Judicial co-operation in criminal matters: mutual recognition of financial penalties

1) OBJECTIVE

To apply the principle of mutual recognition of financial penalties imposed by the judicial or administrative authorities of the Member States; to recognise and enforce judgements without any further formality being required by the Executing State.

2) PROPOSAL

Initiative of the United Kingdom, the French Republic and the Kingdom of Sweden with a view to adopting a Council Framework Decision on the application of the principle of mutual recognition to financial penalties.

3) CONTENTS

At the Tampere European Council, the Heads of State or Government and the President of the Commission felt that the principle of mutual recognition should be the cornerstone of judicial cooperation in both civil and criminal matters. In November 2000, the Council and the Commission adopted a joint programme of measures giving priority to the adoption of an instrument applying the principle of mutual recognition to financial penalties.

The framework decision will apply to any decision which definitively imposes a financial penalty (obligation to pay a sum of money on conviction) to a natural of legal person. The decision can be handed down by a court as well as an administrative authority.

The decision will be transmitted by the competent authority of the Issuing State to the authority of the Executing State. It will be accompanied by a certificate, the standard form for which is given in an annex to the initiative. In order to identify the competent authorities, each Member State will designate a central contact point. Moreover, provision is made for cooperation with the European judicial network where necessary.

The competent authority may decide not to enforce the judgement if it is established that:

• The certificate is not produced or the particulars in that certificate are incomplete or manifestly incorrect;
• A judgement against the sentenced person in respect of the same acts has been delivered (ne bis in idem principle).

Any decision not to enforce a judgement will be notified together with the reasons for the decision to the Issuing State.

In the opposite case, the Executing State decides how the decision will be implemented. Where it is not possible to enforce a judgement a custodial sanction may be applied. Monies obtained from the enforcement of judgements will accrue to the Issuing State (compensation for victims) or the Executing State.

Moreover, the initiative lays down special provisions with regard to:

• The exchange of information between the Member States involved;
• The translation of documents which must be sent with a request for enforcement;
• Reimbursement of the costs resulting from the application of this initiative.

The decision will not affect the application of more favourable provisions in bilateral or multilateral agreements between Member States.

The Member States will transmit to the General Secretariat of the Council and the Commission the necessary measures to comply with provisions of this initiative.

Last updated: 24.10.2001