Bucharest UNIVERSITY Bucharest UNIVERSITY

LAW SCHOOL LAW SCHOOL

Scientific coordinator
Professor dr. Constantin MITRACHE
PhD Candidate Mariana ZAINEA (RADU)
Sesiunea !"#
D$CT$RA% THESIS
NATI$NA% CRIMINA% &URISDICTI$N IN THE C$NTE'T $(
INTERNATI$NA% C$$PERATI$N
) Su**ar+ )
1. The objectie o! the scie"ti!ic research
It is #e$$ %"o# the !act that i" the &rocess o! i"ter"atio"a$ re$atio"s' s&ace is "ot a static
but a ()"a*ic a"( co*&$e+ "otio". The territor) re&rese"ts that ,eo,ra&hic s&ace #ithi" those
$i*its the state' *ai" actor o! these re$atio"s' is e+ercisi", its e+c$usie a"( co*&$ete soerei,"t).
This state*e"t' a$thou,h er) si*&$e' sho#s that' o" the o"e ha"(' at $east at a theoretica$ $ee$'
u&o" a territor) it ca""ot be e+ercise( but the soerei,"t) o! a si",$e state' a"( o" the other ha"('
that state is the o"$) o"e co*&ete"t to (eter*i"e the "ature o! co*&ete"ces that ca" be e+ercise(
throu,h its authorities a"( i"stitutio"s.
-es&ite that' to(a) bor(ers are "ot o"$) so*e territoria$ (e$i*itatio"s. The) are (ra#i",
true &o$itica$ s&aces o! soerei,"t) i" #hich the state is e+ercisi", its authorit) i" accor(a"ce
#ith the cha",es brou,ht b) is i"teractio" #ith other i"ter"atio"a$ actors' o" a bi$atera$ $ee$ or i"
the !ra*e#or% o! i"ter"atio"a$ or re,io"a$ or,a"i.atio"s. Re!erri", to &o$itica$ s&aces o!
soerei,"t) is "ot a ra"(o* o"e. O" the o"e ha"(' a (irect re$atio" bet#ee" s&ace a"( &o$itics has
e+iste( eer si"ce the state cii$i.atio" a&&eare(/ !ro* the *o*e"t or,a"i.e( hu*a" structures
hae beco*e a#are o! their o#" i(e"tit) a"( *a(e the (isti"ctio" bet#ee" US a"( the OTHERS.
O" the other ha"(' cri*i"a$ &o$ic) has bee" a" i*&orta"t co*&o"e"t o! the ,e"era$ &o$ic) o!
eer) state #hich !o$$o#e( a$#a)s the $i"e o! the cri*i"a$it) tre"(s ee" be)o"( its !ro"tiers' a"(
it this &articu$ar co"te+t has estab$ishe( the !ie$( o! a&&$icatio" o! its cri*i"a$ juris(ictio".
0uris(ictio" is the ce"tra$ a"( ita$ e$e*e"t o! a state soere,i"it)' #hich ee" thou,h it is
stro",$) i"terco""ecte( #ith the territor) o! the a!ore1*e"tio"e( state ir is "ot e+c$usie$)
co""ecte( to that state. This is (ue to the !act that the states22 co"(uct sha$$ be a$#a)s (e&e"(e"t '
i" a *ore or $ess obious *a""er' to the &reoccu&atio" to e+ercise its juris(ictio"' es&ecia$$) the
cri*i"a$ juris(ictio"' "ot o"$) as re,ar(s #hat is ha&&e"i", #ithi" its !ro"tiers' but a$so be)o"(
those !ro"tiers
Ee" thou,h the co"ce&t o! juris(ictio" is s&eci!ic !or i"ter"atio"a$ &ub$ic $a#' co"te+t i"
#hich it eo%e( the "otio" o! &o#er' or !ro* a co"e"tio"a$ &ers&ectie' o! &o#er' #e be$iee
that the "atio"a$ cri*i"a$ $a# is "ot !ar !ro* this co"ce&t' the a"a$)sis o! the t#o bra"ches o! $a#'
es&ecia$$) o! the i"!$ue"ce *ore a"( *ore ei(e"t e+ercise( u&o" the "atio"a$ $a# o! the
i"ter"atio"a$ re$atio"s a"( i"ter"atio"a$ &ub$ic $a#' bei", ab$e to &roe to the best e+te"t this
as&ect.
We (o "ot #ish to (iscuss here the histor) o! the $e,a$ co"ce&t o! juris(ictio" a"( "or
sha$$ #e *a%e a" a"a$)sis !ro* the &ers&ectie o! the three &o#ers throu,h #hich state
juris(ictio" is e+ercise(3 $e,is$atie' e+ecutie a"( ju(icia$. Su!!ice it to sa) that cri*i"a$
juris(ictio" is a co"ce&t to be !ou"( i" the cri*i"a$ $a#' i"c$u(i", Cri*i"a$ Co(e a"( the "e#
Cri*i"a$ Co(e 4i" the co"te+t o! i**u"it) o! juris(ictio"5 a"( that it &rese"ts a s&ecia$ i"terest
!or the !ie$( o! i"ter"atio"a$ ju(icia$ coo&eratio" i" cri*i"a$ *atters' #here its ()"a*ics ca" be
best obsere(.
6ro* the &ers&ectie o! our scie"ti!ic u"(erta%i", the e+&ressio" "atio"a$ cri*i"a$
juris(ictio" e"tai$s the a&&$icatio" o the cri*i"a$ $a# i" s&ace o" the bases o ! the territoria$it)'
&erso"a$it)' rea$it) a"( u"iersa$it) &ri"ci&$es. A&&roachi", this the*e is "ot *ere theoretica$'
the research hai", as a" objectie "ot o"$) the a"a$)sis o! the (o*estic a"( i"ter"atio"a$
!ra*e#or% a&&$icab$e i" the !ie$(' EU !ra*e#or% i"c$u(e(' but a$so o! the te"(e"cies this
&ri"ci&$es hae i" the co"te+t o! i"ter"atio"a$ coo&eratio"' co*&risi", o&eratio"a$ coo&eratio"' i"
cri*i"a$ *atters' as #e$$ as o! the "ecessit) to &ut i"to &ractice those &ri"ci&$es base( a$so o" the
eo$utio" o! i"ter"atio"a$ $a# at a certai" &oi"t i" ti*e.
