Techniques in Building and Linking Complex Evidence in Corruption Cases using the Palermo Convention UNODC.

Techniques in Building and Techniques in Building and Linking Complex Evidence Linking Complex Evidence in Corruption Cases using in Corruption Cases using the Palermo Conventionthe Palermo Convention

UNODC

The Problem of PerspectiveThe Problem of Perspective

• The tree against The tree against

the forest:the forest:

Types of CorruptionTypes of Corruption

• From the perspective of the ACTFrom the perspective of the ACT

– Single act

– Repetitive acts

– Pattern of Corruption

Types of CorruptionTypes of Corruption

• From the point of view of the From the point of view of the PEPETUATORPEPETUATOR

- Single

- Collective

- Linked to Organized Crime

Collective OffencesCollective OffencesCorruptionCorruption

Individual Collective CONTINUOUS (SIGLE ACT OVER A PERIOD OF TIME )

CONTINUATED (SEVERAL ACTS OVER A PERIOD OF TIME)

Structurated

Corruption

Delinquent associations

Organised Crime Corrption

InvestigationInvestigation

* What is being investigated?* What is being investigated?Relationship between a criminal or Relationship between a criminal or administrative norm with the administrative norm with the reality.reality.

* The rule of evidence is a norm in * The rule of evidence is a norm in which the investigation has to be which the investigation has to be based. Therefore:based. Therefore:- We need strategies- We need strategies

Techniques of Investigation Techniques of Investigation (forward looking)(forward looking)

• Criminal activity constituting Criminal activity constituting predicate offences have not yet been predicate offences have not yet been committedcommitted– Electronic SurveillancesElectronic Surveillances– Controlled Deliveries Controlled Deliveries – Undercover OperationsUndercover Operations– WiretappingWiretapping

Techniques of Investigation Techniques of Investigation (backward looking)(backward looking)

• Investigation of criminal activity is Investigation of criminal activity is accomplished post facto, by accomplished post facto, by uncovering historical predicate uncovering historical predicate criminal and OC events criminal and OC events

• Collaborating witness Collaborating witness

• Financial investigationsFinancial investigations

• Traditional techniques of investigationTraditional techniques of investigation

Elements of a strategyElements of a strategy

* Try to figure out the type of case.* Try to figure out the type of case.

* Determine the technique that you are * Determine the technique that you are going to usegoing to use

* Go to all the elements of the Falcone * Go to all the elements of the Falcone check listcheck list

* Determine the relationship with other * Determine the relationship with other international elementsinternational elements

United Nations Convention against Transnational Organized Crime

Not yet in force: Status: Signatories: 141

,Parties: 15.

Country Signature Ratification, Acceptance

(A), Approval (AA), Accession (a)

Afghanistan 14 December 2000

Armenia 15 November 2001

Bosnia and Herzegovina 12 December 2000 24 April 2002

Bulgaria 13 December 2000 5 December 2001

Burkina Faso 15 December 2000 15 May 2002

Canada 14 December 2000 13 May 2002

Georgia 13 December 2000

Kazakhstan 13 December 2000

Kyrgyzstan 13 December 2000

Latvia 13 December 2000 7 December 2001

Lithuania 13 December 2000 9 May 2002

Mali 15 December 2000 12 April 2002

Monaco 13 December 2000 5 June 2001

Nigeria 13 December 2000 28 June 2001

Peru 14 December 2000 23 January 2002

Philippines 14 December 2000 28 May 2002

Poland 12 December 2000 12 November 2001

Republic of Moldova 14 December 2000

Russian Federation 12 December 2000

Spain 13 December 2000 01 March 2002

Ukraine 12 December 2000

United States of America

13 December 2000

Uzbekistan 13 December 2000

Venezuela 14 December 2000 13 May 2002

Yugoslavia 12 December 2000 6 September 2001

Top

Corruption in the Palermo Corruption in the Palermo ConventionConvention

Article 8Article 8Criminalization of corruptionCriminalization of corruption

1. Each State Party shall adopt such legislative and 1. Each State Party shall adopt such legislative and other measures as may be necessary to establish other measures as may be necessary to establish as criminal offences, when committed as criminal offences, when committed intentionally:intentionally:

