Proposal for a Council framework Decision on the organisation and content of the exchange of information extracted from criminal records between Member States
Date: 2005-12-22
Institutions: European Commission
Subjects: EU Member State, European judicial area, area of freedom, security and justice, criminal record, exchange of information, judicial cooperation in criminal matters in the EU

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 22.12.2005 
COM(2005) 690 final 

2005/0267 (CNS) 

Proposal for a 

COUNCIL FRAMEWORK DECISION 

on the organisation and content of the exchange of information extracted from criminal 
records between Member States 

(presented by the Commission) 

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EXPLANATORY MEMORANDUM 

1)  CONTEXT OF THE PROPOSAL 

•  Grounds for and objectives of the proposal 

The  need  to  improve  the  quality  of  information  exchanged  on  convictions  was 
prioritised in the European Council Declaration on Combating Terrorism of 25 and 26 
March  2004  and  was  reiterated  in  the  Hague  Programme,  adopted  by  the  European 
Council on 4 and 5 November 2004. These objectives are reflected in the action plan 
jointly adopted by the Commission and the Council on 2 and 3 June 2005 with a view 
to carrying out the Hague Programme. 

This  proposal  is  a  response  to  the  expectations  expressed  at  the  Council  meeting 
(Justice  and  Home  Affairs)  on  14  April  2005,  following  the  publication  in  January 
2005 of the White Paper on exchanges of information on convictions and the effect of 
such convictions in the European Union and the subsequent general discussion thereof. 

•  General context 

Information  on  convictions  is  currently  exchanged  between  Member  States  through 
systems set up by the European Convention on Mutual Assistance in Criminal Matters 
of  1959  (Council  of  Europe  Convention,  hereinafter  the  “1959  Convention”).  These 
systems  present  certain  shortcomings,  which  are  analysed  in  the  White  Paper.  The 
result  is  that  national  courts  often  pass  sentences  on  the  sole  basis  of  the  past 
convictions featuring in their national register, with absolutely no knowledge of other 
convictions in other Member States.  

•  Provisions in force in the field covered by the proposal 

On 13 October 2004 the Commission adopted its first proposal for a Council Decision 
on the exchange of information extracted from criminal records, which was designed to 
improve the systems of the 1959 Convention in the short term, chiefly by speeding up 
transmission  times  (adopted  by  the  Council  on  21  November  2005).  It  does  not, 
however,  make  any  fundamental  changes  to  these  systems  and  is  only  a  first  step  to 
addressing  their  shortcomings.  The  aim  of  this  proposal  –  which  includes  the 
improvements brought about by the abovementioned Decision – is a thorough reform 
of  these  systems,  with  a  view  to  ensuring  that  the  Member  State  of  the  person’s 
nationality is able to respond properly and fully to the requests made to it.  

•  Coherence with other Union policies and objectives 

This  proposal  respects  fundamental  rights.  It  contains  several  provisions  designed  to 
ensure a high and satisfactory level of protection for personal data transmitted by the 
convicting Member State to the Member State of the person’s nationality. It includes 
and supplements the provisions of the Decision of 21 November 2005, which limit the 
use the requesting Member State can make of information asked for (Article 9). It also 
lays down specific rules applying where the Member State of the person’s nationality 
forwards  information  transmitted  to  it  by  the  convicting  Member  State,  making  a 
distinction between requests involving criminal proceedings and other requests (Article 
7).  If  the  request  is  not  related  to  criminal  proceedings,  only  the  convicting  Member 

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State will be able to assess, on the basis of the purpose of the request, whether or not 
full  information  on  convictions  should  be  transmitted.  The  Member  State  of  the 
person’s nationality should therefore check with the convicting Member State to what 
extent  it  may  transmit  such  information  to  the  requesting  Member  State.  The  same 
applies for requests from third countries under Article 13 of the 1959 Convention, with 
a view to ensuring that the Member State of the person’s nationality does not give them 
more information than to a Member State.  

2)  CONSULTATION OF INTERESTED PARTIES AND IMPACT ASSESSMENTS 

•  Consultation of interested parties 

Much preparatory consultation and expertise collection has been carried out in relation 
to these issues: 

1) two studies on criminal records were carried out in 2001 and 2002 by the Institute of 
Advanced  Legal  Studies  (ISLA)  (Falcone  Programme  (2000/FAL/168))  and  the 
Institute  for  International  Research  on  Criminal  Policy  (IRCP)  (Grotius  Programme 
(2001/GRP/024)); 

2) detailed questionnaires on how national criminal records work were sent to Member 
States in April 2004. Replies were collated and analysed in the White Paper; 

3)  Member  State  experts  in  charge  of  national  criminal  records  and  the  appropriate 
ministries  were  consulted  at  length.  They  replied  to  questionnaires  and  took  part  in 
expert meetings (e.g. on 27 and 28 September 2004 and 14 and 15 March 2005). The 
Council examined the options suggested by the Commission on 14 April 2005.  

•  Collection and use of expertise 

The use of external experts was not necessary. 

•  Impact assessment 

Not applicable. 

3)  LEGAL ELEMENTS OF THE PROPOSAL 

•  Summary of the proposed action 

At the Council meeting of 14 April 2005, Member States were in favour of preserving 
the  current  principle  that  each  Member  State  should  centralise  information  on 
convictions handed down against its own nationals. This would apply, however, only to 
nationals  of  Member  States  and  not  to  third-country  nationals  (or  to  persons  of 
unknown nationality) who have been convicted within the European Union. As regards 
such  individuals,  Member  States  were  in  favour  of  creating  an  index  of  convicted 
persons – confined to such information as is necessary to identify them – in order to be 
able  easily  to  determine  in  which  Member  State  they  were  convicted.  The 
Commission’s  White  Paper  recommended  the  creation  of  an  index  including  both 
Member State and third-country nationals. 

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This proposal is mainly concerned with the first part of the abovementioned proposed 
action and seeks to ensure that the Member State of the person’s nationality is able to 
respond properly and fully to requests made to it regarding the criminal records of its 
nationals. 

Its also lays down the framework for a computerised conviction-information exchange 
system  to  be  built  and  developed,  on  the  basis  of  a  “standardised  European  format” 
which will allow such information to be exchanged in a uniform, electronic and easily 
machine-translatable form.  

•  Legal basis 

The  legal  basis  for  this  proposal  is  Article  31  of  the  Treaty  on  European  Union,  as 
amended  by  the  Nice  Treaty,  which  deals  with  joint  action  in  the  field  of  judicial 
cooperation in criminal matters, and Article 34(2)(b). 

•  Subsidiarity principle 

The principle of subsidiarity applies as the proposal does not concern an area where the 
Community has exclusive competence. 

The aim is to improve the exchange of information on convictions within the European 
Union, an activity which is currently governed by the 1959 Convention. This involves 
all Member States adhering to a series of obligations which are designed to ensure that 
the  Member  State  of  the  person’s  nationality  is  able  to  respond  fully  to  the  criminal 
records  requests  made  to  it,  and  coordinated  action  at  European  level  is  accordingly 
required.  It  will,  however,  be  up  to  each  Member  State  to  decide  on  the  best  way  of 
fulfilling  these  obligations  (e.g.  determining  the  stage  of  proceedings  at  which  the 
nationality  of  the  convicted  person  should  be  identified,  how  to  store  transmitted 
information). 

