Download - INTERNATIONAL COOPERATION Daniel H. Claman Senior Trial Attorney U.S. Department of Justice
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INTERNATIONAL INTERNATIONAL COOPERATIONCOOPERATION
Daniel H. ClamanDaniel H. ClamanSenior Trial AttorneySenior Trial Attorney
U.S. Department of JusticeU.S. Department of Justice
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USD 1.5 to 5 billion
USD 23 million to 1 billion
USD 250 million or more
USD 106 to 700 million
USD 4 to 8 billion
USD 3 to 14 billion
USD 4.5 to 45 billion
USD 1 to 2.8 billion
USD 100 million
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OVERVIEW
Informal versus Formal AssistanceInformal versus Formal Assistance Multilateral Treaties GenerallyMultilateral Treaties Generally U.N. Convention against U.N. Convention against
CorruptionCorruption Assistance from the United StatesAssistance from the United States
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PURPOSE AND LIMITATIONS
Formal RequestsFormal RequestsInformal RequestsInformal Requests
• Information and Investigation• Not evidence• Non-compulsory measures• Use in Court may be prohibited• May need authentication
• Evidence• Compulsory Action• Certification of Authenticity• Rule of Specialty• Covered Illicit Conduct
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WHAT TO ASK FOR
Formal RequestsFormal RequestsInformal RequestsInformal Requests
• Interview Witnesses• Visual Surveillance• Public Record Search• Suspicious Activity Report Information• Open investigation• Unofficial public documents
• Formal Service• Sworn Testimony• Financial Records• Certified Documents• Nonconsensual Search• Restraint• Enforce Judgment• Lift restraint• Confidentiality
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INFORMAL MECHANISMS
International law enforcement International law enforcement contactscontacts– Law Enforcement Attaches Law Enforcement Attaches – Embassy personnelEmbassy personnel
Financial Intelligence Units (FIUs)Financial Intelligence Units (FIUs)– Investigative Lead InformationInvestigative Lead Information
Follow informal with formal…Follow informal with formal…
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MYTH OR TRUTH?
NO TREATY NO TREATY NO HELPNO HELP
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FORMAL MECHANISMS
Multilateral agreementsMultilateral agreements Bilateral Mutual Legal Assistance Bilateral Mutual Legal Assistance
TreatiesTreaties Letters RogatoryLetters Rogatory Extradition TreatiesExtradition Treaties
Often Depends on Foreign lawOften Depends on Foreign law
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MULITLATERAL TREATIES United Nations ConventionsUnited Nations Conventions
– 1988 Drugs (Vienna)1988 Drugs (Vienna)– 1999 Terrorist Financing1999 Terrorist Financing– 2000 Organized Crime (Palermo)2000 Organized Crime (Palermo)– 2002 Corruption (Merida)2002 Corruption (Merida)
Inter-American ConventionsInter-American Conventions– 1992 Mutual Legal Assistance in Criminal 1992 Mutual Legal Assistance in Criminal
MattersMatters– 1996 Corruption1996 Corruption– TerrorismTerrorism
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MUTUAL LEGAL ASSISTANCE UNDER THE UNCAC
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OLD FORFEITURE LEGAL ASSISTANCE REGIME
Requested country eitherRequested country either–open own case open own case OROR
–enforce a foreign confiscation enforce a foreign confiscation judgmentjudgment
1988 Vienna Convention 1988 Vienna Convention 2000 Palermo Convention2000 Palermo Convention
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NEW FORFEITURE LEGAL ASSISTANCE REGIME
Direct recovery Direct recovery without forfeiture without forfeiture (Art. 53)(Art. 53)
MUST have basis to provide MUST have basis to provide assistance (Art. 54)assistance (Art. 54)
Procedures for international Procedures for international cooperation (Art. 55)cooperation (Art. 55)
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DIRECT RECOVERY - ARTICLE 53
Courts must be open for civil actionCourts must be open for civil action– Victim Country files civil suit to establish titleVictim Country files civil suit to establish title
RestitutionRestitution– Victim Country can be recognized for award of Victim Country can be recognized for award of
damages or compensationdamages or compensation Claimant in forfeiture proceedingsClaimant in forfeiture proceedings
– Victim country can be recognized as a Victim country can be recognized as a legitimate owner before final forfeiturelegitimate owner before final forfeiture
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FRAMEWORK FOR FORFEITURE COOPERATION - ARTICLE 54
Provisional measuresProvisional measures– Be able to enforce a foreign restraint Be able to enforce a foreign restraint
orderorder– Freeze on evidence that a forfeiture Freeze on evidence that a forfeiture
order forthcomingorder forthcoming– Consider other options: arrest, chargeConsider other options: arrest, charge
If open own case domestic restraint If open own case domestic restraint (Art. 31)(Art. 31)
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FRAMEWORK FOR FORFEITURE COOPERATION - ARTICLE 54
Confiscation/ForfeitureConfiscation/Forfeiture–Must be able to enforce a foreign Must be able to enforce a foreign
orderorder
–Must be able to open own caseMust be able to open own case
–Consider non-conviction based Consider non-conviction based forfeitureforfeiture
