Council Framework Decision 2005/214/JHA of 24 February 2005 on the application of the principle of mutual recognition to financial penalties
Date: 2005-02-24
Institutions: Council of the European Union
Subjects: European judicial area, enforcement of ruling, fine, judicial cooperation in civil matters in the EU, judicial cooperation in criminal matters in the EU, mutual recognition principle

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(Acts adopted pursuant to Title VI of the Treaty on European Union)

COUNCIL FRAMEWORK DECISION 2005/214/JHA

of 24 February 2005

on the application of the principle of mutual recognition to financial penalties

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on European Union, and in
particular Articles 31(a) and 34(2)(b) thereof,

Having regard to the initiative of the United Kingdom of Great
Britain and Northern Ireland,
the French Republic and the
Kingdom of Sweden (1),

Having regard to the opinion of the European Parliament (2),

Whereas:

(1)

(2)

(3)

(4)

(5)

The European Council meeting in Tampere on 15 and
16 October 1999 endorsed the principle of mutual
recognition, which should become the cornerstone of
judicial cooperation in both civil and criminal matters
within the Union.

The principle of mutual recognition should apply to
financial penalties imposed by judicial or administrative
authorities for the purpose of facilitating the enforcement
of such penalties in a Member State other than the State
in which the penalties are imposed.

to implement

On 29 November 2000 the Council, in accordance with
the Tampere conclusions, adopted a programme of
measures
the principle of mutual
recognition of decisions in criminal matters (3), giving
priority to the adoption of an instrument applying the
principle of mutual recognition to financial penalties
(measure 18).

This Framework Decision should also cover financial
penalties imposed in respect of road traffic offences.

This Framework Decision respects fundamental rights
and observes the principles recognised by Article 6 of the
Treaty and reflected by the Charter of Fundamental
Rights of the European Union (4), in particular Chapter VI
thereof. Nothing in this Framework Decision may be
interpreted as prohibiting refusal to execute a decision

(1) OJ C 278, 2.10.2001, p. 4.
(2) OJ C 271 E, 7.11.2002, p. 423.
(3) OJ C 12, 15.1.2001, p. 10.
(4) OJ C 364, 18.12.2000, p. 1.

that

when there are reasons to believe, on the basis of
objective elements,
the financial penalty has the
purpose of punishing a person on the grounds of his or
her sex, race, religion, ethnic origin, nationality, language,
that
political opinions or sexual orientation, or that
person's position may be prejudiced for any of these
reasons.

(6)

This Framework Decision does not prevent a Member
State from applying its constitutional rules relating to
due process, freedom of association, freedom of the press
and freedom of expression in other media,

HAS ADOPTED THIS FRAMEWORK DECISION:

Article 1

Definitions

For the purposes of this Framework Decision:

(a)

‘decision’ shall mean a final decision requiring a financial
penalty to be paid by a natural or legal person where the
decision was made by:

(i) a court of the issuing State in respect of a criminal

offence under the law of the issuing State;

(ii) an authority of the issuing State other than a court in
respect of a criminal offence under the law of
the
issuing State, provided that the person concerned has
had an opportunity to have the case tried by a court
having jurisdiction in particular in criminal matters;

(iii) an authority of the issuing State other than a court in
respect of acts which are punishable under the national
law of the issuing State by virtue of being infringements
of the rules of law, provided that the person concerned
has had an opportunity to have the case tried by a court
having jurisdiction in particular in criminal matters;

(iv) a court having jurisdiction in particular in criminal
regarding

the decision was made

matters, where
a decision as referred to in point (iii);

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(b)

‘financial penalty’ shall mean the obligation to pay:

The General Secretariat of

the Council shall make the
3.
information received available to all Member States and the
Commission.

(i) a sum of money on conviction of an offence imposed

in a decision;

(ii) compensation imposed in the same decision for the
benefit of victims, where the victim may not be a civil
party to the proceedings and the court is acting in the
exercise of its criminal jurisdiction;

(iii) a sum of money in respect of the costs of court or
administrative proceedings leading to the decision;

Article 3

Fundamental rights

This Framework Decision shall not have the effect of amending
the obligation to respect fundamental rights and fundamental
legal principles as enshrined in Article 6 of the Treaty.

(iv) a sum of money to a public fund or a victim support

organisation, imposed in the same decision.

