the competent authority under paragraph (6), and                  

(b)the competent authority does not inform the magistrates' court that it has withdrawn the certificate requesting monitoring                        under the Framework Decision in accordance with Article 15(3) of that Decision,                  

the magistrates' court must notify the competent authority without delay that it has decided to recognise the decision on                     supervision measures and, accordingly, to take the measures necessary for securing that the supervision measures are monitored.                  

(8) If the magistrates' court decides that one or more of the grounds for refusal applies and does not inform the competent authority                     under paragraph (6), it must notify the competent authority without delay—                  

(a)that it has decided not to recognise the decision on supervision measures and, accordingly, not to assume responsibility for                        monitoring the supervision measures, and                  

(b)of the reasons for its decision.                  

(9) The magistrates' court must notify the competent authority without delay if, at any time after receiving the documents mentioned                     in paragraph (2) and before making a notification under paragraph (5), (7) or (8), it becomes aware of any change of residence                     of the person subject to the decision on supervision measures.                  

(10) In this regulation, regulations 105 to 113 and Schedule 6 “decision on supervision measures” and “supervision measures” have                     the meanings given by Article 4 of the Framework Decision (definitions).                  

(11) In regulations 105 to 113 and Schedule 6 (so far as relating to Northern Ireland)—

“the competent authority of the issuing State”, in relation to a request for monitoring of supervision measures under the Framework Decision, means the competent authority                     which makes the request;                  

“the issuing State”, in relation to a request for monitoring of supervision measures under the Framework Decision, means the member State of                     the competent authority which makes the request;                  

“request for monitoring of supervision measures under the Framework Decision” is to be read in accordance with this regulation.                  

##### Procedural requirements relating to decision under regulation 104(4)N.I.

105.—(1) A magistrates' court must take a decision under regulation 104(4) as soon as possible and, in any event—                  

(a)within 20 working days of the day on which the central authority for Northern Ireland receives the documents mentioned in                        regulation 104(2), or                  

(b)if legal proceedings in relation to the decision on supervision measures are brought before the end of that period, within                        40 working days of that day.                  

(2) If, in exceptional circumstances, it is not possible to comply with that time limit, the magistrates' court must immediately                     inform the competent authority of the issuing state of—                  

(a)that fact,                  

(b)the reasons for the delay, and                  

(c)the time by which it expects the decision to be taken.                  

(3) If the magistrates' court is of the view that one or more of the grounds for refusal mentioned in paragraphs 1 to 4 of Schedule                     6 may apply, it must, before taking a decision under regulation 104(4)—                  

(a)inform the competent authority,                  

(b)request the competent authority to supply without delay any further information required, and                  

(c)in the case of the ground for refusal mentioned in paragraph 1 of Schedule 6, specify a reasonable period within which the                        certificate must be completed or corrected.                  

(4) Where the magistrates' court specifies under paragraph (3)(c) a period within which the certificate must be completed or corrected,                     the decision must be taken—                  

(a)if a completed or corrected certificate is received by the magistrates' court within the specified period, as soon as reasonably                        practicable after its receipt;                  

(b)otherwise, as soon as reasonably practicable after the specified period ends.                  

(5) In this regulation “working day” means a day other than—                  

(a)a Saturday or Sunday,                  

(b)Christmas Day or Good Friday, or                  

(c)a day which is a bank holiday under the Banking and Financial Dealings Act 1971 in Northern Ireland.                  

##### Adaptation of supervision measuresN.I.

106.—(1) This regulation applies if a magistrates' court, when making a decision under regulation 104(4) in relation to a decision                     on supervision measures, considers that—                  

(a)none of the grounds for refusal apply, but                  

(b)one or more of the supervision measures is not compatible with the law of Northern Ireland.                  

(2) The magistrates' court must take a decision adapting the supervision measures to bring them into line with the kind of supervision                     measures that are available under the law of Northern Ireland in relation to alleged offences corresponding to the alleged                     offences to which the decision on supervision measures relates.                  

(3) For this purpose, the adapted measures—

(a)must correspond as far as possible to the original measures, but                  

(b)must not be more severe than the original measures.                  

(4) The magistrates' court must, in its notification under regulation 104(5) or (7), notify the competent authority of the issuing                     State without delay of the decision adapting the supervision measures.                  

(5) Where a decision to adapt supervision measures is taken under this regulation, references in regulations 107 to 113 to monitoring                     or breach of supervision measures are to be read as references to monitoring or breach of the adapted measures.                  

##### Effect of recognition of decision on supervision measuresN.I.

107.—(1) If a magistrates' court notifies the competent authority of the issuing State under regulation 104(5) or (7) that it has decided                     to recognise the decision on supervision measures—                  

(a)it becomes responsible for monitoring the supervision measures, and                  

(b)it must without delay take the measures it considers necessary for securing that the supervision measures are monitored.                  

(2) But the magistrates' court must notify the competent authority without delay if it is not possible, in practice, to monitor                     the supervision measures because the person subject to the decision on supervision measures cannot be found in Northern Ireland.                  

(3) The law of Northern Ireland which applies in relation to the monitoring of requirements imposed on a person as a condition                     of bail also applies, with any necessary modifications, in relation to the monitoring of the supervision measures by virtue                     of paragraph (1).                  

(4) In particular—

(a)a magistrates' court may, if it considers it necessary to do so for the purpose of any supervision measure, impose electronic                        monitoring requirements on a person,                  

(b)articles 40 to 43 of the 2008 Order apply to electronic monitoring requirements relating to supervision measures, and                  

(c)orders under article 40(3) of the 2008 Order, and rules under article 44 of the 2008 Order, apply to electronic monitoring                        relating to supervision measures.                  

(5) In this regulation—

(a)“electronic monitoring requirements” has the same meaning as in Part 2 of the 2008 Order, and                  

(b)“the 2008 Order” means the Criminal Justice (Northern Ireland) Order 2008.                  

##### Duties of court responsible for monitoring supervision measuresN.I.

108.—(1) This regulation applies in relation to any time when a magistrates' court which has decided to recognise a decision on supervision                     measures—                  

(a)has become responsible under regulation 107 for monitoring the supervision measures, and                  

(b)has not yet ceased under regulation 112 to be responsible for monitoring them.                  

(2) The magistrates' court must immediately notify the competent authority of the issuing State, using the form set out in Annex II                     to the Framework Decision, if it becomes aware of—                  

(a)a breach of the supervision measures, or                  

(b)any other finding which could result in the competent authority taking a subsequent decision in relation to the decision on                        supervision measures, as mentioned in Article 18(1) of the Framework Decision (competence to take all subsequent decisions                        and governing law).                  

(3) The magistrates' court must notify the competent authority of the issuing State without delay if—

(a)legal proceedings are brought in relation to the decision to recognise the decision on supervision measures, or                  

(b)it becomes aware of any change of residence of the person subject to the decision on supervision measures.                  

##### Power to stop monitoring where no response to notification of breachN.I.

109.—(1) This regulation applies if—                  

(a)a magistrates' court makes several notifications to the competent authority of the issuing State under regulation 108(2) in                        relation to a particular breach or other finding, and                  

(b)the competent authority does not take a supervening decision in response to the breach or other finding.                  

(2) The magistrates' court may—

(a)make a further notification in relation to the breach or other finding,                  

(b)invite the competent authority to take a supervening decision in response to the breach or other finding, and                  

(c)give the competent authority a reasonable period in which to do so.                  

(3) If the competent authority does not take a supervening decision within that period, the magistrates' court may decide to stop                     monitoring the supervision measures.                  

(4) If the magistrates' court decides to stop monitoring the supervision measures under this regulation, it must inform the competent                     authority of its decision.                  

(5) In this regulation a “supervening decision” means a subsequent decision in relation to a decision on supervision measures, as mentioned in Article 18(1) of the Framework                     Decision (competence to take all subsequent decisions and governing law).                  

##### Power of arrest where magistrates' court responsible for monitoring supervision measuresN.I.

110.—(1) Paragraph (2) applies in relation to any time when a magistrates' court which has decided to recognise a decision on supervision                     measures—                  

(a)has become responsible under regulation 107 for monitoring the supervision measures, and                  

(b)has not yet ceased under regulation 112 to be responsible for monitoring them.                  

(2) The person subject to the decision on supervision measures may be arrested without warrant by a constable if—

(a)the constable has reasonable grounds for believing that the person is likely to breach any of the supervision measures or                        has reasonable grounds for suspecting that the person has breached any of those measures, and                  

(b)the constable considers the arrest necessary for the protection of victims or the general public or for the safeguarding of                        internal security.                  

(3) A person arrested under paragraph (2) must be brought before a magistrates' court—

(a)as soon as possible, and                  

(b)in any event, within 24 hours after the person's arrest (not counting Sundays, Christmas Day or Good Friday).                  

(4) The magistrates' court may require the person to be detained if it is of the opinion that—

(a)the person has breached or is likely to breach any of the supervision measures, and                  

(b)the detention is necessary for the protection of victims or the general public or for the safeguarding of internal security.                  

(5) A magistrates' court must give its reasons for requiring a person to be detained under paragraph (4).

(6) If the magistrates' court does not require the person to be detained, the person must be released.

(7) A person's detention under paragraph (4) must be brought to an end if—

(a)having been notified under regulation 108(2) of the matter that resulted in the person's detention, the competent authority                        of the issuing State informs the magistrates' court that it has taken a subsequent decision in relation to the decision on                        supervision measures, as mentioned in Article 18(1) of the Framework Decision, or                  

(b)the magistrates' court ceases under regulation 112 to be responsible for monitoring the supervision measures.                  

(8) Article 47 of the Magistrates' Courts (Northern Ireland) Order 1981 F63 applies in relation to a magistrates' court's power to require a person to be detained under paragraph (4) as if—                  

(a)in paragraph (1) of that article, the reference to adjourning proceedings for an offence were to adjournment pending a decision                        by the [F64competent authority of the] issuing State referred to in paragraph (7)(a) above;                  

(b)the following provisions of that article were omitted—                  
          -  in paragraph (1), paragraph (b) and the words following it; 
          -  paragraph (4). 

(9) Article 49 of that Order (remand in case of illness or accident) applies in relation to a person required to be detained under                     paragraph (4).                  

(10) Articles 79 and 80 of the Criminal Justice (Northern Ireland) Order 2008 (live links) apply in relation to proceedings relating                     to a person who has been required to be detained under paragraph (4) as in relation to a “preliminary hearing” within the                     meaning of those articles.                  

(11) In the case of a person under the age of 18, the court's power to require the person to be detained under paragraph (4) is                     subject to articles 12 and 13 of the Criminal Justice (Children) (Northern Ireland) Order 1998 F65.                  

(12) Nothing in this regulation affects any other power of arrest conferred on a constable.

F63S.I. 1981/1675 (N.I. 26).

F64Words in reg. 110(8)(a) inserted (3.12.2014) by The Criminal Justice and Data Protection (Protocol No. 36) (Amendment) Regulations 2014 (S.I. 2014/3191), regs. 1(b), **2(10)**

F65S.I. 1998/1504 (N.I. 9).

##### Renewal or modification of supervision measures which are being monitoredN.I.

111.—(1) This regulation applies in relation to any time when a magistrates' court which has decided to recognise a decision on supervision                     measures—                  

(a)has become responsible under regulation 107 for monitoring the supervision measures, and                  

(b)has not yet ceased under regulation 112 to be responsible for monitoring them.                  

