On the ratification of the Treaty between the Republic of Kazakhstan and the United Kingdom of Great Britain and Northern Ireland on Mutual Legal Assistance in Criminal Matters

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The Law of the Republic of Kazakhstan dated February 24, 2016 No. 460-V SAM

To ratify The Agreement between the Republic of Kazakhstan and the United Kingdom of Great Britain and Northern Ireland on Mutual Legal Assistance in Criminal Matters, concluded in London on November 3, 2015.

President of the Republic of Kazakhstan N. NAZARBAYEV

AGREEMENT between the Republic of Kazakhstan and the United Kingdom of Great Britain and Northern Ireland on Mutual Legal Assistance in Criminal Matters

The Republic of Kazakhstan and the United Kingdom of Great Britain and Northern Ireland (hereinafter referred to as the "States"), DESIRING to enhance the effectiveness of cooperation between States in the investigation, prosecution and suppression of crimes by providing mutual legal assistance in criminal matters, WITH DUE REGARD to human rights and the rule of law, TAKING into ACCOUNT guarantees in accordance with their legal systems, which include the right of the accused person to a fair trial, Including the right to be tried by an impartial tribunal established by law, we have agreed as follows:

Article 1 Scope of assistance

1. In accordance with the provisions of this Treaty, as well as taking into account their domestic legislation, States undertake to provide each other with all possible assistance in mutual legal assistance in the investigation and prosecution of criminal cases, as well as in judicial and non-judicial procedures related to criminal cases. 2. Assistance includes: (a) obtaining testimony or statements from persons; (b) providing documents, materials and items of evidentiary value, including bank records; (c) serving documents; (d) Search and seizure; (e) restriction and confiscation of proceeds and funds obtained by criminal means, including restriction on transactions with property or freezing of assets allegedly related to a criminal case; (f) locating and identifying persons; (g) facilitating the personal appearance of persons; ((h) The temporary transfer of detainees to appear as witnesses; (i) the return of assets in accordance with this Treaty and the domestic law of the Requested State; (j) the division of assets in accordance with this Treaty and the domestic law of the Requested State; and (k) such other assistance as may be agreed between the central authorities. 3. Assistance is provided regardless of whether the act indicated in the request is punishable under the domestic laws of both States. When a request is made for the purpose of searching and seizing evidence, issuing warrants, restricting or confiscating proceeds of crime, the Requested State may provide assistance in accordance with its domestic law.

Article 2 Grounds for refusal or postponement of assistance

1. Assistance may be refused if: (a) The Requested State considers that the execution of the request may prejudice its sovereignty, security, public order or other essential interests, or is otherwise incompatible with its domestic law; or (b) the offence is considered by the Requested State to be of a political nature or is a crime only in accordance with military law; or (c) there are substantial grounds to believe that the request for assistance was made for the purpose of investigating, prosecuting, or punishing a person because of their race, gender, sexual orientation, religion, nationality, ethnic origin, or political beliefs, or that the person's position may be harmed for any of these reasons; or (d) the request relates to an offence for which criminal prosecution would be incompatible with the domestic law of the Requested State due to the impossibility of double punishment (ne bis in idem); or (e) providing assistance would interfere with or could interfere with an investigation or criminal proceeding in the Requested State or endanger the safety of any person. 2. Assistance cannot be refused solely on the basis of bank secrecy and secrecy of similar financial institutions or the fact that the crime is also considered to be related to fiscal issues. 3. The requested State may delay the execution of a request if its immediate execution could interfere with any ongoing criminal proceedings in the Requested State. 4. Before refusing a request for assistance, the Requested State should consider whether assistance can be provided under certain conditions. If the Requesting State accepts assistance under the conditions established in accordance with this article, it must comply with such conditions. 5. If the Requested State refuses or delays assistance, it shall immediately inform the Requesting State of the reasons for the refusal or postponement.

