APPENDIX 3 (Articles 11 - 20)
SENDING AND SERVICE OF PROCEDURAL DOCUMENTS
1. Each Member State shall send procedural documents intended
for persons who are in the territory of another Member State to
them directly by post. ( . . . )
2. Procedural documents may be sent via the competent authorities
of the requested Member State if:
- the address of the person for whom the document
is intended is still unknown or uncertain even once the dispatching
authority has consulted the competent authority in the Member
State concerned to establish the address of the person concerned,
- the requesting Member State requires proof other
than proof that can be obtained by post of the service of the
document on the addressee, or
- a previous recourse to despatch by post has proved
- if the requesting Member State has justified reasons
for considering that dispatch by post will be ineffective or is
3. Where there is reason to believe that the addressee does
not understand the language in which the document is drafted,
the document - or at least the important passages thereof - must
be translated into (one of) the language(s) of the Member State
in the territory of which the addressee is staying. If the authority
by which the procedural document was issued knows that the addressee
understands only some other language, the document - or at least
the important passages thereof - must be translated into that
4. All procedural documents shall be accompanied by a report
stating that the addressee may obtain information from the authority
by which the document was issued or from other authorities in
that Member State regarding its rights and obligations concerning
the document. Paragraph 3 shall also apply to that report.
5. Articles 8, 9 and 12 of the European Mutual Assistance
Convention and Articles 32 and 35 of the Benelux Treaty shall
apply as regards documents sent by post.
HEARING BY VIDEO CONFERENCE AND BY TELEPHONE
1. If it is desirable for a person in one Member State to
be heard as a witness or expert by the judicial authorities of
another Member State but it is not desirable or possible for the
person concerned to appear in that Member State in person, the
hearing may take place by video conference, as provided for in
paragraphs 2 to 9, or by telephone, as provided for in paragraph
2. ( . . . )
3. The requested Member State shall agree to the hearing
by video conference provided that the use of the video conference
is not in conflict with its own laws and on condition that it
has the technical means to permit the hearing. If the requested
Member State has no access to the technical means for video conferencing,
such means may be made available to it by the requesting Member
State by agreement between them.
4. Applications for a hearing by video conference shall contain,
in addition to the data referred to in Article 14 of the European
Mutual Assistance Convention and Article 37 of the Benelux Treaty,
the name of the authority and of the persons who will be conducting
5. The judicial authority of the requested Member State shall
summon the person concerned to appear in accordance with the forms
prescribed by its legislation.
6. With reference to hearing by video conference, the following
rules shall apply;
(a) a judicial authority of the requested Member State
shall be present during the hearing and shall also be responsible
for ensuring both identification of the person to be heard and
respect for the fundamental principles of the law of the requested
(b) measures extending to the protection of the person
to be heard may be agreed between the competent authorities of
the requesting and the requested Member States. The measures may
include the Implementation of the requesting Member State's legislation
on protection of the persons to be heard;
(c) the hearing shall be conducted directly by the judicial
authority of the requesting Member State in accordance with its
(d) at the request of the requesting Member State the
requested Member State shall ensure that the person to be heard
is assisted by an interpreter, if necessary;
(f) the person to be heard may claim the right not to
testify which would accrue to him under the legislation of either
the requested or the requesting Member State;
7. On conclusion of the hearing, the judicial authority of
the requested Member State shall draw up minutes indicating the
date and place of the hearing, the identity of the person heard,
the identities and functions of all other persons present: at
the hearing, any oaths taken and the technical conditions under
which the hearing took place. The document shall be forwarded
by the competent authority of the requested Member State to the
competent authority of the requesting Member State.
8. Expenditure arising from the video conference shall be
charged to the requesting Member State unless the Member States
concerned decide otherwise by mutual agreement. In special cases
or in the event of urgency, the requesting Member State may ask
the requested Member State to advance the amount necessary.
9. Each Member State shall take the necessary steps to ensure
that intentional false statements made in their territory by persons
whether placed under oath or pledge or not in the context of this
Article's application are punishable in the same way as similar
false statements made in the context of a national judicial procedure.
