TREATIES AND OTHER INTERNATIONAL ACTS SERIES 13037 

________________________________________________________________________ 

MUTUAL LEGAL ASSISTANCE 

 Treaty Between the 

UNITED STATES OF AMERICA 

and ROMANIA 

Signed at Washington May 26, 1999 
 

NOTE BY THE DEPARTMENT OF STATE 

 Pursuant to Public Law 89—497, approved July 8, 1966 

(80 Stat. 271; 1 U.S.C. 113)—

“. . .the Treaties and Other International Acts Series issued 

under the authority of the Secretary of State shall be competent 

 evidence . . . of the treaties, international agreements other than 

treaties, and proclamations by the President of such treaties and 

international agreements other than treaties, as the case may be, 

therein contained, in all the courts of law and equity and of maritime 

jurisdiction, and in all the tribunals and public offices of the 

United States, and of the several States, without any further proof 

or authentication thereof.” 
 

 ROMANIA 

 Mutual Legal Assistance 

Treaty signed at Washington May 26, 1999; 

Transmitted by the President of the United States of America 

 to the Senate February 3, 2000 (Treaty Doc. 106-20, 

 106th Congress, 2d Session); 

Reported favorably by the Senate Committee on Foreign Relations 

 September 27, 2000 (Senate Executive Report No. 106-24, 

 106th Congress, 2d Session); 

Advice and consent to ratification by the Senate 

 October 18, 2000; 

Ratified by the President January 5, 2001; 

Ratified by Romania April 24, 2000; 

Ratifications exchanged at Bucharest October 17, 2001; 

Entered into force October 17, 2001. 
TREATY BETWEEN

THE UNITED STATES OF AMERICA

AND

ROMANIA

ON MUTUAL LEGAL

ASSISTANCE IN CRIMINAL MATTERS
TABLE OF CONTENTS

Article 1 	 Scope of Assistance

Article 2 	 Central Authorities

Article 3 	 Limitations on Assistance

Article 4 	 Form and Contents of Requests

Article 5 	 Execution of Requests

Article 6 	 Costs

Article 7 	 Limitations on Use

Article 8 	 Testimony or Evidence in the

Requested State

Article 9 	 Official Records

Article 10 	 Appearance Outside of the

Requested State

Article 11 	 Transfer of Persons in Custody

Article 12 	 Transit of Persons in Custody

Article 13 	 Location or Identification of

Persons or Items

Article 14 	 Service of Documents

Article 15 	 Search and Seizure

Article 16 	 Return of Items

Article 17 	 Proceeds and Instrumentalities

of Offenses

Article 18 	 Compatibility with Other

Arrangements

Article 19 	 Consultation

Article 20 	 Ratification, Entry Into Force,

and Termination
FORMS

Form A 	 Certification of Business

Records

Form B

	

Certification of Absence or

Nonexistence of Business

Records

Form C 	 Certification of Official

Records

Form D

	

Certification of Absence or

Nonexistence of Official

Records

Form E 	 Certification with Respect to

Seized Items
The United States of America and Romania,

Desiring to improve the effectiveness of both countries in the investigation,

prosecution, and prevention of crime through cooperation and mutual legal assistance in

criminal matters,

Have agreed as follows:
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Article 1

Scope of Assistance

1.	The Contracting Parties shall provide mutual assistance, in accordance

with the provisions of this Treaty, in connection with the investigation, prosecution, and

prevention of offenses, and in proceedings related to criminal matters.

2.	Assistance shall include:

(a) taking the testimony or statements of persons;

(b) providing documents, records, and other items;

(c) locating or identifying persons or items;

(d) serving documents;

(e) transferring persons in custody for testimony or

other purposes;

(f) executing searches and seizures;

(g) assisting in proceedings related to immobilization

and forfeiture of assets; restitution; collection

of fines; and

(h) any other form of assistance not prohibited by the

laws of the Requested State.

