parliamentary oversight of security and intelligence agencies in the european union study

446 Pages·2011·2.79 MB·English

DIRECTORATE GENERAL FOR INTERNAL POLICIES
POLICY DEPARTMENT C: CITIZENS' RIGHTS AND
CONSTITUTIONAL AFFAIRS

CIVIL LIBERTIES, JUSTICE AND HOME AFFAIRS

PARLIAMENTARY OVERSIGHT OF
SECURITY AND INTELLIGENCE
AGENCIES IN THE EUROPEAN UNION

STUDY

Abstract

This study evaluates the oversight of national security and intelligence
agencies by parliaments and specialised non-parliamentary oversight
bodies, with a view to identifying good practices that can inform the
European Parliament’s approach to strengthening the oversight of
Europol, Eurojust, Frontex and, to a lesser extent, Sitcen. The study puts
forward a series of detailed recommendations (including in the field of
access to classified information) that are formulated on the basis of in-
depth assessments of: (1) the current functions and powers of these four
bodies; (2) existing arrangements for the oversight of these bodies by
the European Parliament, the Joint Supervisory Bodies and national
parliaments; and (3) the legal and institutional frameworks for
parliamentary and specialised oversight of security and intelligence
agencies in EU Member States and other major democracies.

PE 453.207 EN
This document was requested by the European Parliament's Committee on Civil Liberties,
Justice and Home Affairs.

AUTHORS

Aidan WILLS, Geneva Centre for the Democratic Control of Armed Forces (DCAF)
Mathias VERMEULEN, European University Institute (EUI)

Hans BORN, Project Leader, DCAF
Martin SCHEININ, Project Leader, EUI
Micha WIEBUSCH, Research Assistant, DCAF

Ashley THORNTON, Language Consultant

RESPONSIBLE ADMINISTRATOR

Andreas HARTMANN
Policy Department C: Citizens' Rights and Constitutional Affairs
European Parliament
B-1047 Bruxelles
E-mail: [email protected]

LINGUISTIC VERSIONS

Original: EN

ABOUT THE EDITOR

To contact the Policy Department or to subscribe to its newsletter please write to:
[email protected]

Manuscript completed in June 2011.
© European Parliament, Brussels, 2011.

This document is available on the Internet at:
http://www.europarl.europa.eu/activities/committees/studies.do?language=EN
http://www.ipolnet.ep.parl.union.eu/ipolnet/cms

DISCLAIMER

The opinions expressed in this document are the sole responsibility of the authors and do
not necessarily represent the official position of the European Parliament.

Reproduction and translation for non-commercial purposes are authorized, provided the
source is acknowledged and the publisher is given prior notice and sent a copy.
Parliamentary Oversight of Security and Intelligence Agencies in the European Union
__________________________________________________________________________________________
CONTENTS