(2) If the competent authority of the issuing State informs the magistrates' court that it has taken a decision renewing the decision                     on supervision measures, or modifying the supervision measures—                  

(a)that decision does not (subject as follows) affect the court's responsibility for monitoring the renewed or modified supervision                        measures, and                  

(b)references in regulations 107 to 113 to monitoring or breach of the supervision measures are to be read as references to monitoring                        or breach of the renewed or modified measures.                  

(3) If the magistrates' court had adapted the supervision measures under regulation 106 and the decision renews the measures—

(a)the adaptations apply to the renewed decision as they applied to the original decision, and                  

(b)regulation 106(5) applies accordingly.                  

(4) If the decision modifies the supervision measures and the magistrates' court considers that the modified supervision measures                     include measures other than those of a kind mentioned in Article 8(1) of the Framework Decision, the magistrates' court must—                  

(a)decide to refuse to monitor the modified supervision measures, and                  

(b)inform the competent authority of that decision.                  

(5) If the decision modifies the supervision measures and the magistrates' court—

(a)does not decide to refuse to monitor the modified supervision measures, but                  

(b)considers that one or more of those measures is not compatible with the law of Northern Ireland,                  

regulation 106(2) to (5) applies in relation to those measures.

##### Court ceasing to be responsible for monitoring measuresN.I.

112.—(1) A magistrates' court which—                  

(a)has decided to recognise a decision on supervision measures, and                  

(b)has become responsible under regulation 107 for monitoring the supervision measures,                  

ceases to be responsible for monitoring them in any of the following cases.

(2) The first case is where the person subject to the decision on supervision measures becomes lawfully and ordinarily resident                     in a State other than the United Kingdom.                  

(3) The second case is where the magistrates' court notifies the competent authority of the issuing State under regulation 107(2)                     that it is not possible, in practice, to monitor the supervision measures.                  

(4) The third case is where the magistrates' court informs the competent authority of the issuing State that it has decided, in                     accordance with regulation 109, to stop monitoring the supervision measures.                  

(5) The fourth case is where—

(a)the supervision measures have been modified, and                  

(b)the magistrates' court informs the competent authority of the issuing State that it has decided, in accordance with regulation                        111(4), to refuse to monitor the modified supervision measures.                  

(6) The fifth case is where the competent authority of the issuing State, within the period of 10 days after the day on which                     the magistrates' court gives notification to the competent authority under regulation 104(5) or (7) (recognition of supervision                     measures)—                  

(a)withdraws, subject to paragraph (7), the certificate requesting monitoring under the Framework Decision (whether in response                        to a decision under regulation 106 adapting the supervision measures or otherwise), and                  

(b)informs the magistrates' court of its withdrawal.                  

(7) For the fifth case to apply, where the decision to withdraw the certificate referred to in paragraph (6)(a) is because the                     competent authority of the issuing State has been informed of —                  

(a)a decision to adapt under regulation 106, or                  

(b)a maximum period during which the supervision measures may be monitored,                  

the decision to withdraw the certificate must also be made before monitoring starts.

(8) The sixth case is where the competent authority of the issuing State—

(a)withdraws the decision on supervision measures, and                  

(b)informs the magistrates' court of its withdrawal.                  

(9) The magistrates' court must consult the competent authority with a view to avoiding as far as possible any interruption in                     the monitoring of the supervision measures as a result of this regulation.                  

(10) The magistrates' court may at any time ask the competent authority for information as to whether monitoring of the supervision                     measures is still necessary.                  

##### Consultation and exchange of informationN.I.

113.—(1) If a competent authority of a member State other than the United Kingdom consults the central authority for Northern Ireland                     about a request for monitoring of supervision measures under the Framework Decision which it is considering making, a magistrates'                     court specified by the central authority must, unless impracticable, co-operate in that consultation.                  

(2) Where a competent authority has made a request for monitoring of supervision measures under the Framework Decision, the magistrates'                     court to which the documents mentioned in regulation 104(2) were given must, unless impracticable, consult the competent authority—                  

(a)at such times as it considers necessary, with a view to facilitating the smooth and efficient monitoring of the supervision                        measures;                  

(b)if it notifies the competent authority under regulation 108(2) of a serious breach of those measures.                  

(3) In consulting or co-operating in consultation under this regulation, the magistrates' court must co-operate with the competent                     authority with a view to the exchange of any useful information, including—                  

(a)information for verifying the identity and place of residence of the person concerned, and                  

(b)relevant information taken from the person's criminal records in accordance with applicable legislation including Part 6 of                        these Regulations.                  

## **PART 8**U.K.Prisoner Transfer

### Transfer of prisonersU.K.

114.—(1) The Repatriation of Prisoners Act 1984 F66 is amended as follows.                  

(2) In section 3A F67 (prosecution of other offences), in subsections (1)(a) and (3)(d) (in both places), for “Great Britain” substitute “ the United Kingdom ”.                  

(3) In section 6A F68 (transit)—                  

(a)in subsections (1)(b) and (3)(b), for “Great Britain” substitute “ the United Kingdom ”;                  

(b)in subsection (6), for “Great Britain” substitute “ the United Kingdom ”;                  

(c)in subsection (7), for “Great Britain” substitute “ the United Kingdom ”;                  

(d)in subsection (9)—                  

(i)in paragraph (a)(ii), for “Great Britain” substitute “ the United Kingdom ”;                  

(ii)after paragraph (a) insert—                  

“(aa)the Department of Justice in Northern Ireland, in a case where it is proposed that the person who is the subject of a request                           under subsection (1)(b) or (3)(b) will, whilst in transit—                  

(i)be present only in Northern Ireland, or                  

(ii)arrive in Northern Ireland before being taken to another part of the United Kingdom;”;                  

(e)in subsection (10) for “Great Britain”, in both places, substitute “ the United Kingdom ”.                  

(4) In section 6B (transit: supplementary), in subsections (4) and (11)(a) (in both places), for “Great Britain” substitute “ the United Kingdom ”.                  

(5) For section 6C substitute—

#### “6CTransit through different parts of the United Kingdom

(1)Where—                  

(a)a transit order is issued by the Minister for one part of the United Kingdom (“jurisdiction A”), and                  

(b)it is proposed that the person who is the subject of the order will whilst in transit be taken to another part of the United                           Kingdom (“jurisdiction B”),                  

the Minister for jurisdiction A must notify the Minister for jurisdiction B.                  

(2)Notification need not be given where the Minister for jurisdiction B has agreed in writing to the transit order.                  

(3)Unless the Minister for jurisdiction B agrees in writing to the transit order, the order authorises the detention of the person                        subject to it in jurisdiction A only.                  

(4)But where the person escapes or is unlawfully at large, the order also authorises—                  

(a)the arrest of the person under section 6B(5) in a part of the United Kingdom other than jurisdiction A, and                  

(b)the detention of the person in that part by a constable (within the meaning of that section) for the purpose of taking the                           person to jurisdiction A.                  

(5)For the purposes of this section—                  

(a)the Minister for England and Wales, is the Secretary of State,                  

(b)the Minister for Scotland is the Scottish Ministers, and                  

(c)the Minister for Northern Ireland is the Department of Justice in Northern Ireland.”                  

(6) In section 6D (transit: unscheduled arrivals), in subsections (1)(c), (2), (3) (in both places) and (4), for “Great Britain”                     substitute “ the United Kingdom ”.                  

(7) In section 8 (interpretation and certificates) F69—                  

(a)in subsection (1), omit the definition of “international arrangements”, and                  

(b)after subsection (2) insert—                  

“(2A)In this Act—                  

(a)“international arrangements” includes any arrangements between the United Kingdom and a British overseas territory, and                  

(b)references to a country or territory being a party to international arrangements include references to the country or territory                           being required to comply with provisions of a Framework Decision of the Council of the European Union (and references to international                           arrangements are to be construed accordingly).”.                  

(8) In section 9 F70 (short title, commencement and extent)—                  

(a)in subsection (3), omit “Subject to subsection (3A)”;                  

(b)omit subsection (3A).                  

F661984 c. 47.

F67Section 3A was inserted by the Legal Aid, Sentencing and Punishment of Offenders Act 2012 (c. 10), **section 130**.

F68Sections 6A to 6D were inserted by the Legal Aid, Sentencing and Punishment of Offenders Act 2012, section 131(1).

F69Section 8 was amended by section 96 of, and Schedule 26 and Schedule 28 to, the Criminal Justice and Immigration Act 2008; S.I. 1999/1820; and S.I. 2010/976.

F70Section 9 was amended by the Legal Aid, Sentencing and Punishment of Offenders Act 2012, section 131(2).

Karen Bradley

 Parliamentary Under Secretary of State

 Home Office

 Regulation 16

## SCHEDULE 1SProceeds of Crime (Foreign Property and Foreign Orders): Scotland

### InterpretationS

1.  In this Schedule—                  

“court” means—                  

in paragraphs 2 and 3, the Court of Session or the sheriff exercising his civil jurisdiction;

in paragraphs 4 to 6, the Court of Session;

in paragraphs 7 and 8, the High Court of Justiciary or the sheriff; and

in paragraphs 9 to 11, the Court of Session;

“domestic confiscation order” means a confiscation order under section 92 of the 2002 Act (making of order) (but see regulation 22);                  

“domestic restraint order” means a restraint order under section 120 of the 2002 Act (restraint orders etc) (but see regulation 21);                  

“specified information” means—                  

in relation to a certificate under paragraph 2, any information required to be given by the form of certificate annexed to                              the 2003 Framework Decision;                           

in relation to a certificate under paragraph 7, any information required to be given by the form of certificate annexed to                              the 2006 Framework Decision [F71;                            

“working day” means a day other than a Saturday, Sunday, or a day which is a bank holiday under the Banking and Financial                        Dealings Act 1971]                  

F71Words in Sch. 1 para. 1 inserted (3.12.2014) by The Criminal Justice and Data Protection (Protocol No. 36) (Amendment) Regulations 2014 (S.I. 2014/3191), regs. 1(b), **2(11)**

### Domestic restraint orders: certificationS

2.—(1) If any of the property to which an application for a domestic restraint order relates is property in a member State other                     than the United Kingdom, the prosecutor may apply to the court for a certificate under this paragraph to be made.                  

(2) The court may make a certificate under this paragraph if—

(a)it makes a domestic restraint order in relation to property in the other member State, and                  

(b)it is satisfied that there is a good arguable case that the property—                  

(i)has been or is likely to be used for the purposes of an offence, or                  

(ii)is the proceeds of an offence.                  

(3) A certificate under this paragraph is a certificate which—

(a)is made for the purposes of the 2003 Framework Decision, and                  

(b)gives the specified information.                  

(4) If the court makes a certificate under this paragraph, the domestic restraint order must provide for notice of the certificate                     to be given to the person affected by it.                  

(5) A court which has relevant powers in respect of a domestic restraint order is to have the same relevant powers in respect                     of a certificate under this paragraph.                  

(6) For that purpose “relevant powers” means the powers—                  

(a)to consider an appeal,                  

(b)to consider an application for reconsideration, variation or recall, and                  

(c)to make an order on any such appeal or application.                  

