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

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Presentation on theme: "Techniques in Building and Linking Complex Evidence in Corruption Cases using the Palermo Convention UNODC."— Presentation transcript:

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

2 The Problem of Perspective The tree against The tree against the forest:

3 Types of Corruption From the perspective of the ACT From the perspective of the ACT – Single act – Repetitive acts – Pattern of Corruption

4 Types of Corruption From the point of view of the PEPETUATOR From the point of view of the PEPETUATOR - Single - Collective - Linked to Organized Crime

5 Collective Offences Corruption

6 Investigation * What is being investigated? Relationship between a criminal or administrative norm with the reality. * The rule of evidence is a norm in which the investigation has to be based. Therefore: - We need strategies

7 Techniques of Investigation (forward looking) Criminal activity constituting predicate offences have not yet been committed Criminal activity constituting predicate offences have not yet been committed – Electronic Surveillances – Controlled Deliveries – Undercover Operations – Wiretapping

8 Techniques of Investigation (backward looking) Investigation of criminal activity is accomplished post facto, by uncovering historical predicate criminal and OC events Investigation of criminal activity is accomplished post facto, by uncovering historical predicate criminal and OC events Collaborating witness Collaborating witness Financial investigations Financial investigations Traditional techniques of investigation Traditional techniques of investigation

9 Elements of a strategy * Try to figure out the type of case. * Determine the technique that you are going to use * Go to all the elements of the Falcone check list * Determine the relationship with other international elements

10

11 Corruption in the Palermo Convention Article 8 Criminalization of corruption 1. Each State Party shall adopt such legislative and other measures as may be necessary to establish as criminal offences, when committed intentionally: (a) The promise, offering or giving to a public official, directly or indirectly, of an undue advantage, for the official himself or herself or another person or entity, in order that the official act or refrain from acting in the exercise of his or her official duties; (b) The solicitation or acceptance by a public official, directly or indirectly, of an undue advantage, for the official himself or herself or another person or entity, in order that the official act or refrain from acting in the exercise of his or her official duties….

12 Measures against Corruption Adopt legislative, administrative and other measures to:Adopt legislative, administrative and other measures to: –Promote the integrity of public officials. –Prevent, detect and punish. –Provide independence to the anticorruption authorities.

13 Organized Crime linked to Corruption Group of three or more persons that exists during certain time. It acts by previous agreement, with the objective of commiting one or more serious crimes (4 years of jail). With the aim of obtaining financial or other material benefit Organized Crime Group O.C. links with Violence and Corruption The O.C. Groups exert their powers through the threat and use of violence

14 Organized Crime Two Formulas First (Conspiracy) First (Conspiracy) – Agreement between 2 or more people – To commit serious crimes – With the aim of obtaining financial or other material benefit Second Second – Active participation in the organized group – Other activities that contribute to the criminal objectives of and OC group AND with knowledge that participation will contribute to the aim of the organized criminal group

15 Other Related Conducts Organizing, Organizing, – Aiding, – Abetting, – Facilitating or – Counselling the commission of serious crime involving an organized criminal group.

16 Laundering of proceeds of crime Criminal Offences With knowledge by the offender of the illicit origins of assets, With knowledge by the offender of the illicit origins of assets, – conversion or transfer of property – concealing or disguising the illicit origin, source, location, disposition, movement, ownership of or rights with respect to property – acquisition, possession or use of property. Association with or conspiracy to commit, Association with or conspiracy to commit, – attempts to commit and abetting, – facilitanting and counselling

17 Investigating Corruption Cases using 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)

18 Participation in Organized Crime is a second level offence Logically it presupposes a first level offence, called predicate offence Logically it presupposes a first level offence, called predicate offence Even though it is an autonomous crime Even though it is an autonomous crime Organized Crime Murder Drug Trafficking Corruption Money laundering

19 Only three second Level Offences

20 Prohibitions without O.C. offence. Prohibitions with O.C. No additional prohibitions All O.C. offences are already prohibited in the predicate offence- prohibitions All O.C. offences are already prohibited in the predicate offence- prohibitions

21 Obstruction of justice The use of physical force, threats or intimidation or the promise, offering or giving of an undue advantage to: – Induce false testimony – Interference in the offering of testimony in the offering of testimony in the production of evidence in the production of evidence with the exercise of official duties. with the exercise of official duties.