((a) The promise, offering or giving to a public official, a) The promise, offering or giving to a public official, directly or indirectly, of an undue advantage, for directly or indirectly, of an undue advantage, for the official himself or herself or another person the official himself or herself or another person or entity, in order that the official act or refrain or entity, in order that the official act or refrain from acting in the exercise of his or her official from acting in the exercise of his or her official duties;duties;

((b) The solicitation or acceptance by a public official, b) The solicitation or acceptance by a public official, directly or indirectly, of an undue advantage, for directly or indirectly, of an undue advantage, for the official himself or herself or another person the official himself or herself or another person or entity, in order that the official act or refrain or entity, in order that the official act or refrain from acting in the exercise of his or her official from acting in the exercise of his or her official duties….duties….

Measures against Measures against CorruptionCorruption

• Adopt legislative, administrative and Adopt legislative, administrative and other measures to:other measures to:

– Promote the integrity of public Promote the integrity of public officials.officials.

– Prevent, detect and punish .Prevent, detect and punish .

– Provide independence to the Provide independence to the anticorruption authorities.anticorruption authorities.

Organized Crime linked to Organized Crime linked to CorruptionCorruption

Group of three or more persons Group of three or more persons that exists during certain time. It that exists during certain time. It acts by previous agreement, with acts by previous agreement, with the objective of commiting one the objective of commiting one or more serious crimes (4 years or more serious crimes (4 years of jail). With the aim of obtaining of jail). With the aim of obtaining financial or other material benefitfinancial or other material benefit

Organized Crime GroupOrganized Crime Group

O.C. links with O.C. links with Violence Violence

and Corruptionand Corruption

The O.C. Groups exert their The O.C. Groups exert their powers powers

through the threat and use of through the threat and use of violenceviolence

Organized CrimeOrganized CrimeTwo FormulasTwo Formulas

• First (Conspiracy)First (Conspiracy)– Agreement between 2 or more people Agreement between 2 or more people – To commit serious crimes To commit serious crimes – With the aim of obtaining financial or other With the aim of obtaining financial or other

material benefitmaterial benefit

• SecondSecond– Active participation in the organized groupActive participation in the organized group– Other activities that contribute to the criminal Other activities that contribute to the criminal

objectives of and OC group AND with objectives of and OC group AND with knowledge that participation will contribute to knowledge that participation will contribute to the aim of the organized criminal groupthe aim of the organized criminal group

Other Related ConductsOther Related Conducts

• Organizing, Organizing, – Aiding, Aiding,

– Abetting,Abetting,– Facilitating orFacilitating or– Counselling the commission of serious Counselling the commission of serious

crime involving an organized criminal crime involving an organized criminal group.group.

Laundering of proceeds of crimeLaundering of proceeds of crimeCriminal OffencesCriminal Offences

• With knowledge by the offender of the illicit With knowledge by the offender of the illicit origins of assets,origins of assets,– conversion or transfer of propertyconversion or transfer of property– concealing or disguising the illicit origin, source, concealing or disguising the illicit origin, source,

location, disposition, movement, ownership of or location, disposition, movement, ownership of or rights with respect to propertyrights with respect to property

– acquisition, possession or use of property.acquisition, possession or use of property.

• Association with or conspiracy to commit,Association with or conspiracy to commit, – attempts to commit and abetting,attempts to commit and abetting,– facilitanting and counsellingfacilitanting and counselling

Investigating Corruption Cases Investigating Corruption Cases using the Palermo Conventionusing the Palermo Convention

The Palermo Convention against Corruption

Articles 2a, 8, 9

Acts of Corruption

Single act of bribery

Corruption as an instrument of organized crime

Corruption as an act of organized crime (3 or

more persons)

Participation in Organized Crime Participation in Organized Crime is a second level offenceis a second level offence

• Logically it Logically it presupposes a presupposes a first level offence, first level offence, called called predicate predicate offenceoffence

• Even though it is Even though it is an autonomous an autonomous crime crime

Organized CrimeOrganized CrimeM

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Only three second Level Only three second Level OffencesOffences

Money Laundering

Assosiation de malfetours (French crime)

Participation in Organized Crime

Prohibitions Prohibitions without O.C. without O.C. offence.offence.

