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MEETING OF MINISTERS OF JUSTICEOEA/Ser.K/XXXIV
OR OTHER MINISTERS OR ATTORNEYS PENAL/doc.30/12
GENERAL OF THE AMERICAS16 March 2012
Original: Spanish
Fifth Meeting of the Working Group on Mutual Assistance in Criminal Matters and Extradition
May 30 and 31, 2012
Asuncion, Paraguay
QUESTIONNAIRE IN PREPARATION FOR
THE FIFTH MEETING OF THE WORKING GROUP ON MUTUAL ASSISTANCE IN CRIMINAL MATTERS AND EXTRADITION
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QUESTIONNAIRE IN PREPARATION FOR
THE FIFTH MEETING OF THE WORKING GROUP ON MUTUAL ASSISTANCE IN CRIMINAL MATTERS AND EXTRADITION
INTRODUCTION
The aim of this questionnaire is to gather useful information for the Fifth Meeting of the REMJA Working Group on Mutual Assistance in Criminal Matters and Extradition (to be held May 30 and 31, 2012, in Asuncion, Paraguay) in connection with recommendations made at previous meetings and those recommendations along the same lines that were adopted within the framework of the Meeting of Ministers of Justice or other Ministers or Attorneys General of the Americas (REMJA), including the recommendation related to the consideration and preparation of an efficient and expeditious Inter-American legal instrument for extradition matters, which would include the progress and new mechanisms developed at the bilateral and subregional levels, in order to strengthen cooperation in this field.
To this end, the questionnaire is divided into four thematic areas:(1) mutual assistance in criminal matters; (2) extradition; (3) lien, forfeiture, and seizure of assets; and (4) use of new technologies for mutual assistance in criminal matters and extradition.
As you can see, the majority of the questions are similar to those that have been included in the questionnaires that you have been responding to periodically, and prior to the meetings of the Working Group on Mutual Assistance in Criminal Matters and Extradition and of the REMJA, in order to determine the level of development of international legal cooperation in the aforementioned areas.
On this occasion, there have been some additional questions included on the topic of extradition, in order to obtain the information necessary for considering and producing the legal instrument referred to above, and we have added, at the end of each of the four thematic areas, questions that will enable the countries to showcase the activities carried out in connection therewith that they deem to be of the greatest importance.
It is requested that you please return your state’s reply to this questionnaire by no later than April 30, 2012 to the OAS General Secretariat (Department of Legal Cooperation of the Secretariat for Legal Affairs), by e-mail to or by fax to + (202) 458-3598, so that your country’s information can be taken into account for the purposes outlined above.
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QUESTIONNAIRE IN PREPARATION FOR
THE FIFTH MEETING OF THE WORKING GROUP ON MUTUAL ASSISTANCE IN CRIMINAL MATTERS AND EXTRADITION
Please answer the following questions with (YES) or (NO) in the relevant parenthesis, and add the required space in each response or, if necessary, attach additional pages.
- MUTUAL ASSISTANCE IN CRIMINAL MATTERS
- Inter-American Convention on Mutual Assistance in Criminal Matters
Has your state ratified the Inter-American Convention on Mutual Assistance in Criminal Matters? (_____) If so, indicate whether it has adopted legislation or other measures to facilitate and ensure its enforcement (_____) and, if so, please identify the legislation and measures.