Article 4

A financial penalty shall not include:

Transmission of decisions and recourse to the central
authority

— orders

for
proceeds of crime,

the confiscation of

instrumentalities or

— orders that have a civil nature and arise out of a claim
for damages and restitution and which are enforceable
in
(EC)
No 44/2001 of 22 December 2000 on jurisdiction and
the recognition and enforcement of judgments in civil
and commercial matters (1);

accordance with

Regulation

Council

(c)

‘issuing State’ shall mean the Member State in which
a decision within the meaning of this Framework Decision
was delivered;

(d)

‘executing State’ shall mean the Member State to which
a decision has been transmitted for
the purpose of
enforcement.

Article 2

1. A decision, together with a certificate as provided for in
this Article, may be transmitted to the competent authorities of
a Member State in which the natural or legal person against
whom a decision has been passed has property or income, is
in the case of a legal person, has its
normally resident or,
registered seat.

2.
The certificate, the standard form for which is given in the
Annex, must be signed, and its contents certified as accurate, by
the competent authority in the issuing State.

3.
The decision or a certified copy of it, together with the
certificate, shall be transmitted by the competent authority in
the issuing State directly to the competent authority in the
executing State by any means which leaves a written record
under conditions allowing the executing State to establish its
authenticity. The original of the decision, or a certified copy of
to the
it, and the original of
executing State if it so requires. All official communications
shall also be made directly between the said competent
authorities.

the certificate, shall be sent

Determination of the competent authorities

The issuing State shall only transmit a decision to one

4.
executing State at any one time.

1.
Each Member State shall inform the General Secretariat of
the Council which authority or authorities, under its national
law, are competent according to this Framework Decision, when
that Member State is the issuing State or the executing State.

5.
If the competent authority in the executing State is not
known to the competent authority in the issuing State, the latter
shall make all necessary inquiries,
including via the contact
points of the European Judicial Network (2) in order to obtain
the information from the executing State.

2. Notwithstanding Article 4,
each Member State may
designate, if it is necessary as a result of the organisation of its
internal system, one or more central authorities responsible for
the administrative transmission and reception of the decisions
and to assist the competent authorities.

(1) OJ L 12, 16.1.2001, p. 1. Regulation as

Commission Regulation (EC) No 2245/2004 (OJ
28.12.2004, p. 10).

last amended by
L 381,

6. When an authority in the executing State which receives
a decision has no jurisdiction to recognise it and take the
necessary measures for its execution, it shall, ex officio, transmit
the decision to the competent authority and shall inform the
competent authority in the issuing State accordingly.

(2) Council Joint Action 98/428/JHA of 29 June 1998 on the creation

of a European Judicial Network (OJ L 191, 7.7.1998, p. 4).

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The United Kingdom and Ireland, respectively, may state in
7.
a declaration that the decision together with the certificate must
be sent via its central authority or authorities specified by it in
the declaration. These Member States may at any time by
a further declaration limit the scope of such a declaration for
the purpose of giving greater effect to paragraph 3. They shall
do so when the provisions on mutual assistance of
the
Schengen Implementation Convention are put into effect for
them. Any declaration shall be deposited with the General
Secretariat of the Council and notified to the Commission.

Article 5

Scope

— kidnapping, illegal restraint and hostage-taking,

— racism and xenophobia,

— organised or armed robbery,

— illicit trafficking in cultural goods,

including antiques and

works of art,

— swindling,

— racketeering and extortion,

— counterfeiting and piracy of products,

1.
The following offences, if they are punishable in the issuing
State and as they are defined by the law of the issuing State,
shall, under the terms of this Framework Decision and without
verification of the double criminality of the act, give rise to
recognition and enforcement of decisions:

— forgery of administrative documents and trafficking therein,

— forgery of means of payment,

— participation in a criminal organisation,

— illicit trafficking in hormonal substances and other growth

promoters,

— terrorism,

— illicit trafficking in nuclear or radioactive materials,

— trafficking in human beings,

— trafficking in stolen vehicles,

— sexual exploitation of children and child pornography,

— illicit

trafficking in narcotic drugs

and psychotropic

substances,

— rape,

— arson,

— illicit trafficking in weapons, munitions and explosives,

Court,

— crimes within the jurisdiction of the International Criminal

— corruption,

— fraud, including that affecting the financial interests of the
the
European Communities within the meaning of
Convention of 26 July 1995 on the protection of
the
European Communities' financial interests,