Article 3 Central authorities

1. For the purposes of this Treaty, the central authorities designated by the States shall interact directly with each other. 2. For the United Kingdom, the central authorities for sending requests are: (a) the Secretary of State for the Home Office; or (b) the Lord Advocate (for matters relating to Scotland). 3. For the United Kingdom, the central authorities for receiving requests are: (a) State Secretary of the Ministry of the Interior; or (b) Her Majesty's Revenue and Customs (for matters relating to tax matters); or (c) the Lord Advocate (for matters relating to Scotland). 4. The central authority for the Republic of Kazakhstan is the Prosecutor General's Office. 5. States may at any time designate any other authority as the central authority for the purposes of this Treaty. Notification of such an appointment is made through the exchange of diplomatic notes.

Article 4 Form, language and content of requests

1. A request for assistance must be made in writing. A request for assistance may be submitted by fax or e-mail, provided that the original request is submitted within thirty (30) business days of receipt of the transmitted request, unless the Requested State agrees otherwise. 2. The request must contain the following: (a) the name and address of the authority conducting the proceedings in connection with which the request is made; (b) the subject matter and nature of the proceedings for which the request is made; (c) a description of the offence to which the request relates, including the applicable penalty (including a copy of the relevant legislation or code); (d) a summary of the information that gave rise to the request; (e) a description of the evidence or other assistance requested; (f) the purpose for which the evidence or other assistance is requested; and (g) an indication of any period during which the request is expected to be executed. 3. To the extent necessary and possible, the request should also include: (a) information about the identity, date of birth, nationality and location of any person from whom evidence is required, and that person's relationship to the investigation/proceedings; (b) information about the identity, date of birth, nationality and location the person to whom the service is to be performed, the relation of this person to the proceedings and the manner in which the service should be performed; (c) information about the name and location of any other legal entity from which evidence is to be obtained and the relationship of that person to the investigation/proceedings; (d) available information about the identity and location of the person to be sought and the relationship of that person to the investigation/proceedings; (e) an accurate description of the location where It is necessary to conduct a search, as well as a description, significance and importance of the items to be seized for the investigation/proceedings; (f) a description of how any testimony or statements should be obtained and recorded; (g) a list of questions to be asked of the person; (h) a description of any specific procedures to be followed in executing the request; (i) information on payments and reimbursement for which the person, the person being summoned to the territory of the Requesting State has the right; (j) confidentiality requirements; and (k) any other information that may be brought to the attention of the Requested State in order to facilitate the execution of the request. 4. When a request concerns the appearance of a person in the Requesting State, as provided for in article 13 (Appearance of persons in the Requesting State) or article 14 (Transfer of persons in custody) of this Treaty, the request must contain information on the degree of immunity, if any, that is granted to the person during his stay in the Requesting State. 5. If the Requested State considers that the information contained in the request is not sufficient for the purposes of this Treaty, that State may request the Requesting State to provide additional information. 6. All requests, documents attached to them, and any communications prepared in accordance with this Treaty shall be made in English or in the official language of the Requesting State, accompanied by a translation into the official language of the Requested State.

Article 5 Execution of requests

1. The central authority of the Requested State shall make efforts to execute the request immediately or arrange for its execution by its competent authorities. 2. The Central Authority shall endeavour to ensure the prompt execution of the request in accordance with the domestic law of the Requested State and to the extent not prohibited by its domestic law, in accordance with the procedure specified by the Requesting State. 3. The requested State may take appropriate measures to ensure that the interests of the Requesting State are properly represented during judicial proceedings. 4. The Requested State shall immediately inform the Requesting State of any circumstances that may cause a significant delay in responding to the request. 5. The Requested State shall immediately inform the Requesting State of the decision not to comply in whole or in part with the request for assistance and the reason or reasons for this decision. 6. The central authority of the Requested State may facilitate the participation of investigators of the Requesting State in the execution of the request, if this is indicated in the request.