The proposal therefore complies with the subsidiarity principle. 

•  Proportionality principle 

The  proposal  complies  with  the  proportionality  principle  as  the  rules  it  lays  down 
governing the organisation and content of information exchanges are confined to that 
which is necessary in order to achieve the above objectives. For example:  

–  it  lays  down  that  convictions  entered  into  national  criminal  records  must  be 
accompanied  by  the  nationality  of  the  convicted  person,  if  they  are  a  national  of  a 
Member State. Without this information, national criminal records will be able to give 
no  information  to  the  Member  State  of  the  person’s  nationality  about  convictions 
handed  down  against  its  nationals.  The  proposal  does,  however,  leave  it  to  Member 
States to decide at which stage of proceedings and in what form the information should 
be collected; 

–  it  incorporates  the  principle  of  the  compulsory  transmission  of  information  to  the 
Member  State  of  the  person’s  nationality,  referred  to  in  Article  22,  but  removes  the 
notification waiver contained in that Article for people who also have the nationality of 
the convicting Member State. The removal of this exception will enable either Member 

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State  of  the  person’s  nationality  to  be  called  upon  and  is  essential  if  the  requesting 
State – which will not always be aware of the person’s double nationality – is to have 
full access to all information; 

– it requires Member States to store information transmitted to it but leaves it to each 
Member State to decide how such information is stored. 

Proportionality of the financial and administrative burden 

The approximation of legislation effected by this proposal is strictly confined to what is 
necessary to ensure that the Member State of the person’s nationality is able to respond 
properly, fully  and clearly  to the  criminal records requests made to it. If the  partially 
centralised  system  envisaged  in  the  Commission  White  Paper  is  not  established,  this 
objective  may  be  achieved  by  defining  the  two  types  of  obligation  referred  to  above 
and  by  setting  up  a  computerised  exchange  system  on  the  basis  of  a  standardised 
European  format.  The  likely  cost  of  this  for  national  governments  will,  therefore,  be 
proportionate to the objectives. 

•  Choice of instruments 

The  proposed  action  entails  approximating  certain  national  rules  governing  the 
exchange  of  information  extracted  from  criminal  records;  this  requires  the  use  of  a 
Framework  Decision.  The  shortcomings  of  current  systems  and  the  effects  of  such 
make this action necessary.  

4)  BUDGETARY IMPLICATION 

The only budgetary implication of this proposal is that regarding the operation of the 
committee procedure it sets up. Any decision adopted pursuant to this procedure which 
may  have  budgetary  implications  will  be  covered  by  the  “Fundamental  Rights  and 
Justice” Framework Programme.  

5)  ADDITIONAL INFORMATION 

•  Simplification 

The  proposal  simplifies  the  existing  legislative  framework  by  bringing  in  an  initial 
batch  of  improvements  to  the  exchange  systems  established  by  the  Decision  of  21 
November 2005, which it repeals. 

•  Repeal of existing legislation 

Adopting this proposal will mean some legislation must be repealed. It replaces Article 
22 of the 1959 Convention as regards relations between Member States and repeals the 
Decision of 21 November 2005, the relevant provisions of which are taken over. 

•  Recasting 

The proposal involves recasting some existing legislation. 

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•  Detailed explanation of the proposal, by chapter or by article 

This section gives a brief overview of those main articles of the proposition which have 
not been taken over from the Decision of 21 November 2005 or been described above. 

Article 2-Definitions 

The definitions of “criminal record” and “conviction” are identical to those given in the 
Proposal  for  a  Framework  Decision  on  taking  account  of  convictions  in  the  Member 
States  of  the  European  Union  in  the  course  of  new  criminal  proceedings,  adopted  by 
the Commission on 17 March 2005 (COM (2005)91). The definition of “conviction” is 
consistent with the traditional scope of mutual legal assistance and includes the hybrid 
administrative and criminal decisions that exist in certain Member States notably with 
a  view  to  covering  certain  road  traffic  offences  for  which  knowledge  of  criminal 
records  is  particularly  useful.  Otherwise,  the  definition  selected  is  deliberately 
restrictive in order to cover only convictions in the strict sense, i.e. final decisions of 
the criminal courts (or decisions which could have been court decisions in the case of 
“administrative/criminal” offences) which, in all the Member States, can be regarded as 
convictions. The definition is without prejudice to those which will be adopted as part 
of the work carried out on the ne bis in idem principle. 

The  “criminal  record”  is  the  national  register  recording  these  convictions.  Certain 
Member States may have several registers. 

Article 4-Obligations of the convicting Member State 

See section 3 (particularly “subsidiarity” and “proportionality”). Paragraph 5 takes over 
the  provisions  of  Article  4  of  the  additional  Protocol  of  17  March  1978  to  the  1959 
Convention. 

Article 5-Obligations of the Member State of the person’s nationality 

This  Article  provides  for  the  obligation  to  store  and  update  transmitted  information. 
Any alterations or deletions made by the convicting Member State must be reflected in 
the  Member  State  of  the  person’s  nationality,  while  the  latter  must  only  use  updated 
information.  These  rules,  however,  may  not  lead  to  the  person  being  treated  less 
favourably  than  if  they  would  have  been  convicted  by  a  national  court.  For  instance, 
where  national  rules  governing  entries  in  national  criminal  records  would  have 
prompted  the  deletion  of  a  national  conviction,  the  Member  State  of  the  person’s 
nationality  may  no  longer  use  such  information  in  national  proceedings;  it  must, 
however, always  be able to transmit such information to  another  Member  State  upon 
request. These principles were already partly set out in Article 6 of the proposal for a 
Framework Decision on taking account of convictions, which was adopted before the 
Council of 14 April 2005 and will have to be amended accordingly. 

Article 7-Reply to a request for conviction information 

This  Article  contains  provisions  designed  to  ensure  a  high  and  satisfactory  level  of 
protection for personal data transmitted by the convicting Member State to the Member 
State  of  the  person’s  nationality  (see  the  part  of  section  1  dealing  with  fundamental 

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rights).  Article  7(1)  draws  a  distinction  between  information  transmitted  before  and 
after  the  entry  into  force  of  the  Framework  Decision,  in  order  to  make  clear  that  the 
storage  and  updating  obligations  laid  down  in  Article  5(1)  and  (2)  only  apply  to 
information transmitted after the entry into force of the Framework Decision. 

Article 9-Conditions for the use of personal data 

Article  9(1),  (2)  and  (5)  are  taken  over  from  the  Decision  of  21  November  2005. 
Article  9(3)  makes  the  principle  set  out  in  Article  9(1)  and  (2)  more  flexible  by 
allowing limited re-use of information transmitted in order to prevent some immediate 
and serious danger to public security. 

Articles 11 to 13-Format and committee procedure 

Improving  the  circulation  of  information  on  convictions  is  of  little  use  if  such 
information cannot be understood by the Member State receiving it. Improving mutual 
understanding  requires  the  creation  of  a  “standardised  European  format”  allowing 
information  to  be  exchanged  in  a  uniform,  electronic  and  easily  machine-translatable 
way. This Framework Decision sets up a committee which will assist the Commission 
in defining and developing this exchange system. 