### Sending domestic restraint orders and certificates overseasS

3.—(1) If a certificate is made under paragraph 2, the domestic restraint order and the certificate are to be forwarded by the Lord                     Advocate to—                  

(a)a court exercising jurisdiction in the other member State where the property is situated, or                  

(b)any authority recognised by the government of the other member State as the appropriate authority for receiving orders of                        that kind.                  

(2) The domestic restraint order and the certificate must be accompanied by a domestic confiscation order, unless the certificate                     indicates when the court expects a domestic confiscation order to be sent.                  

(3) The certificate must include a translation of it into an appropriate language of the other member State (if that language                     is not English).                  

(4) The certificate must be signed by or on behalf of the court and must include a statement as to the accuracy of the information                     given in it.                  

(5) The signature may be an electronic signature.

(6) If the domestic restraint order and the certificate are not accompanied by a domestic confiscation order, but a domestic confiscation                     order is subsequently made, it is to be sent to the Lord Advocate for forwarding as mentioned in sub-paragraph (1).                  

### Sending overseas restraint orders to the courtS

4.—(1) In a case where—                  

(a)the Lord Advocate receives an overseas restraint order from the court or authority which made or confirmed the order, and                  

(b)conditions A to C are met,                  

the Lord Advocate must send a copy of the order to the court.

(2) An overseas restraint order is an order made by an appropriate court or authority in a member State which—

(a)relates to—                  

(i)criminal proceedings instituted in the member State, or                  

(ii)a criminal investigation being carried on there; and                  

(b)prohibits dealing with property which is in Scotland and which the appropriate court or authority considers to be property                        that—                  

(i)has been or is likely to be used for the purposes of criminal conduct, or                  

(ii)is the proceeds of criminal conduct.                  

(3) Condition A is that the action which the appropriate court or authority considered would constitute or, as the case may be,                     constituted the criminal conduct is not action done as an act of terrorism or for the purposes of terrorism (within the meaning                     of paragraph 25D(3) of Schedule 4 to the Terrorism Act 2000 (overseas freezing orders) F72).                  

(4) Condition B is that the order received by the Lord Advocate is accompanied by a certificate which—

(a)gives the specified information;                  

(b)is signed by or on behalf of the court or authority which made or confirmed the order;                  

(c)includes a statement as to the accuracy of the information given in it; and                  

(d)if it is not in English, includes a translation of it into English.                  

(5) For the purposes of Condition B—

(a)the certificate may be treated as giving any specified information which is not given in it if the Lord Advocate has the information                        in question;                  

(b)the signature may be an electronic signature.                  

(6) Condition C is that—

(a)the order is accompanied by another order made by [F73an appropriate court or authority] in the member State for the confiscation of the property; or                  

(b)such an order for the confiscation of the property may be made and the certificate indicates when that order is expected to                        be sent.                  

(7) An appropriate court or authority in a member State in relation to an overseas restraint order is—

(a)a court exercising criminal jurisdiction in the country,                  

(b)a prosecuting authority in the country, or                  

(c)any other authority in the country which appears to the Lord Advocate to have the function of making such orders.                  

(8) References in this Schedule to an overseas restraint order include its accompanying certificate.

(9) In this paragraph “criminal conduct” means—                  

(a)a listed 2003 Framework Decision offence; or                  

(b)conduct which—                  

(i)constitutes an offence in any part of the United Kingdom; or                  

(ii)would constitute an offence in any part of the United Kingdom if it occurred there.                  

F72Paragraph 25D(3) was inserted by section 90 of, and paragraphs 1 and 5 of Schedule 4 to, the Crime (International Co-operation)                              Act 2003.

F73Words in Sch. 1 para. 4(6)(a) substituted (3.12.2014) by The Criminal Justice and Data Protection (Protocol No. 36) (Amendment) Regulations 2014 (S.I. 2014/3191), regs. 1(b), **2(4)**

### Giving effect to overseas restraint ordersS

5.—(1) Subject to sub-paragraph (2), where the court receives a copy of an overseas restraint order sent by the Lord Advocate in                     accordance with paragraph 4, the court must consider giving effect to the order no later than the end of the next working                     day after the relevant day.                  

(2) In exceptional circumstances, the court may delay its consideration of the overseas restraint order, provided that it does                     consider giving effect to the order no later than the end of the fifth working day after the relevant day.                  

(3) Subject to sub-paragraph (4), the court may consider giving effect to the overseas restraint order—

(a)at a hearing, which must be in private unless the court directs otherwise; or                  

(b)without a hearing.                  

(4) The court must not consider giving effect to the overseas restraint order unless the Lord Advocate—

(a)is present; or                  

(b)has had a reasonable opportunity to make representations.                  

(5) The court may decide not to give effect to the overseas restraint order only if, in its opinion, giving effect to it would                     be—                  

(a)impossible as a consequence of an immunity under the law of Scotland; or                  

(b)incompatible with any of the Convention rights (within the meaning of the Human Rights Act 1998).                  

(6) The court may postpone giving effect to an overseas restraint order in respect of any property—

(a)in order to avoid prejudicing a criminal investigation which is taking place in the United Kingdom, or                  

(b)if, under an order made by a court in criminal proceedings in the United Kingdom, the property may not be dealt with.                  

(7) In this paragraph, “relevant day” means the day on which a copy of an overseas restraint order sent by the Lord Advocate in accordance with paragraph 4 is                     received by the court.                  

### Registration and enforcement of overseas restraint ordersS

6.—(1) Where the court decides to give effect to an overseas restraint order, it must—                  

(a)direct its registration as an order in that court , and                  

(b)give directions for notice of the order to be given to any person affected by it.                  

(2) For the purpose of enforcing an overseas restraint order registered in accordance with sub-paragraph (1), the order is to                     have effect as if it were an order made by the court.                  

(3) Subject to sub-paragraph (4), the court may cancel the registration of the order, or vary the property to which the order                     applies, on an application by the Lord Advocate, or any other person affected by it, if or to the extent that—                  

(a)the court is of the opinion mentioned in paragraph 5(5), or                  

(b)the court is of the opinion that the order has ceased to have effect in the member State.                  

(4) To make an application to cancel the registration of the order, or vary the property to which the order applies, the Lord                     Advocate or person affected by the order must—                  

(a)apply in writing as soon as practicable after becoming aware of the grounds for doing so;                  

(b)serve the application on—                  

(i)the court;                  

(ii)the Lord Advocate (if the applicant is not the Lord Advocate); and                  

(iii)any person who will or may be affected by the application;                  

(c)explain why it is appropriate for the registration of the order to be cancelled or varied;                  

(d)set out the proposed terms of any variation; and                  

(e)if a hearing is requested in relation to the application, explain why a hearing is necessary.                  

(5) Subject to sub-paragraph (6), Part 3 of the 2002 Act (confiscation: Scotland) applies (with the appropriate modifications                     and subject to the preceding provisions of this Schedule) in relation to an overseas restraint order registered in accordance                     with this paragraph as it applies in relation to a domestic restraint order.                  

(6) No challenge to the substantive reasons in relation to which an overseas restraint order has been made by an appropriate court                     or authority in a member State may be considered by the court.                  

### Domestic confiscation orders: certificationS

7.—(1) If any of the property to which an application for a domestic confiscation order relates is property in a member State other                     than the United Kingdom, the prosecutor may apply to the court for a certificate under this paragraph to be made.                  

(2) The court may make a certificate under this paragraph if—

(a)it makes a domestic confiscation order in relation to property in the other member State, and                  

(b)it is satisfied that there is a good arguable case that the property—                  

(i)was used or was intended to be used for the purposes of an offence, or                  

(ii)is the proceeds of an offence.                  

(3) A certificate under this paragraph is a certificate which—

(a)is made for the purposes of the 2006 Framework Decision, and                  

(b)gives the specified information.                  

(4) If the court makes a certificate under this paragraph, the domestic confiscation order must provide for notice of the certificate                     to be given to the person affected by it.                  

(5) A court which has relevant powers in respect of a domestic confiscation order is to have the same relevant powers in respect                     of a certificate under this paragraph.                  

(6) For that purpose “relevant powers” means the powers—                  

(a)to consider an appeal,                  

(b)to consider an application for reconsideration, variation or discharge, and                  

(c)to make an order on any such appeal or application.                  

### Sending domestic confiscation orders and certificates overseasS

8.—(1) If a certificate is made under paragraph 7, the domestic confiscation order and the certificate are to be forwarded by the                     Lord Advocate to—                  

(a)a court exercising jurisdiction in the other member State where the property is situated, or                  

(b)any authority recognised by the government of the other member State as the appropriate authority for receiving orders of                        that kind.                  

(2) The certificate must include a translation of it into an appropriate language of the other member State (if that language                     is not English).                  

(3) The certificate must be signed by or on behalf of the court and must include a statement as to the accuracy of the information                     given in it.                  

(4) The signature may be an electronic signature.

### Sending overseas confiscation orders to the courtS

9.—(1) In a case where—                  

(a)the Lord Advocate receives an overseas confiscation order from the court or authority which made or confirmed the order, and                  

(b)conditions A to C are met,                  

the Lord Advocate must send a copy of the order to the court.

(2) An overseas confiscation order is an order made by an appropriate court or authority in a member State for the confiscation                     of property which is in Scotland, or is the property of a resident of Scotland, and which the appropriate court or authority                     considers—                  

(a)was used or intended to be used for the purposes of criminal conduct, or                  

(b)is the proceeds of criminal conduct.                  

(3) Condition A is that a person has been convicted of that criminal conduct in the member State.

(4) Condition B is that the overseas confiscation order was made at the conclusion of the proceedings that gave rise to the conviction.

(5) Condition C is that the order is accompanied by a certificate which—

(a)gives the specified information;                  

(b)is signed by or on behalf of the court or authority which made or confirmed the order,                  

(c)includes a statement as to the accuracy of the information given in it, and                  

(d)if it is not in English, includes a translation of it into English.                  

(6) For the purposes of Condition C—

(a)the certificate may be treated as giving any specified information which is not given in it if the Lord Advocate has the information                        in question;                  

(b)the signature may be an electronic signature.                  

(7) An appropriate court or authority in a member State in relation to an overseas confiscation order is—

(a)a court exercising criminal jurisdiction in the country,                  

(b)a prosecuting authority in the country, or                  

(c)any other authority in the country which appears to the Lord Advocate to have the function of making such orders.                  

(8) References in this Schedule to an overseas confiscation order include its accompanying certificate.

(9) In this paragraph—

“criminal conduct” means—                  

a listed 2006 Framework Decision offence; or

conduct which—

constitutes an offence in any part of the United Kingdom; or

would constitute an offence in any part of the United Kingdom if it occurred there;

“resident of Scotland” means—                  

an individual who is normally resident in Scotland, or

a body of persons (whether corporate or not) established in Scotland (including a company registered in Scotland).

### Giving effect to overseas confiscation ordersS

10.—(1) Where the court receives a copy of an overseas confiscation order sent by the Lord Advocate in accordance with paragraph 9,                     the court must consider giving effect to the order.                  

(2) Subject to sub-paragraph (3), the court may consider giving effect to the overseas confiscation order—

(a)at a hearing, which must be in private unless the court directs otherwise; or                  

(b)without a hearing.                  