These &ri"ci&$es a$$o#e( us to a&&roach this the*e o" t#o juris(ictio" cate,ories. The
!irst o"e is the o"e (e!i"e( b) the territoria$ cri*i"a$ juris(ictio". The territoria$it) &ri"ci&$e is the
o"e that &uts the basis as re,ar(s the a&&$icatio" o! the cri*i"a$ (o*estic $a# ' !irst$) !ro* the
&ers&ectie o! e+c$usie soerei,"t) o" the o#" territor)' a"( seco"($)' !ro* the &ers&ectie o!
the a(*i"istratio" o! the ei(e"ces.
Starti", !ro* the !act that the re$atio" bet#ee" the cri*i"a$ $a# a"( the $ocatio" #here
the o!!e"ce occurre( is best e*&hasi.e( i" the co"te+t o! tra"s$atio"a$ or,a"i.e( cri*e' #e hae
a&&reciate( as use!u$' !ro* a &ractica$ a"( theoretica$ &oi"t o! ie#' the a"a$)sis o! the t#o
co"ce&ts o! territoria$it)3 subjectie a"( objectie territoria$it)' as #e$$ as the theories co""ecte(
to territoria$it) #hich ,ae birth i"to &ractice to (i!!ere"t co"troersies. The seco"( cate,or) is
re&rese"te( b) the e+traterritoria$ cri*i"a$ juris(ictio".
Seco"($)' beari", i" *i"( the i"ter"atio"a$ coo&eratio" i" the !i,ht a,ai"st cri*e' the
"atio"a$ cri*i"a$ juris(ictio" *ea"s' i" the co"te+t o! our scie"ti!ic u"(erta%i",' the a&&$icatio"
o! the cri*i"a$ "atio"a$ $a# as a" e!!ect o! i"ter"atio"a$ coo&eratio" o" the basis o! the &ri"ci&$e
aut dedere aut judecare a"( o! the ta%i", oer o! &roce(ures i"itiate( b) a"other state. This has
bee" (e!i"e( a"( a"a$).e( as seco"(ar) juris(ictio".
The "oe$t) o! the scie"ti!ic research is (eter*i"e( b) the "ecessit) to ea$uate the
(o*estic i"ter"a$ !ra*e#or% !or the a&&$icatio" o! the cri*i"a$ $a# i" s&ace i" the co"te+t a"(
!ro* the &ers&ectie o! i"ter"atio"a$ coo&eratio". It is i"(ee( true that the (octri"e has a$rea()
&ro"ou"ce( itse$! u&o" the re$atio"s bet#ee" the cri*i"a$ $a# a"( the s&ace. -es&ite that' the
a&&roach u"ti$ "o# #as a c$assica$ o"e' the &rocess o! estab$ishi", a"( e!!ectie$) a&&$)i", the
cri*i"a$ $a# i"to s&ace' si*&$e at a !irst ,$a"ce' bei", i" our o&i"io"' sti$$ a" e7uatio" #ith
u"%"o#" e$e*e"ts i" the "atio"a$ $a#.
The case$oa( e+isti", i" "atio"a$ cri*i"a$ cases #here the cri*i"a$ $a# is a&&$ie( base(
o" the &ri"ci&$es o! rea$it)' &erso"a$it) a"( u"iersa$it) or ee" territoria$it) a"( those o!
i"ter"atio"a$ coo&eratio" i" cri*i"a$ *atters' is o"e o! the ar,u*e"ts that sta)s at the basis o!
such a state*e"t. A seco"( ar,u*e"t is ,ie" b) the $ac% o! a" e!!ectie cri*i"a$ $a# strate,)
that #ou$( corres&o"( to the &rese"t (a) &rob$e*s o! the &o$itica$ a"( $e,a$ Ro*a"ia s&ace or
that #ou$( be ce"tre( o" &re(ictie a$ues or $e,a$ &atter"s.
The "ecessit) o! the ea$uatio" be!ore *e"tio"e( starts !ro* curre"t $e,a$ rea$ities a"(
co*es as a" a"s#er !or those #ho hae to estab$ish #ho has the ri,ht to starts the cri*i"a$
i"esti,atio" !or a certai" o!!e"ce' #hich cri*i"a$ $a# is a&&$ie( i" that case' #hich are the ri,hts
the accuse( &erso" #i$$ hae (uri", the cri*i"a$ tria$ or #hich case the "atio"a$ case or the case
be$o",i", to the So$iciti", State #i$$ hae &riorit). This is the reaso" !or #hich the scie"ti!ic
research has t#o co*&o"e"ts3 a theoretica$1(ocu*e"tar) a"( a &ractica$ o"e.
I" this co"te+t' the thesis has as a" ai* to bri", a si,"i!ica"t co"tributio" i" the !ie$( o!
scie"ti!ic research.' #ith a" i"ter1(isci&$i"ar) co*&o"e"t' !ro* the cri*i"a$ $a#' cri*i"a$
&roce(ura$ $a# a"( &ub$ic i"ter"atio"a$ $a#. The i"ter(e&e"(e"ce a"( i"teractio" bet#ee" those
!ie$(s' as #e$$ as a&&roachi", the the*e a$so !ro* the &ers&ectie o! the treaties' co"si(ere( as
sources o! the "atio"a$ cri*i"a$ $a# hae i*&ose( such a" e+i,e"c)
1
'
8. Structure o! the thesis
The thesis is structure( i" tit$es' cha&ters' sectio"s' subsectio"s a"( &ara,ra&hs.
