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DOJ/OPDAT Community Practice Materials
Table of Contents
Corruption
- UN Convention Against Corruption
- In December 2003 the UN held a Convention against
Corruption to establish guidelines for eliminating corruption worldwide. The Convention focused primarily
on preventative policies and effective criminalization
of corrupt activities as a way of preventing corruption
in the future and on asset recovery to help offset
past offenses.
- A copy of the Convention in English can be
found at: http://www.unodc.org/unodc/en/treaties/CAC/signatories.html
- The Convention is also available in French,
Spanish, Russian, Arabic and Chinese: http://www.unodc.org/unodc/en/treaties/CAC/index.html
- Information about the December 2003 signing
of the UN Convention Against Corruption from the
Department of State can be found at: http://www.state.gov/p/inl/rls/rm/27072.htm
- The list of signatories can be found at: http://www.state.gov/g/inl/rls/fs/27301.htm
- A summary of the Convention can be found
at: http://www.state.gov/r/pa/prs/ps/2003/24853.htm
- More on the Convention: http://www.unodc.org/pdf/newsletter_2003-12-01_1.pdf
- Report of the Ad Hoc Committee for the Negotiation
of a [UN] Convention against Corruption on the work
of its first to seventh sessions [October 2003]:
http://www.unodc.org/pdf/crime/convention_corruption/session_7/422e.pdf
- UN Convention Against Corruption Homepage (December
2003):
- UNODC Anti-corruption homepage:
- The United Nations Office on Drugs and Crime (UNODC)
has begun a Global Programme against Corruption (GPAC)
which includes identifying effective tools for combating
corruption and how they should best be implemented.
http://www.unodc.org/unodc/en/corruption/index.html
- UNODC Anti-corruption Toolkit: http://www.unodc.org/unodc/en/corruption/index.html
- Corruption Fighters' Toolkit (Transparency International):
Transparency International, an NGO dedicated solely
to fighting corruption, has assembled a toolkit highlighting
areas in which public corruption is likely to occur
and effective solutions. Of special interest are case
studies of methods various countries have successfully
employed: http://www.transparency.org/toolkits/2002/index.html
- Hong Kong's Independent Commission Against Corruption
(ICAC): There is evidence that when a law enforcement
agency has a good reputation in the community, it is
easier to recruit high caliber personnel. Hong Kong
is one of the safest cities in the world with a crime
rate at roughly the same level as Singapore -- and lower
than New York, London and Tokyo.
- Singapore's Methods: For a recent article on the methods
used by Singapore, one of the world's safest cities,
to combat corruption, see: http://admin.corisweb.org/index.php?fuseaction=news.view&id=114750&src=dcn
- Corruption and Organized Crime: To learn more about
the link between corruption and organized crime you
may find the following conference presentations of interest:
- The Link Between Organised Crime and Corruption:
A Hong Kong Perspective: http://www.transparency.org/iacc/9th_iacc/papers/day4/ws5/dnld/d4ws5_imcwalters.pdf
- A Symbiotic Relationship: Organised Crime and Corruption
in South Africa: http://www.transparency.org/iacc/9th_iacc/papers/day4/ws5/dnld/d4ws5_aminnaar.pdf
- Mexican Case Study: Mexican federal law enforcement
authorities, like the law enforcement authorities in
many countries in which OPDAT operates, are fighting
widespread police corruption that regularly compromises
high-level criminal investigations. The Mexican authorities
are now using microchips to ensure that only approved
personnel have access to secure areas and files within
prosecutors' offices in Mexico City. The July 22nd edition
of "Justnetnews", an electronic newsletter funded by
the U.S. Department of Justice, carried this story:
"Mexican Crime-Fighters Get Microchips to Foil Kidnaps"
London Independent (07/17/04): http://news.independent.co.uk/world/americas/story.jsp?story=541863
- "The United Nations Handbook on Practical Anti-Corruption
Measures for Prosecutors and Investigators": The handbook - which is over 160 pages long - has chapters on detecting
corruption, electronic surveillance, undercover operations,
financial investigations, informants, prosecution strategies,
recovery of assets, and other topics of interest. And
there are added bonuses: the handbook has helpful references
to the UN Convention against Corruption, which was signed
by many countries in December 2003; and there is a lengthy
case study (starting on page 98). http://www.unodc.org/pdf/crime/corruption/Handbook.pdf