(3) The court must not consider giving effect to the overseas confiscation order unless the Lord Advocate—

(a)is present; or                  

(b)has had a reasonable opportunity to make representations.                  

(4) The court may decide not to give effect to the overseas confiscation order only if, in its opinion, giving effect to it would                     be—                  

(a)statute-barred, provided that the criminal conduct that gave rise to the order falls within the jurisdiction of Scotland;                  

(b)impossible as a consequence of an immunity under the law of Scotland; or                  

(c)incompatible with any of the Convention rights (within the meaning of the Human Rights Act 1998).                  

(5) The court may postpone giving effect to an overseas confiscation order in respect of any property—

(a)in order to avoid prejudicing a criminal investigation which is taking place in the United Kingdom;                  

(b)where it considers that there is a risk that the amount recovered through the execution of the order in Scotland may exceed                        the amount specified in the order because of simultaneous execution of the order in more than one member State;                  

(c)if, under an order made by a court in criminal proceedings in the United Kingdom, the property may not be dealt with, or the                        property is subject to proceedings for such an order; or                  

(d)if a person affected by the order has applied to cancel the registration of the order, or vary the property to which the order                        applies, in accordance with paragraph 11.                  

### Registration and enforcement of overseas confiscation ordersS

11.—(1) Where the court decides to give effect to an overseas confiscation order, it must—                  

(a)direct its registration as an order in that court,                  

(b)give directions for notice of the order to be given to any person affected by it, and                  

(c)appoint a sheriff clerk for the purpose of receiving payment of any amount due under the order.                  

(2) For the purpose of enforcing an overseas confiscation order registered in accordance with this paragraph, the order is to                     have effect as if it were a domestic confiscation order.                  

(3) Subject to sub-paragraph (4), the court may cancel the registration of the order, or vary the property to which the order                     applies, on an application by the Lord Advocate, or any other person affected by it, if or to the extent that—                  

(a)the court is of the opinion mentioned in paragraph 10(4), or                  

(b)the court is of the opinion that the order has ceased to have effect in the member State.                  

(4) To make an application to cancel the registration of the order, or vary the property to which the order applies, the Lord                     Advocate or person affected by the order must—                  

(a)apply in writing as soon as practicable after becoming aware of the grounds for doing so;                  

(b)serve the application on—                  

(i)the court;                  

(ii)the Lord Advocate (if the applicant is not the Lord Advocate); and                  

(iii)any person who will or may be affected by the application;                  

(c)explain why it is appropriate for the registration of the order to be cancelled or varied;                  

(d)set out the proposed terms of any variation; and                  

(e)if a hearing is requested in relation to the application, explain why a hearing is necessary.                  

(5) Subject to sub-paragraphs (6) and (7), Part 3 of the 2002 Act (confiscation: Scotland) applies (with the appropriate modifications                     and subject to the preceding provisions of this Schedule) in relation to an overseas confiscation order registered in accordance                     with this paragraph as it applies in relation to a domestic confiscation order.                  

(6) Sections 117 (interest on unpaid sums) and 118 (application of provisions about fine enforcement) of the 2002 Act do not apply                     to an overseas confiscation order registered in the court in accordance with this paragraph.                  

(7) No challenge to the substantive reasons in relation to which an overseas confiscation order has been made by an appropriate                     court or authority in a member State may be considered by the court.                  

 Regulation 17

## SCHEDULE 2N.I.Proceeds of Crime (Foreign Property and Foreign Orders): Northern Ireland

### InterpretationN.I.

1.  In this Schedule—                  

“court” means—                  

in paragraphs 2 to 6, the High Court;

in paragraphs 7 to 11, the Crown Court;

“domestic confiscation order” means a confiscation order under section 156 of the 2002 Act (making of order) F74 (but see regulation 24);                  

“domestic restraint order” means a restraint order under section 190 of the 2002 Act (restraint orders) (but see regulation 23);                  

“relevant prosecutor” means the Director of Public Prosecutions for Northern Ireland or the Director of the Serious Fraud Office;                  

“specified information” means—                  

in relation to a certificate under paragraph 2, any information required to be given by the form of certificate annexed to                              the 2003 Framework Decision;                           

in relation to a certificate under paragraph 7, any information required to be given by the form of certificate annexed to                              the 2006 Framework Decision [F75;                           

 “working day” means a day other than a Saturday, Sunday, Christmas Day, Good Friday or a day which is a bank holiday under                        the Banking and Financial Dealings Act 1971]                   

F74Section 156 was amended by section 74 of, and paragraphs 1 and 36 of Schedule 8 to, the Serious Crime Act 2007.

F75Words in Sch. 2 para. 1 inserted (3.12.2014) by The Criminal Justice and Data Protection (Protocol No. 36) (Amendment) Regulations 2014 (S.I. 2014/3191), regs. 1(b), **2(3)**

### Domestic restraint orders: certificationN.I.

2.—(1) If any of the property to which an application for a domestic restraint order relates is property in a member State other                     than the United Kingdom, the relevant prosecutor may ask the court to make a certificate under this paragraph.                  

(2) The court may make a certificate under this paragraph if—

(a)it makes a domestic restraint order in relation to property in the other member State, and                  

(b)it is satisfied that there is a good arguable case that the property—                  

(i)has been or is likely to be used for the purposes of an offence, or                  

(ii)is the proceeds of an offence.                  

(3) A certificate under this paragraph is a certificate which—

(a)is made for the purposes of the 2003 Framework Decision, and                  

(b)gives the specified information.                  

(4) If the court makes a certificate under this paragraph, the domestic restraint order must provide for notice of the certificate                     to be given to the person affected by it.                  

(5) A court which has relevant powers in respect of a domestic restraint order is to have the same relevant powers in respect                     of a certificate under this paragraph.                  

(6) For that purpose “relevant powers” means the powers—                  

(a)to consider an appeal,                  

(b)to consider an application for reconsideration, variation or discharge, and                  

(c)to make an order on any such appeal or application.                  

### Sending domestic restraint orders and certificates overseasN.I.

3.—(1) If a certificate is made under paragraph 2, the domestic restraint order and the certificate are to be forwarded by the relevant                     prosecutor to—                  

(a)a court exercising jurisdiction in the other member State where the property is situated, or                  

(b)any authority recognised by the government of the other member State as the appropriate authority for receiving orders of                        that kind.                  

(2) The domestic restraint order and the certificate must be accompanied by a domestic confiscation order, unless the certificate                     indicates when the court expects a domestic confiscation order to be sent.                  

(3) The certificate must include a translation of it into an appropriate language of the other member State (if that language                     is not English).                  

(4) The certificate must be signed by or on behalf of the court and must include a statement as to the accuracy of the information                     given in it.                  

(5) The signature may be an electronic signature.

(6) If the domestic restraint order and the certificate are not accompanied by a domestic confiscation order, but a domestic confiscation                     order is subsequently made, it is to be sent to the relevant prosecutor for forwarding as mentioned in sub-paragraph (1).                  

### Sending overseas restraint orders to the courtN.I.

4.—(1) In a case where—                  

(a)the relevant prosecutor receives an overseas restraint order from the court or authority which made or confirmed the order,                        and                  

(b)conditions A to C are met,                  

the relevant prosecutor must send a copy of the order to the court.

(2) An overseas restraint order is an order made by an appropriate court or authority in a member State which—

(a)relates to—                  

(i)criminal proceedings instituted in the member State, or                  

(ii)a criminal investigation being carried on there; and                  

(b)prohibits dealing with property which is in Northern Ireland and which the appropriate court or authority considers to be                        property that—                  

(i)has been or is likely to be used for the purposes of an offence, or                  

(ii)is the proceeds of an offence.                  

(3) Condition A is that the action which the appropriate court or authority considered would constitute or, as the case may be,                     constituted the criminal conduct is not action done as an act of terrorism or for the purposes of terrorism (within the meaning                     of paragraph 41D(3) of Schedule 4 to the Terrorism Act 2000 (overseas freezing orders) F76).                  

(4) Condition B is that the order received by the relevant prosecutor is accompanied by a certificate which—

(a)gives the specified information;                  

(b)is signed by or on behalf of the court or authority which made or confirmed the order;                  

(c)includes a statement as to the accuracy of the information given in it; and                  

(d)if it is not in English, includes a translation of it into English.                  

(5) For the purposes of condition B—

(a)the certificate may be treated as giving any specified information which is not given in it if the relevant prosecutor has                        the information in question;                  

(b)the signature may be an electronic signature.                  

(6) Condition C is that—

(a)the order is accompanied by another order made by [F77an appropriate court or authority] in the member State for the confiscation of the property; or                  

(b)such an order for the confiscation of the property may be made and the certificate indicates when that order is expected to                        be sent.                  

(7) An appropriate court or authority in a member State in relation to an overseas restraint order is—

(a)a court exercising criminal jurisdiction in the country,                  

(b)a prosecuting authority in the country, or                  

(c)any other authority in the country which appears to the relevant prosecutor to have the function of making such orders.                  

(8) References in this Schedule to an overseas restraint order include its accompanying certificate.

(9) In this paragraph “criminal conduct” means—                  

(a)a listed 2003 Framework Decision offence; or                  

(b)conduct which—                  

(i)constitutes an offence in any part of the United Kingdom; or                  

(ii)would constitute an offence in any part of the United Kingdom if it occurred there.                  

F76Paragraph 41D(3) was inserted by section 90 of, and paragraphs 1 and 7 of Schedule 4 to, the Crime (International Co-operation) Act 2003 (c. 32).

F77Words in Sch. 2 para. 4(6)(a) substituted (3.12.2014) by The Criminal Justice and Data Protection (Protocol No. 36) (Amendment) Regulations 2014 (S.I. 2014/3191), regs. 1(b), **2(4)**

### Giving effect to overseas restraint ordersN.I.

5.—(1) Subject to sub-paragraph (2), where the court receives a copy of an overseas restraint order sent by the relevant prosecutor                     in accordance with paragraph 4, the court must consider giving effect to the order no later than the end of the next working                     day after the relevant day.                  

(2) In exceptional circumstances, the court may delay its consideration of the overseas restraint order, provided that it does                     consider giving effect to the order no later than the end of the fifth working day after the relevant day.                  

(3) Subject to sub-paragraph (4), the court may consider giving effect to the overseas restraint order—

(a)at a hearing, which must be in private unless the court directs otherwise; or                  

(b)without a hearing.                  

(4) The court must not consider giving effect to the overseas restraint order unless the relevant prosecutor—

(a)is present; or                  

(b)has had a reasonable opportunity to make representations.                  

(5) The court may decide not to give effect to the overseas restraint order only if, in its opinion, giving effect to it would                     be—                  

(a)impossible as a consequence of an immunity under the law of Northern Ireland; or                  

(b)incompatible with any of the Convention rights (within the meaning of the Human Rights Act 1998).                  

(6) The court may postpone giving effect to an overseas restraint order in respect of any property—

(a)in order to avoid prejudicing a criminal investigation which is taking place in the United Kingdom, or                  

(b)if, under an order made by a court in criminal proceedings in the United Kingdom, the property may not be dealt with.                  

(7) In this paragraph, “relevant day” means the day on which a copy of an overseas restraint order sent by the relevant prosecutor in accordance with paragraph                     4 is received by the court.                  