ProhibitionsProhibitionswith O.C.with O.C.

No additional prohibitionsNo additional prohibitions

• All O.C. offences All O.C. offences are already are already prohibited in the prohibited in the predicate offence-predicate offence-prohibitionsprohibitions

Obstruction of justiceObstruction of justice

The use of physical force, threats or The use of physical force, threats or intimidation or the promise, offering or intimidation or the promise, offering or givinggiving of an undue advantage to:of an undue advantage to:– Induce false testimonyInduce false testimony– InterferenceInterference

• in the offering of testimonyin the offering of testimony• in the production of evidencein the production of evidence• with the exercise of official duties.with the exercise of official duties.

Confiscation and seizureConfiscation and seizure

• Proceeds of crimeProceeds of crime– Property derived or obtained directly or indirectly Property derived or obtained directly or indirectly

from the commission of an offencefrom the commission of an offence

• Property, equipment and instruments of crimeProperty, equipment and instruments of crime• Obligation to enable:Obligation to enable:

– Identification and tracingIdentification and tracing– Freezing or seizureFreezing or seizure– Disclosure of financial and commercial recordsDisclosure of financial and commercial records

• International co-operation rulesInternational co-operation rules

General elements for the fight General elements for the fight against Transnational Organized against Transnational Organized

CrimeCrime

General rules for:General rules for:– ExtraditionExtradition– Mutual Legal AssistanceMutual Legal Assistance– Transfer of sentenced personsTransfer of sentenced persons– Transfer of criminal proceedingsTransfer of criminal proceedings– Maintain database of criminal’s and Maintain database of criminal’s and

activitiesactivities

Joint investigations Joint investigations and Special Investigative Techniquesand Special Investigative Techniques

• Possibility of joint investigations:Possibility of joint investigations:• Joint investigative teamsJoint investigative teams

• Controlled deliveryControlled delivery

• Undercover operationsUndercover operations

• Electronic surveillanceElectronic surveillance

• Training and technical assistanceTraining and technical assistance

Collaborating and protected Collaborating and protected witnesses (and victims)witnesses (and victims)

Measures to:Measures to:– Encourage witness collaborationEncourage witness collaboration

• Reduction of punishment or immunity Reduction of punishment or immunity

– Effective protection from potential retaliation or Effective protection from potential retaliation or intimidation of: intimidation of:

• WITNESSES or relativesWITNESSES or relatives

• VICTIMS (compensation)VICTIMS (compensation)

• Physical protectionPhysical protection

• Prohibition to disclose information concerningProhibition to disclose information concerning

– Identity and whereabouts of such personsIdentity and whereabouts of such persons– Testimony through video linksTestimony through video links

How to Investigate Corruption How to Investigate Corruption and the link to Organized and the link to Organized

CrimeCrime• OC uses a closed and tight-knit OC uses a closed and tight-knit

structure therefore requiring structure therefore requiring extraordinary measures to: extraordinary measures to: – infiltrate the inner circleinfiltrate the inner circle

-or--or-– extract a member from the OC groupextract a member from the OC group

TechniquesTechniques

O.C.O.C.

Controlled Controlled DeliveryDelivery

Collaborating Collaborating WitnessWitnessUndercoverUndercover

Electronic Electronic Surveillance Surveillance

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Obstructing JusticeObstructing Justice

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Understanding the Limit of Understanding the Limit of each Instrument:each Instrument:

• Undercover & Controlled Undercover & Controlled deliveries deliveries

• Electronic SurveillanceElectronic Surveillance

• Collaborating WitnessesCollaborating Witnesses

• Financial InvestigationsFinancial Investigations

• Use every technique of Use every technique of investigation availableinvestigation available.

International CooperationInternational Cooperation

• Police-to-Police Police-to-Police

• InterpolInterpol

• Judicial (International Judicial (International

Rogatory)Rogatory)

• Mutual Legal AssistanceMutual Legal Assistance

• F.I.U. to F.I.U.F.I.U. to F.I.U.