______
- Central authority
2.1.Does your state have a single central authority (_____) or several central authorities (_____) to meet its international obligations, under existing treaties, for sending and receiving requests for mutual assistance in criminal matters? If it has several, please identify the area of competence (thematic and/or geographical) of each:
______
Please indicate the name, address, telephone and fax numbers, and e-mail addresses of said authority or authorities:
______
2.2.Has your state provided its central authority or authorities with the necessary human (_____) and technological (_____) resources, including training (_____), to effectively, efficiently, and expeditiously perform its (their) functions? If you think more resources are needed, please identify them:
______
2.3.Has your state facilitated the use of direct communication channels and permanent contacts between its central authority or authorities and those of other states (_____), as well as technical cooperation between them? (_____) If you believe more facilities should be provided for those purposes, please state what measures would help achieve this:
______
2.4.Does you state require the use of channels of communication other than the central authorities, such as judicial or diplomatic channels, to send and receive requests for mutual assistance in criminal matters? (____) If so, please state what channels:
______
- Handling and reducing delays
3.1.Has your state taken steps to eliminate unnecessary formalities or bureaucratic procedures in handling requests for mutual assistance in criminal matters? (_____) If so, please identify the measures it has adopted and the unnecessary formalities or bureaucratic procedures that have been eliminated:
______
3.2.Has your state established checklists (_____) or other steps (_____) to ensure that other states requesting assistance are provided with all necessary information, especially adequate information to establish a link between a probable crime and the investigation measure requested? If so, please list the measures adopted:
______
3.3.Has your state taken steps to prioritize the handling of requests for mutual assistance in criminal matters when the urgency of such requests so requires and warrants, in particular as regards requests related to transnational organized crime, money laundering, and terrorism? (_____)
3.4.Has your state established systems to archive the files related to requests for mutual assistance in criminal matters sent and received, to facilitate follow-up on those files? (_____)
- Measures on mutual assistance in criminal matters
4.1.With respect to any mutual assistance measures that may be executed in your state, in accordance with your legal system and based on requests from another state, please indicate whether these include (YES) or do not include (NO) the following:
-Receive testimonies or taking statements from individuals (_____)
-Carry out inspections, seizures, and liens (_____)
-Provide information, evidence, and expert evaluations (_____)
-Present originals or certified copies of relevant documents and case files, including public, banking, and financial documents and companies’ corporate or commercial documents (_____)
-Identify or locate proceeds of crime, assets, instruments, or other elements for evidentiary purposes (_____)
-Facilitate the voluntary appearance of persons in the requesting state (_____)
-Send notifications on decisions, documents, and measures related to trials (_____)
-Transfer persons under arrest to assist in an investigation or hearing (_____)
-Obtain samples of bodily substances, DNA results, or other scientific tests (_____)
-Examine articles and locations (_____)
-Conduct raids and sequestration (_____)
-Preserve electronic data bases (_____)
-Impose fines (_____)
4.2.Has your state eliminated the dual criminality requirement for mutual assistance in criminal matters, especially for crimes related to transnational organized crime (_____), money laundering (_____), and terrorism (_____)?
4.3.If you answered “No” to any part of the previous question, has your state reduced the requirement of dual criminality for mutual assistance in criminal matters, especially for crimes related to transnational organized crime (_____), money laundering (_____), or terrorism (_____)? If you answered “Yes,” please indicate what measure(s) were used to bring about that reduction:
______
4.4.Please indicate whether the grounds established in your state’s legal system for denying a mutual assistance request from another state include (YES) or do not include (NO) the following:
-Undermining the sovereignty, security, or public order of the state (_____)
-Noncompliance with the dual criminality requirement (_____)
-Noncompliance with the minimum requirements of the mutual assistance request (_____)
-Ban on national authorities from acting as requested in connection with an analogous offense, if it is subject to investigations, procedures, and judicial proceedings in the exercise of their own competence (_____)
-For being in breach of the legal provisions governing mutual assistance (_____)
-Other(s) (_____) Please specify:
______
- Joint investigations and special investigation techniques
5.1.Has your state entered into bilateral or multilateral agreements or pacts under which, in matters subject to investigations, procedures, and judicial proceedings in one or more states, the competent authorities may establish joint investigation teams? (_____)
5.2.If so, please indicate with which states: ______and whether these agreements have been enforced in specific cases (_____) or whether certain circumstances have obstructed their enforcement (_____). If the latter applies, explain the circumstances:
______
5.3.Has your state adopted, in accordance with its possibilities and in strict compliance with its domestic law, the measures necessary to allow use of controlled deliveries? (_____) If so, does the decision to use this technique include such methods as intercepting goods (_____), authorizing them to continue on their way intact (_____), or removing or totally or partially replacing them (_____)?
