Commission Implementing Regulation (EU) 2017/980Show full title

Article 7 U.K. Procedure for requests for an on-site verification or investigation

1. Where there is a request for carrying out an on-site verification or investigation, the requesting authority and the requested authority shall consult each other on the best way to give useful effect to the request for cooperation taking into account points (a), (b) and (c) of Article 80(1) of Directive 2014/65/EU, including on the merits of conducting a joint on-site verification or joint investigation.

In deciding on the best way to give useful effect to the request for cooperation, the requesting authority and the requested authority shall take into account at least the following:

(a) the contents of any request for cooperation received from the requesting authority, including any suggestion on the appropriateness to carry out the investigation or on-site verification jointly;

(b) whether they are separately conducting their own inquiries into a matter with cross-border implications and whether that matter would be more suitably dealt with by joint collaboration;

(c) the legal and regulatory framework in each of their jurisdictions, ensuring that both authorities have a good understanding of the potential constraints and legal limitations on their conduct and on any proceedings that may follow, including any issues relating to the principle of ne bis in idem;

(d) the management and direction needed for the investigation or on-site inspection;

(e) the allocation of resources and appointment of staff in charge of carrying out investigation or on-site inspections;

(f) the possibility to establish a joint action plan and timings of work by each authority;

(g) the determination of actions to be taken, jointly or individually, by each authority;

(h) mutual sharing of information gathered and reporting on the outcomes of the individual actions taken;

(i) other case specific issues.

2. Where the requested authority carries out the verification or investigation itself, it shall keep the requesting authority informed of the progress of these activities and shall deliver its findings in good time.

3. Where the requesting authority and the requested authority decide to carry out a joint investigation or joint on-site verification, they shall:

(a) engage in ongoing dialogue to coordinate the information gathering process and the finding of facts;

(b) work closely and cooperate with each other when conducting the joint investigation or joint on-site inspection;

(c) identify the specific legal provisions that form the subject matter of the investigation or on-site inspection;

(d) where relevant, agree upon at least the following:

(i)

the drawing up of a joint action plan specifying the substance, nature and timing of the actions to be taken, including the allocation of responsibilities in delivering the outcome of the work and taking into account each authority's respective priorities;

(ii)

the identification and assessment of any legal limitations or constraints and any differences in procedures with respect to investigative or enforcement action or any other proceedings, including the rights of any person subject to investigation;

(iii)

the identification and assessment of specific legal professional privileges that may have an impact on the investigation proceedings as well as the enforcement proceedings, including self-incrimination;

(iv)

the public and press strategy;

(v)

the intended use of information exchanged.