### Registration and enforcement of overseas restraint ordersN.I.

6.—(1) Where the court decides to give effect to an overseas restraint order, it must—                  

(a)direct its registration as an order in that court, and                  

(b)give directions for notice of the order to be given to any person affected by it.                  

(2) For the purpose of enforcing an overseas restraint order registered in the court, the order is to have effect as if it were                     an order made by that court.                  

(3) Subject to sub-paragraph (4), the court may cancel the registration of the order, or vary the property to which the order                     applies, on an application by the relevant prosecutor or any other person affected by it, if or to the extent that—                  

(a)the court is of the opinion mentioned in paragraph 5(5), or                  

(b)the court is of the opinion that the order has ceased to have effect in the member State.                  

(4) To make an application to cancel the registration of the order, or vary the property to which the order applies, the relevant                     prosecutor or person affected by the order must—                  

(a)apply in writing as soon as practicable after becoming aware of the grounds for doing so;                  

(b)serve the application on—                  

(i)the court;                  

(ii)the relevant prosecutor (if the applicant is not the relevant prosecutor); and                  

(iii)any person who will or may be affected by the application;                  

(c)explain why it is appropriate for the registration of the order to be cancelled or varied;                  

(d)set out the proposed terms of any variation; and                  

(e)if a hearing is requested in relation to the application, explain why a hearing is necessary                  

(5) Subject to sub-paragraph (6), Part 4 of the 2002 Act (confiscation: Northern Ireland) applies (with the appropriate modifications                     and subject to the preceding provisions of this Schedule) in relation to an overseas restraint order registered in the court                     as it applies in relation to a domestic restraint order.                  

(6) No challenge to the substantive reasons in relation to which an overseas restraint order has been made by an appropriate court                     or authority in a member State may be considered by the court.                  

### Domestic confiscation orders: certificationN.I.

7.—(1) If any of the property to which an application for a domestic confiscation order relates is property in a member State other                     than the United Kingdom, the relevant prosecutor may ask the court to make a certificate under this paragraph.                  

(2) The court may make a certificate under this paragraph if—

(a)it makes a domestic confiscation order in relation to property in the other member State, and                  

(b)it is satisfied that there is a good arguable case that the property—                  

(i)was used or was intended to be used for the purposes of an offence, or                  

(ii)is the proceeds of an offence.                  

(3) A certificate under this paragraph is a certificate which—

(a)is made for the purposes of the 2006 Framework Decision, and                  

(b)gives the specified information.                  

(4) If the court makes a certificate under this paragraph, the domestic confiscation order must provide for notice of the certificate                     to be given to the person affected by it.                  

(5) A court which has relevant powers in respect of a domestic confiscation order is to have the same relevant powers in respect                     of a certificate under this paragraph.                  

(6) For that purpose “relevant powers” means the powers—                  

(a)to consider an appeal,                  

(b)to consider an application for reconsideration, variation or discharge, and                  

(c)to make an order on any such appeal or application.                  

### Sending domestic confiscation orders and certificates overseasN.I.

8.—(1) If a certificate is made under paragraph 7, the domestic confiscation order and the certificate are to be forwarded by the                     relevant prosecutor to—                  

(a)a court exercising jurisdiction in the other member State where the property is situated, or                  

(b)any authority recognised by the government of the other member State as the appropriate authority for receiving orders of                        that kind.                  

(2) The certificate must include a translation of it into an appropriate language of the other member State (if that language                     is not English).                  

(3) The certificate must be signed by or on behalf of the court and must include a statement as to the accuracy of the information                     given in it.                  

(4) The signature may be an electronic signature.

### Sending overseas confiscation orders to the courtN.I.

9.—(1) In a case where—                  

(a)the relevant prosecutor receives an overseas confiscation order from the court or authority which made or confirmed the order,                        and                  

(b)conditions A to C are met,                  

the relevant prosecutor must send a copy of the order to the court.

(2) An overseas confiscation order is an order made by an appropriate court or authority in a member State for the confiscation                     of property which is in Northern Ireland, or is the property of a resident of Northern Ireland, and which the appropriate                     court or authority considers—                  

(a)was used or intended to be used for the purposes of a criminal conduct, or                  

(b)is the proceeds of criminal conduct.                  

(3) Condition A is that a person has been convicted of that criminal conduct in the member State.

(4) Condition B is that the overseas confiscation order was made at the conclusion of the proceedings that gave rise to the conviction.

(5) Condition C is that the order is accompanied by a certificate which—

(a)gives the specified information;                  

(b)is signed by or on behalf of the court or authority which made or confirmed the order,                  

(c)includes a statement as to the accuracy of the information given in it, and                  

(d)if it is not in English, includes a translation of it into English.                  

(6) For the purposes of Condition C—

(a)the certificate may be treated as giving any specified information which is not given in it if the relevant prosecutor has                        the information in question;                  

(b)the signature may be an electronic signature.                  

(7) An appropriate court or authority in a member State in relation to an overseas confiscation order is—

(a)a court exercising criminal jurisdiction in the country,                  

(b)a prosecuting authority in the country, or                  

(c)any other authority in the country which appears to the relevant prosecutor to have the function of making such orders.                  

(8) References in this Schedule to an overseas confiscation order include its accompanying certificate.

(9) In this paragraph—

“criminal conduct” means—                  

a listed 2006 Framework Decision offence; or

conduct which—

constitutes an offence in any part of the United Kingdom; or

would constitute an offence in any part of the United Kingdom if it occurred there;

“resident of Northern Ireland” means—                  

an individual who is normally resident in Northern Ireland, or

a body of persons (whether corporate or not) established in Northern Ireland (including a company registered in Northern Ireland).

### Giving effect to overseas confiscation ordersN.I.

10.—(1) Where the court receives a copy of an overseas confiscation order sent by the relevant prosecutor in accordance with paragraph                     9, the court must consider giving effect to the order.                  

(2) Subject to sub-paragraph (3), the court may consider giving effect to the overseas confiscation order—

(a)at a hearing, which must be in private unless the court directs otherwise; or                  

(b)without a hearing.                  

(3) The court must not consider giving effect to the overseas confiscation order unless the relevant prosecutor—

(a)is present; or                  

(b)has had a reasonable opportunity to make representations.                  

(4) The court may decide not to give effect to the overseas confiscation order only if, in its opinion, giving effect to it would                     be—                  

(a)statute-barred, provided that the criminal conduct that gave rise to the order falls within the jurisdiction of Northern Ireland;                  

(b)impossible as a consequence of an immunity under the law of Northern Ireland; or                  

(c)incompatible with any of the Convention rights (within the meaning of the Human Rights Act 1998).                  

(5) The court may postpone giving effect to an overseas confiscation order in respect of any property—

(a)in order to avoid prejudicing a criminal investigation which is taking place in the United Kingdom;                  

(b)where it considers that there is a risk that the amount recovered through the execution of the order in Northern Ireland may                        exceed the amount specified in the order because of simultaneous execution of the order in more than one member State;                  

(c)if, under an order made by a court in criminal proceedings in the United Kingdom, the property may not be dealt with, or the                        property is subject to proceedings for such an order; or                  

(d)if a person affected by the order has applied to cancel the registration of the order, or vary the property to which the order                        applies, in accordance with paragraph 11.                  

### Registration and enforcement of overseas confiscation ordersN.I.

11.—(1) Where the court decides to give effect to an overseas confiscation order, it must—                  

(a)direct its registration as an order in that court, and                  

(b)give directions for notice of the order to be given to any person affected by it.                  

(2) For the purpose of enforcing an overseas confiscation order registered in the court, the order is to have effect as if it                     were an order made by that court.                  

(3) Subject to sub-paragraph (4), the court may cancel the registration of the order, or vary the property to which the order                     applies, on an application by the relevant prosecutor or any other person affected by it, if or to the extent that—                  

(a)the court is of the opinion mentioned in paragraph 10(4), or                  

(b)the court is of the opinion that the order has ceased to have effect in the member State.                  

(4) To make an application to cancel the registration of the order, or vary the property to which the order applies, the relevant                     prosecutor or person affected by the order must—                  

(a)apply in writing as soon as practicable after becoming aware of the grounds for doing so;                  

(b)serve the application on—                  

(i)the court;                  

(ii)the relevant prosecutor (if the applicant is not the relevant prosecutor); and                  

(iii)any person who will or may be affected by the application;                  

(c)explain why it is appropriate for the registration of the order to be cancelled or varied;                  

(d)set out the proposed terms of any variation; and                  

(e)if a hearing is requested in relation to the application, explain why a hearing is necessary                  

(5) Subject to sub-paragraphs (6) and (7), Part 4 of the 2002 Act (confiscation: Northern Ireland) applies (with the appropriate                     modifications and subject to the preceding provisions of this Schedule) in relation to an overseas confiscation order registered                     in the court as it applies in relation to a domestic confiscation order.                  

(6) Sections 162 (interest on unpaid sums), 185 (enforcement as fines), 187 (provisions about imprisonment or detention) and 188                     (reconsideration etc: variation of prison term) of the 2002 Act do not apply to an overseas confiscation order registered                     in the Crown Court.                  

(7) No challenge to the substantive reasons in relation to which an overseas confiscation order has been made by an appropriate                     court or authority in a member State may be considered by the court.                  

 Regulation 26

## SCHEDULE 3U.K.Mutual recognition of financial penalties: amendments of Criminal Justice and Immigration Act 2008

1.  The Criminal Justice and Immigration Act 2008 is amended as follows.U.K.

2.—(1) Section 81 (procedure on issue of certificate: England and Wales) is amended as follows.U.K.

(2) In subsection (2), for the words from “fines” to “other case)” substitute “ the relevant officer ”.                  

(3) After subsection (2) insert—

“(2A)The “relevant officer” means—                  

(a)the fines officer (in the case of a certificate issued by the officer), or                  

(b)the designated officer for the magistrates' court (in any other case).”.                  

(4) For subsection (4) substitute—

“(4)Subsections (4A) to (4C) apply where a certified copy of the decision is given to the central authority or competent authority                        of a member State in accordance with subsection (3).                  

(4A)No further steps to enforce the decision may be taken in England and Wales unless—                  

(a)an event mentioned in Article 15(2)(a) of the Framework Decision on financial penalties occurs in relation to the decision,                           or                  

(b)the relevant officer or the Lord Chancellor informs the central authority or competent authority as mentioned in subsection                           (4C)(b).                  

(4B)The relevant officer or the Lord Chancellor must inform the central authority or competent authority without delay if the                        officer receives any sum of money which the person concerned has paid voluntarily in respect of the decision requiring payment                        of the financial penalty.                  

(4C)The relevant officer or the Lord Chancellor must inform the central authority or competent authority forthwith of any decision                        or measure as a result of which the decision requiring payment of the financial penalty—                  

(a)ceases to be enforceable, or                  

(b)is withdrawn from the competent authority for any other reason.”.                  

3.—(1) Section 83 (procedure on issue of certificate: Northern Ireland) F78 is amended as follows.U.K.

(2) For subsection (4) substitute—

“(4)Subsections (4A) to (4C) apply where a certified copy of the decision is given to the central authority or competent authority                        of a member State in accordance with subsection (3).                  