Tit$e I 9Territoria$ cri*i"a$ juris(ictio"9 is !or*e( o! t#o cha&ters. Cha&ter I e"tit$e(
9The (i*e"sio" o! the cri*i"a$ $a# territoria$it)9 is structure( i" three sectio"s3 90usti!icatio" o!
the territoria$it) o! cri*i"a$ $a#9' 9 The co"ce&t o! territoria$it) !ro* the &ers&ectie o!
Ro*a"ia" cri*i"a$ $a#. The ubi7uit) theor)9 a"( the Subsi(iar) character o! the territoria$it) o!
cri*i"a$ $a# !ro* the &ers&ectie o! the Ne# Cri*i"a$ Co(e. The (e1teritoria$i.atio" o! the
"atio"a$ cri*i"a$ $a#:9. I" this cha&ter there hae bee" a"a$).e( !ro* a co*&aratie a"(
critica$ a&&roach the re$ea"t &roisio"s !ro* the Cri*i"a$ Co(e a"( the Ne# Cri*i"a$ Co(e.
As a *atter o! !act the a&&roachi", (ate !or e"teri", i"to !orce o! the Ne# Cri*i"a$ Co(e'
6ebruar) 1' 8;1<' has (eter*i"e( the a"a$)sis o! the #ho$e "atio"a$ s)ste* !or the a&&$icatio" o!
the cri*i"a$ $a# i" s&ace to be (o"e a$so !ro* the &ers&ectie o! the Ne# Cri*i"a$ Co(e. At the
1
Co"sta"ti" =itrache' Cristia" =itrache' -re&t &e"a$ ro*>". ?artea ,e"era$@' E(i ia a IA1a re@.ut@ i a(@u,it@'
U"iersu$ 0uri(ic' 8;18' &. BB.
sa*e ti*e' it #as ta%e" i"to accou"t a"( eo%e( the !orei," juris&ru(e"ce' es&ecia$$) that o! the
U"ite( States a"( o! the I"ter"atio"a$ Court o! 0ustice.
Cha&ter II e"tit$e(9 Re(e!i"i", the &ri"ci&$e o! territoria$it) i" the co"te+t o! i"ter"atio"a$
coo&eratio". E+ce&tio"s9 is (e(icate( to the a"a$)sis o! the (i&$o*atic i**u"ities o! cri*i"a$
juris(ictio" a"( the $e,a$ !ra*e#or% !or the !orei," ar*e( !orces.
Ee" thou,h the s&here o! cri*i"a$ juris(ictio" i**u"ities is *uch broa(er' i"c$u(i",'
!or e+a*&$e those re$ate( to hea(s o! states a"( ,oer"*e"t' our research has $i*ite( itse$! to the
(i&$o*atic i**u"it). The reaso" is co""ecte( *ai"$) to the !act that our e+ercise !o$$o#s the
$i"es a"( structure o! the &ri"ci&$es !or the a&&$icatio" o! the cri*i"a$ $a# i" s&ace i" the !or*
a"( co"te"t re,u$ate( b) the Cri*i"a$ $a# i"to !orce a"( the Ne# Cri*i"a$ Co(e. A"(' at the
sa*e ti*e' is co""ecte( to the !act that the state i**u"it).
8
is a co"ce&t &ro!ou"($) attache( to
the &riate &ub$ic i"ter"atio"a$ $a# a"( i"ter"atio"a$ re$atio"s.'
The $e,a$ !ra*e#or% !or !orei," ar*e( !orces has bee" a"a$).e( e+c$usie$) !ro* the
&ers&ectie o! the a&&$icatio" o! the cri*i"a$ $a# i" s&ace' beari", i" *i"( the $e,is$atio" i"to
!orce at that ti*e i" Ro*a"ia
C
' #hich #as $ac%i", a"( (i( "ot hae a &ractica$ outco*e' as #e$$
as the bi$atera$ a"( *u$ti$atera$ !ra*e#or% a&&$icab$e to Ro*a"ia. O! course the statio"i", at this
*o*e"t o" the Ro*a"ia" territor)' o! the A*erica" ar*e( !orce(' has $e( to the &rese"tatio" o!
so*e (etai$e( e$e*e"ts a"( to the a"a$)sis !ro* a co"crete' critica$ a"( co*&are( &ers&ectie o!
this issue' #hi$e se"(i", to the i"ter"atio"a$ !ra*e#or% a"( to the *i$itar) $e,is$atio" o! the
U"ite( States o! A*erica.
Ee" i! i" the s&ecia$i.e( $iterature i**u"it) o! the hea(s o! state a"( ,oer"*e"t has
bee" $oo%e( u&o" as a !or* o! (i&$o*atic i**u"it)
<
#e are o! the o&i"io" that the hea(s o! state
a"( ,oer"*e"ts (o "ot be"e!it o! i**u"it) i" their 7ua$it) o! (i&$o*ats' but i" their 7ua$it) o!
re&rese"taties o! soerei," states. Such a" i**u"it) co*es !ro* i"ter"atio"a$ co"e"tio"s'
8
This co"ce&t has at the basis the &ri"ci&$e par parem non habet imperiu. Curre"t$) there are t#o theories' the o"e o!
abso$ute i**u"it) #hich is the $o,ica$ co"se7ue"ce o! the &ri"ci&$e *e"tio"e( aboe a"( the seco"( o! the re$atie
i**u"it) #hich te"(s to &re(o*i"ate Accor(i", to the $atter theor)' the state e"jo)s i**u"it) !or the acts iure
i*&erii' but "ot !or act iure ,estio"is' that is o"$) i! it is acti", i" the sa*e #a) as a" i"(ii(ua$ i" re$atio"s o! &riate
$a#. This (ier,e"ce (eter*i"es (i!!icu$ties i" the i"ter"atio"a$ re$atio"s.