The X MistakeThe X Mistake

• Undercover Case Undercover Case

• Using third parties (no police)Using third parties (no police)

• Created the most important Marijuana Created the most important Marijuana trafficker who never dealt with cocainetrafficker who never dealt with cocaine

Mistakes on the conception about the Mistakes on the conception about the organization and mistakes in the organization and mistakes in the

technique usedtechnique used

The Evidence in LawThe Evidence in Law

• In Instantaneous Crimes In Instantaneous Crimes – The fact happens in a momentThe fact happens in a moment– The evidence consist of proof that these The evidence consist of proof that these

facts happenedfacts happened– Murder as an Example:Murder as an Example:

Witnesses, ballistic, finger prints, DNA Witnesses, ballistic, finger prints, DNA testing, etc...testing, etc...

The Evidence in Organized The Evidence in Organized CrimeCrime

• On drug trafficking or Mafia, the bosses On drug trafficking or Mafia, the bosses rarely come in contact with the drugs rarely come in contact with the drugs and rarely kill personallyand rarely kill personally

• The Organized Crime group is The Organized Crime group is continuous in its criminal activitycontinuous in its criminal activity

• The crimes are continued and The crimes are continued and continuouscontinuous

In Organized Crime Cases, it is In Organized Crime Cases, it is NOT Necessary to Prove:NOT Necessary to Prove:

• That the boss ordered the crimeThat the boss ordered the crime

It is sufficient to proof:It is sufficient to proof:

* that he/she commands or * that he/she commands or belongs to an belongs to an organization that organization that traffics in drugs, order murders or traffics in drugs, order murders or blackmailing, or engages in certain blackmailing, or engages in certain predicate offenses predicate offenses

Evidence IntegrityEvidence Integrity(Just like a Gothic Cathedral)(Just like a Gothic Cathedral)

• It must be harmonicIt must be harmonic

• Trying to build modularly a crime and Trying to build modularly a crime and linking it to other crimeslinking it to other crimes

• Proving the existence of an Proving the existence of an organizationorganization

• Every piece supports other piecesEvery piece supports other pieces

• Relating one to each otherRelating one to each other

Harmonic Evidence Harmonic Evidence IntegrationIntegration

• A collaborating witness’ statement is A collaborating witness’ statement is not enoughnot enough

It is also necessary to confirm as far as It is also necessary to confirm as far as possible all that he/she sayspossible all that he/she says

• Electronic surveillance is not enoughElectronic surveillance is not enoughIt is hard for prosecutors and judges to It is hard for prosecutors and judges to interpret and juries can misinterpretinterpret and juries can misinterpret

• It’s also necessary to prove a It’s also necessary to prove a defendants role and membership in the defendants role and membership in the organizationorganization

Falcone Check List as an Falcone Check List as an InstrumentInstrument

to Link Investigations of to Link Investigations of Complex CasesComplex Cases

Other Techniques of Other Techniques of Traditional Investigation:Traditional Investigation:

• Use of informantsUse of informants• Police and Prosecutorial Interviews and Police and Prosecutorial Interviews and

InterrogationInterrogation• Information given by victims.Information given by victims.• Use of collaborating witnesses Use of collaborating witnesses • Surveillance Surveillance • Use of Pen-Register (Phone Calls)Use of Pen-Register (Phone Calls)

Other Techniques:Other Techniques:

• Analysis of documentsAnalysis of documents

• Ballistic tests to determine related Ballistic tests to determine related homicides.homicides.

• Victim´s analysis to better understand Victim´s analysis to better understand criminal behavior.criminal behavior.

1 . The Network and its Illegal 1 . The Network and its Illegal ActivitiesActivities

• 1.1. 1.1. The criminal networkThe criminal network* 1.1.1* 1.1.1 Hierarchical or flexible structureHierarchical or flexible structure

* 1.1.2* 1.1.2 Composition: Composition: Describe who is part of Describe who is part of the network, and what roles they play.the network, and what roles they play.