[ Top ]
Counter-Terrorism
- The FBI published a training material entitled "Countering
Terrorism" [2002]: Co-sponsored by the American Psychological
Association, the University of Pennsylvania's Solomon
Asche Center for the Study of Ethnopolitical Conflict,
and the Decade of Behavior Initiative, this is an in-depth
look at possible terrorist scenarios and how to handle
them from a psychological perspective as well as from
a traditional law enforcement perspective. http://www.fbi.gov/publications/counterr/counterrorism.pdf
- The DOJ/NIJ "Guide for Explosion and Bombing Scene
Investigation"
- This is a step-by-step guide to safely and effectively
collecting and securing evidence from the site of
an explosion: http://www.ncjrs.org/pdffiles1/nij/181869.pdf
- There is also a PowerPoint presentation which summarizes
the DOJ/NIJ Guide. Please note: this PowerPoint presentation
is not a government publication, so please - before
using it - have its content carefully screened by
an expert and reviewed (for accuracy, for appropriateness,
etc.): http://ncfs.ucf.edu/guide4expandsceneinvestigation.ppt
- Proposed European Union Commission Directive on Money
Laundering
- Europe's crackdown on money-laundering and the
financing of terrorism may receive a boost if the
European Union Commission submits a new proposal
to broaden its offensive. The proposed changes cover
an array of important topics. To see the underlying
documents, go to:
- http://www.hm-treasury.gov.uk/consultations_and_legislation/money_laundering_directive/consult_moneylaundering_index.cfm or go to:
- PDF file of Informal consultation document on
the Third EC Money Laundering Directive
- Related Link: PDF file of The European Commission´s
preliminary draft articles for the Third Money
Laundering Directive
- In an effort to combat terrorism, the European
Commission in partnership with the four European
credit sector federations recently created a database
of persons, groups and entities subject to European
Union financial sanctions. The database, named electronic-Consolidated
Targeted Financial Sanctions List (e-CTFSL), consolidates
all the information published in the EU Official
Journal, including detailed information about the
persons, groups and entities subject to EU financial
sanctions. The database includes names, aliases,
passport numbers, nationalities, functions and known
address. For more information see:
- http://www.moneylaundering.com/NewsBriefDisplay.aspx?id=531
- http://europa.eu.int/comm/external_relations/cfsp/sanctions/list/consol-list.htm
[ Top ]
Managing the Prosecutorial Function
- An article (84 pages) on prosecutor-investigator relations,
with some references to non-U.S. models can be found
at: http://www.columbialawreview.org/pdf/Richman.pdf
- An article on crime-mapping entitled "Harnessing Information
in a Prosecutor's Office" can be found at: http://www.ncjrs.org/pdffiles1/jr000245b.pdf
- Seizing Electronic Evidence - a training guide: Increasingly,
important evidence can be found in electronic devices
- computers, mobile phones, and the like. The U.S. Secret
Service has developed an excellent, practical guide
entitled "Best Practices for Seizing Electronic Evidence," which can be readily downloaded from the Internet:
http://www.ustreas.gov/usss/electronic_evidence.shtml
- Australian Reforms
- Australia has recently created the Australian Crime
Commission (ACC). Their web site is: http://www.crimecommission.gov.au/
- Also, according to this press release, Australia
now has civil forfeiture legislation:
- The Proceeds of Crime Act 2002, which came into
effect on 1 January 2003, gives courts the ability
to freeze and confiscate assets where the Director
of Public Prosecutions can prove on 'the balance
of probabilities' that a person has engaged in serious
criminal activity in the previous six years, or
that the property is the proceeds of a particular
offence. It is not necessary to obtain a conviction.
"The full potential of the new legislation can now
be realized because of extra resources for the Director
of Public Prosecutions and the Insolvency and Trustee
Service Australia (ITSA), " Senator Ellison said.
- The full press release is at: http://www.crimecommission.gov.au/content/media_rel/2003/mr030513-ellison.pdf
- Since it sometimes useful to provide legal models
from both U.S. and non-U.S sources, the Australian
Crime Commission may be a good model for countries
seeking to enhance their ability to fight crime.
- Eyewitness Evidence: In an accusatory system, investigators
and prosecutors will need to hone their skills in the
development and presentation of eyewitness evidence.