Article 14-Relation to other legal instruments 

This proposal supplements Article 13 of the 1959 Convention. It does not replace the 
possibility  available  to  judicial  authorities  of  transmitting  information  concerning 
criminal records directly to each other under Article 6(1) of the Convention on Mutual 
Assistance in Criminal Matters between the Member States of the European Union of 
29 May 2000. 

However,  it  replaces  Article  22  of  the  1959  Convention  as  regards  relations  between 
Member States and repeals the Decision of 21 November 2005, the relevant provisions 
of which are taken over. 

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2005/0267 (CNS) 

Proposal for a 

COUNCIL FRAMEWORK DECISION 

on the organisation and content of the exchange of information extracted from criminal 
records between Member States 

THE COUNCIL OF THE EUROPEAN UNION, 

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

Having regard to the proposal from the Commission1, 

Having regard to the opinion of the European Parliament2, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

1 
2 
3 
4 
5 

The  Union  has  set  itself  the  objective  of  offering  European  citizens  a  high  level  of 
safety  in  the  area  of  freedom,  security  and  justice.  This  objective  presupposes  the 
exchange  between  the  competent  authorities  of  the  Member  States  of  information 
concerning criminal convictions of persons who reside in the territory of the Member 
States. 

On  29  November  2000  the  Council,  in  accordance  with  the  conclusions  of  the 
Tampere  European  Council  of  15  and  16  October  1999,  adopted  a  programme  of 
measures to implement the principle of mutual recognition in criminal matters3. This 
Framework Decision contributes to achieving the goals provided for by Measure 3 of 
the programme, which calls for the establishment of a standard form like that drawn 
up  for  the  Schengen  bodies,  translated  into  all  the  official  Union  languages,  for 
criminal records requests. 

The final report on the first evaluation exercise on mutual legal assistance in criminal 
matters4 
called on the Member States to simplify the procedures for transferring 
documents  between  States,  using,  if  necessary,  standard  forms  to  facilitate  mutual 
legal assistance. 

The  need  to  improve  the  quality  of  information  exchanged  on  convictions  was 
prioritised in the European Council Declaration on Combating Terrorism of 25 and 26 
March  2004  and  was  reiterated  in  the  Hague  Programme5,  adopted  by  the  European 

OJ C […], […], p. […]. 
OJ C […], […], p. […]. 
OJ C 12, 15.01.2001, p. 10. 
OJ C 216, 01.08.2001, p. 14. 
OJ C 53, 03.03.2005, p.1. 

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Council on 4 and 5 November 2004, which called for greater exchange of information 
from national conviction and disqualification registers. These objectives are reflected 
in the action plan jointly adopted by the Commission and the Council on 2 and 3 June 
2005 with a view to carrying out the Hague Programme. 

This Framework Decision is a response to the wishes expressed at the Council meeting 
(Justice and Home Affairs) on 14 April 2005, following the publication of the White 
Paper on exchanges of information on convictions and the effect of such convictions 
in the European Union6 
and  the  subsequent  general  discussion  thereof.  Its  main 
aim is to improve the exchange of information on convictions against citizens of the 
European Union. Access to information on convictions handed down in the European 
Union  against  nationals  of  third  countries  or  persons  of  unknown  nationality  raises 
certain specific issues for which proposals will be made subsequently. 

Information  on  convictions  handed  down  in  other  Member  States  is  currently 
governed by Articles 13 and 22 of the European Convention on Mutual Assistance in 
Criminal  Matters  of  19597;  these  provisions  are  now,  however,  too  slow  for  the 
requirements of judicial cooperation in an area such as the European Union. 

This  Framework  Decision  replaces  Article  22  of  the  Convention.  As  well  as  the 
obligations  of  the  convicting  Member  State,  which  this  Framework  Decision 
incorporates and further defines, to transmit information to the Member States of the 
person’s  nationality  on  convictions  handed  down  against  its  nationals,  there  should 
also be an obligation for the Member States of the person’s nationality to store such 
information, in order to ensure it is able to respond fully to the information requests 
made to it by other Member States. 

This Framework Decision on requests for information extracted from criminal records 
should  not  prejudge  the  possibility  of  judicial  authorities’  transmitting  directly 
information  from  criminal  records  pursuant  to  Article  6(1)  of  the  Convention  on 
Mutual  Assistance  in  Criminal  Matters  between  the  Member  States  of  the  European 
Union, set up by Council Decision of 29 May 20008. 

Improving  the  circulation  of  information  on  convictions  is  of  little  use  if  Member 
States are not able to take transmitted information into account. On XXX the Council 
adopted a Framework Decision on taking account of convictions in the Member States 
of the European Union in the course of new criminal proceedings9. 

(5) 

(6) 

(7) 

(8) 

(9) 

(10)  Personal data handled as part of the implementation of this Framework  Decision are 
protected  in  accordance  with  the  provisions  of  Framework  Decision  XXX  on  the 
protection  of  personal  data  processed  in  the  framework  of  police  and  judicial 
cooperation  in  criminal  matters10.  This  Framework  Decision  also  incorporates  the 
provisions  of  the  Decision  of  21  November  2005  on  the  exchange  of  information 
extracted from the criminal records11, which limit the use the requesting Member State 

6 
7 
8 
9 
10 
11 

COM(2005) 10. 
Council of Europe, European Treaties Series, No 30. 
OJ C 197, 12.7.2000, p. 3. 
OJ C […], […], p. […]. 
OJ C […], […], p. […]. 
OJ C […], […], p. […]. 

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can make of information asked for. It supplements them with specific rules applying 
where  the  Member  State  of  the  person’s  nationality  forward  conviction  information 
transmitted to it by the convicting Member State. 

(11)  Under  Council  of  Europe  Recommendation  No  R  (84)  10  on  criminal  records  and 
rehabilitation of convicted persons, the main aim of establishment of criminal records 
is  to  inform  the  authorities  responsible  for  the  criminal  justice  system  on  the 
background  of  a  person  subject  to  legal  proceedings  with  a  view  to  adapting  the 
decision to be taken to the individual situation. Since all other use of criminal records 
that  might  compromise  the  chances  of  social  rehabilitation  of  the  convicted  person 
must  be  as  limited  as  possible,  the  use  of  information  transmitted  under  this 
Framework  Decision  for  purposes  other  than  that  of  criminal  proceedings  can  be 
limited  in  accordance  with  the  national  legislation  of  the  requested  State  and  the 
requesting State. 

(12) 

Improving  the  circulation  of  information  on  convictions  is  of  little  use  if  such 
information  cannot  be  understood  by  the  Member  State  receiving  it.  Mutual 
understanding may be enhanced by the creation of a “standardised European format” 
allowing 
in  a  uniform,  electronic  and  easily 
machine-translatable  way.  Measures  should  be  taken  to  set  up  the  information 
exchange  system  provided  for  by  this  Framework  Decision  in  accordance  with  the 
regulatory procedure referred to in Article 13. 

to  be  exchanged 

information 

(13)  This  Framework  Decision  respects  fundamental  rights  and  observes  the  principles 

specifically recognised by the Charter of Fundamental Rights of the European Union. 

