Third Country Assistance [EU]
Agreement with the United States
on mutual legal assistance
SUMMARY OF:
Agreement on mutual legal assistance between the EU and the US
Decision 2009/820/CFSP on the conclusion on behalf of the EU of the Agreements on extradition and on mutual legal assistance between it and the US
Decision 2003/516/EC on the signature of the Agreements between the EU and the US on extradition and mutual legal assistance in criminal matters
WHAT IS THE AIM OF THE AGREEMENT AND OF THE DECISION?
The agreement sets out conditions relating to the provision of mutual legal assistance in criminal matters between the EU and the US.
It seeks to enhance cooperation between EU countries and the US, as a complement to bilateral treaties concluded between EU countries and the US.
The decision concludes on behalf of the EU the agreement with the US relating to mutual legal assistance.
Key Points
EU countries and the US apply the conditions of this framework agreement to their bilateral mutual legal assistance treaties. In the absence of such a treaty, the EU and the US undertake to ensure that the agreement is applied.
In the event that existing bilateral treaties between EU countries and the US are not compatible with the agreement, the EU framework should prevail.
Mutual legal assistance
Regarding bank information, on request of the requesting country, the requested country must promptly identify and communicate information on:
whether a natural or legal person, who is suspected of or charged with a criminal offence, has one or more bank accounts;
individuals or legal entities that have been convicted of or involved in a criminal offence;
information that a non-bank financial institution possesses;
financial transactions that are not related to bank accounts.
EU countries’ requests for assistance are transmitted by central authorities responsible for mutual legal assistance or by national authorities responsible for investigating or prosecuting criminal offences. The US transmits its requests for assistance via its national authorities responsible for investigating or prosecuting criminal offences and which are specifically designated pursuant to Article 15(2) of the agreement.
The requesting country may use an expedited means of communication, such as fax or email, for the transmission of the request request for assistance and the related communications, followed by a formal confirmation if required by the requested country.
The requesting country may require the requested country to keep a request for assistance and its contents confidential. The central authority of the requested country must inform the requesting country if it cannot execute the request for assistance without breaching confidentiality. The requesting country must then decide whether the request for assistance should be executed or not.
The EU and the US must enable the establishment and operation of joint investigative teams to facilitate criminal investigations or prosecutions between one or more EU countries and the US.
The EU and the US must also enable video conferencing between EU countries and the US to take witnesses’ or experts’ testimonies in proceedings.
Assistance to administrative authorities
Mutual legal assistance must also be provided to national and other administrative authorities, but only when the conduct under investigation will lead to a criminal prosecution or to a referral to criminal investigation or prosecution authorities.
Assistance shall not be available for matters in which the administrative authority anticipates that no prosecution or referral, as applicable, will take place.
The authorities responsible for transmitting these requests for assistance are designated in accordance with the bilateral mutual legal assistance treaties between the countries concerned. Where such a treaty does not exist, the requests are transmitted between the US Department of Justice and the EU country’s Ministry of Justice or another equivalent ministry that is responsible for transmitting requests for mutual legal assistance.
Assistance may not be refused on grounds of bank secrecy.
Personal data protection
The requesting country may only use the evidence or information transmitted by the requested country for:
its criminal investigations and proceedings;
protecting its public security against an immediate and serious threat;
its non-criminal judicial or administrative proceedings that directly relate to its criminal investigations or proceedings;
other purposes, provided that the information or evidence has been made public or the requested country has given its prior consent.
The requested country may impose additional conditions limiting the use of the evidence or information in a particular case if, due to the absence of such conditions, it was not able to comply with the particular request for assistance. In such a case, the requested country may require the requesting country to provide information on the use that it makes of the evidence or information.
In addition to the above limitations on use to protect personal and other data, the agreement between the United States of America and the European Union on the protection of personal information relating to the prevention, investigation, detection, and prosecution of criminal offences (EU-US Umbrella Agreement) supplements, where necessary, data protection safeguards in the agreement.
Review of the Agreement
In line with Article 17 of the Agreement, the EU and the US have conducted a review of the functioning of the agreement in 2015-2016. The conclusion of the review is that, in general terms, the Agreement has been a success. The review process also resulted in recommendations to improve the practical functioning of the EU-US mutual legal assistance relationship, including on better sharing of knowledge among practitioners about each others’ laws and processes and to make better use of technology to speed up the transmission of requests and evidence and general communications.
Application
The agreement entered into force on 1 February 2010. It was implemented in EU countries by bilateral instruments.