(4A)No further steps to enforce the decision may be taken in Northern Ireland unless—                  

(a)an event mentioned in Article 15(2)(a) of the Framework Decision on financial penalties occurs in relation to the decision,                           or                  

(b)the designated officer or the Department of Justice informs the central authority or competent authority as mentioned in subsection                           (4C)(b).                  

(4B)The designated officer or the Department of Justice must inform the central authority or competent authority without delay                        if the officer receives any sum of money which the person concerned has paid voluntarily in respect of the decision requiring                        payment of the financial penalty.                  

(4C)The designated officer or the Department of Justice must inform the central authority or competent authority forthwith of                        any decision or measure as a result of which the decision requiring payment of the financial penalty—                  

(a)ceases to be enforceable, or                  

(b)is withdrawn from the competent authority for any other reason.”.                  

F78Section 83 was amended by S.I. 2010/976.

4.  In section 84 (requests from other member States: England and Wales) F79, in subsection (1)(a), for sub-paragraphs (i) and (ii) substitute—U.K.

“(i)a decision, or a certified copy of a decision, requiring payment of a financial penalty, and                  

(ii)a certificate requesting enforcement under the Framework Decision on financial penalties, and”.                  

F79Section 84 was amended by S.I. 2010/976.

5.—(1) Section 85 (procedure on receipt of certificate by designated officer) is amended as follows.U.K.

(2) In subsection (1), for paragraphs (a) and (b) substitute—

“(a)a decision, or a certified copy of a decision, requiring payment of a financial penalty,                  

(b)a certificate requesting enforcement under the Framework Decision on financial penalties, and”.                  

(3) After subsection (4) insert—

“(4A)If the magistrates' court is of the view that one or more of the grounds for refusal mentioned in paragraphs A1, 2A and 6                        of Schedule 19 may apply, the designated officer for the magistrates' court or the Lord Chancellor must, before the magistrates'                        court takes a decision under subsection (3)—                  

(a)consult the competent authority or central authority concerned, and                  

(b)request the authority to supply without delay any further information required.”.                  

(4) After subsection (7) insert—

“(7A)But any power of a magistrates' court to impose a relevant alternative sanction in connection with a default in paying the                        financial penalty—                  

(a)may be exercised only if its exercise is authorised by the certificate, and                  

(b)is subject to any provision of the certificate specifying the maximum level of sanction that may be imposed.                  

(7B)“Any power of a magistrates' court to impose a relevant alternative sanction” means any of the following powers conferred                        on a magistrates' court by virtue of subsection (6)—                  

(a)the power under section 76 of the Magistrates' Courts Act 1980 to issue a warrant committing a person to prison;                  

(b)the power under Schedule 6 to the Courts Act 2003 to make an order requiring a person to perform unpaid work;                  

(c)the power under section 300 of the Criminal Justice Act 2003 to order a person to comply with an unpaid work requirement,                           a curfew requirement or an attendance centre requirement;                  

(d)the power under section 301 of that Act to order a person to be disqualified for holding or obtaining a driving licence;                  

(e)the power under section 39 of this Act to order a person aged under 18 to comply with an unpaid work requirement, a curfew                           requirement or an attendance centre requirement.”.                  

(5) After subsection (7B) (as inserted by sub-paragraph (4) above) insert—

“(7C)If the person required to pay the financial penalty to which the certificate relates provides evidence that all or part of                        the penalty has been paid in any State, the designated officer for the magistrates' court or the Lord Chancellor must—                  

(a)consult the competent authority or central authority concerned, and                  

(b)request the authority to supply without delay any further information required.”.                  

(6) For subsection (8) substitute—

“(8)If—                  

(a)the certificate requesting enforcement under the Framework Decision on financial penalties states that part of the financial                           penalty has been paid,                  

(b)the Lord Chancellor is informed, in accordance with Article 15(3) of that Decision, that all or part of the financial penalty                           has been paid, or                  

(c)the magistrates' court is satisfied, having regard to evidence provided as mentioned in subsection (7C) and following consultation                           under that subsection, that all or part of the financial penalty has been paid in any State,                  

the references in subsections (6) and (7A) to the financial penalty are to be read as references to so much of the penalty                        as remains unpaid (and, accordingly, if none of the penalty remains unpaid, subsection (6) ceases to have effect in relation                        to the penalty).”.                  

(7) In relation to any time before the coming into force of section 61 of the Criminal Justice and Court Services Act 2000 (abolition                     of sentences of detention in a young offender institution), section 85(7B) of the Criminal Justice and Immigration Act 2008                     applies as if after paragraph (a) there were inserted—                  

“(aa)the power under section 108 of the Powers of Criminal Courts (Sentencing) Act 2000 to commit a person to detention;”.                  

(8) In relation to any time before the coming into force of section 303(b)(iii) of the Criminal Justice Act 2003 (repeal of sections                     35 and 40 of the Crime (Sentences) Act 1997), section 85(7B) of the Criminal Justice and Immigration Act 2008 applies as if                     after paragraph (aa), as treated as inserted by sub-paragraph (7) above, there were inserted—                  

“(ab)the power under section 35 of the Crime (Sentences) Act 1997 to make a community service order or a curfew order;                  

(ac)the power under section 40 of that Act to order a person to be disqualified for holding or obtaining a driving licence;”.                  

(9) In relation to any time before the coming into force of section 6(1) of the Criminal Justice and Immigration Act 2008 (abolition                     of certain youth orders) as respects the abolition of attendance centre orders, section 85(7B) of that Act applies as if after                     paragraph (ac), as treated as inserted by sub-paragraph (8) above, there were inserted—                  

“(ad)the power under section 60 of the Powers of Criminal Courts (Sentencing) Act 2000 to order a person to attend an attendance                           centre;”.                  

6.—(1) Section 86 (modification of Magistrates' Courts Act 1980) is amended as follows.U.K.

(2) After subsection (2) insert—

“(3)Where a transfer of fine order is made under section 90 of the Magistrates' Courts Act 1980 as applied by section 85(6) of                        this Act—                  

(a)subsections (6A) to (7) of section 88 of this Act apply in relation to the powers conferred by Article 96 of the Magistrates'                           Courts (Northern Ireland) Order 1981 (S.I. 1981/1675 (N.I. 26)) (transfer of fines to Northern Ireland) as a result of the order as they apply in relation to the powers                           conferred on a magistrates' court by virtue of section 88(6) of this Act, and                  

(b)for this purpose—                  

(i)references in those subsections to the financial penalty are to be treated as references to the financial penalty to which                           the order relates, and                  

(ii)references in those subsections to the certificate are to be treated as references to the certificate by virtue of which the                           order is made.”.                  

(3) In the heading, at the end insert “ etc ”.                  

7.  In section 87 (requests from other member States: Northern Ireland) F80, in subsection (1)(a), for sub-paragraphs (i) and (ii) substitute—U.K.

“(i)a decision, or a certified copy of a decision, requiring payment of a financial penalty, and                  

(ii)a certificate requesting enforcement under the Framework Decision on financial penalties, and”.                  

F80Section 87 was amended by S.I. 2010/976.

8.—(1) Section 88 (procedure on receipt of certificate by clerk of petty sessions) F81 is amended as follows.U.K.

(2) In subsection (1), for paragraphs (a) and (b) substitute—

“(a)a decision, or a certified copy of a decision, requiring payment of a financial penalty,                  

(b)a certificate requesting enforcement under the Framework Decision on financial penalties, and”.                  

(3) After subsection (4) insert—

“(4A)If the magistrates' court is of the view that one or more of the grounds for refusal mentioned in paragraphs A1, 2A and 6                        of Schedule 19 may apply, the designated officer for the magistrates' court or the Department of Justice must, before the                        magistrates' court takes a decision under subsection (3)—                  

(a)consult the competent authority or central authority concerned, and                  

(b)request the authority to supply without delay any further information required.”.                  

(4) After subsection (6) insert—

“(6A)But any power of a magistrates' court to impose a relevant alternative sanction in connection with a default in paying the                        financial penalty—                  

(a)may be exercised only if its exercise is authorised by the certificate, and                  

(b)is subject to any provision of the certificate specifying the maximum level of sanction that may be imposed.                  

(6B)“Any power of a magistrates' court to impose a relevant alternative sanction” means any of the following powers conferred                        on a magistrates' court by virtue of subsection (6)—                  

(a)the power under Article 92(1)(b) or (c) of the Magistrates' Courts (Northern Ireland) Order 1981 (S.I. 1981/1675 (N.I. 12))                           to issue a warrant committing a person to prison;                  

(b)the power under Article 37 of the Criminal Justice (Children) (Northern Ireland) Order 1998 (S.I. 1998/1504 (N.I. 9) to make                           an attendance centre order;                  

(c)the power under Article 48 of the Criminal Justice (Children) (Northern Ireland) Order 1998 to commit a person aged 16 to                           18 to custody in a young offenders' institution.”.                  

(5) After subsection (6B) (as inserted by sub-paragraph (4) above) insert—

“(6C)If the person required to pay the financial penalty to which the certificate relates provides evidence that all or part of                        the penalty has been paid in any State, the designated officer for the magistrates' court or the Department of Justice must—                  

(a)consult the competent authority or central authority concerned, and                  

(b)request the authority to supply without delay any further information required.”.                  

(6) For subsection (7) substitute—

“(7)If—                  

(a)the certificate requesting enforcement under the Framework Decision on financial penalties states that part of the financial                           penalty has been paid,                  

(b)the Department of Justice is informed, in accordance with Article 15(3) of that Decision, that all or part of the financial                           penalty has been paid, or                  

(c)the magistrates' court is satisfied, having regard to evidence provided as mentioned in subsection (6C) and following consultation                           under that subsection, that all or part of the financial penalty has been paid in any State,                  

the references in subsections (6) and (6A) to the financial penalty are to be read as references to so much of the penalty                        as remains unpaid (and, accordingly, if none of the penalty remains unpaid, subsection (6) ceases to have effect in relation                        to the penalty).”.                  

F81Section 88 was amended by S.I. 2010/976.

9.—(1) Section 89 (modification of Magistrates' Courts (Northern Ireland) Order 1981) F82 is amended as follows.U.K.

(2) After subsection (5) insert—

“(6)Where a transfer of fine order is made under Article 95 of the Magistrates' Courts (Northern Ireland) Order 1981 as applied                        by section 88(6) of this Act—                  

(a)subsections (7A) to (8) of section 85 of this Act apply in relation to the powers conferred by section 91 of the Magistrates'                           Courts Act 1980 (transfer of fines from Northern Ireland) as a result of the order as they apply in relation to the powers                           conferred on a magistrates' court by virtue of section 85(6) of this Act, and                  

(b)for this purpose—                  

(i)references in those subsections to the financial penalty are to be treated as references to the financial penalty to which                           the order relates, and                  

(ii)references in those subsections to the certificate are to be treated as references to the certificate by virtue of which the                           order is made.”.                  

(3) In the heading, at the end insert “ etc ”.                  

F82Section 89(5) was amended by S.I. 2010/976.

10.  In section 90 (transfer of certificates to central authority for Scotland) F83, in subsection (1)(a), for sub-paragraphs (i) and (ii) substitute—U.K.

“(i)a decision, or a certified copy of a decision, requiring payment of a financial penalty, and                  

(ii)a certificate requesting enforcement under the Framework Decision on financial penalties, but”.                  