* 1.2.3* 1.2.3 Handling of Evidence:Handling of Evidence:

Forwarlooking and backwardlookingForwarlooking and backwardlooking

Typologies of Typologies of Transnational Organized Transnational Organized

Criminal GroupsCriminal Groups

Centre for International Crime Centre for International Crime Prevention of the United NationsPrevention of the United Nations

a)a) Standard Hierarchical Structure Standard Hierarchical Structure

**This is the most common form of organized criminal This is the most common form of organized criminal group fromgroup from

b)b) Regional Hierarchical Structure Regional Hierarchical Structure

**Even if they are part of a hierarchical criminal group with Even if they are part of a hierarchical criminal group with several strict lines of command, there is a level of several strict lines of command, there is a level of

autonomy for the regional organizations under the groupautonomy for the regional organizations under the group´s control. ´s control.

c)c) Hierarchical Association Hierarchical Association

Association of organized criminal groups with a Association of organized criminal groups with a governing organ or body.governing organ or body.

d)d) Central GroupCentral Group

*Generally consists in a limited number of individuals *Generally consists in a limited number of individuals which form a relatively closed central group to do illicit which form a relatively closed central group to do illicit

business.business.

e)e) Criminal Network Criminal Network

*They are defined by the illicit activities of clue individuals which *They are defined by the illicit activities of clue individuals which frequently change their alliances. Those individuals may not consider frequently change their alliances. Those individuals may not consider

themselves as members of a specific criminal group, nor are they themselves as members of a specific criminal group, nor are they considered like that by external individuals. Nevertheless they have considered like that by external individuals. Nevertheless they have

ties with a series of illicit projects.ties with a series of illicit projects.

• 1.1.2 2 Primary ActivitiesPrimary Activities

• Illicit markets controlled by the criminal Illicit markets controlled by the criminal network.network.

• Types of criminal activity they engage Types of criminal activity they engage in.in.

2. Modus operandi2. Modus operandi

• 2.12.1 Logistic roles of the members of Logistic roles of the members of organized crime networks organized crime networks

• 2.1.1 How are the tasks distributed among members of the network?

• 2.1.2 What are the specific roles and qualities of the prime suspects?

• 2.1.3 Do the ‘leaders’ of the network have exclusive contacts or exclusive qualities that are crucial to the criminal network?

• Handling of evidenceHandling of evidence::All the evidence, forward-looking and All the evidence, forward-looking and backward-lookingbackward-looking

• 2.22.2 Procurement logistics.Procurement logistics.Preparatory activities of the criminal Preparatory activities of the criminal network.network.

• 2.2.33 Production logistics. Production logistics.

The production phasesThe production phases Handling of evidenceHandling of evidence::

All the evidence, forwardlooking and All the evidence, forwardlooking and backwardlooking:backwardlooking:Looking for proceeds of the criminal Looking for proceeds of the criminal activity and how they are transformedactivity and how they are transformed

• 2.4 Marketing logisticsMarketing logistics

• How does the criminal network How does the criminal network make sure there is a demand for make sure there is a demand for their illegal goods or services? their illegal goods or services?

• Means of analysisMeans of analysis• Analysis of the market situation from the Analysis of the market situation from the

information gathered in the investigation.information gathered in the investigation.

Synthesis of the important Synthesis of the important elementselements

• Understand that Organized Criminal Groups Understand that Organized Criminal Groups look for a financial gain or profit.look for a financial gain or profit.

• Develop the investigation trying to Develop the investigation trying to understand the market. understand the market.

• What, how and how much does the What, how and how much does the organization sell? organization sell?

• Who is it sold to? And Who buys it?Who is it sold to? And Who buys it?• How is it produced?How is it produced?

• 2.5 2.5 Financial logisticsFinancial logistics

2.5.1 2.5.1 Describe the network’s profit Describe the network’s profit estimates (selling prices minus costs)estimates (selling prices minus costs)

2.5.2 2.5.2 Describe how the network spends Describe how the network spends the proceeds of crimethe proceeds of crime

2.5.3 2.5.3 Describe the network’s investmentsDescribe the network’s investments

2.5.4 2.5.4 Describe any money laundering Describe any money laundering activities of the networkactivities of the network

2.5.5 2.5.5 Describe the network’s use of Describe the network’s use of underground banking underground banking

Investigative TechniquesInvestigative Techniques• It is always easier to start from the criminal It is always easier to start from the criminal

organization finishing with the financial organization finishing with the financial analysis. analysis.