(14)  This Framework Decision respects the principle of subsidiarity referred to in Article 2 
of the Treaty on European Union and Article 5 of the Treaty establishing the European 
Community since the improvement of systems for the transmission of information on 
convictions between Member States cannot be carried out adequately by the Member 
States  unilaterally  and  requires  coordinated  action  in  the  European  Union.  In 
accordance  with  the  principle  of  proportionality,  as  set  out  in  the  latter  Article,  this 
Framework  Decision  does  not  go  beyond  what  is  necessary  in  order  to  achieve  that 
objective, 

HAS ADOPTED THIS FRAMEWORK DECISION: 

The purpose of this Framework Decision is: 

Article 1 
Objective 

a) 

b) 

to define the ways in which a Member State in which a conviction is handed down 
against  a  national  of  another  Member  State  (the  “convicting  Member  State”)  may 
transmit such a conviction to the Member State of the convicted person’s nationality 
(the “Member State of the person’s nationality”) 

to define storage obligations for the Member State of the person’s nationality and to 
specify  the  methods  to  be  followed  when  responding  to  a  request  for  information 
taken from criminal records; 

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c) 

to  lay  down  the  framework  for  a  computerised  conviction-information  exchange 
system between Member States to be built and developed. 

For the purposes of this Framework Decision: 

Article 2 
Definitions 

a) 

b) 

1. 

2. 

1. 

2. 

“conviction”  means  any  final  decision  of  a  criminal  court  or  of  an  administrative 
authority whose decision can be appealed against before a court having jurisdiction 
in  particular  in  criminal  matters,  establishing  guilt  of  a  criminal  offence  or  an  act 
punishable in accordance with national law as an offence against the law 

“criminal  record”  means  the  national  register  or  registers  recording  convictions  in 
accordance with national law. 

Article 3 

Central authority 

For the purposes of this Framework Decision, each Member State shall designate a 
central authority. However, for the transmission of information under Article 4 and 
for  replies  to  requests  as  referred  to  in  Articles  6  and  7,  Member  States  may 
designate one or more central authorities. 

Each  Member  State  shall  inform  the  General  Secretariat  of  the  Council  and  the 
Commission of the authority or authorities designated in accordance with paragraph 
1.  The  General  Secretariat  of  the  Council  shall  notify  the  Member  States  and 
Eurojust of this information. 

Article 4 
Obligations of the convicting Member State 

Each  Member  State  shall  take  the  necessary  measures  to  ensure  all  convictions 
handed down within its territory are accompanied, when transmitted to the national 
criminal  record,  by  the  nationality  of  the  convicted  person if  they  are  a  national  of 
another Member State. 

Each central authority shall, as soon as possible, inform the central authorities of the 
other Member States of any convictions handed down against their nationals within 
the territory of the former, as entered in the criminal record. 

If  the  interested  party  is  a  national  of  several  Member  States,  the  relevant 
information  shall  be  transmitted  to  each  of  these  Member  States,  even  if  the 
convicted person is a national of the Member State within whose territory they have 
been convicted. 

3. 

The transmission of information on convictions shall also include the length of time 
the  conviction  is  to  remain  in  the  register  of  the  convicting  Member  State,  in 

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4. 

5. 

1. 

2. 

3. 

1. 

2. 

accordance with that the convicting Member State’s national legislation at the time 
of transmission to the Member State of the person’s nationality. 

Any  subsequent  measures  taken  in  application  of  the  convicting  Member  State’s 
national legislation which involve an alteration or deletion of information contained 
in criminal records, including those affecting the length of time the information is to 
be kept, shall be immediately transmitted by the central authority of the convicting 
Member  State  to  the  central  authority  of  the  Member  State  of  the  person’s 
nationality. 

Any  Member State having provided information  under paragraphs 2 to 4 shall  also 
give a Member State which makes such a request copies of any convictions (and any 
measures  taken)  and  any  other  relevant  information,  to  enable  it  to  assess  whether 
any internal measures are required. 

Article 5 
Obligations of the Member State of the person’s nationality 

The central authority of the Member State of the person’s nationality shall store all 
information  transmitted  under  Article  4,  in  order  to  be  able  to  retransmit  it  in 
accordance with Article 7. 

Any  alteration or deletion of information in a convicting Member State shall  entail 
identical  alteration  or  deletions  by  the  Member  State  of  the  person’s  nationality 
regarding information obtained under Article 4. 

The  Member  State  of  the  person’s  nationality  may  only  use  information  which  has 
been  updated  in  accordance  with  paragraph  2.  The  obligation  provided  for  by 
paragraph 2 may not lead to less favourable treatment in national proceedings than if 
the person had been convicted by a national court. 

Article 6 
Request for information on convictions 

When information from the national criminal record of a Member State is requested, 
the  central  authority  may,  in  accordance  with  national  law,  submit  a  request  to  the 
central  authority  of  another  Member  State  for  information  and  related  data  to  be 
extracted from the criminal record. 

When  a  person  asks  for  information  on  their  own  criminal  record,  the  central 
authority of the Member State in which the request is made may, in accordance with 
national law, submit  a request  to the central  authority of another Member  State for 
information  and  related  data  to  be  extracted  from  the  criminal  record,  provided  the 
interested party is or has been a resident or a national of the requesting or requested 
Member State. 

3. 

All  requests  for  information  from  the  central  authority  of  a  Member  State  shall  be 
submitted using the annexed form. 

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Article 7 
Reply to a request for conviction information 

1. 

When  information  extracted  from  the  criminal  record  is  requested  under  Article  6 
from  the  central  authority  of  the  Member  State  of  the  person’s  nationality  for  the 
purposes of criminal proceedings, this State shall transmit to the central authority of 
the requesting Member State the following information: 

a) 

b) 

c) 

d) 

national convictions 

any convictions handed down in other Member States which were transmitted 
after the implementation of this Framework Decision, in application of Article 
4, and stored in accordance with Article 5(1) and (2) 

any convictions handed down in other Member States which were transmitted 
before the implementation of this Framework Decision 

any  convictions  handed  down  in  third  countries  and  subsequently  transmitted 
to it. 

2. 

When information extracted from criminal records is requested under Article 6 from 
the  central  authority  of  the  Member  State  of  the  person’s  nationality  for  any  other 
purpose than that of criminal proceedings, that State shall respond in accordance with 
national law for national convictions and convictions handed down in third countries 
and subsequently transmitted to it. 

The  central  authority  of  the  Member  State  of  the  person’s  nationality  shall 
immediately  ascertain  from  the  central  authority  of  the  convicting  Member  State 
whether and to what extent the information on convictions handed down in the latter 
and  transmitted  to  the  former  may  be  transmitted  to  the  central  authority  of  the 
requesting Member State. 

The  central  authority  of  the  convicting  Member  State  shall  reply  to  the  central 
authority  of  the  person’s  nationality  early  enough  to  enable  the  latter  to  meet  the 
reply deadlines provided for in Article 8. 

Information on national convictions, convictions pronounced by third countries and 
convictions pronounced in another Member State shall be transmitted simultaneously 
by the central authority of the Member State of the person’s nationality to the central 
authority of the requesting Member State. 

3. 

When a request for information extracted from the criminal record is submitted to the 
Member State of the person’s nationality by a third country under Article 13 of the 
European  Convention  on  Mutual  Assistance  in  Criminal  Matters  of  1959,  the 
Member State  of  the person’s nationality shall  respond in accordance with national 
law  for  national  convictions  and  convictions  pronounced  by  third  countries  and 
subsequently transmitted to it. 

