On the ratification of the Treaty between the Republic of Kazakhstan and the United States of America on Mutual Legal Assistance in Criminal Matters

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The Law of the Republic of Kazakhstan dated July 16, 2015 No. 331-V SAM

To ratify The Agreement between the Republic of Kazakhstan and the United States of America on Mutual Legal Assistance in Criminal Matters, signed in Washington on February 20, 2015.

President of the Republic of Kazakhstan N. NAZARBAYEV

AGREEMENT between the Republic of Kazakhstan and the United States of America on Mutual Legal Assistance in Criminal Matters

The Republic of Kazakhstan and the United States of America, hereinafter referred to as the "Parties" or "States", striving to enhance the effectiveness of the competent authorities of both Sides in the field of investigation, prosecution and prevention of crime through cooperation and mutual legal assistance in criminal matters, have agreed as follows:

Article 1 Scope of application

1. In accordance with the provisions of this Agreement, the Parties shall provide each other with mutual assistance in connection with investigations, criminal prosecution and prevention of criminal offenses, as well as with proceedings related to criminal matters. 2. For the purposes of this Treaty, investigations and proceedings include investigations and proceedings related to crimes that violate the provisions of the law, in cases where they can be sent for criminal prosecution in the Requesting State. 3. The help includes the following: (a) Receiving statements or statements from persons; (b) Providing and certifying the authenticity of documents, materials and physical evidence; (c) Locating or identifying persons and objects; (d) Handing over documents; (e) Transferring persons in custody to give evidence or other assistance in accordance with this Treaty; (f) Conducting searches and seizures; (g) Identifying, tracing, freezing, seizing and confiscating assets and assisting in related proceedings; and h) any other type of assistance not prohibited by the law of the Requested State. 4. Except in cases where it is necessary under the law of the Requested State, assistance is provided regardless of whether the act that is the subject of investigation, criminal prosecution or proceedings in the territory of the Requesting State constitutes a crime under the law of the Requested State. 5. This Agreement is aimed solely at achieving the objectives of mutual legal assistance between the Parties. The provisions of this Agreement do not give rise to the right of any private parties to receive, conceal, exclude any information or impede the execution of the request.

Article 2 Central authorities

1. Each of the Parties shall appoint a central authority to send and receive requests in accordance with this Agreement in order to determine whether the request is to be executed and how it should be executed, as well as to execute the request or transfer it to other competent authorities for execution. 2. The central authority for the Republic of Kazakhstan is the Prosecutor General's Office. For the United States of America, the central authority is the Attorney General or a person appointed by the Attorney General. 3. The central authorities, in order to implement this Agreement, transmit requests and interact with each other directly. 4. The central authorities shall consult within mutually agreed time limits in order to facilitate the most effective application of this Treaty. The central authorities may also agree on such practical measures as may be necessary to facilitate the implementation of this Treaty.

Article 3 Restrictions on assistance

1. The central authority of the Requested State may refuse to provide assistance if: a) the request is related to a military offence that is not a crime under common law; b) the execution of the request poses a threat to the sovereignty, security, public order or other essential interests of the Requested State; or c) the request does not comply with the provisions of this Treaty. 2. Prior to making a decision to refuse assistance based on paragraph 1 of this article, the central authority of the Requested State shall consult with the central authority of the Requesting State to consider whether assistance can be provided subject to such conditions as the Requested State considers necessary. If the Requesting State accepts assistance under such conditions, it must comply with those conditions. 3. The central authority of the Requested State may also refuse to provide assistance if the crime on which the request is based is punishable by less than one year in prison in the Requesting State, or the request involves a crime that did not cause significant material damage; and the central authority of the Requested State decides that the less serious nature of the crime does not justify the expenditure of resources, necessary for the execution of this request. 4. If the central authority of the Requested State refuses to provide assistance, it shall inform the central authority of the Requesting State of the reasons for the refusal.

