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KAV 6245

Not recorded with the State Dept.

INDIA

Criminal matters, mutual assistance

Treaty on mutual legal assistance in criminal matters, signed

at New Delhi on October 17, 2001.

This treaty is not yet in force. The official final text will be
added to Hein Online when the treaty enters into force and the
text becomes available.
107TH CONGRESS
2d Session SENATE
INT TREATY Doc.
107-3

TREATY WITH INDIA ON MUTUAL LEGAL

ASSISTANCE IN CRIMINAL MATTERS

MESSAGE
FROM

THE PRESIDENT OF THE UNITED STATES

TRANSMITTING

TREATY BETWEEN THE GOVERNMENT OF THE REPUBLIC OF

INDIA ON MUTUAL LEGAL ASSISTANCE IN CRIMINAL MATTERS,
SIGNED AT NEW DELHI ON OCTOBER 17, 2001

APRIL 8, 2002.-Treaty was read the first time, and together with the
accompanying papers, referred to the Committee on Foreign Relations
and ordered to be printed for the use of the Senate

U.S. GOVERNMENT PRINTING OFFICE

99-118 WASHINGTON : 2002
 LETTER OF TRANSMITTAL

THE WHITE HOUSE, April 8, 2002.

To the Senate of the United States:
With a view to receiving the advice and consent of the Senate to
ratification, I transmit herewith the Treaty between the Govern-
ment of the United States of America and the Government of the
Republic of India on Mutual Legal Assistance in Criminal Matters,
signed at New Delhi on October 17, 2001. I transmit also, for the
information of the Senate, the report of the Department of State
with respect to the Treaty.
The Treaty is one of a series of modern mutual legal assistance
treaties that the United States has concluded or is negotiating in
order to counter criminal activities more effectively. The Treaty
should be an effective tool to assist in the investigation and pros-
ecution of a wide variety of modern crimes, including terrorism-re-
lated crimes, drug trafficking, and "white collar" crimes. The Trea-
ty is self-executing.
The Treaty provides for a broad range of cooperation in criminal
matters and related proceedings. Mutual assistance available
under the Treaty includes: (1) Taking the testimony or statements
of persons; (2) providing documents, records, and items of evidence;
(3) locating or identifying persons or items; (4) serving documents;
(5) transferring persons in custody for testimony or other purposes;
(6) executing requests for searches and seizures; (7) assisting in
proceedings relating to seizure and forfeiture of assets, restitution,
and collection of fines; and (8) rendering any other form of assist-
ance not prohibited by the laws of the Requested State.
I recommend that the Senate give early and favorable consider-
ation to the Treaty and give its advice and consent to ratification.
GEORGE W. BUSH.
 LETTER OF SUBMITTAL