Before transmitting to a third country under Article 13 of the European Convention 
on Mutual Assistance in Criminal Matters of 1959 any convictions handed down in 
other  Member  States  and  subsequently  transmitted  to  it,  the  Member  State  of  the 
person’s  nationality  shall  ascertain  from  the  central  authority  of  the  convicting 

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Member  State  whether  and  to  what  extent  such  information  may  be  transmitted  to 
requesting third country. 

The  central  authority  of  the  convicting  Member  State  shall  reply  to  the  central 
authority of the Member State of the person’s nationality within a reasonable period 
of time. 

Information on national convictions, convictions handed down in third countries and 
transmitted 
convictions  handed  down 
simultaneously  by  the  Member  State  of  the  person’s  nationality  to  the  requesting 
third country. 

in  another  Member  State  shall  be 

When  information  extracted  from  criminal  records  is  requested  from  the  central 
authority  of  a  different  Member  State  to  the  Member  State  of  the  person’s 
nationality, the latter shall transmit information on national convictions to the central 
authority  of  the  requesting  Member  State.  If  the  request  is  not  related  to  criminal 
proceedings, it shall respond in accordance with national law. 

The reply shall be accompanied by a list of convictions, as provided for by national 
law. 

Article 8 
 Deadlines for replies 

Replies to the requests referred to in Article 6(1) shall be transmitted by the central 
authority  of  the  requested  Member  State  to  the  central  authority  of  the  requesting 
Member  State  immediately  and  in  any  event  within  a  period  not  exceeding  ten 
working  days  from  the  date  the  request  was  received,  as  provided  for  by  national 
law, rules or practice, using the annexed form. 

When the requested Member State requires further information to identify the person 
involved  in  the  request,  it  shall  immediately  consult  the  requesting  Member  State 
with a view to providing a reply within ten working days from the date the additional 
information is received. 

4. 

5. 

1. 

2. 

Replies  to  the  request  referred  to  in  Article  6(2)  shall  be  transmitted  within  twenty 
working days from the date the request was received. 

Article 9 
Conditions for the use of personal data 

1. 

2. 

Personal  data  provided  under  Article  7(1)  and  (4)  for  the  purposes  of  criminal 
proceedings may be used by the requesting Member State solely for the purposes of 
the  particular proceedings they  were requested for, in accordance with the annexed 
form. 

Personal data provided under Article 7(2) and (4) for any purposes other than that of 
criminal  proceedings  may  be  used  by  the  requesting  Member  State,  in  accordance 
with its national law, solely for the purposes of the particular proceedings they were 

EN 

14 

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requested  for  and  within  the  limits  set  out  by  the  requested  Member  State  in  the 
relevant form. 

Notwithstanding paragraphs 1 and 2, personal data provided under Article 7(1), (2) 
and  (4)  may  be  used  by  the  requesting  Member  State  for  preventing  an  immediate 
and serious threat to public security. 

Member  States  shall  take  the  necessary  measures  to  ensure  that  personal  data 
transmitted  to  a  third  county  under  Article  7(3)  are  subject  to  the  same  usage 
restrictions as those applicable in Member States under Article 7(1), (2) and (3). 

This Article does not apply to personal data obtained by a Member State under this 
Framework Decision and originating from that Member State. 

3. 

4. 

5. 

Article 10 
Languages 

For  the  purposes  of  transmission  by  the  requesting  to  the  requested  Member  State  of  the 
request referred to in Article 6(1), the annexed from shall be written in the official language, 
or one of the official languages of the latter. 

The requested Member State shall reply either in one of its official languages or in any other 
language accepted by both Member States. 

Any Member State may, at the time of the adoption of this Framework Decision or at a later 
date,  indicate,  in  a  statement  to  the  General  Secretariat  of  the  Council,  which  official 
languages of the institutions of the European Communities it accepts. The General Secretariat 
of the Council shall communicate this information to the Member States. 

Article 11 
Format and other ways of organising and facilitation exchanges 

1. 

2. 

Until  the  time  limit  referred  to  in  paragraph  6  of  this  Article  has  elapsed,  central 
authorities of Member States who have not carried out the notification referred to in 
paragraph  5  of  this  Article  shall  transmit  all  requests,  replies  and  other  relevant 
information  by  any  means  capable  of  producing  a  written  record  under  conditions 
allowing the receiving Member State to establish authenticity. 

Once  the  time  limit  referred  to  in  paragraph  6  of  this  Article  has  elapsed,  central 
authorities  of  Member  States  shall  transmit  information  extracted  from  criminal 
records electronically using a standardised format which shall include the following: 

a) 

b) 

information on the convicted person (surname, first name, date of birth, place 
of  birth, pseudonym or alias  if applicable, gender, nationality, legal form and 
registered office for legal persons) 

information on the nature of the conviction (date and place, name and type of 
convicting authority) 

EN 

15 

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c) 

d) 

information  on  the  facts  giving  rise  to  the  conviction  (date,  place,  type,  legal 
status, applicable criminal law) 

information  on  the  contents  of  the  conviction  (judgment,  sentence,  accessory 
penalties, security measures, subsequent decisions affecting enforcement of the 
sentence, disqualification, etc.). 

3. 

This  format  and  any  other  ways  of  organising  and  facilitating  exchanges  of 
information  on  convictions  between  national  authorities  of  Member  States  shall  be 
set  up  and,  if  need  be,  adapted  in  accordance  with  the  procedure  provided  for  in 
Article 13. 

Other such ways include: 

a) 

b) 

defining  all  ways  in  which  understanding  and  automatically  translating 
transmitted information may be made easier; 

defining  the  way  in  which  information  may  be  exchanged  electronically, 
particularly  as  regards  the  technical  specification  to  be  used  and,  if  need  be, 
any applicable exchange procedures 

c) 

possible alterations to the form annexed to this Framework Decision. 

If  the  mode  of  transmission  referred  to  in  paragraphs  2  and  3  is  not  available, 
paragraph 1 shall remain applicable for the entire period of such unavailability. 

Each  Member  State  shall  carry  out  the  necessary  technical  alterations  to  be  able  to 
use  the  standardised  format  and  electronically  transmit  it  to  other  Member  States. 
They shall notify the Commission of the date from which they are able to carry out 
such  transmissions.  The  Commission  shall  immediately  inform  the  Committee 
referred to in Article 12. 

The technical alterations referred to in paragraph 5 shall be carried out within three 
years  from  the  date  the  format  and  the  ways  in  which  information  on  convictions 
may be exchanged electronically are adopted. 

The  measures  necessary  for  the  implementation  of  paragraphs  2  and  3  shall  be 
adopted in accordance with the regulatory procedure referred to in Article 13. 

Article 12 
Committee procedure 

The Commission shall be assisted by a committee composed of the representatives of 
the  Member  States  and  chaired  by  the  representative  of  the  Commission  (the 
“Committee”). 

The Committee shall adopt its rules of procedure on a proposal made by the Chair on 
the  basis  of  standard  rules  of  procedure  which  have  been  published  in  the  Official 
Journal of the European Union. 

4. 

5. 

6. 

7. 

1. 

2. 

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16 

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3. 

1. 

2. 

3. 

4. 