Article 4 Form and content of requests

1. A request for assistance and related correspondence shall be drawn up in writing and signed by an official of the central authority of the Requesting State. The request may be sent by an expedited method, including transmission by fax or e-mail, followed by the transmission of the original request, if required by the central authority of the Requested State. In urgent cases, the central authority of the Requested State may accept the request in another form. In any such urgent case, the request shall be confirmed in writing within ten (10) days of receipt of the request, unless the central authority of the Requested State agrees otherwise. The request is made in the language of the Requested State, unless otherwise agreed. 2. The request includes the following: a) the name of the body conducting the investigation, criminal prosecution or proceedings to which the request relates; (b) A statement of the merits of the case and the nature of the investigation, prosecution or proceedings, including a statement of the facts and how they constitute the specific criminal offences on the basis of which the request is being made, as well as the applicable penalties; (c) a description of the evidence, information or other assistance requested; and (d) an indication of the purpose, for which evidence, information, or other assistance is requested. 3. To the extent necessary and possible, the request also contains: (a) Information about the identity and location of any person from whom evidence is required; (b) Information about the identity and location of the person to whom the document is to be served, about that person's connection to the ongoing proceedings and the manner in which the document is served; (c) Information about the identity and possible location of the wanted person; (d) an accurate description of the place or persons to be searched and items to be seized; e) a description of the procedure for obtaining and recording any testimony or statements; (f) A description of any specific procedure to be followed in fulfilling the request; (g) a list of questions to be asked of the witness; (h) information on payments and reimbursements to which a person summoned to a territory outside the Requested State will be entitled; and (i) any other information that may be brought to the attention of Of the requested State in order to facilitate the execution of the request. 4. If the central authority of the Requested State determines that the request does not contain sufficient information for its execution, the central authority of the Requested State may request the Requesting State to provide such additional information as may be necessary for the execution of the request.

Article 5 Execution of requests

1. The central authority of the Requested State shall immediately execute the request or, if appropriate, forward it to the authority having jurisdiction to execute it. The competent authorities of the Requested State shall do everything possible within their powers to comply with the request. The courts of the Requested State have the authority to subpoena, make search orders, or make other decisions necessary to comply with the request. Other competent authorities of the Requested State have the right to issue subpoenas, make decisions to conduct a search or other decisions necessary for the execution of the request, if they have these powers under the legislation of the Requested State. 2. The Requested State shall take all necessary measures to represent the interests of the Requesting State in any proceedings arising from the execution of a request for assistance by the Requested State. 3. Requests are executed in accordance with the legislation of the Requested State, except as provided for in this Agreement. Nevertheless, compliance with the execution procedure specified in the request is ensured, except in cases where this is prohibited by the legislation of the Requested State. 4. If the central authority of the Requested State determines that the execution of the request will interfere with the investigation, prosecution or proceedings carried out in the Requested State, it may postpone the execution or bind it to the conditions determined as necessary after consultation with the central authority of the Requesting State. If the Requesting State accepts assistance under such conditions, it must comply with those conditions. 5. The Requested State shall do everything in its power to ensure the confidentiality of the fact of receipt of the request, its content and the results of the execution of the request, if requested by the Requesting State for such confidentiality. If it is impossible to execute a request without violating its confidentiality, the central authority of the Requested State informs the central authority of the Requesting State, which decides whether to execute the request under such conditions. 6. The central authority of the Requested State responds to reasonable requests from the central authority of the Requesting State regarding the progress of the execution of the request received. 7. The central authority of the Requested State shall immediately inform the central authority of the Requesting State of the results of the execution of the request. If the execution of the request is refused, the central authority of the Requested State shall inform the central authority of the Requesting State of the reasons for such refusal. 8. The requested State is not obliged to translate correspondence, documents or other information obtained as a result of the execution of the request.

Article 6 Expenses

1. The requested State undertakes to bear all costs related to the execution of the request, with the exception of remuneration to experts, translation and interpretation fees, copying costs, as well as payments and expenses related to travel of persons in accordance with articles 10 and 11 of this Treaty. The specified fees, payments and expenses are paid by the Requesting State. Payment of the above-mentioned expenses is carried out in accordance with the internal procedures of the State to which they are assigned in accordance with this article. 2. In case of unforeseen expenses, the central authorities of the Parties consult with each other to determine how the costs will be borne.