THE SECRETARY OF STATE,

Washington, January 9, 2002.
THE PRESIDENT: I have the honor to submit to you the Treaty be-
tween the Government of the United States of America and the
Government of the Republic of India on Mutual Legal Assistance
in Criminal Matters (the "Treaty"), signed at New Delhi on October
17, 2001. I recommend that the Treaty be transmitted to the Sen-
ate for its advice and consent to ratification.
The Treaty covers mutual legal assistance in criminal matters.
During 2001, similar bilateral treaties entered into force with
France, Egypt, Romania, Greece, South Africa, Ukraine, Brazil,
and Luxembourg. This Treaty contains many provisions similar to
those in these other treaties and all of the essential provisions
sought by the United States. It will enhance our ability to inves-
tigate and prosecute a variety of offenses, including organized
crime, terrorism-related crime, drug trafficking, economic crimes,
money laundering, and other forms of white collar crime of par-
ticular interest to the law enforcement community. The Treaty is
designed to be self-executing and will not require implementing
legislation.
Article 1 sets out the scope of assistance available under the
Treaty. Article 1(2) contains a non-exhaustive list of the major
types of assistance to be provided under the Treaty, including: tak-
ing the testimony or statements of persons; providing documents,
records, and items of evidence; locating or identifying persons or
items; serving documents; transferring persons in custody for testi-
mony or other purposes; executing requests for searches and sei-
zures; assisting in proceedings related to seizure and forfeiture of
assets, restitution, and collection of fines; and any other form of as-
sistance not prohibited by the laws of the Requested State. The
scope of the Treaty includes the obligation to provide assistance not
only with respect to the investigation, prosecution, and prevention
of criminal offenses, but also with respect to proceedings related to
criminal matters, which may be civil or administrative in nature.
Article 1(3) states that assistance must be provided without regard
to whether the conduct that is the underlying subject to the inves-
tigation, prosecution, or proceeding in the Requesting State would
constitute an offense in the Requested State. Article 1(4) makes
clear that the Treaty is not designed to be utilized by non-govern-
mental parties or institutions who seek evidence for use in private
matters. Similarly, the Treaty is not intended to create any right
on the part of a private person to obtain, suppress, or exclude evi-
dence, or to impede the execution of a request.
 Article 2 provides for the establishment of Central Authorities
and defines the Central Authorities for purposes of the Treaty. For
the United States, the Central Authority is the Attorney General
or a person designated by the Attorney General. For India, the
Central Authority is the Ministry of Home Affairs or a person des-
ignated by the Ministry of Home Affairs. The article also provides
that the Central Authorities shall communicate directly with one
another for the purposes of the Treaty.
Article 3 sets forth the circumstances under which the Requested
State's Central Authority may deny assistance under the Treaty. A
request may be denied if it relates to the military offense that
would not be a crime under ordinary criminal law, or if its execu-
tion would prejudice the security or similar essential interests of
the Requested State. In addition, a request may be denied if the
request relates to a political offense (a term expected to be defined
on the basis of the term's usage in extradition treaties) or is not
made in conformity with the Treaty. As a number of mutual legal
assistance treaties have done recently, Article 3 enumerates sev-
eral serious offenses that will not be considered political offenses,
including those proscribed in the three UN narcotics conventions
and most of the offenses proscribed by the UN counter-terrorism
conventions to which the United States is a party.
Before denying assistance under Article 3, the Central Authority
of the Requested State is required to consult with its counterpart
in the Requesting State to consider whether assistance can be
given subject to such conditions as the Central Authority of the Re-
quested State deems necessary. If the Requesting State accepts as-
sistance subject to conditions, it must comply with them. If the
Central Authority of the Requested State denies assistance;'it must
inform the Central Authority of the Requesting State of the rea-
sons for the denial.
Article 4 prescribes the form and content of written requests
under the Treaty, specifying in detail the information required to
be provided to the Requested State in each case. The article per-
mits requests to be made in other forms in urgent situations, but
requires written confirmation of the request within ten days unless
the Central Authority of the Requested State agrees otherwise. The
article specifies further information to be provided, to the extent
necessary and possible, to assist in locating individuals and items
and effecting particular types of assistance. Unless otherwise
agreed, all requests must be in English.
Article 5 concerns the execution of request. Article 5(1) requires
the Central Authority of the Requested State to execute promptly
a request, or to transmit it to the authority with jurisdiction to do
so. The competent authorities of the Requested State have author-
ity to issue subpoenas, search warrants, or other orders necessary
to execute the request. Under article 5(2), the Central Authority of
the Requested State must make all necessary arrangements for the
representation in the Requested State of the Requesting State in
any proceedings arising out of a request.
Under Article 5(3), requests are to be executed in accordance
with the laws of the Requested State unless the Treaty provides
otherwise. However, the method of execution specified in the re-
quest shall be followed except insofar as it is prohibited by the laws
of the Rbquested State. Pursuant to Article 5(4), the Requested
State cannot decline execution of a request on the ground of bank
secrecy.
If the Central Authority of the Requested State determines that
execution of the request would interfere with an ongoing criminal
investigation, prosecution, or proceeding, Article 5(5) authorizes it
to postpone execution, or after consultations with the Requesting
State, impose conditions on such execution. If the Requesting State
accepts assistance subject to such conditions, it must comply with
them.
Article 5 further requires the Requested State to use its best ef-
fort to keep confidential a request and its contents, if so requested,
and to inform the Requesting State if the request cannot be exe-
cuted without breaching confidentiality. The Requested State must
also inform the Requesting State of the outcome of the request's
execution and provide explanations for any denial, delay, or post-
ponement.
Article 6 appropriations between the two States the costs in-
curred in executing a request. It Provides that the Requested State
must pay all costs, including the costs of representation, except for
the fees of expert witnesses, translation costs, and travel expenses,
which are the responsibility of the Requesting State, at the Re-
quested State's request, not to use any information or evidence ob-
tained under the Treaty for purposes unrelated to the investiga-
tion, prosecution, or proceedings described in the request without
the prior consent of the Requested State. If the Requested State re-
quests that information or evidence furnished be kept confidential,
or be used subject to terms and conditions, the Requesting State
is required to use its best efforts to comply with the conditions
specified. However, the Article states that nothing in Article 7 pre-
cludes the use or disclosure of information or evidence that is ex-
culpatory to a defendant in a criminal prosecution. The Requested
State must be notified in advance of any such use or disclosure.
Once information is made public in the Requesting State in accord-
ance with the Treaty, no further limitations on use apply.
Article 8 provides that the Requested State must compel, if nec-
essary, the taking of testimony or production of documents. or other
evidence in its territory on behalf of the Requesting State. The arti-
cle requires the Requested State, upon request, to inform the Re-
questing State in advance of the date and place of the taking of tes-
timony or evidence.
Article 8(3) requires the Requested State to permit the presence
of any persons specified in the request (such as the accused, coun-
sel for the accused, or other interested persons) and to permit such
persons to pose questions to be asked of the person whose testi-