— laundering of the proceeds of crime,

— counterfeiting currency, including of the euro,

— computer-related crime,

— environmental

in
including
endangered animal species and in endangered plant species
and varieties,

trafficking

crime,

illicit

— facilitation of unauthorised entry and residence,

— murder, grievous bodily injury,

— illicit trade in human organs and tissue,

— unlawful seizure of aircraft/ships,

— sabotage,

— conduct which infringes road traffic regulations, including
breaches of regulations pertaining to driving hours and rest
periods and regulations on hazardous goods,

— smuggling of goods,

— infringements of intellectual property rights,

— threats and acts of violence against persons,

including

violence during sport events,

— criminal damage,

— theft,

— offences established by the issuing State and serving the
purpose
from
instruments adopted under the EC Treaty or under Title VI
of the EU Treaty.

implementing

obligations

arising

of

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The Council may decide to add other categories of offences
2.
to the lists in paragraph 1 at any time, acting unanimously after
consultation of the European Parliament under the conditions
laid down in Article 39(1) of the EU Treaty.

(c)

the execution of the decision is statute-barred according to
the law of the executing State and the decision relates to
acts which fall within the jurisdiction of that State under its
own law.

The Council shall consider, in the light of the report submitted
to it pursuant
to Article 20(5), whether the list should be
extended or amended. The Council shall consider the issue
further at a later stage on the basis of a report on the practical
the Framework Decision established by the
application of
Commission within 5 years after
the date mentioned in
Article 20(1).

3.
For offences other than those covered by paragraph 1, the
executing State may make the recognition and execution of
a decision subject to the condition that the decision is related to
conduct which would constitute an offence under the law of the
executing State, whatever the constituent elements or however it
is described.

Article 6

Recognition and execution of decisions

The competent authorities in the executing State shall recognise
a decision which has been transmitted in accordance with
Article 4 without any further formality being required and shall
forthwith take all
the necessary measures for its execution,
unless the competent authority decides to invoke one of the
grounds for non-recognition or non-execution provided for in
Article 7.

Article 7

(d) the decision relates to acts which:

(i) are regarded by the law of the executing State as having
been committed in whole or in part in the territory of
the executing State or in a place treated as such, or

(ii) have been committed outside the territory of the issuing
State and the law of the executing State does not allow
prosecution for the same offences when committed
outside its territory;

(e)

there is immunity under the law of the executing State,
which makes it impossible to execute the decision;

(f)

the decision has been imposed on a natural person who
under the law of the executing State due to his or her age
could not yet have been held criminally liable for the acts in
respect of which the decision was passed;

(g) according to the certificate provided for in Article 4, the

person concerned

(i)

in case of a written procedure was not, in accordance
with the law of the issuing State, informed personally or
via a representative, competent according to national
law, of his right to contest the case and of time limits of
such a legal remedy, or

Grounds for non-recognition and non-execution

(ii) did not appear personally, unless the certificate states:

The competent authorities in the executing State may
1.
refuse to recognise and execute the decision if the certificate
provided for in Article 4 is not produced,
is incomplete or
manifestly does not correspond to the decision.

2.
The competent authority in the executing State may also
refuse to recognise and execute the decision if it is established
that:

(a) decision against the sentenced person in respect of the same
acts has been delivered in the executing State or in any State
other than the issuing or the executing State, and, in the
latter case, that decision has been executed;

(b)

in one of the cases referred to in Article 5(3), the decision
relates to acts which would not constitute an offence under
the law of the executing State;

— that

the person was informed personally, or via
a representative, competent according to national
law, of the proceedings in accordance with the law
of the issuing State, or

— that the person has indicated that he or she does

not contest the case;

(h) the financial penalty is below EUR 70 or the equivalent to

that amount.

In cases referred to in paragraphs 1 and 2(c) and (g), before
3.
deciding not
to recognise and to execute a decision, either
totally or in part, the competent authority in the executing State
shall consult the competent authority in the issuing State, by
any appropriate means, and shall, where appropriate, ask it to
supply any necessary information without delay.