10. The judicial authorities of a Member State wishing to
hear by telephone a person who is in the territory of another
Member State may take that evidence subject to any statements
made by the Member States in accordance with the following subparagraph.
Each Member State may declare when giving the notification
provided for in Article 18(2) that it does not intend to accept
that a Member State may have recourse on its territory to a hearing
by telephone. It may also declare that it accepts such recourse
only under certain conditions, which may inter alia include the
need for the consent of the person to be heard and observance
of all or some of the rules set out in paragraph 6.
TEMPORARY TRANSFER OF PERSONS HELD IN CUSTODY FOR PURPOSES
1. Where there is agreement between the competent authorities
of the Member States concerned, a Member State which has requested
an investigation for which the presence of a person held in custody
on its own territory is required may temporarily transfer that
person to the territory of the Member State in which the investigation
is to take place.
2. The agreement shall cover the arrangements for the temporary
transfer of the person and the date by which he must be returned
to the territory of the requesting Member State.
3. Where consent to the transfer is required from the person
concerned, a statement of consent or a copy thereof shall be provided
promptly to the requested State.
4. The period of custody in the territory of the requested
Member State shall be deducted from the period of detention which
the person concerned is or will be obliged to undergo in the territory
of the requesting Member State.
5. Articles 11(2) and (3), 12 and 20 of the European Mutual
Assistance Convention and Articles 33, 35 and 46 of the Benelux
Treaty shall apply.
6. Each Member State may declare when giving the notification
provided for in Article 18(2) that, before reaching an agreement
under paragraph 1, the consent referred to in paragraph 3 will
be required or will be required under certain conditions indicated
in the declaration.
SPONTANEOUS EXCHANGE OF INFORMATION
1. The competent authorities of the Member States may, within
the limits of their national law and without a request to that
effect, exchange information relating to criminal offences or
infringements of regulations, as referred to in Article 2(1),
the punishment or handling of which falls within the competence
of the receiving authority at the time the information is provided.
2. The providing authority may, pursuant to its national
law, impose conditions on the use of such informatin by the receiving
3. The receiving authority shall be bound by those conditions.
REQUESTS FOR MUTUAL ASSISTANCE
1. Requests for mutual assistance and the communications
referred to in Article 14 shall be made directly between judicial
authorities with territorial competence for their service and
execution, and returned through the same channels unless otherwise
specified in this Article.
Any charge brought by a Member State for proceedings before
the courts of another Member State within the meaning of Article
21 of the European Mutual Assistance Convention and Article 42
of the Benelux Treaty may be the subject of direct communications
between the competent judicial authorities.
2. Paragraph 1 shall not prejudice the possibility of requests
being sent or returned in specific cases:
- between a central authority of a Member State and
a central authority of another Member State; or
- between a judicial authority of one Member State
and a central authority of another Member State.
3. A Member State may declare, in a statement to be sent
to the depositary of this Convention, that its judicial authorities
do not, or do not in general, have authority to execute direct
requests and that requests and information must therefore be sent
via the central authority or authorities of the Member State to
the extent indicated in the statement. The Member State may at
any time amend its statement by means of a communication to be
made to the depositary and any such amendment shall be for the
purpose of giving greater effect to paragraph 1.
4. Any request as referred to in paragraph 1 may, for the
sake of speed, be made via the International Criminal Police Organisation
(Interpol) or any other body competent under provisions introduced
pursuant to the Treaty on European Union.
5. Subject to statements made in accordance with paragraph
3, paragraph 1 shall apply to requests for controlled deliveries,
as referred to in Article 10. Where the competent authority is
a judicial authority in one Member State and a police or customs
authority in the other, requests shall be made and answered directly
between those authorities.
6. ( . . . )
7. The following requests or communications shall be made
through the central authorities of the Member States:
(a) requests for temporary transfer or transit of persons
held in custody as referred to in Article 13 of this Convention,
in Article 11 of the European Mutual Assistance Convention and
in Article 43 of the Benelux Treaty;
(b) notices of judgments as referred to in Article 22
of the European Mutual Assistance Convention and Article 43 of
the Benelux Treaty. However, requests for copies of convictions
and measures as referred to in Article 4 of the Additional Protocol
to the European Mutual Assistance Convention may be made directly
to the competent authorities;
(c) requests for investigations of telecommunications
as referred to in Articles 6 to 9.