mony or evidence is being taken. In the event that a person whose
testimony or evidence is being taken asserts a claim of immunity,
incapacity, or privilege under the laws of the Requesting State, Ar-
ticle 8(4) provides that the testimony or evidence is still to be taken
and the claim made known to the Requesting State for resolution
by its authorities.
Finally, Article 8(5) states that evidence produced pursuant to
this article or that has been the subject of testimony under this ar-
ticle shall be transmitted in a form or with a certification requested
by the Requesting State in order to make it admissible in the Re-
questing State. The Treaty includes two forms that may be used
when the United States is the Requesting Party in this 'scenario.
Article 8(5) states that both the documents provided and the forms
will be admissible in evidence in the United States. Form A is for
certification of business records and Form B is for certification of
the absence or nonexistence of business records.
Article 9 requires that the Requested State provide the Request-
ing State with copies of publicly available records or information of
government departments and agencies. Under Article 9(2), the Re-
quested State may further provide copies of other records or infor-
mation iii the possession of a government department or agency
but not publicly available, to the same extent and under the same
conditions as it would to its own law enforcement or judicial au-
thorities. Upon request, records produced pursuant to this article
must be authenticated by the official of the Requested State who
is responsible for maintaining them, and then transmitted in a
form or with a certification requested by the Requesting State in
order to make them admissible in the Requesting State. The Treaty
includes two additional forms that may be used when the United
States is the Requesting State in this scenario. Article 9(3) states
that both the document provided and each form will be admissible
in evidence in the United States. Form C is for attesting to the au-
thenticity of official government records and Form D is for certifi-
cation of the absence or nonexistence of official government records.
Article 10 provides a mechanism for the Requesting State to in-
vite the voluntary appearance and testimony of a person located in
the Requested State and to indicate the extent to which expenses
will be paid. The Central Authority of the Requested State is re-
quired to invite the person to appear and to promptly inform the
Central Authority of the Requesting State of the person's response.
Under Article 10(2), the person appearing in the Requesting State
is protected from service of process, detention, or restriction of per-
sonal liberty, by reason of any acts or convictions preceding that
person's departure from the Requested State. As Article 10(3) de-
tails, such "safe conduct" ceases ten days after the Central Author-
ity of the Requesting State gives notice to the Central Authority of
the Requested State that the person's presence is no longer re-
quired, or if the person voluntarily returns to the Requesting State
after leaing it. The Requesting State may extend this period for
up to twenty days.
Article 11 provides for the voluntary transfer to the territory of
one State of a person in custody in the other State for purposes of
assistance under the Treaty, provided that the person in question
and both Central Authorities agree. The article establishes the ex-
press authority and the obligation of the receiving State to main-
tain the person transferred in custody unless otherwise authorized
by the sending State. It further obligates the receiving StAte to re-
turn the person to the sending State as soon as circumstances per-
mit or as otherwise agreed by the Central Authorities, without the
need for extradition proceedings. The person transferred will re-
ceive credit for the service of the sentence imposed in the sending
State for time served in the custody of the receiving State.
 Article 12 provides that the Requested State may authorize tran-
sit through its territory of a person held in custody by the Request-
ing State or a third State, when that person's appearance was re-
quested by the Requesting State in an investigation, prosecution,
or proceeding. The Requested State must keep the persol in cus-
tody during transit.
Article 13 requires the Requested State to use its best effoits to
ascertain the location or identity of persons or items specified in a
request.
Article 14 requires the Requested State to use its best efforts to
effect service of any documents relating, in whole or in part, to a
request under the Treaty. The article further requires that the Re-
questing State transmit any request for the service of a document
requiring a person to appear before an authority in the Requesting
State within a reasonable time before the scheduled appearance.
The Requested State is required to return proof of service in the
manner specified in the request.
Article 15 obligates the Requested State to execute requests for
search, seizure, and delivery of any item to the Requesting State
if the request includes the information justifying such action under
the laws of the Requested State. The article further provides for
the certification of the identity of the item, continuity of custody,
and any changes in its condition. When the United States is the
Requesting Party, the only certification required is the completion
of Form E, found at the end of the Treaty, which forni will be ad-
missible in evidence in the United States. In addition, Article 15
provides that the Central Authority of the Requested State may
impose conditions on the transfer of the seized items to protect
third-party interests in the items being transferred.
Article 16 obliges the Central Authority of the Requesting State
to return to the Requested State any documents, records, or other
items furnished under the Treaty, if the Central Authority of the
Requested State requires their return. 01.
Article 17 provides that, if the Central Authority of one State be-
comes aware of proceeds or instrumentalities of crimes that are lo-
cated in the territory of the other State and that may be forfeitable
or otherwise subject to seizure under the laws of that other State,
it may so inform the other State. If the State receiving such infor-
mation has jurisdiction in this regard, it may present this informa-
tion to its authorities for a determination whether any action is ap-
propriate. The Central Authority of the State receiving such infor-
mation is required to inform the Central Authority of the State
that provided the information of any action taken. Article 17 also
obligates the States to assist one another to the extent permitted
by their respective laws in proceedings involving the forfeiture of
the proceeds and instrumentalities of offenses, restitution to the
victims of crime, and collection of fines imposed as criminal sen-
tences. The State having custody over proceeds or instrumentalities
of offenses must dispose of them in accordance with its laws. Either
State may transfer to the other State all or part of such assets, or
the proceeds of their sale, to the extent permitted under the trans-
ferring State's laws and upon such terms as it deems appropriate.
Article 18 states that assistance and procedures provided in the
Treaty will not prevent the granting of assistance under any other
applicable international agreements. The article also states that
the Treaty shall not prevent the granting of assistance available
under the national laws of either State, or pursuant to any bilat-
eral arrangement, agreement, or practice that may be applicable.
Article 19 provides that the Central Authorities of the two States
must consult, at time mutually agreed upon, concerning the most
effective means to implement the provisions of the Treaty.
Article 20 provides that the Treaty is subject to ratification and
shall enter into force upon exchange of instruments of ratification.
The article also provides that the Treaty will apply to any request
presented after its entry force, even if the relevant acts or omis-
sions occurred prior to the date the Treaty entered into force. In
addition, Article 20 further provides that either State may termi-
nate the Treaty by written notice to the other State, such termi-
nation to take effect six months following the date of notification.
A Technical Analysis explaining in detail the provisions of the
Treaty is being prepared by the United States negotiating delega-
tion, consisting of representatives from the Departments of Justice
and State, and will be transmitted separately to the Senate Com-
mittee on Foreign Relations.
The Department of Justice joins the Department of State in rec-
ommending approval of this Treaty by the Senate as soon as pos-
sible.
Respectfully submitted,
COLN L. POWELL.
 ThAVTY BETWEEN