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Article 8

Article 11

Determination of the amount to be paid

Amnesty, pardon, review of sentence

1. Where it is established that the decision is related to acts
which were not carried out within the territory of the issuing
State, the executing State may decide to reduce the amount of
the penalty enforced to the maximum amount provided for acts
of the same kind under the national law of the executing State,
when the acts fall within the jurisdiction of that State.

1. Amnesty and pardon may be granted by the issuing State
and also by the executing State.

2. Without prejudice to the Article 10, only the issuing State
may determine any application for review of the decision.

if
The competent authority of the executing State shall,
2.
necessary, convert the penalty into the currency of the executing
State at the rate of exchange obtaining at the time when the
penalty was imposed.

Article 12

Termination of enforcement

Article 9

Law governing enforcement

1.
The competent authority of the issuing State shall forthwith
inform the competent authority of the executing State of any
decision or measure as a result of which the decision ceases to
be enforceable or is withdrawn from the executing State for any
other reason.

1. Without prejudice to paragraph 3 of this Article, and to
Article 10, the enforcement of the decision shall be governed by
the law of the executing State in the same way as a financial
penalty of the executing State. The authorities of the executing
State alone shall be competent to decide on the procedures for
enforcement and to determine all the measures relating thereto,
including the grounds for termination of enforcement.

In the case where the sentenced person is able to furnish
2.
the
totally or in part,
proof of a payment,
competent authority of the executing State shall consult the
competent authority of the Issuing State in the way provided for
in Article 7(3). Any part of the penalty recovered in whatever
manner in any State shall be deducted in full from the amount,
which is to be enforced in the executing State.

in any State,

The executing State shall

2.
the
decision as soon as it is informed by the competent authority of
the issuing State of that decision or measure.

terminate enforcement of

Article 13

Accrual of monies obtained from enforcement of decisions

Monies obtained from the enforcement of decisions shall accrue
to the executing State unless otherwise agreed between the
issuing and the executing State,
in particular in the cases
referred to in Article 1(b)(ii).

3. A financial penalty imposed on a legal person shall be
enforced even if the executing State does not recognise the
principle of criminal liability of legal persons.

Article 14

Information from the executing State

Article 10

The competent authority of the executing State shall without
delay inform the competent authority of the issuing State by
any means which leaves a written record:

Imprisonment or other alternative sanction by way of
substitution for non-recovery of the financial penalty

Where it is not possible to enforce a decision, either totally or
in part, alternative sanctions, including custodial sanctions, may
be applied by the executing State if its laws so provide in such
cases and the issuing State has allowed for the application of
such alternative sanctions in the certificate referred to in Article
4. The severity of the alternative sanction shall be determined in
accordance with the law of the executing State, but shall not
exceed any maximum level stated in the certificate transmitted
by the issuing State.

(a) of

the transmission of

the decision to the competent

authority, according to Article 4(6);

(b) of any decision not to recognise and execute a decision,
according to Articles 7 or 20(3), together with the reasons
for the decision;

(c) of the total or partial non-execution of the decision for the
reasons referred to in Article 8, Article 9(1) and (2), and
Article 11(1);

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(d) of the execution of the decision as soon as the execution

Article 18

has been completed;

(e) of

the application of alternative sanction, according to

Article 10.

Relationship with other agreements and arrangements

Article 15

Consequences of transmission of a decision

Subject to paragraph 2, the issuing State may not proceed
to

1.
with the execution of a decision transmitted pursuant
Article 4.

The right of execution of the decision shall revert to the

2.
issuing State:

(a) upon it being informed by the executing State of the total
or partial non-execution or the non-recognition or the non-
enforcement of the decision in the case of Article 7, with
the exception of Article 7(2)(a), in the case of Article 11(1),
and in the case of Article 20(3); or

(b) when the executing State has been informed by the issuing
the decision has been withdrawn from the

State that
executing State pursuant to Article 12.

3.
If, after transmission of a decision in accordance with
Article 4, an authority of the issuing State receives any sum of
money which the sentenced person has paid voluntarily in
respect of
inform the
competent authority in the executing State without delay.
Article 9(2) shall apply.

that authority shall

the decision,

Article 16

Languages

1.
The certificate, the standard form for which is given in the
Annex, must be translated into the official language or one of
the official languages of the executing State. Any Member State
may, either when this Framework Decision is adopted or at
a later date, state in a declaration deposited with the General
Secretariat of the Council that it will accept a translation in one
the
languages of
or more other official
Union.

the Institutions of

2.
The execution of the decision may be suspended for the
time necessary to obtain its translation at the expense of the
executing State.