CONTENTS 3
LIST OF ABBREVIATIONS 7
LIST OF TABLES 14
EXECUTIVE SUMMARY 15
CHAPTER 1. INTRODUCTION 38
1.1. Mandate 38
1.2. Aim and structure of the study 39
1.3. Methodology 40
1.4. Relevance of parliamentary oversight of security sector agencies 41
1.5. Defining oversight 41
1.6. National intelligence agencies v. the EU’s AFSJ bodies 42
CHAPTER 2. THE EUROPEAN UNION’S AREA OF FREEDOM, SECURITY AND
JUSTICE BODIES 44
2.1. Europol 44
2.1.1. Legal basis and main tasks 44
2.1.2. Powers 46
2.1.3. Relationships with third parties 48
2.2. Eurojust 49
2.2.1. Legal basis and main tasks 49
2.2.2. Powers 50
2.2.3. Relations with third parties 51
2.3. Frontex 52
2.3.1. Legal basis and mandate 52
2.3.2. Powers 52
2.3.3. Relations with third parties 53
2.4. The EU’s Situation Centre (Sitcen) 54
2.4.1. Legal basis and main tasks 54
2.4.2. Powers 56
2.4.3. Relationship with third parties 57
2.5. Conclusion 57
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Policy Department C: Citizens' Rights and Constitutional Affairs
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CHAPTER 3. PARLIAMENTARY AND SPECIALISED OVERSIGHT OF THE
EU’s AFSJ BODIES 60
3.1. The Joint Supervisory Bodies for Europol and Eurojust 60
3.1.1. Composition 61
3.1.2. Powers 62
3.2. National parliaments’ role in overseeing the AFSJ bodies 64
3.2.1. Legal framework at the EU level 64
3.2.2. Legal framework at the national level 65
3.3. The role of the European Parliament in overseeing the AFSJ bodies 67
3.3.1. The European Parliament’s access to classified information 68
3.3.2. Oversight mechanisms of the European Parliament 74
3.4. Conclusion 80
CHAPTER 4. PARLIAMENTARY AND SPECIALISED OVERSIGHT OF
NATIONAL INTELLIGENCE AGENCIES 84
4.1. Introduction 84
4.1.1. The rationale for oversight of intelligence agencies 85
4.2. Systems for intelligence oversight 86
4.2.1. General parliamentary committees 87
4.2.2. Specialised parliamentary committees 87
4.2.3. Specialised non-parliamentary oversight bodies 90
4.3. Organisation of specialised oversight bodies 96
4.3.1. Composition of parliamentary oversight committees 96
4.3.2. Chairpersonship of parliamentary oversight committees 97
4.3.3. Composition of non-parliamentary oversight bodies 97
4.3.4. Selection of members of specialised oversight bodies 98
4.3.5. Resources 100
4.4. Mandate and functions of specialised oversight bodies 101
4.4.1. General mandate 101
4.4.2. Specific oversight functions 106
4.4.3. Oversight of selected activities of intelligence agencies 109
4.5. Access to classified information by parliaments and specialised oversight bodies
117
4.5.1. Access to information by parliaments 117
4.5.2. Access to classified information by specialised oversight bodies 121
4.5.3. Restrictions on access to information 123
4.5.4. Proactive disclosure of information to oversight bodies 129
4.6. Methods and powers of specialised oversight bodies 131
4.6.1. Own-initiative investigations 132
4.6.2. Powers to ensure access to classified information by overseers 133
4.7. Protection of information handled by specialised oversight bodies 137
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Parliamentary Oversight of Security and Intelligence Agencies in the European Union
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4.7.1. Measures to ensure appropriate persons are appointed to oversight
bodies 138
4.7.2. Penalties for unauthorised disclosure of classified or otherwise
confidential information 142
4.7.3. Physical measures to protect classified information 143
4.8. Conclusion 144
CHAPTER 5. RECOMMENDATIONS FOR STRENGTHENING OVERSIGHT OF
THE AFSJ BODIES BY THE EUROPEAN PARLIAMENT 146
5.1. Introduction 146
5.2. Limitations on the scope of the European Parliament’s oversight of the AFSJ
bodies 147
5.3. The European Parliament’s oversight mandate and functions 148
5.3.1. Oversight of the finances of the AFSJ agencies 149
5.3.2. Keeping the European Parliament informed about security threats 150
5.3.3. The European Parliament’s relationship with the Joint Supervisory Bodies
151
5.3.4. Standardisation of the European Parliament’s right to summon the
directors of AFSJ agencies 152
5.3.5. Oversight of the appointment of agency directors 152
5.3.6. A role for the European Parliament in providing assessments on the
human rights records of AFSJ bodies’ cooperation partners 154
5.3.7. A role for the European Parliament in reviewing the AFSJ bodies’
information sharing agreements and memoranda of understanding 155
5.4. Access to and the protection of classified information 155
5.4.1. Improving the European Parliament’s access to classified information in
the AFSJ 156
5.4.2. The protection of information handled by the European Parliament 161
5.5. Oversight mechanisms 162
5.5.1. The performance of additional oversight functions by the LIBE Committee
164
5.5.2. Special committee options for the Area of Freedom, Security and Justice
(AFSJ) 165
5.5.3. Creation of a LIBE Sub-Committee for the oversight of the AFSJ agencies
169
5.5.4. Strengthening cooperation between the European Parliament and
national parliaments in the oversight of AFSJ agencies 172
5.6. Summary of recommendations 175
REFERENCES 177
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Policy Department C: Citizens' Rights and Constitutional Affairs
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ANNEXES 189
ANNEX A: COUNTRY CASE STUDIES ON PARLIAMENTARY AND
SPECIALISED OVERSIGHT OF SECURITY AND INTELLIGENCE AGENCIES
IN EU MEMBER STATES AND OTHER MAJOR DEMOCRACIES 190
ANNEX B: THEMATIC STUDIES ON OVERSIGHT OF THE EUROPEAN UNION’S
AREA OF FREEDOM, SECURITY AND JUSTICE (AFSJ) BODIES 350
ANNEX C: QUESTIONNAIRE FOR OVERSIGHT INSTITUTIONS OF CIVILIAN
SECURITY AND INTELLIGENCE AGENCIES IN EU MEMBER STATES 412
ANNEX D: MEMBERS OF THE PROJECT ADVISORY BOARD 440
ANNEX E: AUTHORS OF THE ANNEXED BACKGROUND STUDIES 441