THE COVflNB2NT OFTIM UNITED STATES OF AMERICA AND

TEE GOVEREib4T OF TE BEPULIC OF INDIA

ON MUTUAL LEGAL ASSISTANCE IIN CIMINAL MATTERS

 TABLE OF CONTENTS

Art e ........... .... Sc pe of Assistance

Article 2............ ..... ................. Ce I Autborites
Article 3_.. ............ .mIbtations on Atbtuce
Article ut Contents offequet
._rm su.i............
Artidle & ........ ................................. Exenon of Requet
Article &... ...... .... .. Costs
Artidcle ............... ,ltzdoas an
a Use
Artde ........ . . m or Evidexce to the Requested Statb
Article ...... . .....................Reards o Goverumaet Agaudes
Aricle .. . uane Outside the R quested State
Article 11 of PeIna In ,Cxady
Artdle 1L............... .............. n........Trt of Persons In Custody
Arde 3..........a oation or IdenMillc:ton of lersons or Items
Article 14o ...... . .................. Seftt ofDocuments
Articte ...... and SBdzre
Arcte 1.. . .................... . ........ ... , m of Item

Artick 17.... in Forfeiture Proceedings

Artcle ... ..... C.mplbulity t Other Treaties
Article 19-...
Article 20. ... RaifIcalon, Enty Into Fore, sad Termlnalou.
Form A--- ..- C.... .Certlte of Authentitty of BUlS Rcords
FArm Bb Certitln arAb sence or Nutstence of Business Rkords
Form C.- - .... Attestaion of Authenticity of noreJl Public Doeumets
Form Do........f..,CefLlflcala .f Abs ane or Nonextence of Offiei Records
Form L. .......... -...... AttestatuUn with Respect to SeIzd Items

11
 3

Te Gouvemut ft United Sma ofAeica md Th Oveanm t ofth&PR bc

atbinherfnbur~kradtonmthe CantidnPwtdn, 4w"flngto imp"pv tbo ufeadveeu
oft.e law ext~ct authnddm of both stan ha fte Ineudpdou pwawution. yroawiml

nczic an~d wvzuiudtizaew thimzt coapaution mand mutWa legal auaktmae in Lrmnl

Rmon fQ lOwm
 -I-

Article 1
Sepe of Asutbmc

1. The CcnrrcthglPutts shal ;rovide the -wadct measure of Motufimsiltnov

to each othr in aordamn with thz pro voa of tha T nry, in connection %ih to
izavosadiiou proscutio gmavntion and rzppression of offimes, end in procedings related
to erimiasj .Mains
2. Amistmn shl nclude:
a) Wking te timony or utatamui on fp sona;
b) priding dowimeum, zrd. and ite&= of ovidimna
c) locaatr ideodfng penn or iremr,.
d) saving do=c=Arh
q) taneb'i ng person in custody for teutmny or othe purp.ew
mmuonin requests-for smacksm and earnm;
z) .saiallng In proceedings melaed.to seizur and Watmle ofluen,
rultdou, collecto of finn': Cnd
h) smy otin o of amisma not probibited by tb la of th Rquated

3. AMdalmn akin be prmvded without regard tv whath= the condu ha in the

subje.t of the inveadtiua, prosecutioo, or pro eeding in the Requcs" zg State would comntor
an affron under &Belaws of thu Raqstal State.
4. Tbhu Tzesty is intUnded. solely ftr mutual legal aasislsncebciwacz Ow Catodng
Parties. The prvlszna of tWs Tr=ashall not give riga tn a right an the put ofany pdvae pmnu
to obtain, uWs, or eclude my evidenc, or to impede the aen=ioa oft requeat

Article 2
Centrnl Anthortim

1. Back Crc~tf Puy sal designae a Cotsi Authity to make sod receig,
requests pmuan to tils Treaty.
2. For tire Ubitod State of Aminmca, toe Ceerul Anbmity shall be hm Mommy
Gmml a &Pms dnipoaft by the Attorny General. For India, the Cextra Atratty shall
betse Ministzy dH= AM=hu or a pnso designated bytn Mintrfy of Home Affairs
3. Tim CmnaL Anthoritlss shall commoicts. dintly with one sntbs ar the
purpose of diia Truly.
 -2-

Artidce 3
LhnItalo en Anuirunea

The Cenil Authorty o the Rcqueated Sme may deny assi6= If,
a) the request eltes to an affescundur mitary Iw that woud =t be an
otue =der -~ar ==AmIna
b) the c=cunion of thi mNues would preudic the security or siui
eSuulizfts of the Requested Sfta;
c) turuiquut rvLtes to arolitical effenwe or
d) there utisnwt madsiantriy wthteTedY
2. For the purpose of this Treaty, the roflawiug oflkrsshall not be consideved to
be poUcalSoffsIF:
a) a d of otlurwillfid aim qainn the pmonlofa3 ead of Stin or
femi of Govesmt of one of the C o =tin Pemfisk or of mImber f
tha Ied of BSi's or head of Guvmn±'ufa ngyj
b) dufi hiscking offescsi as decibod in Ths Haw Convmtln %r the
Suriuam of ulzav,-l Saizc ofAkltmah don at The flSpsn
Decmber 16, 1970
)aa of aton sab e, as daa ed in the bffes ConCd fEr
the Supytsaian ofUnlawfkil Acts Apaiott Safety of atil Aritln
done at Motl On Septomba 23, 1971;
d) ains against intmnadoanlly protectedpeatwoS ietding diplomant, as
dwltbed Inte Conmet on the Pwevsudcn mnd Pwulhma of cim-
Agaist kJwtmnailJY Protected, Noson*. Including Dipleoati Agents
dwtNwYkmfOniowbm 14,1973;
a) hate taking a dac*ed in the Inninadonsl Covtin Agalnt th
taking ogoMs , done a New Yok on Dec ber 17, 1M
I) offs relaed to Ilegal druS, as dwscibe Into U40gl Cwntd OR
Neotlo Thus, 1901, done at New Yok ouatrd 30, 1361. do
Protcol AmmdIng the Silnge Couveation un Nrotic Drs 16951,
d=n at Gen on March~ 25- 19M., and the UrItod Nations ConVentlon
Against .lctTraff inNuca D rodn Pr6yhotop Subtano,
dons at Vie=t on Dc etc20, 198B;
t Of LU.tIsAndW i na
Wcawooff= a wibin tho mep aIt
to which beat Cunutotiag Pa am a party and
 6