3.	Except as otherwise provided in this Treaty, assistance shall be provided

without regard to whether the conduct that is the subject of the investigation, prosecution,

or proceeding in the Requesting State would constitute an offense under the laws of the

Requested State.

4.	This Treaty is intended solely for mutual legal assistance between the

Contracting Parties. The provisions of this Treaty shall not give rise to a right on the part

of any private person to obtain, suppress, or exclude any evidence, or to impede the

execution of a request.
Article 2

Central Authorities

1. Each Contracting Party shall designate a Central Authority to make and

receive requests pursuant to this Treaty.

2. For the United States of America, the Central Authority shall be the

Attorney General or a person designated by the Attorney General. For Romania, the

Central Authority shall be the Minister of Justice.

3. The Central Authorities shall communicate directly with one another for

the purposes of this Treaty.

Article 3

Limitations on Assistance

1. The Central Authority of the Requested State may deny assistance if:

(a) the request relates to an offense under military law that would not be

an offense under ordinary criminal law;

(b) the execution of the request would prejudice the security or similar

essential interests of the Requested State;

(c) the request relates to an offense which is considered by the Requested

State to be a political offense; or

(d) the request is not made in conformity with the Treaty.

2. Before denying assistance pursuant to this Article, the Central Authority of

the Requested State shall consult with the Central Authority of the Requesting State to

consider whether assistance can be given subject to such conditions as it deems necessary.

If the Requesting State accepts assistance subject to these conditions, it shall comply with

the conditions.
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3. If the Central Authority of the Requested State denies assistance pursuant

to this Article, it shall inform the Central Authority of the Requesting State of the reasons

for the denial.

4. The Requested State shall not refuse to execute a request on the ground of

bank secrecy.

Article 4

Form and Contents of Requests

1. A request for assistance shall be in writing except that the Central

Authority of the Requested State may accept a request in another form in urgent

situations. If the request is not in writing, it shall be confirmed in writing within ten days

unless the Central Authority of the Requested State agrees otherwise.

2. The request shall be translated into the language of the Requested State

unless otherwise agreed. Any supporting documentation shall be translated into the

language of the Requested State, if necessary, upon request by the Requested State.

3. The request shall include the following:

(a) the name of the authority conducting the investigation, prosecution, or

proceeding to which the request relates;

(b) a description of the subject matter and nature of the investigation,

prosecution, or proceeding, including the specific criminal offenses that

relate to the matter;

(c) a description of the evidence, information, or other assistance sought;

and

(d) the reasons for which the evidence, information, or other assistance is

sought.

4. To the extent necessary and possible, a request shall also include:

(a) information on the identity and location of any person from whom

evidence is sought;
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(b) information on the identity and location of a person to be served, that

person's relationship to the proceeding, and the manner in which

service is to be made;

(c) information on the identity and suspected location of a person or item

to be located;

(d) a precise description of the place or person to be searched and of the

item to be seized;

(e) a description of the manner in which any testimony or statement is to

be taken and recorded;

(f) a description of the testimony or statement sought, which may include

a list of questions to be asked of a person;

(g) a description of any particular procedure to be followed in executing

the request;

(h) information as to the allowances and expenses to which a person asked

to appear in the Requesting State will be entitled;

(i) any time limit within which the request should be executed; and

(j) any other Information that may be brought to the attention of the

Requested State to facilitate its execution of the request.

Article 5

Execution of Requests

1. The Central Authority of the Requested State shall promptly execute the

request or, when appropriate, shall transmit it to the authority having jurisdiction to do

so. The competent authorities of the Requested State shall do everything in their power to

execute the request. The competent judicial or other authorities of the Requested State

shall have power to issue subpoenas, search warrants, or other orders necessary to

execute the request.