Article 6 Confidentiality, restrictions on use and data protection

1. Upon request, the Requested State shall maintain the confidentiality of the request for assistance, its contents and attached documents, as well as any response to such request. 2. If the request cannot be executed without violating confidentiality, the Requested State shall inform the Requesting State, which shall determine whether and to what extent the request should be executed. 3. The requesting State shall not use or disclose any information or evidence obtained under this Treaty for any purpose other than the proceedings specified in the request without the prior consent of the Requested State. 4. Nothing in this article precludes the use or disclosure of information if, in accordance with the domestic law of the Requesting State, it is necessary to use or disclose such information for the purposes of judicial proceedings. The Requesting State shall, whenever possible, notify the Requested State in advance of any such disclosure. 5. Any State may refuse to transfer data obtained as a result of fulfilling a request sent in accordance with this Treaty, when the transfer of such data is prohibited in accordance with its domestic legislation. 6. Any State that transfers personal data obtained as a result of executing a request sent in accordance with this Agreement may request the State to which the data was transferred to provide information on the use of such data.

Article 7 Requirements for legalization

1. Documents, copies, records, statements and other materials must be exempt from any legalization requirements, including certification or authentication by officials of consular or diplomatic institutions. 2. Documents, copies, records, statements and other materials that must be transmitted to the Requesting State are subject to certification only if the Requesting State requests it. For this purpose, the certification by the central authority of the Requested State should be sufficient.

Article 8 Return of documents, records or objects

Unless otherwise agreed between the central authorities, any documents, records or items provided to the Requesting State as part of the execution of the request in accordance with this Treaty must be returned in a mutually acceptable manner as soon as possible.

Article 9 Obtaining testimony or evidence

1. A person located in the territory of the Requested State from whom it is necessary to obtain testimony or evidence in accordance with this Treaty may be compelled, if necessary, to appear for testimony or to present evidence, recordings or material evidence by summons or by such other method as is permitted in accordance with the domestic law of the Requested State. 2. If, in accordance with paragraph 6 of article 5 (Execution of requests) of this Treaty, the Requested State has authorized the presence of these persons during the execution of the request, then, in accordance with the domestic law of the Requested State, such persons are allowed to submit questions that need to be asked to the person testifying or providing evidence. 3. A person who gives testimony or evidence in the Requested State upon a request made in accordance with this article may refuse to give testimony or evidence if the domestic law of the Requested State allows it, and this person is not subject to any lawful punishment as a result. 4. When a person claims immunity, incapacity or privilege under the domestic law of the Requesting State, the Requesting State must be informed of such a claim and testimony or evidence must be accepted, unless the Requesting State agrees with the validity of the claim.

Article 10 Hearing by videoconference

1. A person located in the territory of the Requested State may give evidence in the framework of proceedings conducted in the Requesting State by videoconference. 2. If one of the States does not have access to the technical means for holding a videoconference, such means may be provided by the other State by agreement. 3. When a person is to be heard by videoconference, the hearing must be conducted before the appropriate authority in the Requested State. 4. The hearing must be conducted under the supervision of the relevant authority of the Requesting State and evidence must be provided.: (a) in accordance with the procedure provided for by the domestic law of the Requesting State, to the extent not prohibited by the domestic law of the Requested State; and (b) in accordance with any other measures for the protection of the person being heard that have been agreed between the States. 5. During the hearing, the relevant authority of the Requested State is responsible for: (a) ensuring proper interpretation of the proceedings; (b) identifying the person being heard; (c) suspending the hearing if necessary to protect the rights of the person being heard; (d) drawing up a record of the hearing, which should contain the following information: (i) the date and place of the hearing; (ii) information about the identity of the person being heard; (iii) information about the identity and official powers of any other persons participating in the hearing; (iv) information about any oaths taken; and (v) the technical conditions under which the hearing took place; and (e) transmission of the record of the hearing referred to in this article as soon as possible after the hearing.

Article 11 Provision of publicly available documents and other records

1. Upon request, the Requested State shall provide the Requesting State with copies of publicly available records held by the State authorities of the Requested State. 2. The Requested State may provide the Requesting State with copies of documents or records that are in the possession of the State authorities of the Requested State, but which are not publicly available, to the same extent and under the same conditions as they would be available to its law enforcement or judicial authorities.