) &mpt to :mmU xy of tho &egcnnmoffeum

aompira' ortt lor
dal or abetting Ipesan who omisor tm ts to commit mu
o seI.
, Before dsz1n3 assistance pumues to ts kr&, ths Ceaal Authcrity of Thu
Requestd Stateshincsult with the C=tral Authoty of thc Raquaaffu Stft to cosidar
whcetb niobn can b Wvw subjoc to such coditionas eIt dcew. n=.ew,- . Iftm
Requesli State acpts uuuimMo mjef to tha condidcna, ft " comply wiwthe
conditiom.

4. Cafraitctv ofto Reqnatd Stt dunk a

lit n it shil infm
the Cen -rlAutlhdty of Me Requetntg Stite of the mrean flr the iadal.

Artile 4
Term Ind Canets of Rquests

I., A request for nta shall be made in wd ug acept tat th CcaW

Athority ofto Requested Stabn may sccept a.queast mza Qi o in Ug itbmt. If
ti requt is not in wridn ft s.U be ocOmetl In witing
d wi in m dtys tm 2- wies
the Cmnha Authoity of W*Requested State wees otherwIse.b arqnzt gmmi bo InHogliab
un1s Othemwise apeaL
2. TbB request shall uide the bI~owlng:
a) the namieOf the a0lolty COdCou ng the svoptigon, prwomn n, or
pxeceWdl to wdch t sercqus rets±
b) adsrIpitn of th ubjeat mater wnd vature ofi. rna.tW o ,
prc~utlon, w proceeding. including the xedfic inial CAM=e
whickhelmto tie mane;
) a dc ui ptn of the eviden, fntmrln.cr ot= msaistmwc sough?;
snd
d) a utmc t of th purpose for which t evidcae lufcradnn, or otter
usulatncm sotzht.
3. To ft tmit necesnay end potable, &request shal also incbd:
a) lunmtidc on the idantty and locaic of any pem fBum whom
ewidmc is souft -
 -4-

b) ei=-fo an o he identlty ta !ocaru of person to be sarved, That

pea orel ai-nip to ±E- proeeedW , cd the mrer hwhich ri ce
in to emd ;
r) hnnaion on the identity cut suspected location of:a pcrso orQitm to
- be located,
d) a precise description of o place or parsonto be serched and of the
Items to be seiz d;
e) a dincriplfn of the mnnher in wbic mt tamnhy or fmant Is to be
-tkm and recrcd;
£) a lbs of qu t be aked oata wlas,
tlaus
j) £ deawipyton of say putrulaz goccdu to be tfluawai in execting the

hs) infurmain as to te a oywmc and expams to wOith a peso atd to

appear in the Requestig Ste. will he e e moadn
myoot t
w)o any ntion tht may be,brough to the atzloum ofthe
cet~r
cquo Ir
Requested State to lhaiiutsc its cecrdan of thm wyast.

Article S
Uxacudon oftU'qurta

I. Th Ceatl Autoty of tht Requested Sn sh promptly excste to

Uh,whm saPpnsllte, suhl
,wamit n isdicn to do so. The
it to the Auty bmingism
zoipetent authorittes of te Requested State shall do everytg in their pawer tor execute dw
request. The Courts of the ReqUeste S= shall have awlhority to iss subpoenass wmh
wreeis or othr adces necsay to ecuito the requcat
2. Thm Cemntt Ambnty of ga Requested
d- SSt shall ole 1nesym '
.rrugaafar the ueprcuflto bt the Rzeued Sweocthe Raquciag Stst. in mty
pruceediup asing owt of a reqtust fee asftree
3. Requats asall be wmected in accordane with the inwa of the Reqsmeted Stat
xcpt to the 09en
ta is Treaty provides otherwise. 72e meted Of uXCUti speciffied iD
the reus shall be follwed inept insofar a it Is prohmiie by ft lawe of ths Requested
Stol.
4. ea iequust mrthe srouad of
The Requested State- sheD not decline cxecntcof
bark Socecy.
 -5-

S. if ie CentkalAutbadtYDf the Requusted Stuiu detumlnestat ezcmdon of a

inquet wouliintmkeWithjn oping ai~inl m~j ~v tor.poaccdon. orprvwedifng in
Cut St,, it rpoqtpna aeu an, or make cenou oiac l~ect to cu ndi.,a datetuindn
neceasay after c nlta=ns vt the Cana Anthm-ty of the Requo3ig Sfte. Ifthe
Raauslng Stas agem"to uueizca Subjeact to tseComlitlzna, it shall complywi;th ths

6. The Requasted sltsbaI iue insect effortv to keep oonflida inquet id.
Its cnteuts if mwh confidmffh1ty is requested by tha Ceanl Auffrty of the Raquuling StM..
IN= request cnat be exemm without bnrahing such coutendiality, the Cantnl Autbority
of lbs Rzquested. Statz &bWf so fhn the Cefral Authoifty of t Requwliog Stte which
shall tn det"mina whht 9= rejnt ahoud n avethelese be ci=m:uteL
7. The Centrl Autty ofthe Requested Sit sa rasond t reumhic
inquffies by the Cnfral Audiorty ofthe Requesting State =progess toward wecuffn of the