It may give recommendations to its members on the collection and storage standards 
for information contained in national criminal records. 

Article 13 
Procedure 

Where reference is made to this Article, the representative of the Commission shall 
submit  to  the  Committee  a  draft  of  the  measures  to  be  taken.  The  Committee  shall 
deliver  its  opinion  on  the  draft  within  a  time  limit  which  the  Chair  may  lay  down 
according  to  the  urgency  of  the  matter.  The  opinion  shall  be  delivered  by  the 
majority  laid  down  in  Article  205(2)  of  the  Treaty  establishing  the  European 
Community,  in  the  case  of  decisions  which  the  Council  is  required  to  adopt  on  a 
proposal  from  the  Commission.  The  votes  of  the  representatives  of  the  Member 
States within the Committee shall be weighted in the manner set out in that Article. 
The Chair shall not vote. 

The Commission shall adopt the measures envisaged if they are in accordance with 
the opinion of the Committee. 

If the measures envisaged are not in accordance with the opinion of the Committee, 
or  if  no  opinion  is  delivered,  the  Commission  shall  without  delay  submit  to  the 
Council  a  proposal  on  the  measures  to  be  taken  and  shall  inform  the  European 
Parliament thereof. 

The Council may act by qualified majority on the proposal, within three months from 
the date of referral to the Council. 

If within that period the Council has indicated by qualified majority that it opposes 
the  proposal,  the  Commission  shall  re-examine  it.  It  may  submit  an  amended 
proposal  to  the  Council,  re-submit  its  proposal  or  present  a  legislative  proposal  on 
the basis of the Treaty. 

If  on  the  expiry  of  that  period  the  Council  has  neither  adopted  the  proposed 
implementing  act  nor  indicated  its  opposition  to  the  proposal  for  implementing 
measures, the proposed implementing act shall be adopted by the Commission. 

Article 14 
Relationship with other legal instruments 

1. 

In  relations  between  the  Member  States,  this  Framework  Decision  supplements  the 
provisions  of  Article  13  of  the  European  Convention  on  Mutual  Assistance  in 
Criminal Matters of 20 April 1959, its additional Protocols of 17 March 197812  and 
8  November  200113,  the  Convention  on  Mutual  Assistance  in  Criminal  Matters 

12 
13 

Council of Europe, European Treaty Series, No 99. 
Council of Europe, European Treaty Series, No 182. 

EN 

17 

   EN 

 
                                                 
2. 

3. 

4. 

5. 

1. 

2. 

3. 

between the Member States of the European Union of 29 May 200014 
Protocol of 16 October 200115. 

and 

its 

For the purposes of this Framework Decision, Member States shall waive the right to 
rely  among  themselves  on  their  reservations  to  Article  13  of  the  European 
Convention on Mutual Assistance in Criminal Matters of 20 April 1959. 

Without prejudice to their application in relations between Member States and third 
countries,  this  Framework  Decision  replaces,  with  effect  from  XXXXXX,  the 
provisions of Article 22 of the 1959 European Convention on Mutual Assistance in 
Criminal  Matters,  as  supplemented  by  Article  4  of  said  Convention’s  additional 
Protocol of 17 March 1978, in relations between Member States. 

This  Framework  Decision  repeals  the  Decision  of  21  November  2005  on  the 
exchange of information extracted from the criminal record. 

This  Framework  Decision  has  no  impact  on  the  application  of  more  favourable 
provisions  included  in  bilateral  or  multilateral  agreements  concluded  between 
Member States. 

Article 15 
Implementation 

Member States shall adopt the measures necessary to comply with the provisions of 
this Framework Decision no later than XXXXXX. 

Member  States  shall  transmit  to  the  General  Secretariat  of  the  Council  and  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  that  information  the  Commission  shall,  no  later  than  XXXXXX, 
present a report to the European Parliament and the Council on the application of this 
Framework Decision, accompanied if necessary by legislative proposals. 

Article 16 
Entry into force 

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

Done at Brussels,  

For the Council 
The President 

14 
15 

OJ C 197, 12.7.2000, p. 1. 
OJ C 326, 21.11.2001. p. 1. 

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18 

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ANNEX 
Form referred to in Articles 6, 8, 9 and 10 of the 
Framework Decision on the organisation and content of the exchange of information 
extracted from criminal records between Member 

Request for information extracted from criminal records 

Members States should consult the Manual of Procedures for assistance in filling in this form 
correctly 

Information on the requesting State: 

Information on the identity of the person concerned by the request: 

a) 
Member State: 
Central authority: 
Contact person: 
Telephone (with STD code): 
Fax (with STD code): 
E-mail address: 
Correspondence address: 
File reference, if known: 
b) 
Surname: 
First name(s): 
Surname at birth, if different: 
Alias, if any: 
Gender:…M □…F □ 
Nationality: 
Date of birth (in figures: dd/mm/yyyy): 
Place of birth (city and country): 
Father’s name: * 
Mother’s name: * 
Residence or known address (optional): 
Fingerprints if available (optional): 
Other available identification information (e.g. number in national register, Social Security number) 
(optional): 
* 

This  information  should  be  entered  in  accordance  with  the  Manual  of  Procedures  when 
applicable. Otherwise, it should be indicated when known. 

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19 

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c) 

Purpose of request: 

Please tick the appropriate box 

1)  □ criminal proceedings 

2)  □ request from a judicial authority outside the context of criminal proceedings 

□ request from a competent administrative authority 

3)  □ request from the interested party 
The purpose of the request should be entered in accordance with the Manual of Procedures when 
applicable. Otherwise, it should be indicated when known. 
Requesting authority: 
□ The interested party has given his/her consent for this information to be divulged (if the law of 

the Member State requires such consent). 

Please note that applications are dealt with in accordance with the national law, rules or practice of 
the requested Member State. 
________________________________________________________________________________ 
Contact person for any further information needed: 
Name: 
Telephone: 
E-mail address: 
Other information (e.g. urgency of the request): 

EN 

20 

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Reply to the request 

Information relating to the person concerned 
Please tick the appropriate box 
The undersigned authority confirms: 
□ 
□ 
list of conviction is attached 
□ 

that there are no convictions in the criminal record of the person concerned 

that there are convictions recorded in the criminal record of the person concerned; a 

that,  in  accordance  in  accordance  with  the  national  law,  rules  or  practice  of  the 
requested  Member  State,  requests  made  for  any  purposes  other  than  that  of  criminal 
proceedings may not be dealt with. 

Contact person for any further information needed: 
Name: 
Telephone: 
E-mail address: 
Other information (e.g. restrictions laid down pursuant to Article 9(2)): 
Any data provided may only be used for the purposes of the particular proceedings they were 
requested for.  
Done at 
on 
Signature and official stamp (if appropriate): 
Name and position: 

If  appropriate,  please  attach  a  list  of  conviction  and  send  the  complete  package  to  the 
requesting Member State. It is not necessary to translate the form or the list into the language 
of the requesting Member State. 

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LEGISLATIVE FINANCIAL STATEMENT 

1.  NAME OF THE PROPOSAL: 

Proposal for a Council Framework Decision on the organisation and content of the exchange of 
information extracted from criminal records between Member States 

2.  ABM / ABB FRAMEWORK 

Policy Area(s) concerned and associated Activity/Activities: 

Chapter 1806 – Establishing a genuine area of freedom, security and justice in criminal and civil 
matters. 