2. The Central Authority of the Requested State shall make all necessary

arrangements for representation of the Central Authority of the Requesting State in the

execution of a request for assistance in the Requested State.
3. Requests shall be executed according to the laws and procedures of the

Requested State except to the extent that this Treaty provides otherwise. Procedures

specified in the request shall be followed except to the extent that those procedures cannot

lawfully be followed in the Requested State.

4. If the Central Authority of the Requested State determines that execution of

a request would interfere with an ongoing criminal investigation, prosecution, or

proceeding in that State, it may postpone execution, or make execution subject to

conditions determined to be necessary after consultations with the Central Authority of

the Requesting State. If the Requesting State accepts the assistance subject to the

conditions, it shall comply with the conditions.

5. The Requested State shall use its best efforts to keep confidential a request

and its contents if such confidentiality is requested by the Central Authority of the

Requesting State. If the request cannot be executed without breaching such

confidentiality, the Central Authority of the Requested State shall, prior to the execution

of the request, so inform the Central Authority of the Requesting State, which shall then

determine whether the request should nevertheless be executed.

6. The Central Authority of the Requested State shall respond to reasonable

inquiries by the Central Authority of the Requesting State concerning progress toward

execution of the request.

7. The Central Authority of the Requested State shall promptly inform the

Central Authority of the Requesting State of the outcome of the execution of a request. If

execution of the.request is denied, delayed, or postponed, the Central Authority of the

Requested State shall inform the Central Authority of the Requesting State of the reasons

therefor.
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Article 6

Costs

1. The Requested State shall pay all costs relating to the execution of a request,

including the costs of representation, except for the following, which shall be paid by the

Requesting State:

(a) the fees of experts;

(b) the costs of translation, interpretation, and

transcription; and

(c) the allowances and expenses related to travel of

persons pursuant to Articles 10, 11 and 12.

2. If during the execution of a request it becomes apparent that complete

execution will entail expenses of an extraordinary nature, the Central Authorities shall

consult to determine the terms and conditions under which execution may continue.

Article 7

Limitations on Use

1. The Central Authority of the Requested State may require that the

Requesting State not use any information or evidence obtained under this Treaty in any

investigation, prosecution, or proceeding other than that described in the request without

the prior consent of the Central Authority of the Requested State. In such situations, the

Requesting State shall comply with the requirement.

2. The Central Authority of the Requested State may request that information

or evidence furnished under this Treaty be kept confidential or be used only subject to

terms and conditions it may specify. If the Requesting State accepts the information or

evidence subject to such conditions, the Requesting State shall use its best efforts to

comply with the conditions.

3. Nothing in this Article shall preclude the use or disclosure of information or

evidence to the extent that there is an obligation to do so under the Constitution of the
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Requesting State in a criminal prosecution. The Requesting State shall notify the

Requested State in advance of any such use or disclosure.

4. Information or evidence that has been made public in the Requesting State

in a manner consistent with paragraph 1 or 2 may thereafter be used.

Article 8

Testimony or Evidence in the Requested State

1. A person in the Requested State from whom testimony or evidence is

requested shall be compelled, if necessary, to appear, testify, or produce items, including

documents, records and articles of evidence.

2. Upon request, the Central Authority of the Requested State shall furnish

information in advance about the date and place of the taking of the testimony or

evidence pursuant to this Article.

3. The Requested State shall permit the presence of such persons as specified

in the request during the execution of the request and shall allow such persons to pose

questions to be asked of the person giving the testimony or evidence. The persons present

at the execution of a request shall be permitted to make a verbatim record of the

proceedings. The use of technical means to make such a verbatim record shall be

permitted.

4. If the person referred to in paragraph 1 asserts a claim of immunity,

incapacity, or privilege under the laws of the Requesting State, but not under the laws of

the Requested State, the testimony or evidence shall nonetheless be taken and the claim

made known to the Central Authority of the Requesting State for resolution by the

authorities of that State.