C
Le,ea "r. 8D1 (i" 8 "oie*brie 8;;E &rii"( i"trarea' staFio"area' (es!@Gurarea (e o&eraFiu"i sau tra".itu$ !orFe$or
ar*ate str@i"e &e teritoriu$ Ro*>"iei' &ub$icat@ H" =o"itoru$ O!icia$ "r. EBI (i" I "oie*brie 8;;E.
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Traia" -i*a' -re&t &e"a$. ?artea ,e"era$@. E(iFia a II1a' re@.ut@ Gi a(@u,it@ H" ba.a Le,ii "r. 8EIJ8;;K (e
*o(i!icare a Co(u$ui &e"a$' E(itura Ha*a",iu' 8;;E' &. DC.
bei", a co"se7ue"ce o! the e!!ects o! e+ter"a$ soerei,"t) reco,"i.e( to a$$ states. . Accor(i", to
the i"ter"atio"a$ $a#' hea(s o! states are e"jo)i", i**u"it) !ro* cri*i"a$ juris(ictio" #he" the)
are o" the territor) o! a"other state' the sa*e ru$e bei", a&&$ie( to the &erso"s acco*&a")i",
the*. As re,ar(s the hea(s o! ,oer"*e"ts' the s&ecia$i.e( $iterature sho#e( that the) e"jo)' o"
the territor) o! other states' a$$ the ri,hts a"( i**u"ities s&eci!ic !or (i&$o*atic re&rese"taties
B
.
The i"stitutio" o! the Euro&ea" ?rosecutor O!!ice' a""ou"ce( b) the Lisbo" Treat) a"(
(ebate( i" the !ra*e#or% o! "u*erous co"!ere"ces a"( se*i"ars a"( rece"t$) $au"che( u"(er the
EU $e,is$atie &rocess
KU
' has a$so a (e(icate( s&ace i" our research. Ee" thou,h the ?ro&osa$ !or
the E??O Re,u$atio" is susce&tib$e o! *a") co**e"ts a"( a&&roaches' our e+ercise is $i*ite(
e+c$usie$) to those as&ects re$ate( to territoria$ a"( *ateria$ juris(ictio" o! the Euro&ea"
?rosecutor O!!ice' as a$$ as to the co"ce&t o! legal space #hich is to be !ou"( i" the ?ro&osa$ !or
a Re,u$atio". Ee" thou,h this co"ce&t (oes "ot sa) too *uch !or the (o*estic cri*i"a$ $a#' at
$east at this sta,e' hai", *ore *ea"i",s o! a co"stitutio"a$ a"( &ub$ic i"ter"atio"a$ $a# "ature'
it is "ot ra"(o*$) #e #ishe( to e*&hasi.e this as&ect. The i"te"tio" #as to u"(er$i"e the s*a$$
but c$ear ste&s to#ar(s a !e(era$ structure o! the EU.
Tit$e II1E+traterritoria$ juris(ictio" is s&$it i"to three cha&ters. The !irst cha&ter o!!ers
short co"si(eratio"s o" the LI"!$ue"ce o! i"ter"atio"a$ &ub$ic $a# o" the (o*estic cri*i"a$ $a#9.
The seco"( cha&ter19The e+traterritoria$ juris(ictio"3 &ri"ci&$es o! a&&$icatio" o! the
cri*i"a$ $a# i" s&ace. I*&$icatio"s a"( &ers&ecties9 is (e(icate( to the a"a$)sis' !ro* the
&ers&ectie o! the Cri*i"a$ Co(e a"( the "e# Cri*i"a$ Co(e' o! the &ri"ci&$es o! &erso"a$it)'
rea$it) a"( u"iersa$it) o! the cri*i"a$ $a#' as co"cer"s the $atter bei", i"tereste( i" the u"iersa$
juris(ictio" o! states a"( "ot o! the oer1"atio"a$ courts 4juris(ictio"s5
The a"a$)sis o! the &ri"ci&$es *e"tio"e( be!ore #as u"(erta%e" "ot o"$) !ro* the as&ect
o! their justi!icatio" a"( their co"(itio"s o! a&&$icatio"' but a$so !ro* the &ers&ectie o!
B
Mheor,he A"to"iu 4coor(o"ator5' Co"sta"ti" =itrache' Ro(ica =ihae$a St@"oiu' Ioa" =o$"ar' Viore$ ?aGca' Ara*
6i$i&aG' Iosi! Io"escu' Nico$eta I$iescu' =atei Basarab' Nou$ Co( &e"a$' Vo$u*u$ I' E(itura C.H.Bec%' 8;;K' &.18I.
K
-ocu*e"t accessib$e at htt&3JJec.euro&a.euJjusticeJcri*i"a$Jju(icia$1coo&eratio"J&ub$ic1&rosecutorJi"(e+Ne".ht*.
i"ter"atio"a$ coo&eratio" i" cri*i"a$ *atters. The re$atio" bet#ee" the cri*i"a$ $a# a"( the
i"ter"atio"a$ co"e"tio"s is a$so a"a$).e(.
I" this co"te+t' the thesis o!!ers a" i"e"tor) o! the ob$i,atio"s sti&u$ate( b) the treaties
a"( o! the e!!ects e*er,i", !ro* breachi", those treaties' as #e$$ as so*e co"si(eratio"s #ith
re,ar( to their i*&act o" the (o*estic cri*i"a$ $a#.
.The thir( cha&ter9 Co"!$icts o! juris(ictio" a"( the &ri"ci&$e "e bis i" i(e*9 is (ea$i",
#ith a the*e i" !ashio"' strict$) co""ecte( #ith the a&&$icatio" o! the cri*i"a$ $a# i" s&ace' a
the*e er) *uch &rese"t i" the case$oa( o! the ju(icia$ authorities' es&ecia$$) o! those (ea$i",
#ith o!!e"ces hai", a tra"s"atio"a$ co*&o"e"t.