1. At the request of the requesting Member State, the requested
Member State may authorize officers of the requesting Member State
operating under cover of a false identity (covert investigators)
to operate in the territory of the requested Member State. The
requesting member State shall make the request only where it would
be completely impossible or extremely difficult to elucidate the
facts without recourse to the proposed investigative measures.
The officers in question shall in the course of their activities
be authorised only to collect information and to make contact
with suspects or other persons associated with them.
2. Covert investigations in the requested Member State shall
have a limited duration. The preparation and supervision of the
investigations shall take place in close cooperation between the
relevant authorities of the requested and requesting Member States.
3. The conditions under which a covert investigation is allowed,
as well as the conditions under which it is carried out, shall
be determined by the competent authority of the rquested Member
State in accordance with its national law. If, in the course of
a covert investigation, information is acquired in relation to
an infringement other than that covered by the original request,
then the conditions concerning the use to which such information
may be put shall also be determined by the competent authority
of the requested Member State in accordance with its national
4. The requested Member State shall provide the necessary
manpower and technical support. It shall take all measures necessary
to protect the officers referred to in paragraph 1, while they
are active in the requested Member State.
5. When depositing its instruments of adoption of this Convention,
a Member State may declare that it is not bound by Article 15a
or part thereof. Such declaration may be withdrawn at any time.
1. When giving the notification referred to in Article 18(2),
each Member State shall make a statement naming:
(a) the competent administrative authorities or services
with the meaning of Article 2(1);
(b) the other authorities competent to apply this Convention
where not already indicated in the European Mutual Assistance
Convention and the Benelux Treaty; and
(d) one or more central authorities for the purposes
of applying Article 15 as well as the authorities competent to
deal with the requests referred to in the second sentence of Article
2. Statements made in accordance with paragraph 1 may be
amended in whole or in part at any time by the same procedure.
Reservations against this Convention are not permitted, with
the exception of that referred to in Article 15(3).
ENTRY INTO FORCE
1. This Convention shall be subject to adoption by the Member
States in accordance with their respective constitutional requirements.
2. Member States shall notify the Secretary-General of the
Council of the European Union of the completion of the constitutional
procedures for the adoption of this Convention.
3. This Convention shall enter into force ninety days after
the notification referred to in paragraph 2 by the State, Member
of the European Union at the time of adoption by the Council of
the Act drawing up this Convention, which is last to complete
4. Until this Convention enters into force, any Member State
may, when giving the notification referred to in paragraph 2 or
at any other time, declare that as far as it is concerned this
Convention shall apply to its relations with Member States which
have made the same declaration. Such declarations shall take effect
ninety days after the date of deposit thereof.
5. This Convention shall apply only to requests submitted
after the date on which it enters into force or is applied as
between the requested Member State and the requesting Member State.
ACCESSION OF NEW MEMBER STATES
1. This Convention shall be open to accession by any State
which becomes a member of the European Union.
2. The text of this Convention in the language of the acceding
State, drawn up by the Council of the European Union, shall be
3. The instruments of accession shall be deposited with the
4. This Convention shall enter into force with respect to
any State which accedes to it ninety days after the deposit of
its instrument of accession or on the date of entry into force
of this Convention if it has not already entered into force at
the time of expiry of the said period of ninety days.
5. Where this Convention is not yet in force at the time
of the deposit of their instrument of accession, Article 18(4)
shall apply to acceding Member States.
1. The Secretary-General of the Council of the European Union
shall act as depositary of this Convention.
2. The depositary shall publish in the Official Journal of
the European Communities information on the progress of adoptions
and accessions, statements and reservations and also any other
notification concerning this Convention.
in a single original in the Danish, Dutch, English, Finnish, French,
German, Greek, Irish, Italian, Portuguese, Spanish and Swedish
languages, all texts being equally authentic, such original being
deposited in the archives of the General Secretariat of the Council
of the European Union.