5. Evidence that has been produced in the Requested State pursuant to this

Article or that has been the subject of testimony taken under this Article shall, upon
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request, be certified by an attestation, including, in the case of business records,

certification in the manner indicated in Form A appended to this Treaty. The absence or

nonexistence of such records shall, upon request, be certified through the use of Form B

appended to this Treaty. Records certified by Form A, or Form B certifying the absence

or nonexistence of such records, shall be admissible in evidence hi the Requesting State.

Article 9

Official Records

1. The Requested State shall provide the Requesting State with copies of

publicly available records, including documents or information in any form, in the

possession of a governmental or judicial authority in the Requested State.

2. The Requested State may provide copies of any records, including

documents or information in any form, that are in the possession of a governmental or

judicial authority in that State but that are not publicly available, to the same extent and

under the same conditions as such copies would be available to the Requested State's own

governmental or judicial authorities. The Requested State may in its discretion deny a

request for records that are not publicly available, entirely or in part.

3. Records produced pursuant to this Article shall, upon request, be certified

by an official responsible for maintaining them through the use of Form C appended to

this Treaty. The absence or nonexistence of such records shall, upon request, be certified

by an official responsible for maintaining similar records through the use of Form D

appended to this Treaty. No further certification shall be necessary. Records certified by

Form C , or Form D certifying the absence or nonexistence of such records, shall be

admissible in evidence in the Requesting State.

Article 10

Appearance Outside of the Requested State

1. When the Requesting State requests that a person in the Requested State

appear in the Requesting State or in a third state for the purpose of assistance under this
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Treaty, the Requested State shall invite the person to do so. The person may agree or

refuse to appear. The Central Authority of the Requested State shall promptly inform the

Central Authority of the Requesting State of the person's response. If necessary, the

Requesting State shall be responsible for obtaining any authorization from a third state.

2. The Requesting State shall indicate the extent to which the person's

expenses will be paid. A person who agrees to appear may ask that the Requesting State

advance money to cover these expenses. This advance may be provided through the

Embassy or a consulate of the Requesting State.

3. The Central Authority of the Requesting State may, in its discretion,

determine that a person appearing in the Requesting State pursuant to this Article shall

not be subject to service of process, or be detained or subjected to any restriction of

personal liberty, by reason of any acts or convictions that preceded the person's

departure from the Requested State.

4. The safe conduct provided for in paragraph 3 of this Article shall cease

seven days after the Central Authority of the Requesting State has notified the Central

Authority of the Requested State that the person's presence is no longer required, or

when the person, having left the Requesting State, voluntarily returns. The Central

Authority of the Requesting State may, in its discretion, extend this period for up to

fifteen days if it determines that there is good cause to do so.

Article 11

Transfer of Persons in Custody

1. A person in the custody of the Requested State whose presence in the

Requesting State or in a third state is sought for purposes of assistance under this Treaty

shall be transferred from the Requested State for that purpose if the person consents and

if the Central Authorities of both States agree. If necessary, the Requesting State shall be

responsible for obtaining any authorization from a third state.
2. A person in the custody of the Requesting State whose presence in the

Requested State is sought for purposes of assistance under this Treaty may be transferred

from the Requesting State to the Requested State for that purpose if the person consents

and if the Central Authorities of both States agree.

3. For purposes of this Article:

(a) the receiving State shall have the authority and the obligation to keep

the person transferred in custody unless otherwise authorized by the

sending State;

(b) the receiving State shall return the person transferred to the custody of

the sending State as soon as circumstances permit or as otherwise

agreed by both Central Authorities;

(c) the receiving State shall not require the sending State to initiate

extradition or any other proceedings for the return of the person

transferred; and

(d) the person transferred shall receive credit for service of the sentence

imposed in the sending State for time served in the custody of the

receiving State.

Article 12

Transit of Persons in Custody

1. The Requested State may authorize the transit through its territory of a

person held in custody, by the Requesting State or a third State, whose personal

appearance has been requested by the Requesting State in an investigation, prosecution,

or proceeding.