I" ,e"era$' both at "atio"a$ a"( i"ter"atio"a$ $ee$' the $e,is$atie a"( i"stitutio"a$ e!!orts
to co"tro$ co"!$icts o! juris(ictio"' justi!ie( b) the "ecessit) o! hai", a ratio"a$ a(*i"istratio" o!
the cri*i"a$ justice s)ste*' hae e"(e( i" bri",i", to $i!e a *o(est i"ter"atio"a$ !ra*e#or%
#hich $ac%s' at $east at this *o*e"t' a &ra,*atic !i"a$it). I" the EU co"te+t' this is tra"s$ate(
throu,h the abse"ce o! a" i"stitutio"a$ a"( (ecisio" *a%i", &o#er ab$e to so$e those co"!$icts.
The atte*&t to e"trust EURO0UST #ith such a &o#er has !ai$e( i" 8;;D #he" its $e,is$atie
!ra*e#or% has bee" re!or*e(' as it sha$$ !ai$ i" the co"te+t o! the ?ro&osa$ !or Eurojust
Re,u$atio" $au"che( b) the Euro&ea" Co**issio" i" or(er to re!or* it.
The reaso" is co""ecte( to the $ac% o! i"terest to &ro*ote u"i!or* a"( c$ear ru$es to
coor(i"ate actio"s' justi!ie( so*eho# a$so b) the $ac% o! trust i" the $e,a$ s)ste*s o! so*e o! the
=e*ber1States or b) the e+iste"ce i" those =e*ber1States o! a cri*i"a$ sa"ctio" s)ste* that
i"stea( o! &ree"ti", cri*e is justi!)i", it.
LThis is ha&&e"i", !or a ariet) o! reaso"s. O"e o! the* is that the !ie$( o! justice is
a*o", the *ost co"seratie i" each cou"tr) a"( this co"seratie s&irit is re!$ecte( i" the #a)
the Cou"ci$ is re,u$ati",. A"other er) i*&orta"t reaso" is the $ee$ o! &rotectio" #hich the
States ha( a$#a)s a"( the !act the) are "ot a"+ious to tra"s!er their cri*i"a$ i"esti,atio" &o#ers
to#ar(s a" Euro&ea" A,e"c). We are there!ore sta"(i", i" !ro"t o! a &ara(o+3 #hi$e the
Euro&ea" ?ar$ia*e"t is rea() to !i,ht a,ai"st tra"sbor(er cri*e' i"c$u(i", throu,h o!!eri",
e+te"(e( co*&ete"ce to Eurojust a"( Euro&o$' u"(er$)i", the coo&eratio". O PQ =e*berJ1States
are *a%i", so*e a!!ir*atio"s but are (ra!ti", $a#s i" a *a""er so*eho# co"tra(ictor).
E
9
At the sa*e ti*e' as it #as sho#" i" the s&ecia$i.e( $iterature' re1thi"%i", the cri*i"a$
$a# a"( re1ea$uati", the cri*i"a$ $a# sa"ctio"s re&rese"ts a re7uest o! *a+i*u* i"terest'
because the o!!e"ce' the cri*i"a$ $iabi$it) a"( the cri*i"a$ $a# sa"ctio"s are i"stitutio"s #hich' at
(i!!ere"t ti*e i"tera$s are u"(erta%i", cha",es as re,ar(s their o#" substa"ce
I
. Loo%i", !ro* a
&ractica$ &ers&ectie' #e ca" sa) that this i"terest is so*eho# best !e$t i" the co"te+t o!
i"ter"atio"a$ ju(icia$ coo&eratio".
M$oba$i.atio" o! the cri*i"a$ justice s)ste*s a"( the *i,ratio" o! the cri*i"a$
&he"o*e"o" are co"tributi", to a ,ro#i", ris% as re,ar(s the e+iste"ce o! cri*i"a$ &rocee(i",s
or *u$ti&$e co"ictio"s to#ar(s the sa*e &erso"' as re,ar(s the sa*e (ee(. Ne bis i" i(e* is
#ithout a (oubt a &ri"ci&$e %"o#" b) the #ho$e $e,a$ s)ste*s' but o"$) as re,ar( it a&&$icatio" at
a "atio"a$ $ee$' "ot o"$) i" a" i"ter1stata$ or *ore broa(er i"ter"atio"a$ co"te+t. There "ee(s to
be u"(er$i"e( !ro* the er) be,i""i", the !act there is at this *o*e"t' "o ru$e o! i"ter"atio"a$
&ub$ic $a#' #hich #ou$( i"stitute the ob$i,atio" o! the states to !o$$o# bet#ee" the*se$es the
&ri"ci&$e "e bis i" i(e*. This has bee" rece"t$) "otice( a$so i" the !orei," s&ecia$i.e( $iterature
D
.
The a&&$icatio" o! the &ri"ci&$e "e bis i" i(e* is strict$) co"e"tio"a$ a"( (e&e"(s to a ,reat
e+te"t o" the co"te"t o! the treat) a&&$icab$e 4treat) o" the ri,hts a"( !u"(a*e"ta$ !ree(o*s'
E
?re.e"tare asu&ra &ers&ectie$or Agen iei europene nsrcinate cu cooperarea judiciar n cadrul UE ' Re"ate
Weber 1 ra&ortor a$ ?ar$a*e"tu$ui Euro&ea" &rii"( iitoru$ Eurojust' B octo*brie 8;1;' I"!or*are (e &res@
accesibi$@ $a ###.re"ate#eber.euJ*e(ia!i$esJRWN1NViitoru$NEurojust.&(!.
I
Rte!a" -a"eG' Re!or*a $e,is$aFiei &e"a$e H" (o*e"iu$ sa"cFiu"i$or (e (re&t &e"a$ Gi re,i*u$ juri(ic a$ *@suri$or
$uate &e ti*&u$ e+ecut@rii &e(e&se$or !@r@ &riare (e $ibertate' H" reista -re&tu$ "r. <J8;;8' &. 11K.