22 Confiscation and seizure Proceeds of crime – Property derived or obtained directly or indirectly from the commission of an offence Property, equipment and instruments of crime Property, equipment and instruments of crime Obligation to enable: Obligation to enable: – Identification and tracing – Freezing or seizure – Disclosure of financial and commercial records International co-operation rules International co-operation rules

23 General elements for the fight against Transnational Organized Crime General rules for: – Extradition – Mutual Legal Assistance – Transfer of sentenced persons – Transfer of criminal proceedings – Maintain database of criminals and activities

24 Joint investigations and Special Investigative Techniques Possibility of joint investigations: Possibility of joint investigations: Joint investigative teams Joint investigative teams Controlled delivery Controlled delivery Undercover operations Undercover operations Electronic surveillance Electronic surveillance Training and technical assistance Training and technical assistance

25 Collaborating and protected witnesses (and victims) Measures to: – Encourage witness collaboration Reduction of punishment or immunity Reduction of punishment or immunity – Effective protection from potential retaliation or intimidation of: WITNESSES or relatives WITNESSES or relatives VICTIMS (compensation) VICTIMS (compensation) Physical protection Physical protection Prohibition to disclose information concerning Prohibition to disclose information concerning – Identity and whereabouts of such persons – Testimony through video links

26 How to Investigate Corruption and the link to Organized Crime OC uses a closed and tight-knit structure therefore requiring extraordinary measures to: OC uses a closed and tight-knit structure therefore requiring extraordinary measures to: – infiltrate the inner circle -or- -or- – extract a member from the OC group

27 Techniques O.C. Controlled Delivery Collaborating Witness Undercover Electronic Surveillance CORRUPTION Obstructing Justice VIOLENCE

28 Understanding the Limit of each Instrument: Undercover & Controlled deliveries Undercover & Controlled deliveries Electronic Surveillance Electronic Surveillance Collaborating Witnesses Collaborating Witnesses Financial Investigations Financial Investigations Use every technique of investigation available Use every technique of investigation available.

29 International Cooperation Police-to-Police Police-to-Police Interpol Interpol Judicial (International Rogatory) Judicial (International Rogatory) Mutual Legal Assistance Mutual Legal Assistance F.I.U. to F.I.U. F.I.U. to F.I.U.

30 The X Mistake Undercover Case Undercover Case Using third parties (no police) Using third parties (no police) Created the most important Marijuana trafficker who never dealt with cocaine Created the most important Marijuana trafficker who never dealt with cocaine Mistakes on the conception about the organization and mistakes in the technique used

31 The Evidence in Law In Instantaneous Crimes In Instantaneous Crimes – The fact happens in a moment – The evidence consist of proof that these facts happened – Murder as an Example: Witnesses, ballistic, finger prints, DNA testing, etc...

32 The Evidence in Organized Crime On drug trafficking or Mafia, the bosses rarely come in contact with the drugs and rarely kill personally On drug trafficking or Mafia, the bosses rarely come in contact with the drugs and rarely kill personally The Organized Crime group is continuous in its criminal activity The Organized Crime group is continuous in its criminal activity The crimes are continued and continuous The crimes are continued and continuous

33 In Organized Crime Cases, it is NOT Necessary to Prove: That the boss ordered the crime That the boss ordered the crime It is sufficient to proof: * that he/she commands or belongs to an organization that traffics in drugs, order murders or blackmailing, or engages in certain predicate offenses

34 Evidence Integrity (Just like a Gothic Cathedral) It must be harmonic It must be harmonic Trying to build modularly a crime and linking it to other crimes Trying to build modularly a crime and linking it to other crimes Proving the existence of an organization Proving the existence of an organization Every piece supports other pieces Every piece supports other pieces Relating one to each other Relating one to each other

35 Harmonic Evidence Integration A collaborating witness statement is not enough A collaborating witness statement is not enough It is also necessary to confirm as far as possible all that he/she says Electronic surveillance is not enough Electronic surveillance is not enough It is hard for prosecutors and judges to interpret and juries can misinterpret Its also necessary to prove a defendants role and membership in the organization Its also necessary to prove a defendants role and membership in the organization

36 Falcone Check List as an Instrument to Link Investigations of Complex Cases

37 Other Techniques of Traditional Investigation: Use of informants Use of informants Police and Prosecutorial Interviews and Interrogation Police and Prosecutorial Interviews and Interrogation 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)

38 Other Techniques: Analysis of documents Analysis of documents Ballistic tests to determine related homicides. Ballistic tests to determine related homicides. Victim´s analysis to better understand criminal behavior. Victim´s analysis to better understand criminal behavior.

39 1. The Network and its Illegal Activities 1.1. The criminal network 1.1. The criminal network * 1.1.1Hierarchical or flexible structure * 1.1.2Composition: Describe who is part of the network, and what roles they play. * 1.2.3Handling of Evidence: Forwarlooking and backwardlooking

40 Typologies of Transnational Organized Criminal Groups Centre for International Crime Prevention of the United Nations

41 a) Standard Hierarchical Structure *This is the most common form of organized criminal group from

42 b) Regional Hierarchical Structure *Even if they are part of a hierarchical criminal group with several strict lines of command, there is a level of autonomy for the regional organizations under the group´s control.