Article 12 Service of documents

1. Upon request, and to the extent possible, the Requested State shall serve any subpoenas issued or drawn up for the purposes of criminal proceedings. 2. Any person who fails to appear in accordance with the summons requested shall not be subjected to any punishment or restrictive measures, even if the summons contains a warning of punishment, unless that person subsequently voluntarily returned to the territory of the Requesting State and was duly summoned again. 3. The requesting State shall transmit the summons for service, providing for the appearance of the person before the authority in the Requesting State, within a reasonable time before the appointed date of appearance. 4. The requested State shall, whenever possible, return the confirmation of service in the manner specified in the request.

Article 13 Appearance of persons in the Requesting State

1. Upon request and to the extent possible, the Requested State shall serve any summonses issued or drawn up for the purposes of criminal proceedings. 2. Any person who fails to appear in accordance with the summons requested shall not be subjected to any punishment or restrictive measures, even if the summons contains a warning of punishment, unless that person subsequently voluntarily returned to the territory of the Requesting State and was duly summoned again. 3. The requesting State shall transmit the summons for service, providing for the appearance of the person before the authority in the Requesting State, within a reasonable time before the appointed date of appearance. 4. The requested State shall, whenever possible, return the confirmation of service in the manner specified in the request.

Article 13 Appearance of persons in the Requesting State

1. If the person is located in the Requested State, that State may assist in arranging for the person's appearance, subject to his consent, in the Requesting State.: (a) to assist in an investigation related to a criminal case; or (b) to participate in proceedings related to a criminal case in the Requesting State, if that person is not the accused. 2. The Requesting State may, as far as possible, take measures to ensure that a person who enters the territory of the Requesting State in accordance with this article will not be the subject of subpoenas or detained or subjected to any other restriction of personal freedom due to any actions or omissions in the Requesting State that have been committed before the departure of the person from the territory of the Requested State. 3. The requested State, if it is satisfied with the measures taken by the Requesting State to ensure the safety of the person being summoned, may invite that person to give or provide evidence or assistance in connection with a criminal case in the Requesting State. The person must be informed of the details of any immunity as required by paragraph 4 of article 4 (Form, language and content of requests) of this Treaty, and of any costs or reimbursements covered. 4. The requested State shall immediately inform the Requesting State in writing of the person's response and, with its consent, take any necessary measures to facilitate the presence of that person in the Requesting State.

Article 14 Transfer of persons in custody

1. When a request for the transfer of a person in custody in the Requested State is received by that State in order to transfer the person to the territory of the Requesting State for the purpose of providing assistance under this Treaty, that person shall be transferred if he and the States give their consent to this. 2. The requesting State is responsible for the safety of the transferred person in custody. 3. The Requesting State may, as far as possible, take measures to ensure that a person who enters the territory of the Requesting State in accordance with this article will not be the subject of a summons or detained or subjected to any other further restriction of personal freedom due to any actions or omissions in the Requesting State that have been committed before the departure of the person from the territory of the Requested State. 4. The requested State, if it is satisfied with the measures taken by the Requesting State to ensure the safety of the person being summoned, may invite that person to give or provide evidence or assistance in connection with a criminal case in the Requesting State. The person must be informed of the details of any immunity, as required by paragraph 4 of article 4 (Form, language and content of requests) of this Treaty. 5. The requesting State has the right and obligation to detain the transferred person, unless the Requested State has notified otherwise. 6. When the Requested State notifies the Requesting State that the detention of the transferred person is no longer required, that person shall be released from custody and treated as a person to whom article 13 (Appearance of persons in the Requesting State) of this Treaty applies. 7. The requesting State shall return the transferred person to the custody of the Requested State as soon as circumstances permit and in any case not later than the date from which he would have been released from custody in the territory of the Requested State, unless otherwise agreed between the States and the transferred person. 8. The Requesting State does not require the Requested State to initiate extradition proceedings for the return of the transferred person. 9. The period of detention in the territory of the Requesting State must be counted against the period of detention that is being served or is to be served by a person in the territory of the Requested State.

