Article 8 — Procedures for assistance: requests for an Authority to open an investigation or carry out an on-site inspection

1.Where the Requested Authority decides to open an investigation or carry out an on-site inspection upon request by the Requesting Authority, the supervisory and investigative steps taken by the Requested Authority shall remain the responsibility and within the overall control of the Requested Authority. The Requesting Authority and the Requested Authority may consult each other on the best way to give useful effect to the request to open an investigation or carry out an on-site inspection. The Requested Authority shall keep the Requesting Authority informed of the progress of the investigation or on-site inspection and deliver its findings as soon as possible.

2.Where a request for opening an investigation or carrying out an on-site inspection has been submitted, the Requesting Authority and the Requested Authority shall consult each other on the merits of conducting a joint investigation or a joint on-site inspection.

3.In deciding on whether to initiate a joint investigation or a joint on-site inspection, the Requesting Authority and the Requested Authority shall consider at least all of the following:
a) any other requests for cooperation made by the Requesting Authority that might suggest that it is appropriate to carry out a joint investigation or a joint on-site inspection;
b) whether they are separately conducting inquiries into a matter with cross-border implications which would be more suitable for a joint investigation or a joint on-site inspection;
c) issues relating to double jeopardy;
d) the legal and regulatory framework in each of their jurisdictions to ensure that they have a good understanding of the potential constraints and legal limitations on the conduct of a joint investigation or a joint on-site inspection and any proceedings which might follow, including any issues relating to the principle of ne bis in idem;
e) the necessary measures as regards management and direction of the investigation or on-site inspection;
f) steps for a joint fact-finding;
g) the allocation of resources and appointment of investigators;
h) the actions to be taken, jointly or individually, by them;
i) whether to establish a joint action plan and timings of work by each Authority;
j) mutual sharing of information gathered and reporting on the outcomes of the individual actions taken;
k) case-specific issues.\

4.Where the Requesting Authority and the Requested Authority open a joint investigation or joint on-site inspection, they shall do all of the following:
a) agree on procedures for its conduct and conclusion;
b) engage in an ongoing dialogue to coordinate the information gathering process and the fact-findings;
c) work closely and cooperate with each other as to the conduct of the joint investigation or joint on-site inspection;
d) provide assistance to each other in respect of subsequent enforcement proceedings to the extent legally permitted, including by coordinating any proceedings or other enforcement action related to the outcome of the joint investigation or joint on-site inspection (administrative, civil or criminal) or, where appropriate, the prospects of a settlement.\

5.At the outset of a joint investigation or joint on-site inspection, the Requesting Authority and the Requested Authority shall consider at least all of the following:
a) the specific laws which will form the subject matter of the investigation or on-site inspection;
b) the drawing up of a joint action plan, including milestones and the allocation of responsibilities in delivering the product of the work and taking into account each Authority's respective priorities;
c) 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;
d) the identification and assessment of specific legal professional privileges that may have an impact on the investigation proceedings as well as on the enforcement proceedings;
e) the public and press strategy;
f) the use of information provided or exchanged.\