2. The Requested State shall have the authority and the obligation to keep the

person in custody during transit.
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Article 13

Location or Identification of Persons or Items

If the Requesting State seeks the location or identity of persons or items in the

Requested State, the Requested State shall use its best efforts to ascertain the location or

identity.

Article 14

Service of Documents

1. The Requested State shall use its best efforts to effect service of any

document relating, in whole or in part, to any request for assistance made by the

Requesting State under the provisions of this Treaty.

2. The Requesting State shall transmit any request for the service of a

document requiring the appearance of a person before an authority in the Requesting

State a reasonable time before the scheduled appearance.

3. The Requested State shall return a proof of service in the manner specified

in the Request.

Article 15

Search and Seizure

1. The Requested State shall execute a request that it search for, seize, and

transfer any item to the Requesting State if the request includes the information justifying

such action under the laws of the Requested State.

2. Upon request, every official who has custody of a seized item shall certify,

through the use of Form E appended to this Treaty, the identity of the item, the continuity

of custody, and any changes in condition. No further certification shall be required. The

Forms shall be admissible in evidence in the Requesting State.

3. The Central Authority of the Requested State may require that the
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Requesting State agree to terms and conditions deemed to be necessary to protect third

party interests in the item to be transferred.

Article 16

Return of Items

The Central Authority of the Requested State may require that the Central

Authority of the Requesting State return, as soon as possible, any items, including

documents, records and other articles of evidence, furnished to it in execution of a request

under this Treaty.

Article 17

Proceeds and Instrumentalities of Offenses

1. If the Central Authority of one Contracting Party becomes aware that

proceeds or instrumentalities of offenses that may be forfeitable or otherwise subject to

seizure are located in the other Contracting Party, it may so inform the Central Authority

of the other Contracting Party. If the Contracting Party receiving such information has

jurisdiction in this regard, it may present this information to its authorities for a

determination whether any action is appropriate. These authorities shall issue their

decision in accordance with the laws of their country. The Central Authority of the

Contracting Party that received the information shall inform the Central Authority of the

Contracting Party that provided the information of the action taken.

2. The Contracting Parties shall assist each other to the extent permitted by

their respective laws in proceedings relating to the forfeiture of the proceeds and

instrumentalities of offenses, restitution to the victims of crime, and the collection of fines

imposed as sentences in criminal prosecutions. This may include action to temporarily

immobilize the proceeds or instrumentalities pending further proceedings.

3. The Contracting Party that has custody over proceeds or instrumentalities

of offenses shall dispose of them in accordance with its laws. Either Contracting Party

may transfer to the other Contracting Party all or part of such assets, or the proceeds of
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their sale, to the extent not prohibited by the transferring Contracting Party's laws and

upon such terms as it deems appropriate.

Article 18

Compatibility with Other Arrangements

Assistance and procedures set forth in this Treaty shall not prevent either

Contracting Party from granting assistance to the other Contracting Party through the

provisions of other applicable international agreements, or through the provisions of its

national laws. The Contracting Parties may also provide assistance pursuant to any

bilateral arrangement, agreement, or practice that may be applicable.

Article 19

Consultation

The Central Authorities of the Contracting Parties shall consult, at times mutually

agreed to by them, to promote the most effective use of this Treaty. The Central

Authorities may also agree on such practical measures as may be necessary to facilitate

the implementation of this Treaty. .

Article 20

Ratification, Entry Into Force, and Termination

1. This Treaty shall be subject to ratification, and the instruments of

ratification shall be exchanged as soon as possible.

2. This Treaty shall enter into force upon the exchange of instruments of

ratification.

3. This Treaty shall apply to any request presented after the date of its entry

into force whether the relevant acts or omissions occurred prior to or after that date.
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4.	Either Contracting Party may terminate this Treaty by means of written

notice to the other Contracting Party. Termination shall take effect six months following

the date of receipt of the notification.