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INTERNATIONAL COOPERATIONIN CONFISCATION - ARTICLE 55
On receipt of request, either:On receipt of request, either:– Enforce foreign judgment OREnforce foreign judgment OR
– Open own caseOpen own case Guidelines for what to include in requestGuidelines for what to include in request Deny request or lift provisional measures if:Deny request or lift provisional measures if:
– Sufficient evidence not providedSufficient evidence not provided
– De minimisDe minimis value value
– BUT provide opportunity to cure problem BUT provide opportunity to cure problem
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DUAL CRIMINALITYARTICLE 46 (9)
Traditional exception to legal Traditional exception to legal assistanceassistance
Coercive measures, dual criminality Coercive measures, dual criminality still appliesstill applies
Non-coercive measure, provide Non-coercive measure, provide assistanceassistance– Unless de minimis, conflict with Unless de minimis, conflict with
national lawnational law
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MAKING THE REQUEST
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MINIMUM REQUIREMENTS FOR TREATY ASSISTANCE
Identify Authority making the requestIdentify Authority making the request Object and Nature of Investigation or Object and Nature of Investigation or
proceeding (including offenses) proceeding (including offenses) SUMMARY of Pertinent FactsSUMMARY of Pertinent Facts Precise Description of Assistance RequestedPrecise Description of Assistance Requested Identity, location, nationality, of people Identity, location, nationality, of people
involvedinvolved Purpose of requestPurpose of request
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FORFEITURE REQUESTS
Description of property, including location Description of property, including location and value (where possible)and value (where possible)
Admissible Copy of Orders on Which Admissible Copy of Orders on Which Request BasedRequest Based
Statement of Notice provided if Statement of Notice provided if Enforcement of Judgment soughtEnforcement of Judgment sought
Statement that Forfeiture order is final and Statement that Forfeiture order is final and extent that enforcement is soughtextent that enforcement is sought
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FORFEITURE ASSISTANCE
May be refused or provisional May be refused or provisional measures lifted ifmeasures lifted if– Evidence not providedEvidence not provided
– property of property of de minimisde minimis value value Opportunity to cure defect before Opportunity to cure defect before
provisional measures liftedprovisional measures lifted
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Assistance from the United States of America
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ASSISTANCE FROM THE U.S.
U.S. initiates its own forfeiture actionU.S. initiates its own forfeiture action– Criminal ForfeitureCriminal Forfeiture
– In RemIn Rem Forfeiture Forfeiture Enforce Foreign Forfeiture Enforce Foreign Forfeiture
JudgmentsJudgments Provisional Restraint MechanismsProvisional Restraint Mechanisms
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ENFORCEMENT OF JUDGMENTS
Foreign Offense that would be Foreign Offense that would be Forfeitable Federal Violation if Forfeitable Federal Violation if Committed in the U.S.Committed in the U.S.
Treaty or AgreementTreaty or Agreement Attorney General CertificationAttorney General Certification Criminal and Criminal and in remin rem Judgments Judgments
28 U.S.C. § 246728 U.S.C. § 2467
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ENFORCEMENT OF JUDGMENTS
Enforce Judgment UnlessEnforce Judgment Unless– System Incompatible with Due ProcessSystem Incompatible with Due Process– No personal jurisdictionNo personal jurisdiction– No subject matter jurisdictionNo subject matter jurisdiction– Insufficient notice to DefendantInsufficient notice to Defendant– Judgment obtained by fraudJudgment obtained by fraud
Court Bound by Factual Findings in Court Bound by Factual Findings in Foreign JudgmentForeign Judgment
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PROVISIONAL MEASURES Mechanism will Depend on CircumstancesMechanism will Depend on Circumstances Foreign Arrest or Charge can be basis for Foreign Arrest or Charge can be basis for
immediate 30-day freezeimmediate 30-day freeze– Provide copy of charging documentProvide copy of charging document– Must provide additional evidenceMust provide additional evidence
Enforce foreign restraining orderEnforce foreign restraining order– Include specifics in orderInclude specifics in order
Based upon affidavitBased upon affidavit
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MYTH OR TRUTH?
FEW COUNTRIES FEW COUNTRIES HELPHELP
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BEFORE MAKING A REQUEST
Coordinate timing with criminal Coordinate timing with criminal investigation investigation
Leave time for other country to actLeave time for other country to act Contact foreign attaches at local Contact foreign attaches at local
embassies, Central Authority of embassies, Central Authority of other countryother country
Anticipate possibility of disclosureAnticipate possibility of disclosure
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Daniel H. ClamanSenior Trial Attorney
Asset Forfeiture and Money Laundering Section
U.S. Department of JusticeCriminal Division (AFMLS)Washington, D.C. 20530
Tel. (202) 514-6340Fax (202) 514-5522