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Document 02005F0214-20090328
Council Framework Decision 2005/214/JHA of 24 February 2005 on the application of the principle of mutual recognition to financial penalties
Consolidated text: Council Framework Decision 2005/214/JHA of 24 February 2005 on the application of the principle of mutual recognition to financial penalties
Council Framework Decision 2005/214/JHA of 24 February 2005 on the application of the principle of mutual recognition to financial penalties
ELI: http://data.europa.eu/eli/dec_framw/2005/214/2009-03-28
This consolidated text may not include the following amendments:
Amending act | Amendment type | Subdivision concerned | Date of effect |
---|---|---|---|
32023L2843 | Modified by | article 14 Text | 16/01/2024 |
32023L2843 | Modified by | article 15a | 16/01/2024 |
32023L2843 | Modified by | article 4 paragraph 3 | 16/01/2024 |
02005F0214 — EN — 28.03.2009 — 001.001
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COUNCIL FRAMEWORK DECISION 2005/214/JHA of 24 February 2005 on the application of the principle of mutual recognition to financial penalties (OJ L 076 22.3.2005, p. 16) |
Amended by:
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Official Journal |
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L 81 |
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27.3.2009 |
COUNCIL FRAMEWORK DECISION 2005/214/JHA
of 24 February 2005
on the application of the principle of mutual recognition to financial penalties
Article 1
Definitions
For the purposes of this Framework Decision:
‘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:
a court of the issuing State in respect of a criminal offence under the law of the issuing State;
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;
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;
a court having jurisdiction in particular in criminal matters, where the decision was made regarding a decision as referred to in point (iii);
‘financial penalty’ shall mean the obligation to pay:
a sum of money on conviction of an offence imposed in a decision;
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;
a sum of money in respect of the costs of court or administrative proceedings leading to the decision;
a sum of money to a public fund or a victim support organisation, imposed in the same decision.
A financial penalty shall not include:
‘issuing State’ shall mean the Member State in which a decision within the meaning of this Framework Decision was delivered;
‘executing State’ shall mean the Member State to which a decision has been transmitted for the purpose of enforcement.
Article 2
Determination of the competent authorities
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.
Article 4
Transmission of decisions and recourse to the central authority
Article 5
Scope
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 application of the Framework Decision established by the Commission within 5 years after the date mentioned in Article 20(1).
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
Grounds for non-recognition and non-execution
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;
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;
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 decision relates to acts which:
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
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;
there is immunity under the law of the executing State, which makes it impossible to execute the decision;
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;
according to the certificate provided for in Article 4, the person concerned, 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/her right to contest the case and of the time limits for such a legal remedy;
the financial penalty is below EUR 70 or the equivalent to that amount;
according to the certificate provided for in Article 4, the person did not appear in person at the trial resulting in the decision, unless the certificate states that the person, in accordance with further procedural requirements defined in the national law of the issuing State:
in due time:
or
being aware of the scheduled trial, had given a mandate to a legal counsellor, who was either appointed by the person concerned or by the State, to defend him or her at the trial, and was indeed defended by that counsellor at the trial;
or
after being served with the decision and being expressly informed of the right to a retrial, or an appeal, in which he or she has the right to participate and which allows the merits of the case, including fresh evidence, to be re-examined, and which may lead to the original decision being reversed:
according to the certificate provided for in Article 4, the person did not appear in person, unless the certificate states that the person, having been expressly informed about the proceedings and the possibility to appear in person in a trial, expressly waived his or her right to an oral hearing and has expressly indicated that he or she does not contest the case.
Article 8
Determination of the amount to be paid
Article 9
Law governing enforcement
Article 10
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.
Article 11
Amnesty, pardon, review of sentence
Article 12
Termination of enforcement
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).
Article 14
Information from the executing State
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:
of the transmission of the decision to the competent authority, according to Article 4(6);
of any decision not to recognise and execute a decision, according to Articles 7 or 20(3), together with the reasons for the decision;
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);
of the execution of the decision as soon as the execution has been completed;
of the application of alternative sanction, according to Article 10.