Article 17

Costs

This Framework Decision shall not preclude the application of
bilateral or multilateral agreements or arrangements between
Member States in so far as such agreements or arrangements
this Framework Decision to be
allow the prescriptions of
exceeded and help to simplify or
the
facilitate
procedures for the enforcement of financial penalties.

further

Article 19

Territorial application

This Framework Decision shall apply to Gibraltar.

Article 20

Implementation

1. Member States shall take the necessary measures to comply
with the provisions of this Framework Decision by 22 March
2007.

2.
Each Member State may for a period of up to five years
from the date of entry into force of this Framework Decision
limit its application to:

(a) decisions mentioned in Article 1 (a)(i) and (iv); and/or

(b) with regard to legal persons, decisions related to conduct
the

for which a European instrument provides
for
application of the principle of liability of legal persons.

Any Member State that wants to make use of this paragraph,
shall notify a declaration to that effect to the Secretary General
of the Council upon the adoption of this Framework Decision.
The declaration shall be published in the Official Journal of the
European Union.

Each Member State may, where the certificate referred to in
3.
fundamental rights or
Article 4 gives rise to an issue that
fundamental
legal principles as enshrined in Article 6 of the
Treaty may have been infringed, oppose the recognition and the
execution of decisions. The procedure referred to in Article 7(3)
shall apply.

Member States shall not claim from each other the refund of
costs resulting from application of this Framework Decision.

4. Any Member State may apply the principle of reciprocity in
relation to any Member State making use of paragraph 2.

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5. Member States shall transmit to the General Secretariat of
the Council and to the Commission the text of the provisions
transposing into their national law the obligations imposed on
them under this Framework Decision. On the basis of a report
established on the basis of this information by the Commission,
the Council shall, no later than 22 March 2008, assess the
extent
to which Member States have complied with this
Framework Decision.

The General Secretariat of

the Council shall notify the
6.
Member States and the Commission of the declarations made
pursuant to Articles 4(7) and 16.

7. Without prejudice to Article 35(7) of the Treaty, a Member
State which has experienced repeated difficulties or lack of
activity by another Member State in the mutual recognition and
execution of decisions, which have not been solved through
bilateral consultations, may inform the Council with a view to
evaluating the implementation of this Framework Decision at
Member State level.

8. Any Member State which during a calendar year has
applied paragraph 3, shall
in the beginning of the following
calendar year inform the Council and the Commission of cases
in which the grounds referred to in that provision for non-
recognition or non-execution of a decision have been applied.

the entry into force of

this
9. Within seven years after
Framework Decision, the Commission shall establish a report
on the basis of the information received, accompanied by any
initiatives it may deem appropriate. The Council shall on the
basis of the report review this Article with a view to considering
whether paragraph 3 shall be retained or replaced by a more
specific provision.

Article 21

Entry into force

This Framework Decision shall enter into force on the day of its
publication in the Official Journal of the European Union.

Done at Brussels, 24 February 2005.

For the Council

The President

N. SCHMIT

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ANNEX

CERTIFICATE

referred to in Article 4 of Council Framework Decision 2005/214/JHA on the application of the principle of
mutual recognition to financial penalties

(a)

*

*

Issuing State:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Executing State: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b) The authority which issued the decision imposing the financial penalty:

Official name: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Address:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

File reference (…) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Tel. No: (country code) (area/city code)

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Fax No (country code) (area/city code) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

E-mail (when available)

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Languages in which it is possible to communicate with the issuing authority . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Contact details for person(s) to contact to obtain additional information for the purpose of the enforcement of
the decision or, where applicable, for the purpose of the transfer to the issuing State of monies obtained from
the enforcement (name, title/grade, tel. No., fax No., and, when available, E-mail) . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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(c) The authority competent for the enforcement of the decision imposing the financial penalty in the issuing State

(if the authority is different from the authority under point (b)):

Official name: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Address:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Tel. No: (country code) (area/city code)

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Fax No (country code) (area/city code) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

E-mail (when available)