Article 15 Conducting searches and seizures

1. The requested State shall comply with requests for the search, seizure and transfer of any evidence to the Requesting State, provided that the request contains information that would justify such action in accordance with the domestic law of the Requested State. 2. The Requested State shall provide such information as the Requesting State may require on the result of any search, the location of the seizure, the circumstances of the seizure and the subsequent storage of the seized evidence. 3. The Requested State may require the Requesting State to agree to any conditions that the Requested State deems necessary to protect property rights in relation to the evidence being transferred.

Article 16 Voluntary provision of information

1. The central authority of one of the States may, without prior request, transmit information to the central authority of another State when it considers that disclosure of such information may assist the receiving State in initiating or conducting an investigation or proceeding or may lead to a request from the receiving State in accordance with this Treaty. 2. If one of the States becomes aware that the proceeds or instruments of a crime are located on the territory of another State and may be subject to restriction or confiscation in accordance with the legislation of that State, it may inform the central authority of the other State. 3. The providing State may impose conditions on the use of such information by the receiving State. The receiving State must comply with these conditions.

Article 17 Restriction and confiscation of property

1. States shall assist each other in proceedings related to the restriction and confiscation of proceeds and instruments of crime in accordance with the domestic legislation of the Requested State. 2. In addition to the provisions contained in article 4 (Form, language and content of requests) of this Treaty, a request for assistance in restricting or confiscating proceeds must also contain: (a) detailed information about the property in respect of which cooperation is requested; (b) information about the location of the property and its relationship to the subject of the request.; (c) a link, if any, between the property and the crimes; (d) information about any interests of third parties in that property; and (e) if available, a certified copy of the court's decision on restriction or confiscation and a statement indicating the grounds on which the court's decision was made, if they are not specified in the decision itself.

Article 18 Asset recovery

1. When a confiscation order has been issued in the Requesting State, assets that have been seized in the Requested State may be returned to the Requesting State for purposes of confiscation in accordance with the domestic law of the Requested State. 2. The rights of bona fide third parties to these assets must be respected.

Article 19 Return of embezzled public funds

When the Requested State confiscates assets that are public funds, regardless of whether they have been legalized, and that were stolen from the Requesting State, the Requested State must return the confiscated assets to the Requesting State, minus the costs of implementation.

Article 20 Circumstances in which assets may be divided

When a State has confiscated assets in its possession and that State considers that cooperation has been carried out by another State, these confiscated assets may be divided in accordance with article 21 (Requests for asset separation) of this Treaty.

Article 21 Requests for asset separation

1. A request for the division of assets may be sent to the Requested State in accordance with the provisions of this Treaty, if such cooperation has led or may lead to confiscation. If possible, the request for asset separation is sent simultaneously or before the request for confiscation is sent, unless otherwise agreed between the States. 2. A request sent in accordance with paragraph 1 of this article must contain information about: (a) the case to which the request relates; (b) the assets (and their value) to which the request relates.; (c) the institution or institutions involved; and (d) the scope and circumstances of the collaboration. 3. In connection with a request for asset separation made in accordance with the provisions of this article, the Requested State must: (a) to consider the appropriateness of asset separation (including consideration of the estimated value of assets when they are realized); and (b) to inform the Requesting State of the results of this review. 4. When the Requested State has agreed to share the assets, 50% of the amount received from the sale (unless otherwise agreed between the central authorities) must be transferred to the Requesting State. 5. When the value of the assets sold is less than 10,000 British pounds or the equivalent in Kazakhstani tenge at the time of sale, the Requested State may decide not to divide the assets, despite any decision taken in accordance with paragraph 3 of this article. 6. In appropriate cases where there are victims, consideration of the rights of victims may take precedence over the division of assets between States. 7. States may also agree on the division of assets for other reasons in respect of individual cases.