Article 7 Restrictions on use

1. The central authority of the Requested State may request the Requesting State not to use information or evidence obtained in accordance with this Treaty in any investigation, prosecution or proceeding other than those specified in the request, without the prior consent of the central authority of the Requested State. In such cases, the Requesting State grants a request to restrict the use of information or evidence. 2. The central authority of the Requested State may request that the information or evidence provided in accordance with this Treaty be kept confidential, or that this information or evidence be used exclusively under conditions that may be agreed upon by it. If the Requesting State accepts information or evidence under such conditions, it will do its best to comply with those conditions. 3. Notwithstanding the provisions of paragraphs 1 and 2 of this article, the use or disclosure of information in the course of criminal prosecution is permitted in cases where the Constitution of the Requesting State provides for an obligation to do so. The Requesting State shall notify the Requested State in advance of such alleged disclosure. 4. Information or evidence made public in the Requesting State in accordance with this article may be used for any purpose.

Article 8 Obtaining testimony or evidence in the Requested State

1. A person located in the Requested State who is required to give evidence in accordance with this Treaty is obliged, if necessary, to appear and give evidence or to present objects, including documents, materials or material evidence. 2. The central authority of the Requested State, if requested, shall provide information in advance about the date and place of receiving testimony or receiving evidence. 3. The requested State allows the presence of the persons indicated in the request during the execution of the request and allows these persons to ask questions to the person giving testimony or evidence. 4. If the person referred to in paragraph 1 of this Article claims immunity, incapacity or privilege in accordance with the law of the Requesting State, testimony must nevertheless be obtained and his application notified to the central authority of the Requesting State for a decision by the authorities of that Party. 5. Evidence obtained in the territory of the Requested State in accordance with this article or which is the subject of testimony obtained in accordance with this article may be verified by attestation, including, in the case of business documents, in accordance with the procedure specified in Form A attached to this Agreement. Documents certified by Form A are accepted as evidence by the Requesting State.

Article 9 Materials from government departments

1. The Requested State shall provide the Requesting State with copies of publicly available materials, including documents or information in any form, held by government agencies and departments of the Requested State. 2. The requested State may provide copies of any documents, materials or information not accessible to the public held by government agencies and departments of that State, to the extent and under the conditions in which such copies are available to its own law enforcement or judicial authorities. Based on this paragraph, the Requested State may, at its sole discretion, reject the request in whole or in part. 3. Official materials provided in accordance with the provisions of this article may be certified by an official using Form B attached to this Agreement. No additional certification is required. Documents certified in accordance with this paragraph are admissible as evidence in the Requesting State.

Article 10 Appearance before the authorities of the Requesting State

1. In the event that the Requesting State requests the appearance of a person on its territory or to the relevant authorities of the Requesting State in the territory of a third State in order to provide assistance in accordance with this Treaty, the Requested State shall invite that person to appear before the relevant authority of the Requesting State. The requesting State shall indicate the amount of compensation for the costs associated with such attendance. The central authority of the Requested State shall immediately inform the central authority of the Requesting State of the response received from that person. 2. A person located in the Requesting State in accordance with this article may not, regardless of his nationality, be summoned, detained or subjected to any other restriction of personal liberty for any acts or sentences that preceded the departure of that person from the Requested State. Such a person is not obligated to provide assistance other than that specified in the request. 3. The guarantee of inviolability provided for in paragraph 2 of this article is terminated if the person indicated therein: (a) does not leave the Requesting State within seven (7) days from the date of his notification that his presence is no longer necessary and has the physical ability to leave; or (b) having left the Requesting State, he voluntarily returns back. The central authority of the Requesting State may, at its discretion, extend this period if it decides that there are sufficient grounds for this.