D
Ne Bis I" I(e*3 To#ar(s a Tra"s"atio"a$ Co"stitutio"a$ ?ri"ci&$e i" the EU:' 0oh" A.E. Verae$e' Utrecht La#
Reie#' Vo$u*u$ D' Se&te*brie 8;1C' accesibi$ $a htt&3JJ###.utrecht$a#reie#.or,
treaties re!erri", to i"ter"atio"a$ cri*i"a$ tribu"a$s a"( treaties re!erri", to i"ter"atio"a$
coo&eratio" i" cri*i"a$ *atters5 #hich (eter*i"es i" &ractice to e+ist *a") co"troersies o" the
*ar,i" o! this subject.
It has to be sho#" a$so ' that our a"a$)sis #as u"(erta%e" i" the co"te+t o! the u"iersa$it)
o! the cri*i"a$ $a#' as #e$$ as o! the co"!$icts o! juris(ictio" !ro* the &ers&ectie o! the i"ter"a$
!ra*e#or% a&&$icab$e i" the !ie$( o! i"ter"atio"a$ coo&eratio"' as #e$$ as o! the o"e e+isti", at
EU a"( Cou"ci$ o! Euro&e $ee$. The juris&ru(e"ce o! the Euro&ea" Court o! 0ustice has bee"
a$so ta%e" i"to accou"t a"( brie!$) &rese"te(. We hae *e"tio"e( this because i" the re,u$atio"
o! the Cri*i"a$ Co(e' the &ri"ci&$e o! the u"iersa$it) o! the Ro*a"ia" cri*i"a$ $a# i"o$es
(iscussio"s a$so !ro* the &ers&ectie o! its re$atio" #ith the "o" bis i" i(e* &ri"ci&$e.
Tit$e III 9juris(ictio" throu,h re&rese"tatio" a"( the i"ter"atio"a$ coo&eratio" i" cri*i"a$
*atters9 is !or*e( o! t#o cha&ters 90uris(ictio" aut (e(ere' aut &rose7ui9 a"( LTra"s!er o!
cri*i"a$ &rocee(i",s9 both the*es bei", a&&roache( !ro* a (oub$e &ers&ectie3 "atio"a$ a"(
i"ter"atio"a$.
As a &re$i*i"ar) obseratio"' #e sho# that seco"(ar) juris(ictio" is that juris(ictio"
e+ercise( b) a state at the re7uest o! the state that has &ri*ar) juris(ictio". I" the s&ecia$i.e(
$iterature there hae bee" i(e"ti!ie( t#o !or*s o! seco"(ar) juris(ictio"3 aut (e(ere' aut &rose7ui'
i" co""ectio" #ith the e+tra(itio" or surre"(er base( o" Euro&ea" Arrest Warra"ts' but i" this
co"te+t o"$) o! the !orei," "atio"a$s or #ithout "atio"a$it) a"( the tra"s!er o! cri*i"a$
&rocee(i",s.
I" this co"te+t' i" or(er to estab$ish the e!!icie"c) o! a s)ste* base( o" aut (e(ere' aut
&rose7ui' #hich is *ore a"( *ore i"o%e( i" the co"te+t o! i"ter"atio"a$ coo&eratio"' ee"
bet#ee" EU =e*ber1states' there hae bee" a"a$).e( the !o$$o#i", as&ects3 character' reaso"
a"( &ur&ose o! the a&&$icatio" o! this &ri"ci&$e i" the &ub$ic i"ter"atio"a$ $a#' as #e$$ as #hether
it e+ists or "ot a" hierarch) bet#ee" the t#o a$ter"aties.
As re,ar(s the seco"( !or* o! seco"(ar) juris(ictio"' it *ust be sho#e( that "ot a$#a)s
behi"( a tra"s!er o! cri*i"a$ &rocee(i",s sta)s a co"!$ict o! juris(ictio". Ee" thou,h i" the
s&ecia$i.e( $iterature the te"(e"c) is to co"si(er the tra"s!er o! cri*i"a$ &rocee(i",s as o"e o! the
*ea"s to so$e co"!$icts o! juris(ictio"' #e be$iee this is justi!ie( !irst$) throu,h the "ecessit) to
e"sure a" e!!ectie a(*i"istratio" o! the cri*i"a$ justice #hich *a%es it &ossib$e !or it to beco*e
a&&$icab$e i"(e&e"(e"t$) !ro* a co"!$ict o! juris(ictio". As a !or* o! seco"(ar) juris(ictio"' it is
thou,h (e&e"(e"t o" the e+iste"ce o! a re7uest !or tra"s!er o! &rocee(i",s !or*u$ate( b) the state
that has &ri*ar) juris(ictio". Ee" *ore tha" that' it is "ecessar) !or the re7uest to be !or*u$ate(
b) a state that has &ri*ar) juris(ictio"' territoria$ or e+traterritoria$' a"( at the sa*e ti*e' !or the
cri*i"a$ i"esti,atio" to be i"itiate( or co"ti"ue( o" the basis o! such a re7uest.
SI" the co"te+t o! our scie"ti!ic e+ercise there hae bee" a"a$).e( both !or*s o! the
tra"s!er o! &rocee(i",s3 (e"u"ciatio" o!!icia$ a"( the tra"s!er o! &roce(ures a$rea() i"itiate('
#hi$e beari", i" *i"( the &roisio"s o! t#o *u$ti$atera$ treaties' the *ore o!te" i"o%e( i"to
&ractice3 Art. 81 o! the Cou"ci$ o! Euro&e Co"e"tio" o" =utua$ Le,a$ Assista"ce a(o&te( i"
Strasbour, o" 8;.;<.1DBD
1;
a"( the Euro&ea" Co"e"tio" o" the Tra"s!er o! ?rocee(i",s.
a(o&te( i" Strasbour, o" 1B.;B. 1DE8
11
but a$so !ro* the &ers&ectie o! the "atio"a$ $a# i" the
!ie$(' La# "r. C;8J8;;< o" i"ter"atio"a$ coo&eratio" i" cri*i"a$ *atters' #ith the subse7ue"t
cha",es a"( co*&$etio"s.