Article 22 Payment of divided assets

Unless otherwise agreed, any amount transferred in accordance with Article 21 (Requests for Asset Allocation) of this Agreement shall be paid.: (a) in the currency of the Requested State; (b) by electronic transfer of funds; and (c) to such recipient or recipients designated by the central authority of the Requesting State.

Article 23 Imposition of conditions on the division of assets

When a State transfers any amount in accordance with article 21 (Requests for asset sharing) of this Treaty, it may not impose any conditions on the use of this amount and, in particular, may not require that the amount be shared with any other State, institution or person.

Article 24 Compensation for damage to the victim

The requested State, to the extent permitted by its legislation, provides assistance in compensation for harm to victims of a crime.

Article 25 Costs and expenses

1. The Requested State shall pay all costs related to the execution of the request, with the exception of the following, which must be paid by the Requesting State: (a) fees and reasonable expenses of experts; (b) compensation and expenses incurred in accordance with article 13 (Attendance of persons in the Requesting State) of this Treaty; (c) costs for the establishment and conduct of videoconferences or television communications, as well as for the interpretation and translation of such proceedings in accordance with article 10 (Hearing via videoconference) of this Agreement; and (d) the costs of transferring persons in custody in accordance with article 14 (Transfer of persons in custody) of this Treaty. 2. If the central authority of the Requested State notifies the central authority of the Requesting State that the execution of the request may require costs or other unforeseen expenses, the central authorities shall consult with each other in order to reach an agreement on the conditions under which the request should be executed and the order in which the costs should be distributed.

Article 26 Compatibility with other Treaties

The assistance and procedures set out in this Treaty shall not prevent any State from providing assistance to another State, subject to the provisions of other international agreements to which they are parties or subject to the provisions of their domestic legislation. States may also provide assistance in accordance with any arrangement, agreement or practice that may be applicable between the law enforcement agencies of States.

Article 27 Consultations

The States shall consult orally or in writing on the application or implementation of this Treaty in general or on specific cases, when necessary. States may also agree on such practical measures as may be necessary to facilitate the implementation of this Treaty.

Article 28 Settlement of disputes

Any dispute regarding the interpretation, application or implementation of this Treaty shall be resolved through diplomatic channels if the central authorities are unable to reach an agreement on their own.

Article 29 Application

1. This Treaty applies to crimes committed before or after the date of its entry into force. 2. This Agreement applies: (a) in the territory of the United Kingdom, which consists of Great Britain and Northern Ireland; (b) in the territory of the Republic of Kazakhstan; and (c) in any other territories for which one of the States is responsible for international relations and to which this Treaty may be extended through the exchange of notes. 3. The application of this Treaty to any Territory in respect of which an extension has been made in accordance with subparagraph (c) paragraph 2 of this article may be terminated by any State after six (6) months from the date of written notification to the other State through diplomatic channels.

Article 30 Entry into force and termination

1. This Treaty shall enter into force on the date on which both States have notified each other through diplomatic channels of compliance with the relevant requirements necessary for the entry into force of this Treaty. 2. Each State may terminate this Treaty at any time by notifying the other State in writing. In this case, the Agreement shall terminate six (6) months after the date of receipt of such notification.

IN WITNESS WHEREOF, the undersigned, being duly authorized thereto, have signed this Agreement.

DONE on November 3, 2015 in London in two copies, in Kazakh and English, both texts being authentic.

For the Republic of Kazakhstan For the United Kingdom Great Britain and Northern Ireland

I confirm the authenticity of the text of the Agreement between the Republic of Kazakhstan and the United Kingdom of Great Britain and Northern Ireland on Mutual Legal Assistance in Criminal Matters, signed in London on November 3, 2015 in Kazakh and English with the text in Russian.

Head of the Department of International Cooperation of the Prosecutor General's Office of the Republic of Kazakhstan S. Dospolov

RCPI's note! The text of the Agreement in English is attached below.

President

Republic of Kazakhstan

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