Article 11 Transfer of persons in custody

1. A person detained in the Requested State, whose presence in the Requesting State is requested to provide assistance in accordance with this Treaty, shall be transferred from the Requested State to the Requesting State for this purpose with the consent of that person, as well as with the consent of the central authorities of both Parties. 2. A person detained in the Requesting State, whose presence in the Requested State is requested to provide assistance in accordance with this Treaty, may be transferred from the Requesting State to the Requested State with the consent of that person to such transfer, as well as with the consent of the central authorities of both Parties. 3. For the purposes of this article: (a) The receiving State has the right and obligation to detain the transferred person, unless the transferring State authorizes otherwise; (b) The receiving State returns the transferred person to the custody of the transferring State as soon as circumstances permit or in accordance with another agreement between the central authorities of both Parties; (c) the receiving State does not require the transferring State to initiate extradition proceedings for the return of the transferred person; and (d) the period of detention of the transferred person in the receiving State is credited to him during the term of serving the sentence imposed on the transferred person in the transferring State.

Article 12 Location or identification of persons or objects

If the Requesting State attempts to identify persons or objects or to determine their location in the Requested State, the Requested State shall take all necessary measures to confirm their location or identify them.

Article 13 Service of documents

1. The Requested State shall take all necessary measures to serve any document fully or partially related to any request for assistance sent by the Requesting State in accordance with the provisions of this Treaty. 2. The requesting State shall, within a reasonable time before the scheduled appearance, transmit any request for the service of a document providing for the appearance of a person to the competent authority in the Requesting State. 3. The requested State shall return the confirmation of the delivery of the documents in the form specified in the request.

Article 14 Search and seizure

1. The Requested State shall execute a request for the search, seizure and transfer of an object to the Requesting State if the request contains sufficient information under the law of the Requested State to justify such actions, and the crime in question is also a crime under the law of the Requested State. 2. Upon request, each official who has the seized item in custody, using the Form C attached to this Agreement, certifies the continuity of its storage, its authenticity and inviolability. No further attestation is required. These certificates are acceptable as evidence in the Requesting State. 3. The Requested State may require the Requesting State to comply with the conditions deemed necessary to protect the interests of third parties in relation to the transferred items.

Article 15 Return of items

The Requested State may require the Requesting State to return as soon as possible any items, including documents, materials or physical evidence provided to it in order to fulfill the request in accordance with this Treaty.

Article 16 Assistance in confiscation procedures

1. The requested State shall comply with a request for assistance to the Requesting State in sentencing confiscation proceedings; as well as in criminal proceedings for non-sentencing confiscation; when these proceedings involve the seizure, seizure or confiscation of property that: (a) Represents the proceeds of a crime or is a direct or indirect derivative of that income; (b) is an instrument for the commission of a crime or was otherwise used or intended to be used in a crime; or (c) is equivalent or equivalent in value to the property described in subparagraph (a) of this paragraph, which is or will be the subject of an arrest or seizure order, or a court decision or confiscation order; provided that the request contains sufficient information under the law of the Requested State to justify such actions. 2. The assistance provided in accordance with this article includes: (a) The freezing, seizure, seizure or confiscation of property described in paragraph 1 of this article; (b) The enforcement, if this is not contrary to the law of the Requested State, of orders to freeze, seize or seize property described in paragraph 1 of this article; as well as final orders or judicial decisions on confiscation in respect of such property issued by judicial or other competent authorities of the Requesting State; and (c) any other type of assistance described in this Agreement. 3. Property frozen, seized, seized or confiscated in accordance with this article shall not be subject to alienation without consultation with the Requesting State. 4. The Party holding the confiscated property may transfer all or part of the property to the other Party or, after consultations between the Parties, to any other State that assisted in the confiscation of the property, in an amount proportional to the assistance provided by the other Party or the assistance of another State. When appropriate and upon request, property is returned to the Requesting State as a matter of priority to compensate for damage caused to victims of a crime or to return property to its rightful owners. The parties may, if necessary, enter into specific agreements on the conditions for the transfer of confiscated property. 5. The parties, within the framework of their respective laws, assist each other in judicial proceedings related to the provision of restitution to victims of crime. 6. The requested State may refuse to provide assistance in accordance with this article if the value of the property being the subject of the proceedings only slightly exceeds the resources that are reasonably expected to be spent on providing assistance. The central authority of the Requested State shall consult with the central authority of the Requesting State before refusing to provide assistance in accordance with this paragraph.