Documents
MAIN DOCUMENTS
Agreement on mutual legal assistance between the European Union and the United States of America (OJ L 181, 19.7.2003, pp. 34-42)
Council Decision 2009/820/CFSP of 23 October 2009 on the conclusion on behalf of the European Union of the Agreement on extradition between the European Union and the United States of America and the Agreement on mutual legal assistance between the European Union and the United States of America (OJ L 291, 7.11.2009, pp. 40-41)
Council Decision 2003/516/EC of 6 June 2003 concerning the signature of the Agreements between the European Union and the United States of America on extradition and mutual legal assistance in criminal matters (OJ L 181, 19.7.2003, pp. 25-26)
RELATED DOCUMENTS
Agreement between the United States of America and the European Union on the protection of personal information relating to the prevention, investigation, detection, and prosecution of criminal offences (OJ L 336, 10.12.2016, pp. 3-13)
Information concerning the date of entry into force of the Agreements on Extradition and on Mutual Legal Assistance between the European Union and the United States of America (OJ L 323, 10.12.2009, p. 11)
Agreements on the security of classified information
SUMMARY OF:
Agreements on security procedures for exchanging and protecting classified information between the EU and Canada, Moldova, Georgia, Albania, Serbia, Australia, Liechtenstein, Russia, Israel, United States, Iceland, Switzerland, Ukraine, former Yugoslav Republic of Macedonia, Norway and Bosnia and Herzegovina
Decisions concerning the signing and conclusion of these Agreements with Canada, Moldova, Georgia, Albania, Serbia, Australia, Liechtenstein, Russia, Israel, United States, Iceland, Switzerland, Ukraine, former Yugoslav Republic of Macedonia, Norway and Bosnia and Herzegovina
WHAT IS THE AIM OF THE AGREEMENTS AND OF THE DECISIONS?
The agreements between the EU and various countries aim to strengthen the security and safety of their respective citizens through the sharing of classified information and putting in place mechanisms to ensure that the information remains secure.
For each agreement there is an associated decision to approve it on behalf of the EU.
Key Points
The parties agree to develop cooperation on security and sharing classified information. They recognise that effective cooperation requires access to this information, and that this type of exchange requires appropriate security measures.
The agreements provides a legal framework where one party provides classified information to the other, but they do not oblige either party to provide such information.
Classified information is defined as:
any information or material whose loss or unauthorised disclosure could damage or harm the interests of each party or one or more EU countries; and
is designated with a security classification as provided for in the agreement.
The agreements applies to the following EU institutions and bodies: the European Council, the Council of the European Union, the High Representative of the Union for Foreign Affairs and Security Policy, the European External Action Service and the European Commission.
Protection of classified information
Each of the parties must protect classified information provided by or exchanged with the other party to a level at least equivalent to that afforded by the party providing it.
All persons with access to classified information must have appropriate security clearance, based on loyalty, trustworthiness and reliability.
There are restrictions on how classified information is used, accessed and disclosed.
Decision 2013/488/EU covers security rules for protecting EU classified information.
Other features
These include:
a commitment to provide mutual assistance in relation to keeping classified information secure;
procedures on how classified information is shared;
designation of who is responsible on each side for overseeing implementation of the agreement;
the responsibilities of each party in the event of loss or unauthorised disclosure of classified information;
dispute resolution;
how the agreement will enter into force, including how it can be amended or terminated.
Application
FROM WHEN DO THE AGREEMENTS AND DECISIONS ENTER INTO FORCE?
They enter into force as follows:
Country
Decision
Agreement
Canada
29 May 2017
Not yet in force
Moldova
27 March 2017
Not yet in force
Georgia
15 March 2016
Not yet in force
Albania
15 January 2016
Not yet in force
Serbia
22 November 2010
Not yet in force
Australia
30 November 2009
Not yet in force
Liechtenstein
14 June 2010
Not yet in force
Russia
17 November 2009
Not yet in force
Israel
16 March 2009
Not yet in force
US
23 April 2007
30 April 2007
Iceland
21 November 2005
Not yet in force
Switzerland
24 June 2005
1 June 2008
Ukraine
13 June 2005
Not yet in force
North Macedonia
24 January 2005
1 August 2005
Norway
26 July 2004
1 December 2004
Bosnia and Herzegovina
26 July 2004
1 May 2006
Documents
MAIN DOCUMENTS
Council Decision (CFSP) 2017/2322 of 29 May 2017 concerning the signing and conclusion of the Agreement between Canada and the European Union on security procedures for exchanging and protecting classified information (OJ L 333, 15.12.2017, p. 1)
Agreement between Canada and the European Union on security procedures for exchanging and protecting classified information (OJ L 333, 15.12.2017, pp. 2-7)
Council Decision (CFSP) 2017/718 of 27 March 2017 concerning the signing and conclusion of the Agreement between the European Union and the Republic of Moldova on security procedures for exchanging and protecting classified information (OJ L 106, 22.4.2017, pp. 1-2)
Agreement between the European Union and the Republic of Moldova on security procedures for exchanging and protecting classified information (OJ L 106, 22.4.2017, pp. 3-7)
Successive amendments to the agreement have been incorporated into the original document. This consolidated version is of documentary value only.