S. Th Ceatnd Aufthity of the Rzqnlted State shll prmpty b am

erinCn
Auboity ofthe R. lag StWte ofthe outcome of th euectlan of Me equest If eecuf
of te qest is denied delayS. or pmtpoed, the Central Auftdyofft ReiVetd State
3hall hfc th Central AuthOrity of to Rapust Stat offho naos tx
r e L delay,
dth
or pos Mmnent.

costs

The Rnm tmd Stat. shall pay 0 costa relatin t tb acu tin of thm reqe. mosludha
the costs of npnswU eo sfcept fi tre fm of ntpet witease, the cats of trnnluton,
impretWo and trsxcpton, asd tho loawom and apemna ruled to trav ofpersm
pumm to Acaic, d 11, which coro,
nm fee afowars, and expooses sa be pid byte

Arttirl 7
Lbmittous on Uva

I. The Cental Authot oftte RAquesd Swut m=y request tAt the Raqusti
St rotuse any bmz,.n ar evidme obtizd dw ths Troatyin any investgpian
 pmwcudn. or procettin otbcr than that deacabed in thequwt widthut the prior consen of
Rquetd StO. If the Rciunted Stato makes such az.,u st, the
the Cw±W Authoity tf Uhm
Requestiog sm shahl ==pLY with &hecotionf.
I The.Cuada Auhority of the Requested Sbt may requet that infonnti or
tvidnce furWnhed undael T"reat bahkept nfd niasl or be und oLy suject to te=w and
winditions it may apaa.oif the, Raqucstdag BStat acts the lafoaaon or evidence sbject
to iurh conditions, the Requsting-Stat sIall u its beat eorta to comply withe Wtsd'tls.
3. Nd2t in this Article shall p eudo di use or disacose of nixmaison or
evidco to ft etet that sn b rfcdion Of uvkIdM is cIaIptDay to a df=dat In a
criminal pruoca. The RAqumtg Stats sallu aolif toe Requetcsted @in adv==c of mty
such propose disclosus
4. Thormad©on or vidence th ban be= made public in te Requesting State
putml to peagraph I or2 ay thereafta beused for ay pwpo

Article 8
Tatmony or EvtWene in the Requeatei Stat

I. Apelon in = Rquested State frw whom eiddrce Is requMed r=n to

thin Trety sl be cmzpelld, if m ay, to apear nd sd or podue items, ihMadinS
dacc=h ad reo1dL
2. Ujpon requmrt, to Central Authority ofthe Requaed State shal finish
inlfim= in advnee aout h date ad place of Wetttug oft testimay of evidence
parnuat to tbi Areti-
3. The Raqusted State hall pemi the prmm of specded pezous during tho
xecuf on offt request w shall llow suh p e pose questIoas ta bcskedf t
pm givieg to tindmay O vidoe=.
4. If the paonc rw- -d to inpaagruph I axmtn a cai Of m ouiyU Ica xPacity,
orpdwi ler dwhe a oflto Reaating State, the evidwnce shall noitttzl be taken and
fto clam made knwnr to the CctMIi Autlwrlty of the Requetn State fnr resolution by the
abt~aute of &Mat .
5. Imoft a wproblbted by t1e la of th Reqwttd StM, evidnce which ha
bma arded ia the Rsquntd St"t pursuat to this Atian or which has be= tz subject of
tetmony taken umd# thu Article shal be manuitted insa b or accompanid by such
ctcaon a mayb roquested byte Requepting State in dr to ma.e it admigsible
jcording ft lrw fthe aRqusting Stu WA the United S isRequeting State,
s Is
 .-7-

s#ob droum~tg shl,upon request, be auten*cat4l by Lon A,ad th- abeamc Of

nueziatcne of s . ecoda ghan, n request, be cotfiue byFm R. Su.. documet ad
tbts shaU he adnuible in evidence in the Urdtd Sin.

Arice 9
Records ofGoverneat Agendes

1, The Requested State shall provide te Rzqfaest Stare with copies Of Piublic
li~able recoid relaw i toftc=utal frcudiag &==ma
' ornfM at1ion =ra&noM,
inte
panseiu of vromment depnents ead agenc I th Requesed Stat.
2. The Raquuted Stato may pmv.de ejpls of mny ncords zelaz to the rmqes
including docamm or inrmation in Iny frm, t a it.the pcsuesaiocf oa,3mr t
dpartae ataemny fn he Stao bat which are ot publicly avallabe, to the amo anw nd
undar the ncoddo us stb record would be iaalable wothe Requested State's own law
enkcem t arjudidal -Ici ds. The Requested State may in its dsimdon. deny, ctrely or
In par,%a requet pusuit tothla paragraph.
. b obr m notpnMbiittd by thr ls of the Reqiuestod Stale, r prduced
*cords
pur umt to thi Ar ole she upon rurqest, be authmeadu by the official rmpunile fo
malnt:-n thm and tresna inh sibfoz or *c=mopmicd by suc rertificationam why ba
requste by to RequcAdg Stae inorder to ake th=n uathl marding to fto law of the
m mch docunmts al, up
Requting Sar. Wher the Unitcd Skakesl. Raquestng Smth
rquas, b atbsn ed by Form C aed the abute or nensdtcc of much Aashl
upon mqmest be cetifed by Farm D. Such documm and &= shal be admissble in
avidac it the Unded ttes.

Artte 10
Appearance Outside the ltaquexted State

I. When the Raquethg Stae requests the appeae ofs pus outside the
Roqusled Stt, tthe Reqatcdtat shal invite the person to so appef. le Req u dg SaM
sWmn inmdif the emotg to which to p o's cxpcnse= will be paid. The Can AUthdoTy Of
theReqmmtd State shll pro y ltin the Cenal At9hoiy of the RquefIn Sam of the
.lmwo rspe
 -9.