5.4.Has your state entered into bilateral or multilateral agreements or pacts related to controlled deliveries? (_____) If so, please indicate with which states ______and whether these agreements have been enforced in specific cases (_____) or whether certain circumstances have obstructed their enforcement (_____). If the latter applies, explain the circumstances:
______
5.5.Does your state allow the use of other investigation techniques, such as undercover operations (_____), electronic surveillance (_____), or others (_____)? If the latter applies, please specify:
______
5.6.Has your state entered into bilateral or multilateral agreements or pacts for the use of investigation techniques such as undercover operations (_____) or electronic surveillance (_____)? If so, please indicate with which states in connection with each: ______and whether these agreements have been enforced in specific cases (_____) or whether certain circumstances have obstructed their enforcement (_____). If the latter applies, explain the circumstances:
______
5.7.Has your state entered into bilateral or multilateral agreements or pacts for the use of other special investigation techniques? (_____) If so, describe them and indicate with which states: ______and whether these agreements have been enforced in specific cases (_____) or whether certain circumstances have obstructed their enforcement (_____). If the latter applies, explain the circumstances:
______
- Most important activities in mutual assistance in criminal matters
Please list, briefly and in summarized form, what you believe to be the most important activities carried out by your country over the past two years in mutual assistance in criminal matters, dealing with aspects such as the following:
6.1.Enactment of laws or adoption of other legal provisions and/or measures:
______
6.2.Preparation and processing of legislative bills:
______
6.3.Agreements or pacts with other American states:
______
6.4.Organization of / attendance at national or international events:
______
6.5.Attention to requests for mutual assistance in criminal matters from American states:
______
6.6.Requests for mutual assistance in criminal matters served on other American states:
______
6.7.Organization of training activities:
______
6.8.Implementation of technological systems or tools:
______
6.9.Other:
______
- EXTRADITION
- Has your state enacted legislation or adopted other measures needed to facilitate and ensure implementation of the extradition treaties to which it is a party? (_____) If so, please identify the legislation or measures:
______
- Does your state have a single central authority (_____) or several central authorities (_____) for extradition matters? If it has several, please identify the area of competence of each:
______
Please indicate the name, address, telephone and fax numbers, and e-mail addresses of said authority or authorities:
______
- Has your state provided its central authority or authorities with the necessary human (_____) and technological (_____) resources, including training (_____), to effectively, efficiently, and expeditiously perform its (their) functions? If you think more resources are needed, please identify them:
______
Has your state facilitated the use of direct communication channels and permanent contacts between its central authority or authorities and those of other states (_____), as well as technical cooperation between them (_____)? If you believe more facilities should be provided for those purposes, please state what measures would help achieve this:
______
- Has your state adopted measures to eliminate nonessential bureaucratic formalities in extradition cases? (_____) If so, please identify the measures adopted and the unnecessary bureaucratic formalities eliminated:
______
- Does your country allow temporary extradition or handing over? (_____)[1]/
- Does your state allow, at the request of the requesting state and after establishing the urgency and circumstances so warranting, the arrest of a person or persons in its territory sought in extradition (_____) or the adoption of other measure(s) intended to ensure the appearance of such a person or persons in extradition procedures (_____)? If the latter applies, please give a brief description of the relevant measure(s):
______
- Please identify below, by marking the relevant box(es), the legal framework that exists in your state for processing active and passive extradition requests with other member states of the Organization of American States (OAS), and then indicate and identify the corresponding rule, treaty, or measure:
Constitutional provision: ______
Criminal law / criminal procedure law: ______
Special legislation: ______
International treaties: ______
Principles of international law: ______
Other: ______