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Languages in which it is possible to communicate with the authority competent for the enforcement . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Contact details for person(s) to contact to obtain additional information for the purpose of the enforcement of
the decision or, where applicable, for the purpose of the transfer to the issuing State of monies obtained from
the enforcement (name, title/grade, tel. No., fax No., and, when available, E-mail):
. . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d) Where a central authority has been made responsible for the administrative transmission of decisions imposing

financial penalties in the issuing State:

Name of the central authority:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Contact person, if applicable (title/grade and name):

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Address:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

File reference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Tel. No: (country code) (area/city code)

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Fax No: (country code) (area/city code)

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

E-mail (when available):

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

22.3.2005

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(e) The authority or authorities which may be contacted (in the case where point (c) and/or (d) has been filled):

 Authority mentioned under point (b)

Can be contacted for questions concerning:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

 Authority mentioned under point (c)

Can be contacted for questions concerning:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

 Authority mentioned under point (d)

Can be contacted for questions concerning:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(f)

Information regarding the natural or legal person on which the financial penalty has been imposed:

1.

I n c a s e o f a n a t u r a l p e r s o n

Name:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Forename(s): . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Maiden name, where applicable:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Aliases, where applicable: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Sex:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Nationality:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Identity number or social security number (when available):

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Date of birth:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Place of birth: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Last known address: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Language(s) which the person understands (if known):

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(a)

If the decision is transmitted to the executing State because the person against whom the decision has been
passed is normally resident, add the following information:

Normal residence in the executing State: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b)

If the decision is transmitted to the executing State because the person against whom the decision has been
passed has property in the executing State, add the following information:

Description of the property of the person:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Location of the property of the person:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

L 76/26

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Official Journal of the European Union

22.3.2005

(c)

If the decision is transmitted to the executing State because the person against whom the decision has been
passed has income in the executing State, add the following information:

Description of the source(s) of income of the person: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Location of the source(s) of income of the person:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2.

I n c a s e o f a l e g a l p e r s o n :

Name:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Form of legal person:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Registration number (if available) (1):

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Registered seat (if available) (1):

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Address of the legal person:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(a)

If the decision is transmitted to the executing State because the legal person against whom the decision has
been passed has property in the executing State, add the following information:

Description of the property of the legal person:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Location of the property of the legal person:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b)

If the decision is transmitted to the executing State because the legal person against whom the decision has
been passed has income in the executing State, add the following information:

Description of the source(s) of income of the legal person:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Location of the source(s) of income of the legal person: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(g) The decision imposing a financial penalty:

1. The nature of the decision imposing the financial penalty (tick the relevant box):

 (i) Decision of a court of the issuing State in respect of a criminal offence under the law of the

issuing State

 (ii) Decision of an authority of the issuing State other than a court in respect of a criminal offence
It is confirmed that the person concerned has had an

under the law of the issuing State.
opportunity to have the case tried by a court having jurisdiction in particular in criminal matters.

 (iii) Decision of an authority of the issuing State other than a court in respect of acts which are
punishable under the national law of the issuing State by virtue of being infringements of the rules
of law. It is confirmed that the person concerned has had an opportunity to have the case tried by
a court having jurisdiction in particular in criminal matters.

 (iv) Decision of a court having jurisdiction in particular in criminal matters regarding a decision as

referred to in point iii.

The decision was made on (date)

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(1) Where a decision is transmitted to the executing State because the legal person against whom the decision has been passed has its

registered seat in that State, Registration number and Registered seat must be completed.

22.3.2005

EN

Official Journal of the European Union

L 76/27

The decision became final on (date)

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Reference number of the decision (if available):

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

The financial penalty constitutes an obligation to pay (tick the relevant box(es) and indicate the amount(s)
with indication of currency):

 (i)

A sum of money on conviction of an offence imposed in a decision.

Amount:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

 (ii) Compensation imposed in the same decision for the benefit of victims, where the victim may not
be a civil party to the proceedings and the court is acting in its exercise of its criminal jurisdiction.

Amount:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

 (iii) A sum of money in respect of the costs of court or administrative proceedings leading to the

decision.

Amount:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

 (iv) A sum of money to a public fund or a victim support organisation, imposed in the same decision.