I A person qppewing in the Requesting State pw at to This arle sall tot be

su-bjec to service of proca, orbe detained or subjectud to any rmstuictiofat onal lierty
by mson of anty an orr rions which preceded than person's depaxtume baom the Rsqrtee

I. The sah wnduu provided for by AW& ktick ahall rcaao wz days after tht
Cenrl Autorzity ft Requesting Stale hs notified the Central Authorky of tho Requested
St thai the por'm's presncsbu longer required, or when ft pm , hing left the
Req tg State, voluntly returs to it. The Caintal. hrity of h Requraxng State ray.
in its di se"io, fd this period up to twety days for it dotermilne that themi n goo
to do ao.

Article 11
Transfer of Person In Custody

1. A peams in tho custody of th Requested Ste whose presence in the

Requesft State ia sought for purposes of asitsao under thi Traty shall be tranferd fro
the Requested Stale for t= puxpose iflte person ccnarm and if'the C rl Autmitins of
both State; ag=
2. A penon in tbe cstedy offt Reqoutp g Stat whose presence in the
Requested Sn is sought hr pures of asisr =n tmdr h s Truly may be u tred fl:Dm
the Request Sae toth Re uated S tau if Me pason conasan and If the Central Authitit
ofboh Srm a&-=
3. For purpos of is ArtIe:
.a) the receivin Statea shall tavn the aulhmity nd tbe obligation imkeap the
puan tUsftred in custody unles oth,,o uthorizd by the undl
Stet
b) the receiving Ste shall renm the person frerrd to the custody of
tire senn State a soon a diramzamno cprmit or.a otimawise agroed
by both Cental Authcrities;
a) to receiving State diall not require the seading State to initat
etmion poeedin for the rewn of the person trmafwed and
d) s tnafrn-ed shal rooive redt for s-vice ofthe sut==
the prm
impo in the sendij State for timo saved in the mtody ofte
rcevn Stlt&
 .9-

Artile
Translt of Persons in Custody

f. The Requsted State may authorize the trensit through ita

tuitary of apemson
held in c ustody, by the Requnesig State or a third State, whose personal apearance has bee=
requested by the Requesting State in an investigation, pmscuon,or pceedin.
2. The Requtsted State sa have the authority and thoe obligation to keep the
person.imutody during transit.

Article 13
Location or Identlflcatlon of Persona or Items

If the Requestg Sti1t see. the leczbon or identy of persons or iltns in thu
Requested Stat; the Requsated State shall ustits beat effrt to azcailn such location or
identity.

Article 14
Service of Documents

1. The Requested State shall use its best d ons to effec seice of any do= nt
ratin inwhle or in part to any request for azaistmwe made by the Requwthi Slate under
the provisions of ds Truty.
2, The Requesting State shall trantmit may requrst for the service of a document
requiring the appemce of perso bfore an uthority in thc Requeting State within a
rasonble i bere the scheduled apptramne.
3. The Requested State shal retur a proof of service in the manner specified in tUe
ReFquest.
 -10-

Artic!. IS
Stark and Sisue

1 The K Fu=s Sbt tafl awLt aruahl for the :aerck ulir' imd diclivay
of anyitem to thae qucarng Stain if the request Icudt the inunaM cnjiaflylng such autcn
Udn the lws of to Qluzested Stab.
2. Upo reque=t evcy oMcal who haa custody ofa seize Itin sb] cefl the
ldwtYolthe iM14 the cO tuiiY ofCu3tody, &A ay chflve Inits c=cdda. Far the United
Stats =.cc ildOM hDlAn reqest, be made tftu the use afForm BEndaA be
alinabclc InavCida n tt Unted Sts No fttb cetificatc sa bo requed
3. 7he Cankn! Antaity of the Rrttd SW5 may rquire %& toe Raqoust
St apes to t an m filtwas doomed nw.asy to pta thid py uitae in the itm
to be transczu&

ArdeJ 16
.Retrn of Iteas

The CZW Autherty of the Reqmcd Str nxaymuln t th&Cefral Aulhmity Of

thvRquethiStat sflut any Itesncluding documtand recrds. rlted toit in
aseculafal Weus
2ndrt~
Tiaty.

Artile 17
Asshtan tn Forftur ?rceCap

,- f the CanuliAtt on m Party beone n'cu of pc eds or

InslrMenutn of mimes which are looted mnO thenlory cftbe Othe Cantintg Party ad
maybe ftbr h e m othrwis sbct to sefz= uAd & laws of that Cautsdng Party,
ob~ i

imy w inform the CmhuI Amurity offhe ther Cmctin Party. If thall ad= Contactng
Party bs ju ll. in this egrard It may preent this iamwaen to its matoutie fir a
ddin t whdtbaWt = izs qwpndL The. authritic a isu
mthr doim in
mcodac wilh 0 laws of their county, and ] ftauu their CntrUa Au hrity, report to
9= othar Cocntcizg Party = * t!= uketo
2. The CanknclipgParties &4a!assi eseli a to *4 cmtntpwolftd by flinf
roseedve laws ipromfn zlalnto the ftIunyc ofT.e proceeds nd intrwmtaliie of
 ffleus', ruttit to bS vik-*t aim, ad to coakdo a of an iztsoid " e= in
a vC pnm ds Tht=cy pmpra= dwthmo wx othe Ruated State,
W.
101102 to tmapou~lynutrum aftahkc~b~ac, ors etzc hepr=cedls c r memuu
arn~l

tha hi eUndYo'ar pweed or IMWhUWCDM

bh CoCatn Patyk of
afuW shall diapowaf t&a in aomce with its wL EtheCo=nuedag PSrty M

Akrt?. 13
CoMpatibnMty wto Other Tmtft

Asistmw nusawcdmu sal fa%inth2 Twrtyduafntpwnt emuhe Conacdag

PctyhmmgnntngtubncctD fthe h 0lbCoaslg Nt throha.proviso of or
applkah w tiUs1d athwugh the proviuiof ita afounl IAnL Sawe
orts
CoouuMting Petty w 4ws prvide Ulu=t=a p=s=mt to anybflara am mi armltt,
or pratine that may 6bepil.