3.  BUDGET LINES 

3.1. Budget  lines  (operational  lines  and  related  technical  and  administrative  assistance  lines 

(ex-B.A lines)) including headings: 

3.2. Duration of the action and of the financial impact: 

3.3. Budgetary characteristics (add rows if necessary): 

Budget 
line 

Expenditure type 

New 

EFTA 
contribution 

Contributions 
from applicant 
countries 

Heading in 
financial 
perspective 

Comp/ 
Non-
comp 

Comp/ 
Non-
comp 

Diff16/ 
Non-
dif17 

YES/NO 

YES/NO 

YES/NO 

No […] 

Diff/ 
Non-diff  YES/NO 

YES/NO 

YES/NO 

No […] 

16 

17 

Differentiated appropriations 
Non-differentiated appropriations. 

EN 

22 

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4.  SUMMARY OF RESOURCES 

4.1. Financial Resources 

4.1.1.  Summary  of  commitment  appropriations  (CA)  and  payment  appropriations 

(PA) 

Section no.

Expenditure type 

ional expenditure18 

EUR million (to 3 decimal places) 

Year n 

n+1 

n+2 

n+3 

n+4 

+5 and lat

Total 

ment Appropriations (CA) 

8.1 

Appropriations (PA) 

a 

b 

strative expenditure included in reference amount19 

l & administrative assistance 

8.2.4 

c 

RREEFFEERREENNCCEE  AAMMOOUUNNTT 

ment appropriations 

appropriations 

a+c 

b+c 

strative expenditure not included in reference amount20 

resources  and  associated  exp

ative  costs,  other  than  human 
ciated  costs,  not  included  in 
NDA) 

8.2.5 

8.2.6 

d 

e 

 Total indicative financial cost of intervention 

including  cost  of 

CA 

es 

a+c+d+e

18 

19 

20 

Expenditure that does not fall under Chapter xx 01 of the Title xx concerned. 
Expenditure within Article xx 01 04 of Title xx. 
Expenditure within Chapter xx 01 other than Articles xx 01 04 or xx 01 05. 

EN 

23 

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including  cost  of 

PA 

es 

b+c+d+e

Co-financing details 

If  the  proposal  involves  co-financing  by  Member  States,  or  other  bodies  (please  specify 
which),  an  estimate  of  the  level  of  this  co-financing  should  be  indicated  in  the  table  below 
(additional  lines  may  be  added  if  different  bodies  are  foreseen  for  the  provision  of  the  co-
financing): 

EUR million (to 3 decimal places) 

cing body 

…………… 

f 

CA including co-financing a+c+d+e+

Year n

n+1 

n+2 

n+3 

n+4 

ater 

4.1.2.  Compatibility with Financial Programming 

(cid:133) 

Proposal is compatible with existing financial programming. 

Proposal  will  entail  reprogramming  of  the  relevant  heading  in  the  financial 

(cid:133) 
perspective. 

(cid:133) 
Proposal  may  require  application  of  the  provisions  of 
Agreement21 (i.e. flexibility instrument or revision of the financial perspective). 

the  Interinstitutional 

4.1.3.  Financial impact on Revenue 

Proposal has no financial implications on revenue 

Proposal has financial impact-the effect on revenue is as follows: 

(cid:133) 

(cid:133) 

Note:  All  details  and  observations  relating  to  the  method  of  calculating  the  effect  on 
revenue should be shown in a separate annex. 

EUR million (to one decimal place) 

o action [Ye

Situation following action 

e 

Returns 

Year n [n+1]

[n+2]

[n+3] 

[n+4] 

[n+5]22

e in absolute terms 

21 

See points 19 and 24 of the Interinstitutional agreement. 

EN 

24 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
in revenue 

(Please specify each revenue budget line involved, adding the appropriate number of rows 
to the table if there is an effect on more than one budget line.) 

4.2. Human Resources FTE (including officials, temporary and external staff) – see detail 

under point 8.2.1. 

requirements 

Year n 

n+1 

n+2 

n+3 

n+4 

+5 and lat

umber of human resourc

5.  CHARACTERISTICS AND OBJECTIVES 

Details of the context of the proposal are required in the Explanatory Memorandum. This 
section  of  the  Legislative  Financial  Statement  should  include  the  following  specific 
complementary information: 

5.1. Need to be met in the short or long term 

One  of  the  aims  of  the  proposal  is  to  lay  down  the  framework  for  a  computerised 
conviction-information  exchange  system  to  be  built  and  developed.  This  system  will  be 
based  on  the  use  of  a  “standardised  European  format”  allowing  information  to  be 
exchanged  in  a  uniform,  electronic  and  easily  machine-translatable  way.  Regular 
preparatory  meetings  –  dealing  with  both  technical  and  legal  aspects  –  between  experts 
from Member States will be required to prepare the necessary decision for this system to 
be set up. The Commission will not be able to adopt such measures without the help of a 
committee. A committee procedure is therefore set up by this proposal. 

5.2. Added value of Community involvement and coherence of the proposal with other 

financial instruments and possible synergy 

Information  on  convictions  is  currently  exchanged  between  Member  States  through 
systems set up by the European Convention on Mutual Assistance in Criminal Matters of 
1959  (Council  of  Europe  Convention,  hereinafter  “1959  Convention”).  These  systems 
present several shortcomings, with the result that national courts often pass sentences on 
the  sole  basis  of  past  convictions  featuring  in  their  national  register  and  completely 
unaware of any other convictions which may have been made in other Member States.  

22 

Additional columns should be added if necessary i.e. if the duration of the action exceeds six years. 

EN 

25 

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The aim of the proposal is to improve the exchange of information on convictions within 
the  European  Union,  an  activity  which  is  currently  governed  by  the  1959  Convention. 
This involves all Member States adhering to a series of obligations which are designed to 
ensure  that  the  Member  State  of  the  person’s  nationality  is  able  to  respond  fully  to  the 
criminal records applications made to it, and joint action at European level is accordingly 
required. 

The  only  budgetary  implication  of  this  proposal  is  that  regarding  the  operation  of  the 
committee  procedure  it  sets  up.  Any  decision  adopted  pursuant  to  this  procedure  which 
may  have  budgetary  implications  will  be  covered  by  the  “Fundamental  Rights  and 
Justice” Framework Programme. 

5.3. Objectives, expected results and related indicators of the proposal in the context of the 

ABM framework 

The  need  to  improve  the  quality  of  information  exchanged  on  court  records  was 
prioritised  in  the  European  Council  Declaration  on  Combating  Terrorism  of  25  and  26 
March  2004  and  was  reiterated  in  the  Hague  Programme,  adopted  by  the  European 
Council  on  4  and  5  November  2004.  These  objectives  are  reflected  in  the  action  plan 
jointly adopted by the Commission and the Council on 2 and 3 June 2005 with a view to 
carrying out the Hague Programme.  

This proposal is a response to the expectations expressed at the Council meeting (Justice 
and  Home  Affairs)  on  14  April  2005,  following  the  publication  in  January  2005  of  the 
White  Paper  on  exchanges  of  information  on  convictions  and  the  effect  of  such 
convictions in the European Union and the subsequent general discussion thereof. 