- Please identify below, by marking the relevant box(es), the countries with which your state currently has bilateral extradition treaties, indicating the corresponding provision whereby they were ratified and stating whether those treaties contain open or closed lists of offenses that permit extradition:
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Antigua and Barbuda
Treaty and domestic ratification:
______
Open list
Closed list
Argentina
Treaty and domestic ratification:
______
Open list
Closed list
Barbados
Treaty and domestic ratification:
______
Open list
Closed list
Bahamas
Treaty and domestic ratification:
______
Open list
Closed list
Belize
Treaty and domestic ratification:
______
Open list
Closed list
Bolivia
Treaty and domestic ratification:
______
Open list
Closed list
Brazil
Treaty and domestic ratification:
______
Open list
Closed list
Canada
Treaty and domestic ratification:
______
Open list
Closed list
Chile
Treaty and domestic ratification:
______
Open list
Closed list
Colombia
Treaty and domestic ratification:
______
Open list
Closed list
Costa Rica
Treaty and domestic ratification:
______
Open list
Closed list
Dominica
Treaty and domestic ratification:
______
Open list
Closed list
Ecuador
Treaty and domestic ratification:
______
Open list
Closed list
El Salvador
Treaty and domestic ratification:
______
Open list
Closed list
United States
Treaty and domestic ratification:
______
Open list
Closed list
Grenada
Treaty and domestic ratification:
______
Open list
Closed list
Guatemala
Treaty and domestic ratification:
______
Open list
Closed list
Guyana
Treaty and domestic ratification:
______
Open list
Closed list
Haiti
Treaty and domestic ratification:
______
Open list
Closed list
Honduras
Treaty and domestic ratification:
______
Open list
Closed list
Jamaica
Treaty and domestic ratification:
______
Open list
Closed list
Mexico
Treaty and domestic ratification:
______
Open list
Closed list
Nicaragua
Treaty and domestic ratification:
______
Open list
Closed list
Panama
Treaty and domestic ratification:
______
Open list
Closed list
Paraguay
Treaty and domestic ratification:
______
Open list
Closed list
Peru
Treaty and domestic ratification:
______
Open list
Closed list
Dominican Republic
Treaty and domestic ratification:
______
Open list
Closed list
Saint Kitts and Nevis
Treaty and domestic ratification:
______
Open list
Closed list
Saint Lucia
Treaty and domestic ratification:
______
Open list
Closed list
Saint Vincent and the Grenadines
Treaty and domestic ratification:
______
Open list
Closed list
Suriname
Treaty and domestic ratification:
______
Open list
Closed list
Trinidad and Tobago
Treaty and domestic ratification:
______
Open list
Closed list
Uruguay
Treaty and domestic ratification:
______
Open list
Closed list
Venezuela
Treaty and domestic ratification:
______
Open list
Closed list
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- Please identify below, by marking the corresponding box(es), which regional and subregional legal extradition instruments your state has ratified:
Inter-American Convention on Extradition
1933 Montevideo Convention on Extradition
Extradition Agreement among the MERCOSUR States Parties
Others (list below)
______
- If your state has not ratified the Inter-American Convention on Extradition, please indicate the reason(s) for that. If it has ratified it, please ignore this question and proceed with the next:
______
- If your state has ratified the Inter-American Convention on Extradition, on a scale of 1 to 5, where 1 is the lowest and 5 the highest, please indicate, by marking the corresponding box(es), the level of practical application that this Convention has had in your country in processing extradition cases:
1 / 2 / 3 / 4 / 5
- Please identify below, by marking the corresponding box(es) and indicating the domestic provision containing the prohibition, whether your state disallows extradition in the following cases:
Nationals
Domestic provision containing the prohibition:
______
Political crimes
Domestic provision containing the prohibition:
______
Offenses with higher penalties than those imposed by national law
Domestic provision containing the prohibition:
______
Offenses subject to the death penalty in the requesting state
Domestic provision containing the prohibition:
______
Offenses punishable by life imprisonment
Domestic provision containing the prohibition:
______
Other reasons (please identify below and indicate the applicable provision)
______
- Please identify below, by marking the corresponding box(es), the number of agencies with competence over extradition proceedings in your state:
Administrative agencies: 1 2 3 +
Judicial agencies: 1 2 3 +
Other agencies (identify by type below): 1 2 3 +
______
- Please identify below, by marking the corresponding box(es), the number of resources available for extradition proceedings in your state:
Administrative agencies: 1 2 3 +
Judicial agencies: 1 2 3 +
Other resources: (identify by type below): 1 2 3 +