Here is a DOJ/NIJ internet site that includes a video,
a lesson plan and other components of a curriculum on
eyewitness evidence:
- http://www.ojp.usdoj.gov/nij/pubs-sum/188678.htm
- Here is the NIJ Training Manual that this site
summarizes: http://www.ncjrs.org/nij/eyewitness/188678.pdf
- "Crime Scene Investigation: A Reference Guide for
Law Enforcement Training": DOJ's National Institute
of Justice published a revised report entitled:" Crime
Scene Investigation: A Reference Guide for Law Enforcement
Training." This document can be used as a guide to
create a crime scene protocol for any country in the
world. It can be found on the Internet at: http://www.ncjrs.org/pdffiles1/nij/200160.pdf
- DNA Evidence
- A manual on using DNA to solve cold cases can be
found at: http://www.ncjrs.org/pdffiles1/nij/194197.pdf
- "What Every Law Enforcement Officer Should Know
About DNA Evidence" can be found at: http://www.ncjrs.org/pdffiles1/nij/bc000614.pdf
- "Death Investigation: A Guide for the Scene Investigator"
can be found at: http://www.ncjrs.org/pdffiles/167568.pdf
- Surveillance Operations
- Recently, the FBI published an article entitled:
"Conducting Surveillance Operations - How to Get the
Most Out of Them." The article is on the Internet
- see pages 1 through 8 of: http://www.fbi.gov/publications/leb/2004/may04leb.pdf
- When working with law enforcement agencies that
lack extensive high-tech equipment, one might want
to think about teaching how prosecutors and investigators
can work together, creatively, to plan surveillance
that leads to the collection of evidence of "unexplained
wealth" and other probative evidence in cases involving
corruption, narcotics trafficking, trafficking-in-persons,
and organized crime in its various forms.
- Witness Security
- A description of the U.S. witness security program
can be found in the May 2004 issue of the FBI Law
Enforcement Bulletin, posted on the Internet at: http://www.fbi.gov/publications/leb/2004/may04leb.pdf
- Also, the U.S. Attorneys' Manual has an extensive
discussion of the U.S. witness security program, which
is posted on the Internet at: http://www.usdoj.gov/usao/eousa/foia_reading_room/usam/title9/21mcrm.htm
- Jurisdiction
- Anyone who has worked in law enforcement for awhile
has heard of situations where law enforcement agencies
- instead of working together - spend time arguing
over turf. On the other hand, one of the great rewards
of working in law enforcement is seeing a complex
case come together because prosecutors and law enforcement
officers from different agencies are working together,
each bringing their resources to the table. Arguably,
one of the most valuable roles OPDAT can play is to
help prosecutors and investigators from different
agencies learn how to work collaboratively with one
another - indeed, the global effort to combat terrorism
and other forms of trans-national crime is, in large
measure, dependent on such collaboration.
- Recently, a U.S. Department of Justice funded case
study was published: "Managing a Multijurisdictional
Case: Identifying the Lessons Learned From the Sniper
Investigation" (210 pp.) (NCJ 207206). The publication
details the "lessons learned" and recommendations
for how law enforcement agencies can prepare for high-profile
crimes involving multiple jurisdictions. This report
is based on the experiences of more than 100 individuals
closest to the D.C. sniper case along with information
from focus groups and other sources. You can access
the full text at: http://www.ojp.usdoj.gov/BJA/pubs/SniperRpt.pdf
[ Top ]
Money Laundering
- Publications/Reference:
- United Nations Model Terrorist Financing Bill, 2003
(for common law systems )
- An Overview of the UN Conventions and the International
Standards Concerning Anti-Money Laundering Legislation.
- International Standards:
- United Nations Convention against Corruption (multiple
languages)
- FATF's "Forty Recommendations" to combat money laundering
and terrorist financing: http://www.fatf-gafi.org/dataoecd/7/40/34849567.PDF
(English)
- UN Conventions Against Terrorism (multiple languages)
- The International Money Laundering Information Network
(IMoLIN) web site is worth exploring, particularly
the following links:
- http://www.imolin.org/imolin/en/int_statndards.html
- http://www.imolin.org/imolin/en/research.html
- The announcement by IMoLIN about the re-launch of
their web site, which can be found at: http://www.imolin.org/imolin/index.html
- European Union Commission Proposal
- Europe's crackdown on money-laundering and the financing
of terrorism may receive a boost if the European Union
Commission submits a new proposal to broaden its offensive.
The proposed changes cover an array of important topics.
To see the underlying documents, go to:
- http://www.hm-treasury.gov.uk/consultations_and_legislation/money_laundering_directive/consult_moneylaundering_index.cfm
or go to:
- PDF file of Informal consultation document on
the Third EC Money Laundering Directive
- Related Link: PDF file of The European Commission's
preliminary draft articles for the Third Money Laundering
Directive
- Criminal Forfeiture
- Criminal forfeiture (or conviction-based forfeiture)
does not work effectively in some countries - arguably
because, in some instances, law enforcement lacks
the tools (plea bargaining, etc.) to convict the "drug
kingpins" and others at the top of criminal organizations
- the very criminals who have accumulated criminally-derived
assets worth forfeiting. As a result, in some countries
major criminals enjoy both their freedom and the proceeds
of their crimes.