5.4. Method of implementation (indicative) 

Indicate below the method(s)23 

of implementation chosen. 

(cid:133) Centralised Management 

(cid:133) 

Directly by the Commission 

23 

If more than one method is indicated please provide additional details in the “Relevant comments” section 
of this point. 

EN 

26 

   EN 

 
 
 
 
 
 
                                                 
(cid:133) 

Indirectly by delegation to: 

  (cid:133) 

Executive Agencies 

  (cid:133) 
185 of the Financial Regulation, 

Bodies set up by the Communities, as referred to in  Article 

  (cid:133) 
  mission. 

National  public-sector  bodies/bodies  with  public-service

(cid:133) Shared or decentralised management 

(cid:133)  With Member States 

(cid:133)  With third countries 

(cid:133) Joint management with international organisations (please specify) 

Relevant comments: 

6.  MONITORING AND EVALUATION 

6.1. Monitoring system 

6.2. Evaluation 

6.2.1.  Ex-ante evaluation 

Much preparatory consultation and expertise collection has been carried out in relation to these 
issues: 

EN 

27 

   EN 

 
 
 
 
 
 
 
 
 
 
1)  two  studies  on  criminal  records  were  carried  out  in  2001  and  2002  by  the  Institute  of 
Advanced  Legal  Studies  (ISLA)  (Falcone  Programme  (2000/FAL/168))  and  the  Institute  for 
International Research on Criminal Policy (IRCP) (Grotius Programme (2001/GRP/024)); 

2) detailed questionnaires on how national criminal records work were sent to Member States in 
April 2004. Replies were collated and analysed in the White Paper;  

3)  Member  State  experts  in  charge  of  national  criminal  records  and  the  appropriate  ministries 
were consulted at length. They replied to questionnaires and took part in expert meetings (e.g. on 
27 and 28 September 2004 and 14 and 15 March 2005). 

These consultations brought to light the main shortcomings of the current systems. In April 2005, 
the Council examined the options put forward by the Commission to remedy these problems and 
set out the direction future activity should take. This proposal is a response to the wishes of the 
Council and seeks to ensure that the Member State of the person’s nationality is able to respond 
properly and fully to the criminal records applications made to it regarding its nationals. Different 
proposals will be made regarding improved access to information on convictions handed down in 
the European Union against nationals of third countries. 

6.2.2.  Measures taken following an intermediate/ex-post evaluation (lessons learned 

from similar experiences in the past) 

6.2.3.  Terms and frequency of future evaluation 

7.  ANTI-FRAUD MEASURES 

EN 

28 

   EN 

 
 
 
 
 
 
 
 
 
8.  DETAILS OF RESOURCES 

8.1. Objectives of the proposal in terms of their financial cost 

of 
(Headings 
Objectives,  actions 
and outputs should 
be provided) 

Type 
of 
output 

Av. 
cost 

Year n 

Year n+1 

Year n+2 

Year n+3 

Year n+4 

Year n+5 and 
later 

TOTAL 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

Commitment appropriations in EUR million (to 3 decimal places) 

OPERATIONAL 
OBJECTIVE No 124 

Action1…………. 

-Output 1 

-Output 2 

Action 2………… 

-Output 1 

Sub-total  Objective 
1 

OPERATIONAL 
OBJECTIVE No.2 

Action 1……… 

-Output 1 

Sub-total  Objective 
2 

24 

As described under Section 5.3. 

EN 

29 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
OPERATIONAL 
OBJECTIVE No. n 

Sub-total  Objective 
n 

TOTAL COST 

EN 

30 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
8.2. Administrative expenditure 

8.2.1.  Number and type of human resources 

Types of post 

Staff to be assigned to management of the action using existing and/or additional 
resources (number of posts/FTEs) 

Year n 

Year n+1 

Year n+2 

Year n+3 

Year n+4 

Year n+5 

Officials or 
temporary 
staff25 (XX 01 
01) 

A*/
AD 

B*, 
C*/
AST 

Staff financed26  by 
Article XX 01 02 

Other  staff  financed27
by Art. XX 01 

04/05 

TOTAL 

8.2.2.  Description of tasks deriving from the action 

8.2.3.  Sources of human resources (statutory) 

 (When more than one source is stated, please indicate the number of posts originating from 
each of the sources) 

(cid:133) 

Posts currently allocated to the management of the programme to be replaced 
or extended 

 (cid:133) 

Posts pre-allocated within the APS/PDB exercise for year n 

(cid:133) 

(cid:133) 

(cid:133) 

Posts to be requested in the next APS/PDB procedure 

Posts  to  be  redeployed  using  existing  resources  within  the  managing  service 
(internal redeployment) 

Posts required for year n although not foreseen in the APS/PDB exercise of the 
year in question 

25 

26 

27 

Cost of which is NOT covered by the reference amount. 
Cost of which is NOT covered by the reference amount. 
Cost of which is included within the reference amount. 

EN 

31 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
8.2.4.  Other administrative expenditure included in reference amount  

(XX 01 04/05 – Expenditure on administrative management) 

EUR million (to 3 decimal places) 

Budget line 

(No and title) 

Year n 

Year 
n+1 

Year 
n+2 

Year 
n+3 

Year 
n+4 

Year n+5 

TOTAL 

and later 

Technical 

1. 
1 
and 
administrative 
assistance 
(including related staff costs) 

 Executive agencies28 

Other 
administrative assistance 

technical 

and 

-intra muros 

-extra muros 

Total 
administrative assistance 

Technical 

and 

8.2.5.  Financial cost of human resources and associated costs not included in the 

reference amount 

Type of human resources 

Year n 

Year 
n+1 

Year 
n+2 

EUR million (to 3 decimal places) 

Year n+3  Year n+4 

Year n+5 

and later 

Officials  and  temporary  staff  (XX  01 
01) 

Staff  financed  by  Art  XX  01  02 
(auxiliary, END, contract staff, etc.) 

(specify budget line) 

Total cost of Human Resources and 
associated costs (NOT in reference 
amount) 

Calculation – Officials and temporary agents 

Reference should be made to Point 8.2.1, if applicable 

Calculation – Staff financed under Art. XX 01 02 

28 

Reference should be made to the specific legislative financial statement for the Executive Agency(ies) 
concerned. 

EN 

32 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Reference should be made to Point 8.2.1, if applicable 

8.2.6.  Other administrative expenditure not included in reference amount 

EUR million (to 3 decimal places) 

Year 
n+1 

Year 
n+2 

Year 
n+3 

Year 
n+4 

Year 
n+5 

TOTAL 

Year 

n 

and 
later 

 XX 01 02 11 01 – Missions 

 XX 01 02 11 02 – Meetings & Conferences 

 XX 01 02 11 03 – Committees29 

 XX 01 02 11 04 – Studies & consultations 

 XX 01 02 11 05-Information systems 

2. Total Other Management Expenditure 

(XX 01 02 11) 

3.  Other  expenditure  of  an  administrative 
nature  (specify  including  reference  to 
budget line) 

Total  Administrative  expenditure,  other 
than  human  resources  and  associated 
reference 
included 
costs 
amount) 

(NOT 

in 

Calculation – Other administrative expenditure not included in reference amount 

29 

Specify the type of committee and the group to which it belongs. 

EN 

33 

   EN