• It is also possible to start from the financial It is also possible to start from the financial analysis, however, it is more difficult. analysis, however, it is more difficult.

• After determining the profits:After determining the profits:– Analysis of the suspects assets.Analysis of the suspects assets.– Analysis of his family assetsAnalysis of his family assets– Know his contacts with the illicit world and other Know his contacts with the illicit world and other

organizationsorganizations– Understand other elements of the network with Understand other elements of the network with

forward-looking and backwadlooking techniques.forward-looking and backwadlooking techniques.

Other ElementsOther Elements

• Relations with their social environmentRelations with their social environment

• Gathering information from Gathering information from collaborating witnesses.collaborating witnesses.

• Developing financial analysis of Developing financial analysis of enterprisesenterprises

3. Contacts with the illicit environment

• 3.1 Contacts with other 3.1 Contacts with other networks/criminal groupsnetworks/criminal groups

• 3.2 Interaction with criminal partners3.2 Interaction with criminal partners

• 3.2.1. The Role of facilitators 3.2.1. The Role of facilitators

• 3.2.2. Cooperation or Competition3.2.2. Cooperation or Competition– How the network competes or cooperates How the network competes or cooperates

with other groups.with other groups.

3.2.3 3.2.3 Methods of concealmentMethods of concealment- Describe if the network tries to hide its - Describe if the network tries to hide its activities from other criminal partners.activities from other criminal partners.

3.2.4. Territorial deals or disputes3.2.4. Territorial deals or disputes- Is the network involved in disputes - Is the network involved in disputes with other groups.with other groups.

ViolenceViolence

• 3.2.5.3.2.5. The use of violenceThe use of violence- Describe what types of violence are used - Describe what types of violence are used

against other criminals/ criminal groups.against other criminals/ criminal groups.• Means of analysis and evidence• All the violent acts to determine behavior

patrons.• Comparative analysis of different modus

operandi• Comparison of ballistic tests and victim-offender

analysis.• Knowledge of the executional codes of the

organizations

• 3.3 3.3 Interactions with terrorists or separatists Interactions with terrorists or separatists groupsgroups

– Does the network have contacts with terrorist groups or separatist movements?

4. Illicit Protection4. Illicit Protection

• 4.1.4.1. Shielding against Shielding against investigation aninvestigation and prosecutiond prosecution

• 4.2.4.2. CorruptionCorruption

• 4.3.4.3. Contacts with external Contacts with external experts/specialistsexperts/specialists

Analysis and EvidenceAnalysis and Evidence

• Determine operative infiltrations • Outline of protection• Intents of corruption• Means of evidence• Financial investigation of the civil servant• Monitoring of the civil servant• Wire Taping• Collaborating witnesses• Undercover Agents

4.4. Interactions with legitimate 4.4. Interactions with legitimate businessesbusinesses

• The existing relationship between the The existing relationship between the criminal group and legitimate criminal group and legitimate businessesbusinesses..– ByBy agreement agreement– By infiltrating the different administrative By infiltrating the different administrative

levels levels – Lack of aLack of anti-criminal controls in the nti-criminal controls in the

business.business.– Sporadic use of services Sporadic use of services

5. Opportunities for 5. Opportunities for PreventionPrevention

• 5.1 Opportunities in the underworld5.1 Opportunities in the underworld• Circumstances or events that make it easy or

difficult for the network to perform their illegal ativities.

• Barriers that can be put against the network‘s activities.

• 5.25.2 Opportunities in the legitimate Opportunities in the legitimate environmentenvironment

• Circumstances or lack of rules and regulations that make it particularly easy/attractive for the network to involve its licit environment in its criminal activities.

BarriersBarriers

• Why does the network need to Why does the network need to involve legitimate businesses, or involve legitimate businesses, or why does it need to involve persons why does it need to involve persons having a certain having a certain job or expertise? job or expertise?

• What barriers can be put up against What barriers can be put up against the networks interactions with the the networks interactions with the legitimate world.legitimate world.