Article 17 Compatibility with other treaties

This Agreement is not intended to be used as the sole mechanism for mutual assistance between the Parties. The Parties may also provide assistance to each other through any other means available, including but not limited to applicable bilateral and multilateral agreements, provisions of their legislation, and other arrangements or practices. If one Party arbitrarily wishes to share information or evidence with the other Party, no request is required in accordance with this Agreement.

Article 18 Dispute settlement

Any dispute arising during the application or interpretation of this Agreement shall be resolved through consultations between the Parties.

Article 19 Making changes and additions

By mutual written consent of the Parties, amendments and additions may be made to this Agreement, which shall enter into force in accordance with the procedure established by Article 20 of this Agreement.

Article 20 Ratification, entry into force and termination

1. This Treaty is subject to ratification, and instruments of ratification are exchanged through diplomatic channels as soon as possible. 2. This Treaty shall enter into force upon the exchange of instruments of ratification. 3. Either Party may terminate this Agreement by sending a written notification to the other Party through diplomatic channels. Termination of this Agreement shall take place after the expiration of six (6) months from the date of the relevant notification.

In witness whereof, the undersigned, being duly authorized thereto, have signed this Treaty.

Done in Washington, D.C., on February 20, 2015, in two copies, each in the Kazakh and English languages, both texts being equally authentic.

For the Republic of Kazakhstan

For the United States of America

Form A CERTIFICATE OF AUTHENTICITY OF COMMERCIAL DOCUMENTATION

I am, ___________________________________ ( name), being aware of the criminal liability for making false statements or assurances, I confirm that I am an employee of _____________________________________________________________________ (name of the company from which the documentation is requested), and that I officially hold the position __________________________ ( title of the position); and further, I declare that all the attached documents are originals or duplicates of the original documents under the jurisdiction of _______________________________________ (the name of the company from which the documents are requested). Next, I declare that: A) these documents were drawn up simultaneously or almost simultaneously with the semantic content set out in them (or obtained from information transmitted) by a person who has relevant information about this semantic content; C) these documents were kept in the course of regularly conducted commercial activities; (C) The business activity was based on regular record keeping of these data; and (D) if such a document is not an original, it is a duplicate of the original.

______________________ ____________ [ signature] [date]

Form B CERTIFICATE OF AUTHENTICITY OF FOREIGN OFFICIAL DOCUMENTS

___________________________ (name), being aware of the criminal liability for making false statements or assurances, I confirm that I hold a position in the Government _____________________ ( country name) position ________________________ ( the official name of the position), and that I am authorized by law in this position _______________________ ( country name) confirm that the attached and described below documents are authentic and correct copies of the original official documents., entered in the register or registered in _____________________ ( name of the department or department), which is a government department or department _________________ ( country name).

Description of documents:

____________________________ [signature] ____________________________ [ position]

____________________________ [date]

Form C CERTIFICATE FOR CONFISCATED ITEMS

I am __________________________ ( name), being aware of the criminal liability for making false statements or assurances, I confirm that I hold a position in the government _____________________ ( country name) position ___________________________ ( the official name of the position). I have received the items listed below for storage from ______________________________ ( name of the person) _______________ (date) _____________ ( location) in the same condition in which they were received by me (or, if it has been changed, in the condition indicated below).

Description of the items:

Changes in the condition of items in my storage (if any):

____________________________ (signature) ____________________________ (position) ____________________________ (location) ____________________________ (date)

Official seal

I confirm the authenticity of the text of the Agreement between the Republic of Kazakhstan and the United States of America on Mutual Legal Assistance in Criminal Matters, signed in Washington on February 20, 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

President

Republic of Kazakhstan

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