F83Section 90 was amended by S.I. 2010/976.

11.—(1) Section 90A (transfer of certificates by Department of Justice to Lord Chancellor and vice versa) F84 is amended as follows.U.K.

(2) In subsection (1)(a), for sub-paragraphs (i) and (ii) substitute—

“(i)a decision, or a certified copy of a decision, requiring payment of a financial penalty, and                  

(ii)a certificate requesting enforcement under the Framework Decision on financial penalties, or”.                  

(3) In subsection (3)(a), for sub-paragraphs (i) and (ii) substitute—

“(i)a decision, or a certified copy of a decision, requiring payment of a financial penalty, and                  

(ii)a certificate requesting enforcement under the Framework Decision on financial penalties, or”.                  

F84Section 90A was inserted by S.I. 2010/976.

12.—(1) Section 91 (recognition of financial penalties: general) F85 is amended as follows.U.K.

(2) In subsection (2), after “85(3)” insert “, (4A)” and after “ 88(3) ” insert “ , (4A) ”.                  

(3) In subsection (4), omit “81(4), 83(4)”.

F85Section 91 was amended by S.I. 2010/976.

13.  In section 92 (interpretation of sections 80 to 91 etc) F86, in the definition of “decision” in subsection (2), for “in sections 85(4) and 88(4))” substitute “ where the context requires otherwise) ”.U.K.

F86Section 92 was amended by S.I. 2010/976.

14.  In section 147 (orders, rules and regulations) F87, in subsection (5)(d), omit “81(4) or”.U.K.

F87Section 147 was amended by S.I. 2010/976.

15.  In section 152 (extent)—U.K.

(a)in subsection (3)(e), for “and (7)” substitute “ to (7B) ”, and

(b)in subsection (4)(b), for “to 89” substitute “ , 88 and 89(1) to (5) ”.

16.—(1) Schedule 19 (grounds for refusal to enforce financial penalties) F88 is amended as follows.U.K.

(2) Before paragraph 1 insert—

“A1.The certificate is incomplete or obviously does not correspond to the decision.”.                  

(3) After paragraph 2 insert—

“2A.Enforcement of the financial penalty is statute-barred under the law of the relevant part of the United Kingdom and the decision                        was made in respect of conduct that, under the law of that part of the United Kingdom, falls within its jurisdiction.”.                  

(4) In paragraph 3, omit sub-paragraph (2).

(5) After paragraph 3 insert—

“3A.The decision was made in respect of conduct—                  

(a)that occurred in the relevant part of the United Kingdom, and                  

(b)does not constitute an offence under the law of that part of the United Kingdom.”.                  

(6) In paragraph 4, omit sub-paragraph (2).

(7) After paragraph 5 insert—

“5A.It appears that the decision was in fact made for the purpose of punishing the liable person on account of the liable person's                        race, ethnic origin, religion, nationality, language, gender, sexual orientation or political opinions.”.                  

(8) For paragraph 6 substitute—

“6.—(1)The certificate indicates that the proceedings in which the decision was made were conducted in writing but does not confirm                        that the liable person was informed of—                  

(a)the right to contest the proceedings, and                  

(b)the time limits that applied to the exercise of that right.                  

(2)The certificate indicates that the proceedings in which the decision was made provided for a hearing to take place and that                        the liable person did not attend but does not contain the statement described in—                  

(a)Article 7(2)(i)(i) (liable person summoned in person or by other means actually notified of scheduled date and place of hearing                           and informed that decision may be made in his or her absence),                  

(b)Article 7(2)(i)(ii) (liable person's defence conducted at hearing by authorised legal representative),                  

(c)Article 7(2)(i)(iii) (liable person indicated intention not to contest decision or did not exercise right to further hearing                           or appeal within time limit), or                  

(d)Article 7(2)(j) (liable person expressly waived right to attend and indicated intention not to contest proceedings).                  

(3)In this paragraph references to Articles are to Articles of the Framework Decision on financial penalties.”.                  

(9) In paragraph 47, in sub-paragraph (1), after paragraph (b) insert—

“(c)“relevant part of the United Kingdom” means—                  

(i)England and Wales, in the application of this Schedule to England and Wales, and                  

(ii)Northern Ireland, in the application of this Schedule to Northern Ireland.”                  

F88Schedule 19 was amended by S.I. 2010/976.

 Regulation 27

## SCHEDULE 4U.K.UK competent authorities

### **PART 1**U.K.

#### 

The Association of Chief Police Officers

#### 

The Chief Officer of a Police force for a Police Area in England and Wales

#### 

The Chief Constable of the Police Service of Northern Ireland

#### 

The Chief Constable of the Police Service of Scotland

#### 

F89...                  

#### 

The Crown Agent

#### 

The Director-General of the Northern Ireland Prison Service

#### 

The Director of Public Prosecutions

#### 

[F90The Director of Public Prosecutions for Northern Ireland]                   

#### 

The Financial Conduct Authority

#### 

F91...                  

#### 

The Health and Safety Executive

#### 

Her Majesty's Revenue and Customs

#### 

F91...                  

#### 

The Information Commissioner

#### 

The Lord Advocate

#### 

F91...                  

#### 

The Ministry of Defence Police Service

#### 

F91...                  

#### 

The National Crime Agency

#### 

The Northern Ireland Department of Justice

#### 

The Port of Dover Police

#### 

A Procurator Fiscal

#### 

The Scottish Court Service

#### 

The Scottish Information Commissioner

#### 

The Scottish Ministers

#### 

The Scottish Police Authority

#### 

The Secretary of State for F92... Communities and Local Government                  

#### 

[F93The Secretary of State for Defence]                   

#### 

The Secretary of State for F92... Energy and Climate Change                  

#### 

The Secretary of State for F92... Environment, Food and Rural Affairs                  

#### 

[F94The Secretary of State for Foreign and Commonwealth Affairs]                   

#### 

The Secretary of State for F92... Health                  

#### 

[F95The Secretary of State for the Home Department]                   

#### 

[F95The Secretary of State for Justice]                   

#### 

The Secretary of State for F92... Transport                  

#### 

The Secretary of State for F92... Work and Pensions                  

#### 

The Serious Fraud Office

### **PART 2**U.K.

#### 

An agency or other body established by a legal instrument adopted under Title VI of the Treaty on European Union (as it had                     effect before 1st December 2009) or Chapter 1, 4 or 5 of Title V of Part Three of the Treaty on the Functioning of the European                     Union that is in the UK.                  

 Regulation 51

## SCHEDULE 5U.K.Functions of the Commissioner under the Act: modifications

 Regulations 85 and 104

## SCHEDULE 6E+W+N.I.Grounds for refusal to monitor supervision measures

### **PART 1**E+W+N.I.Grounds for refusal

1.  The certificate requesting monitoring under the Framework Decision—E+W+N.I.

(a)is incomplete or obviously does not correspond to the decision on supervision measures, and

(b)is not completed or corrected within the period specified under regulation 86(3)(c) or 105(3)(c).

2.—(1) Where the person subject to the decision on supervision measures is lawfully and ordinarily resident in the relevant part                     of the United Kingdom, the person has not consented to return there with a view to the supervision measures being monitored                     there under the Framework Decision.E+W+N.I.

(2) Where the person subject to the decision on supervision measures is not lawfully and ordinarily resident in the relevant part                     of the United Kingdom, the person—                  

(a)has not asked for a request to be made for monitoring of the supervision measures under the Framework Decision by a competent                        authority in that part of the United Kingdom, or

(b)has asked for such a request to be made but has not given adequate reasons as to why it should be made.

3.  The certificate includes measures other than those referred to in Article 8(1) of the Framework Decision (types of supervision                     measures).E+W+N.I.

4.  Recognition of the decision on supervision measures would contravene the principle of *ne bis in idem*.E+W+N.I.

5.—(1) The decision on supervision measures was based on conduct that would not constitute an offence under the law of the relevant                     part of the United Kingdom if it occurred there.E+W+N.I.

(2) But sub-paragraph (1) does not apply if—

(a)the conduct is specified in Part 2 of this Schedule, and

(b)the conduct is punishable under the law of the issuing State with imprisonment or another form of detention for a term of                        3 years or a greater punishment.

(3) For the purposes of sub-paragraph (1) —

(a)if the conduct relates to a tax or duty, it does not matter whether the law of the relevant part of the United Kingdom contains                        the same kind of tax or duty or contains rules of the same kind as those of the law of the issuing State;

(b)if the conduct relates to customs or exchange, it does not matter whether the law of the relevant part of the United Kingdom                        contains rules of the same kind as those of the law of the issuing State.

6.  The decision was based on conduct where, under the law of the relevant part of the United Kingdom—E+W+N.I.

(a)the criminal prosecution of the conduct would be statute-barred, and

(b)the conduct falls within the jurisdiction of that part of the United Kingdom.

7.  The decision on supervision measures was based on conduct by a person who was under the age of 10 when the conduct took place.E+W+N.I.

8.  The conduct on which the decision on supervision measures was based is such that—E+W+N.I.

(a)if there was a breach of the supervision measures, and

(b)a warrant was issued by the issuing State for the arrest of the person subject to the decision,

the person would have to be discharged at an extradition hearing under the Extradition Act 2003 F96.                  

F962003 c.41.

9.  It appears that the decision on supervision measures was in fact made for the purpose of punishing the person subject to the                     decision on account of the person's race, ethnic origin, religion, nationality, language, gender, sexual orientation or political                     opinions.E+W+N.I.

### **PART 2**E+W+N.I.European Framework List (supervision measures)

10.  Participation in a criminal organisation.E+W+N.I.

11.  Terrorism.E+W+N.I.

12.  Trafficking in human beings.E+W+N.I.

13.  Sexual exploitation of children and child pornography.E+W+N.I.

14.  Illicit trafficking in narcotic drugs and psychotropic substances.E+W+N.I.

15.  Illicit trafficking in weapons, munitions and explosives.E+W+N.I.

16.  Corruption.E+W+N.I.

17.  Fraud, including that affecting the financial interests of the European Union within the meaning of the Convention of 26th                     July 1995 F97 on the protection of the European Union's financial interests.U.K.

F97OJ No. C 316, 27.11.1995, p. 49.

18.  Laundering of the proceeds of crime.E+W+N.I.

19.  Counterfeiting currency, including of the euro.E+W+N.I.

20.  Computer-related crime.E+W+N.I.

21.  Environmental crime, including illicit trafficking in endangered animal species and in endangered plant species and varieties.E+W+N.I.