Amount:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

The total amount of the financial penalty with indication of currency: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2. A summary of

committed, including time and place:

facts and a description of the circumstances in which the offence(s) has(have) been
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Nature and legal classification of the offence(s) and the applicable statutory provision/code on basis of
which the decision was made: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3. To the extent that the offence(s) identified under point 2 above constitute(s) one or more of the following

offences, confirm that by ticking the relevant box(es):

 participation in a criminal organisation;

 terrorism;

 trafficking in human beings;

 sexual exploitation of children and child pornography;

 illicit trafficking in narcotic drugs and psychotropic substances;

 illicit trafficking in weapons, munitions and explosives;

L 76/28

EN

Official Journal of the European Union

22.3.2005

 corruption;

 fraud, including that affecting the financial interests of the European Communities within the meaning
of the Convention of 26 July 1995 on the protection of the European Communities' financial interests;

 laundering of the proceeds of crime;

 counterfeiting currency, including of the euro;

 computer-related crime;

 environmental crime, including illicit trafficking in endangered animal species and in endangered plant

species and varieties;

 facilitation of unauthorised entry and residence;

 murder, grievous bodily injury;

 illicit trade in human organs and tissue;

 kidnapping, illegal restraint and hostage-taking;

 racism and xenophobia;

 organised or armed robbery;

 illicit trafficking in cultural goods, including antiques and works of art;

 swindling;

 racketeering and extortion;

 counterfeiting and piracy of products;

 forgery of administrative documents and trafficking therein;

 forgery of means of payment;

 illicit trafficking in hormonal substances and other growth promoters;

 illicit trafficking in nuclear or radioactive materials;

 trafficking in stolen vehicles;

 rape;

 arson;

 crimes within the jurisdiction of the International Criminal Court;

 unlawful seizure of aircraft/ships;

 sabotage;

 conduct which infringes road traffic regulations, including breaches of regulations pertaining to driving

hours and rest periods and regulations on hazardous goods;

 smuggling of goods;

 infringements of intellectual property rights;

 threats and acts of violence against persons, including violence during sport events;

 criminal damage;

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 theft;

 offences established by the issuing State and serving the purpose of implementing obligations arising

from instruments adopted under the EC Treaty or under Title VI of the EU Treaty.

If this box is ticked, indicate the exact provisions of the instrument adopted on the basis of the EC
Treaty or the EU Treaty that the offence relates to:
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4. To the extent that the offence(s) identified under point 2 above are not covered by point 3, give a full
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

description of the offence(s) concerned:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(h) Status of the decision imposing the financial penalty

1. Confirm that (tick the boxes):

 (a)

 (b)

the decision is a final decision

to the knowledge of the authority issuing the Certificate, a decision against the same person in
respect of the same acts has not been delivered in the executing State and that no such decision
delivered in any State other than the issuing State or the executing State has been executed.

2.

Indicate if the case been subject to a written procedure:

 (a) No, it has not.

 (b) Yes, it has. It is confirmed that the person concerned was, in accordance with the law of the
issuing State, informed personally or via a representative competent according to national law of
his right to contest the case and of time limits of such a legal remedy

3.

Indicate if the person concerned appeared personally in the proceedings:

 (a)

Yes, he or she did.

 (b) No, he or she did not. It is confirmed:

 that the person was informed personally, or via a representative competent according to national

law, of the proceedings in accordance with the law of the issuing State,

or

 that the person has indicated that he or she does not contest the case

4.

Partial payment of the penalty

If any part of the penalty has already been paid to the issuing State, or, to the knowledge of the authority
issuing the Certificate, to any other State, indicate the amount which has been paid:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

L 76/30

EN

Official Journal of the European Union

22.3.2005

(i) Alternative sanctions, including custodial sanctions

1.

State whether the issuing State allows for the application by the executing State of alternative sanctions in
case it is not possible to enforce the decision imposing a penalty, either totally or in part:

 yes

 no

2.

If yes, state which sanctions may be applied (nature of the sanctions, maximum level of the sanctions):

 Custody. Maximum period:

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 Community service (or equivalent). Maximum period . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

 Other sanctions. Description:

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(j) Other circumstances relevant to the case (optional information):

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(k) The text of the decision imposing the financial penalty is attached to the certificate.

Signature of the authority issuing the certificate and/or its representative certifying the content of the certificate
as accurate: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Name: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Post held (title/grade): . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Date:

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Official stamp (if available)