43 c) Hierarchical Association Association of organized criminal groups with a governing organ or body.

44 d) Central Group *Generally consists in a limited number of individuals which form a relatively closed central group to do illicit business.

45 e) Criminal Network *They are defined by the illicit activities of clue individuals which frequently change their alliances. Those individuals may not consider themselves as members of a specific criminal group, nor are they considered like that by external individuals. Nevertheless they have ties with a series of illicit projects.

46 1.2 Primary Activities 1.2 Primary Activities Illicit markets controlled by the criminal network. Illicit markets controlled by the criminal network. Types of criminal activity they engage in. Types of criminal activity they engage in.

47 2. Modus operandi 2.1Logistic roles of the members of organized crime networks 2.1Logistic roles of the members of 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 evidence: Handling of evidence: All the evidence, forward-looking and backward-looking

48 2.2 Procurement logistics. Preparatory activities of the criminal network. 2.3 Production logistics. 2.3 Production logistics. The production phases Handling of evidence: All the evidence, forwardlooking and backwardlooking: Looking for proceeds of the criminal activity and how they are transformed

49 Marketing logistics 2.4 Marketing logistics How does the criminal network make sure there is a demand for their illegal goods or services?How does the criminal network make sure there is a demand for their illegal goods or services? Means of analysis Means of analysis Analysis of the market situation from the information gathered in the investigation. Analysis of the market situation from the information gathered in the investigation.

50 Synthesis of the important elements Understand that Organized Criminal Groups look for a financial gain or profit. Understand that Organized Criminal Groups look for a financial gain or profit. Develop the investigation trying to understand the market. Develop the investigation trying to understand the market. What, how and how much does the organization sell? What, how and how much does the 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?

51 2.5 Financial logistics 2.5 Financial logistics 2.5.1 Describe the networks profit estimates (selling prices minus costs) 2.5.2 Describe how the network spends the proceeds of crime 2.5.3 Describe the networks investments 2.5.4 Describe any money laundering activities of the network 2.5.5 Describe the networks use of underground banking

52 Investigative Techniques It is always easier to start from the criminal organization finishing with the financial analysis. It is always easier to start from the criminal organization finishing with the financial analysis. It is also possible to start from the financial analysis, however, it is more difficult. It is also possible to start from the financial analysis, however, it is more difficult. After determining the profits: After determining the profits: – Analysis of the suspects assets. – Analysis of his family assets – Know his contacts with the illicit world and other organizations – Understand other elements of the network with forward-looking and backwadlooking techniques.

53 Other Elements Relations with their social environment Relations with their social environment Gathering information from collaborating witnesses. Gathering information from collaborating witnesses. Developing financial analysis of enterprises Developing financial analysis of enterprises

54 3. Contacts with the illicit environment 3.1 Contacts with other networks/criminal groups 3.1 Contacts with other networks/criminal groups 3.2 Interaction with criminal partners 3.2 Interaction with criminal partners 3.2.1. The Role of facilitators 3.2.1. The Role of facilitators 3.2.2. Cooperation or Competition 3.2.2. Cooperation or Competition – How the network competes or cooperates with other groups.

55 3.2.3 Methods of concealment - Describe if the network tries to hide its activities from other criminal partners. 3.2.4. Territorial deals or disputes - Is the network involved in disputes with other groups.

56 Violence 3.2.5.The use of violence 3.2.5.The use of violence - Describe what types of violence are used 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

57 3.3 Interactions with terrorists or separatists groups 3.3 Interactions with terrorists or separatists groups –Does the network have contacts with terrorist groups or separatist movements?

58 4. Illicit Protection 4.1.Shielding against investigation and prosecution 4.1.Shielding against investigation and prosecution 4.2.Corruption 4.2.Corruption 4.3. Contacts with external experts/specialists 4.3. Contacts with external experts/specialists

59 Analysis 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

60 4.4. Interactions with legitimate businesses The existing relationship between the criminal group and legitimate businesses. The existing relationship between the criminal group and legitimate businesses. – By agreement – By infiltrating the different administrative levels – Lack of anti-criminal controls in the business. – Sporadic use of services

61 5. Opportunities for Prevention 5.1 Opportunities in the underworld 5.1 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 networks activities. 5.2 Opportunities in the legitimate environment 5.2 Opportunities in the legitimate environment 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.

62 Barriers Why does the network need to involve legitimate businesses, or why does it need to involve persons having a certain job or expertise? Why does the network need to involve legitimate businesses, or why does it need to involve persons having a certain job or expertise? What barriers can be put up against the networks interactions with the legitimate world. What barriers can be put up against the networks interactions with the legitimate world.


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