The a&&roach has bee" (o"e e+c$usie$) !ro* the &ers&ectie o! the tra"s!er o! cri*i"a$
&rocee(i",s that ai*s the a(*i"istratio" o! justice a"( corres&o"(s to the re7uire*e"ts o!
&re(ictabi$it) a"( $e,a$ certai"t)' bei", a"a$).e(' the co"(itio"s that "ee( to be !u$!i$$e(' #hether
!or*a$ or substa"tia$' as #e$$ as the e!!ects cause(.
1;
Rati!ie( b) Ro*a"ia throu,h La# "o. 8CK (ate( -ece*ber D' 1DDI' &ub$ishe( H" theh O!!icia$ Ma.ette o! Ro*a"ia'
?art I' "o. <D8 (ate( -ece*ber 81 1DDI' *o(i!ie( throu,h Moer"*e"t E*er,e"c) Or(i"a"ce "o (ate( 0u"e 11'
1DDD' &ub$ishe( i" the O!!icia$ Ma.ette o! Ro*a"ia ' ?art I' "o. 8E; (ate( 0u"e 11 1DDD.
11
Rati!ie( b) Ro*a"ia throu,h Moer"*e"t E*er,e"c) Or(i"a"ce "o. EE (ate( Au,ust C;' 1DDD !or the rati!icatio"
o! the Euro&ea" Co"e"tio" o" the tra"s!er o! cri*i"a$ &rocee(i",s' a(o&te( i" Strasbour, o" =a) 1B' 1DE8'
&ub$ishe( i" the O!!icia$ Ma.ette o! Ro*a"ia' ?art I' "o. <8; (ate( Au,ust C1' 1DDD' a&&roe( throu,h La# "o.
C<J8;;;' &ub$ishe( i" the O!!icia$ Ma.ette "o. 1BI (ate( A&ri$ 1E' 8;;;.
As re,ar(s the e!!ects o! the tra"s!er o! cri*i"a$ &rocee(i",s' it is i*&orta"t to %"o# the
!act the) are o&eratio" to#ar(s the authorities o! the a$$ the i"o$e( cou"tries a"( that the) ca"
be' (e&e"(i", o" the *o*e"t the) are e*a"ati",' te*&orar) a"( !i"a$.
Both La# C;88;;< as #e$$ as the "e# Cri*i"a$ Co(e are re,u$ati", i" a" u"itar) !or*
these situatio"s' the $atter o"e se"(i", to the s&ecia$ $a# "ot o"$) i" the co"te+t o! "o"1e+ercisi",
o! the cri*i"a$ i"esti,atio" as a co"se7ue"ce o! the tra"s!er o! &rocee(i",s to#ar(s a"other
state but a$so as a &osteriori &ut i"to *otio" o! the cri*i"a$ i"esti,atio" 4Art. 1K o! the Ne#
Cri*i"a$ Co(e5.
A"other i*&orta"t !or* o! i"ter"atio"a$ coo&eratio" ta%e" i"to accou"t a"( a"a$).e( i"
the co"te+t o! our scie"ti!ic e+ercise is that re$ate( to the s&o"ta"eous e+cha",e o! i"!or*atio"'
as a !or* o! ju(icia$ coo&eratio"' (i!!ere"t !ro* the e+cha",e o! i"!or*atio" that ta%es &$ace' at
the re7uest o! o"e o! the &arties or !ro* the auto*atic e+cha",e o! i"!or*atio". The !act that #e
re!er to the ju(icia$ "ature o! the s&o"ta"eous e+cha",e o! i"!or*atio" as a !or* o! coo&eratio"
#as "ot *a(e b) cha"ce' but co*es !ro* the "ecessit) to *a%e a (isti"ctio" bet#ee" this t)&e o!
coo&eratio" a"( the o"e that ta%es &$ace throu,h &o$ice cha""e$s or throu,h i"te$$i,e"ce cha""e$s'
#ith the &ur&ose to u"(erta%e cri*i"a$ i"esti,atio"s or to co$$ect o&eratio"a$ (ata o" cri*i"a$
*atters
18
.
6or our research it #as ta%e" i"to accou"t the s&o"ta"eous e+cha",e o!
i"!or*atio"4#ithout &rior re7uest5 #hich #as obtai"e( (uri", cri*i"a$ &rocee(i",s a"( #hich
are be$iee( b) the authorit) tra"s*itti", the* as hai", the abi$it) to $ea( to the i"itiatio" b)
a"other state o! cri*i"a$ &rocee(i",s or the co"ti"uatio" o! cri*i"a$ &rocee(i",s.
18
As it is the o"e (o"e' !or e+a*&$e' i" the co"te+t o! the 6ra*e#or%1-ecisio" 8;;KJDK;J0HA o! the Cou"ci$ o! 1I
-ece*ber 8;;K o" si*&$i!)i", the e+cha",e i"!or*atio" a"( i"te$$i,e"ce bet#ee" $a# e"!orce*e"t authorities o!
the =e*ber1States o! the Euro&ea" U"io"
I"to &ractice the a(a"ta,e a"( (isa(a"ta,e o! this !or* o! coo&eratio" are best re!$ecte(
i" the co"te+t o! *o"e)1$au"(eri", o!!e"ces a"( those hai", a tra"s"atio"a$ character.