Council Decision (EU) 2016/1946 of 15 March 2016 concerning the signing and conclusion of the Agreement between the European Union and Georgia on security procedures for exchanging and protecting classified information (OJ L 300, 8.11.2016, pp. 1-2)
Agreement between Georgia and the European Union on security procedures for exchanging and protecting classified information (OJ L 300, 8.11.2016, pp. 3-7)
Council Decision (EU) 2016/402 of 15 January 2016 concerning the signing and conclusion of the Agreement between the Council of Ministers of the Republic of Albania and the European Union on security procedures for exchanging and protecting classified information (OJ L 74, 19.3.2016, pp. 1-2)
Agreement between the Council of Ministers of the Republic of Albania and the European Union on security procedures for exchanging and protecting classified information (OJ L 74, 19.3.2016, pp. 3-7)
Council Decision 2011/514/CFSP of 22 November 2010 concerning the signing and conclusion of the Agreement between the European Union and the Republic of Serbia on security procedures for exchanging and protecting classified information (OJ L 216, 23.8.2011, p. 1)
Agreement between the European Union and the Republic of Serbia on security procedures for exchanging and protecting classified information (OJ L 216, 23.8.2011, pp. 2-4)
Council Decision 2010/53/CFSP of 30 November 2009 concerning the conclusion of the Agreement between Australia and the European Union on the security of classified information (OJ L 26, 30.1.2010, p. 30)
Agreement between Australia and the European Union on the security of classified information (OJ L 26, 30.1.2010, pp. 31-35)
Council Decision 2010/404/CFSP of 14 June 2010 concerning the signing and conclusion of the Agreement between the European Union and the Principality of Liechtenstein on security procedures for exchanging classified information (OJ L 187, 21.7.2010, p. 1)
Agreement between the European Union and the Principality of Liechtenstein on security procedures for exchanging classified information (OJ L 187, 21.7.2010, pp. 2-4)
Council Decision 2010/348/EC of 17 November 2009 concerning the conclusion of the Agreement between the Government of the Russian Federation and the European Union on the protection of classified information (OJ L 155, 22.6.2010, p. 56)
Agreement between the Government of the Russian Federation and the European Union on the protection of classified information (OJ L 155, 22.6.2010, pp. 57-60)
Council Decision 2009/558/CFSP of 16 March 2009 concerning the conclusion of the Agreement on security procedures for exchanging classified information between the European Union and Israel (OJ L 192, 24.7.2009, p. 63-63)
Agreement on security procedures for exchanging classified information between the European Union and Israel (OJ L 192, 24.7.2009, pp. 64-67)
Council Decision 2007/274/JHA of 23 April 2007 concerning the conclusion of the Agreement between the European Union and the Government of the United States of America on the security of classified information (OJ L 115, 3.5.2007, p. 29)
Agreement between the European Union and the government of the United States of America on the security of classified information (OJ L 115, 3.5.2007, pp. 30-34)
Council Decision 2006/467/CFSP of 21 November 2005 concerning the conclusion of the Agreement between the European Union and the Republic of Iceland on security procedures for the exchange of classified information (OJ L 184, 6.7.2006, p. 34)
Agreement between the Republic of Iceland and the European Union on security procedures for the exchange of classified information (OJ L 184, 6.7.2006, pp. 35-37)
Council Decision 2008/568/CFSP of 24 June 2005 concerning the conclusion of the Agreement between the European Union and the Swiss Confederation on security procedures for the exchange of classified information (OJ L 181, 10.7.2008, p. 57)
Agreement between the Swiss Confederation and the European Union on the security procedures for the exchange of classified information (OJ L 181, 10.7.2008, pp. 58-61)
Council Decision 2005/481/CFSP of 13 June 2005 concerning the conclusion of the Agreement between the European Union and Ukraine on the security procedures for the exchange of classified information (OJ L 172, 5.7.2005, p. 83)
Agreement between Ukraine and the European Union on the security procedures for the exchange of classified information (OJ L 172, 5.7.2005, pp. 84-86)
Council Decision 2005/296/CFSP, JHA of 24 January 2005 concerning the conclusion of the Agreement between the European Union and the former Yugoslav Republic of Macedonia on the security procedures for the exchange of classified information (OJ L 94, 13.4.2005, p. 38)
Agreement between the former Yugoslav Republic of Macedonia and the European Union on the security procedures for the exchange of classified information (OJ L 94, 13.4.2005, pp. 39-44)
Council Decision 2004/843/CFSP of 26 July 2004 concerning the conclusion of the Agreement between the European Union and the Kingdom of Norway on security procedures for the exchange of classified information (OJ L 362, 9.12.2004, p. 28)
Agreement between the Kingdom of Norway and the European Union on security procedures for the exchange of classified information (OJ L 362, 9.12.2004, pp. 29-32)
Council Decision 2004/731/EC of 26 July 2004 concerning the conclusion of the Agreement between the European Union and Bosnia and Herzegovina on security procedures for the exchange of classified information (OJ L 324, 27.10.2004, p. 15)
Agreement between Bosnia and Herzegovina and the European Union on security procedures for the exchange of classified information (OJ L 324, 27.10.2004, pp. 16-19)
RELATED DOCUMENT
Council Decision 2013/488/EU of 23 September 2013 on the security rules for protecting EU classified information (OJ L 274, 15.10.2013, pp. 1-50)