Article 15
Consequences of transmission of a decision
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
when the executing State has been informed by the issuing State that the decision has been withdrawn from the executing State pursuant to Article 12.
Article 16
Languages
Article 17
Costs
Member States shall not claim from each other the refund of costs resulting from application of this Framework Decision.
Article 18
Relationship with other agreements and arrangements
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 allow the prescriptions of this Framework Decision to be exceeded and help to simplify or facilitate further the procedures for the enforcement of financial penalties.
Article 19
Territorial application
This Framework Decision shall apply to Gibraltar.
Article 20
Implementation
decisions mentioned in Article 1 (a)(i) and (iv); and/or
with regard to legal persons, decisions related to conduct for which a European instrument provides for the 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.
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.
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
Issuing State:
Executing State:
The authority which issued the decision imposing the financial penalty:
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)):
Where a central authority has been made responsible for the administrative transmission of decisions imposing financial penalties in the issuing State:
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:
Information regarding the natural or legal person on which the financial penalty has been imposed:
1. In case of a natural person
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):
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:
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:
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. In case of a legal person:
Name:
Form of legal person:
Registration number (if available) ( 7 ):
Registered seat (if available) (7) :
Address of the legal person:
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:
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:
The decision imposing a financial penalty:
The nature of the decision imposing the financial penalty (tick the relevant box):
Decision of a court of the issuing State in respect of a criminal offence under the law of the issuing State
Decision of an authority of the issuing State other than a court in respect of a criminal offence under the law of the issuing State. 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.
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.
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)
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):
A sum of money on conviction of an offence imposed in a decision.
Amount:
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:
A sum of money in respect of the costs of court or administrative proceedings leading to the decision.
Amount:
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:
A summary of facts and a description of the circumstances in which the offence(s) has(have) been committed, including time and place:
Nature and legal classification of the offence(s) and the applicable statutory provision/code on basis of which the decision was made:
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;
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;
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:
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:
Status of the decision imposing the financial penalty
Confirm that (tick the boxes):
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.
Indicate if the case been subject to a written procedure:
No, it has not.
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
Indicate if the person concerned appeared in person at the trial resulting in the decision:
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Yes, the person appeared in person at the trial resulting in the decision. |
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No, the person did not appear in person at the trial resulting in the decision. |
If you have ticked the box under point 2, please confirm the existence of one of the following:
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3.1a. the person was summoned in person on … (day/month/year) and thereby informed of the scheduled date and place of the trial which resulted in the decision and was informed that a decision may be handed down if he or she does not appear for the trial; OR |
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3.1b. the person was not summoned in person but by other means actually received official information of the scheduled date and place of the trial which resulted in the decision, in such a manner that it was unequivocally established that he or she was aware of the scheduled trial, and was informed that a decision may be handed down if he or she does not appear for the trial; OR |
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3.2. being aware of the scheduled trial, the person had given a mandate to a legal counsellor, who was either appointed by the person concerned or by the State, to defend him or her at the trial, and was indeed defended by that counsellor at the trial; OR |
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3.3. the person was served with the decision on … (day/month/year) and was expressly informed about the right to a retrial or appeal, in which he or she has the right to participate and which allows the merits of the case, including fresh evidence, to be re-examined, and which may lead to the original decision being reversed, and
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3.4. the person, having been expressly informed about the proceedings and the possibility to appear in person in a trial, expressly waived his or her right to an oral hearing and has expressly indicated that he or she does not contest the case. |
If you have ticked the box under points 3.1b, 3.2, 3.3 or 3.4 above, please provide information about how the relevant condition has been met:
…
…
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:
Alternative sanctions, including custodial sanctions
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
If yes, state which sanctions may be applied (nature of the sanctions, maximum level of the sanctions):
Custody. Maximum period:
Community service (or equivalent). Maximum period
Other sanctions. Description:
Other circumstances relevant to the case (optional information):
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:
Name:
Post held (title/grade):
Date:
Official stamp (if available)
( 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.
( 5 ) OJ L 12, 16.1.2001, p. 1. Regulation as last amended by Commission Regulation (EC) No 2245/2004 (OJ L 381, 28.12.2004, p. 10).
( 6 ) 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).
( 7 ) 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.