22.  Facilitation of unauthorised entry and residence.E+W+N.I.

23.  Murder, grievous bodily injury.E+W+N.I.

24.  Illicit trade in human organs and tissue.E+W+N.I.

25.  Kidnapping, illegal restraint and hostage-taking.E+W+N.I.

26.  Racism and xenophobia.E+W+N.I.

27.  Organised or armed robbery.E+W+N.I.

28.  Illicit trafficking in cultural goods, including antiques and works of art.E+W+N.I.

29.  Swindling.E+W+N.I.

30.  Racketeering and extortion.E+W+N.I.

31.  Counterfeiting and piracy of products.E+W+N.I.

32.  Forgery of administrative documents and trafficking therein.E+W+N.I.

33.  Forgery of means of payment.E+W+N.I.

34.  Illicit trafficking in hormonal substances and other growth promoters.E+W+N.I.

35.  Illicit trafficking in nuclear or radioactive materials.E+W+N.I.

36.  Trafficking in stolen vehicles.E+W+N.I.

37.  Rape.E+W+N.I.

38.  Arson.E+W+N.I.

39.  Crimes within the jurisdiction of the International Criminal Court.E+W+N.I.

40.  Unlawful seizure of aircraft or ships.E+W+N.I.

41.  Sabotage.E+W+N.I.

### **PART 3**E+W+N.I.Interpretation

42.  In this Schedule—E+W+N.I.

“conduct” includes any act or omission;                  

“relevant part of the United Kingdom” means—                  

England and Wales, in the application of this Schedule to England and Wales, or

Northern Ireland, in the application of this Schedule to Northern Ireland.

## Explanatory Note

(This note is not part of the Regulations)

These Regulations give effect to Commission Decision 2014/858/EU (OJ No. L 345, 1.12.2014, p. 6) and Council Decision 2014/857/EU (OJ No. L 345, 1.12.2014, p. 1) (together “the Protocol 36 Decisions”),                        made under Article 10(5) of Protocol (No. 36) on transitional provisions (“Protocol 36”) to the Treaty on European Union,                        the Treaty on the Functioning of the European Union (“TEU” and “TFEU” respectively) and the Treaty establishing the European                        Atomic Energy Community.                     

Article 10(4), first sub-paragraph, of Protocol 36 gave the United Kingdom the power to notify the Council that it did not                        accept, with respect to acts of the Union in the field of police cooperation and judicial cooperation in criminal matters                        which had been adopted before the entry into force of the Treaty of Lisbon (“the relevant acts”), the powers of the Commission                        and of the Court of Justice as referred to in Article 10(1) of Protocol 36. By letter to the President of the Council of 24th                        July 2013, the United Kingdom made use of this power, with the consequence that the relevant acts ceased to apply to the United                        Kingdom on 1st December 2014.                     

Article 10(5) of Protocol 36 allows the United Kingdom to notify the Council of its wish to re-participate in the relevant                        acts. By letter to the President of the Council, the United Kingdom made use of this power under Article 10(5) of Protocol                        36 in relation to some of the relevant acts. For those relevant acts which are part of the Schengen *acquis*, the process for re-participation is set out in Protocol (No. 19) on the Schengen *aquis* integrated into the framework of the European Union. For all other relevant acts, the process for re-participation is set                        out in Protocol (No. 21) on the position of the United Kingdom and Ireland in respect of the area of Freedom, Security and                        Justice and in Article 331(1) TFEU.                     

Under these processes, the Protocol 36 Decisions were adopted and the United Kingdom's re-participation in some of the relevant                        acts has been confirmed.                     

Pursuant to the Protocol 36 Decisions, the United Kingdom must transpose a number of provisions in the relevant acts which                        it is re-participating in. These Regulations make such transposing provision in relation to Council Framework Decision 2002/465/JHA                        of 13th June 2002 on joint investigation teams (OJ L 162, 20.6.2002, p.1) (“JITs”), Council Framework Decision 2005/214/JHA                        of 24th February 2005 on the application of the principle of mutual recognition to financial penalties (OJ L 76, 22.3.2005,                        p.16) (“MRFP”), Council Framework Decision 2006/783/JHA of 6th October 2006 on the application of the principle of mutual                        recognition to confiscation orders (OJ L 328, 24.11.2006, p.59) (“confiscation orders Framework Decision”), Council Framework                        Decision 2006/960/JHA of 18th December 2006 on simplifying the exchange of information and intelligence between law enforcement                        authorities of the Member States of the European Union (OJ L 386, 29.12.2006, p.89) (“the Swedish Initiative”), Council Framework                        Decision 2008/909/JHA of 27th November 2008 on the application of the principle of mutual recognition to judgments in criminal                        matters imposing custodial sentences or measures involving deprivation of liberty for the purpose of their enforcement in                        the European Union (OJ L 327, 5.12.2008, p.27) (“Prisoner Transfer Framework Decision”), Council Framework Decision 2008/977/JHA                        of 27th November 2008 on the protection of personal data processed in the framework of police and judicial cooperation in                        criminal matters (OJ L 350, 30.12.2008, p.60) (“DPFD”), Council Framework Decision 2009/315/JHA of 26th 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, p.23), Council Decision 2009/316/JHA of 6th 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, p.33) (together “ECRIS”),                        and Council Framework Decision 2009/829/JHA of 23rd October 2009 on the application, between Member States of the European                        Union, of the principle of mutual recognition to decisions on supervision measures as an alternative to provisional detention                        (OJ L 294, 11.11.2009, p.20) (“ESO”).                     

Pursuant to the operation of Article 10(2) and (4) of Protocol 36, these Regulations also make transposing provision in relation                        to Council Framework Decision 2003/577/JHA of 22nd July 2003 on the execution in the European Union of orders freezing property                        or evidence (OJ L 196, 2.8.2003, p.45) (“freezing orders Framework Decision”).                     

Part 2 of, and Schedules 1 and 2 to, these Regulations make provision in relation to the freezing and confiscation of criminal                        assets, including the instrumentalities of crime (instrumentalities are assets used for criminal conduct). Part 2 (and Schedules                        1 and 2) transposes the freezing orders Framework Decision (to the extent that the Framework Decision has not already been                        transposed by the Crime (International Co-operation) Act 2003) and the confiscation orders Framework Decision, including that                        measure as amended by Council Framework Decision 2009/299/JHA of 26th February 2009 amending, inter alia, the confiscation                        orders Framework Decision, thereby enhancing the procedural rights of persons and fostering the application of the principle                        of mutual recognition to decisions rendered in the absence of the person concerned at the trial (“Trials *in absentia*”).                     

The Proceeds of Crime Act 2002 makes provision for the freezing and confiscation of criminal property (Part 2 in relation                        to England and Wales, Part 3 as respects Scotland and Part 4 in relation to Northern Ireland) by means of restraint orders                        and confiscation orders. Chapters 2 to 4 of Part 2 (and Schedules 1 and 2) make for England and Wales, Scotland and Northern                        Ireland, respectively, provision to enable the restraint and confiscation orders made by UK court's against property in other                        member States, to be enforced by the authorities in those states. These Regulations also make provision to allow our domestic                        courts to recognise and enforce restraint and confiscation orders made against property in the UK, or persons normally resident                        in the UK, made by the authorities in other member States. Chapter 5 makes provision in relation to various communication                        requirements set out in the Framework Decisions, and for saved orders made under predecessor legislation to the Proceeds of                        Crime Act 2002 to be enforced by the authorities in other member States.                     

Part 3 of, and Schedule 3 to, these Regulations completes the transposition of the MRFP, including the provisions of MRFP                        as amended by Trials *in absentia*. MRFP was largely transposed in the Criminal Justice and Immigration Act 2008. Paragraphs 2 and 3 of Schedule 3 make amendments                        as regards the issuing of a certificate in England and Wales and Northern Ireland requesting enforcement of a financial penalty                        in another member State. Paragraphs 5 to 8 make amendments as regards the enforcement of a financial penalty in England and                        Wales and Northern Ireland which has been transferred under MRFP, including provision that any alternative sanction may only                        be applied in so far as it is authorised by the transferring Member State. Paragraph 9 makes amendments as regards the enforcement                        of a financial penalty in England and Wales which has been transferred under MRFP and transferred from Northern Ireland to                        England and Wales. Paragraph 16 makes amendments as regards the grounds on which a court in England and Wales and Northern                        Ireland must refuse to enforce a financial penalty transferred under MRFP. Paragraphs 4, 5(2), 7, 8(2) and 11 to 15 make amendments                        consequential on the amendments in Schedule 3.                     

Part 4 of these Regulations transposes the DPFD. In relation to the DPFD, these Regulations establish a legal framework which                        applies to competent authorities in EEA States when transmitting or making available personal data to competent authorities                        in other EEA States for the prevention, investigation, detection or prosecution of criminal penalties. In implementing the                        DPFD this Part applies instead of the Data Protection Act 1998, except as provided for by this Part.                     

In implementing the DPFD Part 4 provides, amongst other things, for principles that govern the processing of personal data                        (with extra safeguards where the data is especially sensitive); a power for competent authorities to undertake automated processing;                        rules that permit the sharing of data with non-EEA States; procedures for monitoring the length of time for which personal                        data is held; a right for a individual to ask for inaccurate data to be rectified, erased or blocked; and a right for an individual                        to seek limited information about processing done in relation to them.                     

Part 5 of these Regulations transposes the Swedish Initiative, and one provision for JITs on information exchange and use                        of data. This Part imposes obligations on competent authorities in the United Kingdom to supply information or intelligence                        when requested by competent authorities of other States in accordance with the Framework Decision. In addition, this Part                        enables competent authorities in the United Kingdom to request information and intelligence from competent authorities in                        other States in accordance with the Framework Decision.                     

Part 6 of these Regulations transposes ECRIS which sets out a framework for the computerised exchange of information on convictions                        in the European Union. Part 6 implements the obligations in ECRIS firstly by designating the Chief Constable of Hampshire                        Constabulary as a “central authority”, which is the body responsible for the tasks relating to the exchange of information                        on convictions for the whole of the UK. Part 6 also sets out obligations to store information on convictions and procedures                        to be followed when replying to requests for information from other member States.                     

Part 7 of these Regulations (Chapter 2 for England and Wales, Chapter 3 for Northern Ireland) transposes the ESO which sets                        out a framework for the mutual recognition of decisions on supervision measures (bail conditions) in the European Union. Chapter                        2 makes provision enabling: (a) certain domestic courts to make a request to a competent authority in another member State                        to monitor the supervision measures in relation to a person granted bail under the Bail Act 1976 (the Bail Act is modified                        so that conditions of bail can include those that can only be complied with in the relevant member State); and (b) a magistrates'                        court to recognise a decision on supervision measures imposed on a person by a competent authority in another member State,                        and to take steps to secure the monitoring of those measures.                     

Chapter 2 (and Schedule 6) also makes provision for the applicable supervision measures, the procedural requirements, the                        grounds for refusal, the effect of recognition of a decision on supervision measures, the duties and powers of the courts                        in relation to the supervision measures, arrest and detention for breach (suspected or anticipated) of a supervision measure                        in certain circumstances, and the exchange of information. Chapter 3 largely mirrors the provisions in Chapter 2, but with                        reference to the relevant legislative provisions in Northern Ireland.                     

Part 8 provides for the extension to Northern Ireland of speciality and transit provisions in the Repatriation of the Prisoners                        Act 1984 in respect of prisoner transfer arrangements and ensures that the term “international arrangements” in that Act is                        capable of applying to the Prisoner Transfer Framework Decision.                     

An impact assessment in respect of the Government's anticipated exercise of its power under Article 10(5) of Protocol 36,                        of the anticipated Protocol 36 Decisions, and the relevant acts covered by these Regulations was laid before Parliament in                        July 2014 (Cm 8897), and can be found at https://www.gov.uk/government/publications/decision-pursuant-to-article-105-of-protocol-36-to-the-treaty-on-the-functioning-of-the-european-union.