Aflide 19

ThcCmfrd Atadwlft Contrwst Pmtintl " on==lh athmmtulr

to pomcodth mug e~cto wes oftbTruty. lbs CanalAwhm:f a
saed to by &cmrn

ArticlemO
Rrfatfa, ghity Tote lrarc, ad Termlnafu

I. b ato
Thuz Trusty sha rmtionai cu the htmsla of rutCOf
&Waibe axebmigd as woaa muiLe
 I This Tr y shall enter into frce on the data of the excrhnge: of i£neummnt of

3. This Treaty "hlapply to any ncqucat presented aftr the date of its cxt* into
tn= whetter the relvant act or omissions occurred prior to or altar that dat.
4. Ether Confrtwtg Purty may rminafz tis Treaty by mcans of written notice to
the otl= Contmctig Party. Terminatian shll take cct six month. fllwing the date of
nufouti-on.

IN WiTNES WHMEOP,the uodenigne,, being duly auhoized by tbi rr

'ecHve
Govnmeni, havc aigned this Treaty

DNE at New Delhi, this -L day of October, 2001, in duplicate, inthe EnglM and
the Hhidi nguagrL In case of dverence between the two textmthe Egiahtext shal prevaiL

FOR T. GOVENMENT OF FOR THE GOVERNMWT OF

THE UiTED STATES OF AM RIJC&t TE REMhULIC OF If'DL
 Form A
CERTIICATION OP BusN ss RECORDS

L _______ *attest at penalty of czriia punihmnt far kise sttment r

aftetoat tat Iam =ip~IPtt bsociated with__~gYx~mjmAE
and that my ofEil tide is I fimhur stat tha Ct
h of maieT
ds
ached hucto is tha orgi" or a duplcate ofthe o-gi record, inte2 custody of -aM

I anther stn that

A) such rcord. we m e. at or noar the die ofthe cecimc=e of the mantsat

forth, by (or from hinfmio ftnvwtd by) a peron with wowlalge .fthoe

B) such rordawwte kept in the cours of a reguly ccmductad busins activity;

C) the buuinses activity ma& such rwazd at rg ar pn.tia, and

13) f ny such retod is not the original is a dupcate cite origina

Swor to or uifimied before me, a judicial o =a.tbis _ day

of ,P_2Q.__.
 il
l-

Form B
CI.RTICATION OP ABSENCE OR NONfSTEYCE OF RUSII'ESS RECORDS

,Z
I1 attet o pwuty of criminal pm for Wa statwnee or
atstat~on that I acrnpluyrd byfuamociated with
in the position of and by reason of my poation am atdrized
and quaified to make this atst-tAl
As a realt of my zploymfnt / assoclaion with the abovs-namtd buainas. I am fariin rwith
the business reconi it mnaintais. The business maintan record that are:
A) made, at or near tho time of the occirce of the muftm %:t
forth, by (or from
infomation rumitted by) a pron wt knowlelge of those mats;
B) kept in the couae ofa regularly conducted business activity; and
QC. made or kept by the buineusas a regalar prctoe
Among-the ecorda so maInudied are records of indcividuals mcd enitles thatbave accounta or
othmrise tms=t busines with t&z above-named bas . I have made or caused to bc made
a diligent memth of the rwords. No reords have bee found eting any busines acivi.y
between tie busines andte following iniv'iduals and catiu

-Mmtinu~
 -15-

Form C

ATTE,-ATON OF AUTEICITY OF FOREIGN NUBLIC DOCUMNTS

, a..ttest on peflyt of aimial pnizh, ant tr fas e tamen t or

atatatin tat my poai with toi Govvint 6fis
________=td that itat p sition I am uthorized by Iw to at that the doamnnm
altrtcd end damcribd below mrhue =d accorui copies of origin officia recom. which ait
cordador fied in of .whi is &ipvernmt a r

flecdpti= afDoumeath-

- w=md-
 Form D

C tTCATION OP ADSENCE R NONEXISENC Olt OFFCIAL RECORDS

ualfU that
1, a..cn
. -'- ...... is a govuen afioom
u ageneyrof
uad is mu&rIsed by Isv to mainab offical marts6
sots ftt mflen muodzd by law to ba cpncd md recoded or Slwd
2. nm-ofz "dfataancibeowv at fgrthmatMtvhiWafttciayhIW
to be rpomrted ad recod ot 1, mnd such mnto reularly are ome or
filed by %$abovo-naed pubfic autcrt,
3. myVpo wh tm abom-Amed public authoty It -
4. in my ofdl capacity I have =ad the pFdcto of thuo nd amwa copies
cfecords mualad by that public autbl and
3. no suc record havbec fndi twuci
Dcscrtx=ofDosaU:
 20

Form B

ATflSTATiON WITH RESPE TO SZI ITJEMs

attest on pematy of cmznal puahmmt for falstatcnnt or

tt~aln that my poaitio with ta Govmnmnt of ,. is

.....I rec ved auty of the tam Uta below fmu

__cm __a_ t ,,, _, the umc cmdm u v&= I

zmeivcd fhun (or, ifdiffernt, u noted below).

Duas=iou of Iima:
n

ChBm' If C lilO til i my custodyc