IN WITNESS WHEREOF, the undersigned, being duly authorized for this purpose, have

signed this Treaty.

DONE at Washington, in duplicate, this twenty-sixth day of May, 1999, in the English and

Romanian languages, both texts being equally authentic.

FOR THE UNITED STATES OF AMERICA:	FOR ROMANIA:
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Form A

CERTIFICATION OF BUSINESS RECORDS

	

I, attest on penalty of criminal punishment for false statement [name]	

or attestation that I am employed by/associated with [name of business from which documents are sought]

in the position of [business position or title]		by reason of my position am authorized

and qualified to make this attestation. Each of the records attached hereto is a record in

the custody of the above-named business that:

(A) was made, at or near the time of the occurrence of the matters set forth, by

(or from information transmitted by) a person with knowledge of those

matters;

(B) was kept in the course of a regularly conducted business activity;

(C) was made by the business as a regular practice; and

(D) if not an original record, is a duplicate of the original.

	[date of execution]	

	[place of execution]	

	[signature]	
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Form B

CERTIFICATION OF ABSENCE OR

NONEXISTENCE OF BUSINESS RECORDS

I, attest on penalty of criminal punishment for false statement

or attestation that I am employed by/associated with [name

[name] 	

of business from which documents are sought]

in the position of and by reason of my position am authorized

[business position or title]	

and qualified to make this attestation.

As a result of my employment/association with the above-named business, I am

familiar with the business records it maintains. The business maintains records that are:

(A) made, at or near the time of the occurrence of the matters set forth, by (or

from information transmitted by) a person with knowledge of those

matters;

(B) kept in the course of a regularly conducted business activity; and

(C) made by the business as a regular practice.

Among the records so maintained are records of individuals and entities that have

accounts or otherwise transact business with the above-named business. I have made or

caused to be made a diligent search of those records. No records have been found

reflecting any business activity between the business and the following individuals and

entities:

	[date of execution]

	[place of execution]

	

[signature]	
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Form C

CERTIFICATION OF OFFICIAL RECORDS

I, attest on penalty of criminal punishment for false statement

	 [name]

or attestation that:

1.[name of office or agency]	

is an office or agency of [ country] and

is authorized by law to maintain official records setting forth matters authorized by law

to be reported and recorded or filed;

2. My position with the above-named public authority is		[official title];	

3. In my official capacity I have caused the production of true and accurate

copies of records maintained by that public authority; and

4. Those copies are described below and attached.

Description of Documents:

[date] [ signature]	

Official Seal
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Form D

CERTIFICATION OF ABSENCE OR

NONEXISTENCE OF OFFICIAL RECORDS

I

	

[name] 

	

, attest on penalty of criminal punishment for false statement

or attestation that:

1. [name of office or agency]	is an office or agency of

and is authorized by law to maintain official records setting forth matters authorized by

law to be reported and recorded or filed;

2. Records of the type described below set forth matters that are authorized by

law to be reported and recorded or filed, and such matters regularly are recorded or filed

by the above-named public authority;

3. My position with the above-named public authority is [official title] ;

4. I have made or caused to be made a diligent search of the records

maintained by that public authority; and

5. No such records have been found to exist therein.

Description of Documents:

	[signature]	

	[date]	

Official Seal
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Form E

CERTIFICATION WITH RESPECT

TO SEIZED ITEMS

I,	

[name]	

, attest on penalty of criminal punishment for false statement

or attestation that:

1. My position with 		is	[country]

[official title, including agency];	

2. I received custody of the items listed below from 	

	 

on [date]	, at	;

and

3. I relinquished custody of the items listed below to

 [place]; and 	

	

person] 

on 	

[date]	, at	[place]	in the same condition as when I received

them (or, if different, as noted below).

Description of Articles:

Changes in condition while in my custody:

	[date of execution]	

	[place of execution]	

	[signature]	

Official Seal