The co""ectio" bet#ee" the s&o"ta"eous e+cha",e o! i"!or*atio" a"( the *u$ti&$e
&ara$$e$ cri*i"a$ i"esti,atio"s a"( the tra"s!er o! cri*i"a$ &rocee(i",s' is "ot a" i(eo$o,ica$
subject' but a &ractica$ o"e' #hich ca" $ea( to *u$ti&$e cri*i"a$ $a# &rocee(i",s a"( i" cases
there is "o coor(i"atio"' to the &ositie co"!$icts o! juris(ictio".
C. Co"c$usio"s
I"ter"atio"a$ coo&eratio" re*ai"s a" i*&orta"t co*&o"e"t a"( sa*e ti*e a &riorit)
o! the i"stitutio"a$ a"( $e,is$atie actiities u"(erta%e" b) the Euro&ea" U"io"' Cou"ci$ o!
Euro&e a"( the U"ite( Natio"s' a &roo! i" this se"se bei", the "u*erous $e,a$ i"stru*e"ts
a(o&te( u"ti$ the &rese"t (a)' a ,reat &art o! the* bei", eo%e( i" the !ra*e#or% o! the
&rese"t thesis.
The *ajor i"terest !or the &ractica$ si(e o! i"ter"atio"a$ coo&eratio"' but es&ecia$$)
!or the su&&ort o! the ju(icia$ authorities i" the co**u"icatio"' coo&eratio" a"(
coor(i"atio" &rocess !or the a&&$icatio" o! these $e,a$ i"stru*e"ts' is sho#e( !irst$) throu,h
the creatio" a"( re,u$atio" at a treat) $ee$1The Lisbo" Treat)1o!! so*e i"stitutio"s a"(
bo(ies' such as the Euro&ea" 0u(icia$ Net#or%' Eurojust' Euro&o$' a"( !or the !uture' the
Euro&ea" ?rosecutor 2s O!!ice.
I" this &articu$ar co"te+t' the !ie$( o! the a&&$icatio" o! cri*i"a$ $a# i"to s&ace has
beco*e a co*&$e+ o"e' #hich justi!ies its stu() "ot o"$) !ro* the &ers&ectie o! substa"tia$
$a# &roisio"s' but a$so !ro* the &ers&ectie o! its (irect co""ectio" #ith the i"ter"atio"a$
coo&eratio".
At the sa*e ti*e' ee" thou,h it *i,ht "ot be that ei(e"t' #e are i" a co"ti"uous
&rocess o! i"stitutio"a$ a"( $e,is$atie re1co"structio"' a"( at the sa*e ti*e o! re!or*i",
our "atio"a$ s)ste*. At the sa*e ti*e' the cri*i"a$ i"ter"atio"a$ $a# a"( the $a# o! the
Euro&ea" U"io" are i"!$ue"ci", &ro!ou"($) the cri*i"a$ "atio"a$ $a# a"( throu,h that bri",
i"to &ri*e ti*e a "e# $e,a$ cu$ture.
<. Su**ar) o! the (e lege ferenda &ro&osa$s
1 =o(i!icatio" a"( co*&$etio" o! La# "o. 8IK re,ar(i", the Cri*i"a$ Co(e o! Ro*a"ia
*o(i!)i", Art. 18 9Cri*i"a$ $a# a"( i"ter"atio"a$ treaties9 as re,ar(s the e$i*i"atio" o!
Art. I 9 Territoria$it) o! cri*i"a$ $a#9/
e$i*i"atio" o! Art. 1<' ' co"si(eri", that the reaso" !or hai", i" the Cri*i"a$ Co(e o!
Ro*a"ia so*e &roisio"s as re,ar(s e+tra(itio" is "o $o",er sustai"e(' "ot ee" at the $ee$ o!
&ri"ci&$e' ta%i", i"to accou"t the !act that the e+iste"ce o! such "or*s is e"sure( throu,h Art. 1D
o! the Ro*a"ia" Co"stitutio" a"( throu,h La# "o. C;8J8;;< o" i"ter"atio"a$ ju(icia$
coo&eratio" i" cri*i"a$ *atter #ith its subse7ue"t *o(i!icatio"s a"( cha",es. Throu,h this $a#
there are estab$ishe( the co"(itio"s !or e+tra(itio" to a"( !ro* Ro*a"ia a"( #hich sti&u$ates the
&re1e*i"e"ce o! the i"ter"atio"a$ $a# i" the se"se that it is a&&$ie( o" the bases a"( i" or(er to
e+ecute re,u$atio"s re,ar(i", i"ter"atio"a$ ju(icia$ coo&eratio" i" cri*i"a$ *atters' co*&rise( i"
i"ter"atio"a$ $e,a$ i"stru*e"ts to #hich Ro*a"ia is a &art) to' #hich it is co*&$eti", !or those
cases #hich are "ot re,u$ate(.
The e+&ress re,u$atio" o! the re$atio" bet#ee" "atio"a$ cri*i"a$ $a# a"( the $e,a$ acts o!
the Euro&ea" U"io" #hich are "ot (irect$) a&&$icab$e i" the (o*estic $e,a$ or(er.
1 =o(i!icatio" o! Art. 8C &ara,ra&h 415 o! La# "r. C;8J8;;< o" i"ter"atio"a$ ju(icia$
coo&eratio" i" cri*i"a$ *atters i" the se"se that the e+a*i"atio" o! its o#" co*&ete"ce a"( the
a(ju(icatio" o! the cri*i"a$ $e,a$ actio" to be (o"e e+ o!!ico' #ithout e+ce&tio" a"( #ithout
(e$a) i" those cases #he" the re!usa$ to e+tra(ite re,ar(s a Ro*a"ia" "atio"a$.
1 =o(i!icatio" o! the &roisio"s o! Art. CD1B; !ro* La# "o 8D1J8;;E re,ar(i", the
e"tra"ce' statio"i", a"( u"(erta%i", o! *i$itar) o&eratio" or the tra"sit o! !orei," ar*e( !orces
o" the territor) o! Ro*a"ia.