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Parliamentary Oversight of Security and Intelligence Agencies in the European Union
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LIST OF ABBREVIATIONS

AAI Autorités Administratives Indépendantes (France)
AFET Committee on Foreign Affairs, Fundamental Rights and Common
Security and Defence Policy (EU)
AFSJ Area of Freedom, Security and Justice (EU)
AIC Australian Intelligence Community
AISE External Information and Security Agency (Italy)
AISI Internal Information and Security Agency (Italy)
ANAO Australian National Audit Office
ASIO Australian Security Intelligence Organisation
ASIS Australian Secret Intelligence Service
AWFs Analysis Work Files
BfV Bundesamt für Verfassungsschutz/Federal Office for the Protection
of the Constitution (Germany)
BND Bundesnachrichtendienst/Federal Intelligence Service (Germany)
BNDG Gesetz über den Bundesnachrichtendienst/Federal Intelligence
Service Act (Germany)
BVerfSchG Bundesverfassungsschutzgesetz/Federal Protection of the
Constitution Act (Germany)
BUDG EP’s Committee on Budgets
CATS Article 36 Committee (EU)
CBO Congressional Budget Office (USA)
CCSDN Commission consultative du secret de la défense nationale
(France)
CEPOL European Police College
CFSP Common Foreign and Security Policy (EU)
CIA Central Intelligence Agency (USA)
CIC Civilian Intelligence Cell (EU)
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Policy Department C: Citizens' Rights and Constitutional Affairs
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CIS Customs Information System
CISR Inter-Ministerial Committee for the Security of the Republic (Italy)
CJEU Court of Justice of the European Union
CMS Case Management System
CNCIS Commission nationale de contrôle des interceptions de sécurité
(France)
CNI National Intelligence Centre (Spain)
CNIL Commission nationale de l’informatique et des libertés (France)
ComCen Communications Unit (EU)
CONT Committee on Budgetary Control (EU)
COPACO Parliamentary Control Committee (Italy)
COPASIR Parliamentary Committee for the Security of the Republic (Italy)
COSAC Conference of national parliaments’ European Affairs Committees
COSI Standing Committee on Operational Security (EU)
CPC Commission of Public Complaints (Canada)
CRS Congressional Research Service (USA)
CSDP Common Security and Defence Policy
CSIS Canadian Security Intelligence Service
CTIVD Dutch Review Committee on the Intelligence and Security Services
CUTA Coordination Unit for Threat Assessment (Belgium)
CTIVD Intelligence and Security Services Review Committee
(Netherlands)
DCAF Geneva Centre for the Democratic Control of Armed Forces
DCRI Direction centrale du renseignement intérieur (France)
DGPN French National Police
DGSE Direction générale de la sécurité extérieure (France)
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