- Though not a magic bullet, one alternative is "non-conviction-based
forfeiture" - the term that DOJ's Asset Forfeiture
and Money Laundering Section (AFMLS) prefers to use
overseas (instead of the term we often use domestically,
"civil forfeiture").
[ Top ]
Organized and Transnational Crime
- U.K. Methods: The U.K. issued a report that looks
closely at legal reform (plea bargaining, sentencing,
conspiracy law, etc.) and other reforms designed to
help the U.K. "stay one step ahead" of organized criminals.
That report is on the Internet at: http://www.homeoffice.gov.uk/docs3/wp_organised_crime.pdf
- Corruption and Organized Crime: Those of you interested
in learning more about the link between corruption and
organized crime may find the following conference presentations
of interest:
- "The Link Between Organized Crime and Corruption:
A Hong Kong Perspective": http://www.transparency.org/iacc/9th_iacc/papers/day4/ws5/dnld/d4ws5_imcwalters.pdf
- "A Symbiotic Relationship: Organized Crime and Corruption
in South Africa": http://www.transparency.org/iacc/9th_iacc/papers/day4/ws5/dnld/d4ws5_aminnaar.pdf
- The Sicilian Mafia: From the UNODC website: Even among
Sicilians and Palermitani, the Mafia was perceived as
an invincible force and thought to be part of the culture
until the middle of the 1980's. Criminal violence, political
corruption, intimidation and fear dominated everyday
life. Mafia killings in Palermo were commonplace. There
was a period between 1979 and 1982, when the ferocious
Corleone mafiosi killed all the top authorities in Sicily:
the President of the regional parliament, the prefect,
the chief prosecutor, the top investigative judge and
the head of the opposition party. At the same time a
movement began. Led by a small group of citizens from
all walks of life, it was quiet at first. However, they
believed that the situation could be reversed. By the
second half of the 1980's, the mentality of Sicilians
began to change. There were the maxi-trials of 1986-1987
that for the first time convicted the entire leadership
of the Sicilian Cosa Nostra. At the beginning of the
1990's, Mani Pulite ("Clean Hands") magistrates in the
North, and anti-mafia prosecutors in the South, succeeded
in changing the Italian political system. They dealt
substantial blows to the most powerful criminal networks.
Pentiti -- or turncoats -- provided prosecutors with
valuable information that turned the tables on the Mafia.
[ Top ] bosses -- like Toto Riina -- were jailed. These
efforts did not come without a price. It cost the lives
of courageous magistrates -- like Judge Giovanni Falcone
-- and the lives of many other public officials.
- Northern Ireland: Northern Ireland, which has experienced
the destructive forces of organized violence, has taken
an interesting approach to developing an infrastructure
that can effectively combat organized crime. In 2002,
the Government of Northern Ireland appointed an American
- law professor Ronald Goldstock - to make recommendations
on tackling the problem of organized crime.
- In January 2004, Professor Goldstock issued his
report to the Government of Northern Ireland - and
recently the Government of Northern Ireland published
both the Goldstock report and the Government-s response.
Both are on the Internet at:
- http://www.octf.gov.uk/pdfs/goldstockorgrep.pdf
- Of particular interest was Professor Goldstock's
emphasis on the "multi-disciplinary" approach to
tackling organized crime. For example, on page 12
of the document, Professor Goldstock, in urging
a strategic approach to combating organized crime,
describes how a multi-disciplinary team composed
of individuals with investigative, analytic, forensic
accounting, and legal skills would design and implement
(with others) an investigative plan:
- 4.2 The investigative plan would likely be formulated
in a four-step process.
- Investigative Predicate. The team initially
would conduct a broad-based assessment of the
factual context in which the proposed investigation
was initiated. This process may require the review
of information from a number of sources, including
law enforcement (intelligence and evidentiary),
public records, databases, etc. The analyst would
be particularly helpful in gathering such information
and putting into a useful form;
- Statement of Goals. The goals of the investigation
should be articulated and appropriate potential
remedies identified. This may include prosecution,
but also, asset recovery, civil remedies, etc;
- Review of Investigative Alternatives. This is
perhaps the most difficult part of the process,
flowing, as it must, from the first two steps.
Individualized procedures should be employed given
differing circumstances and modified as new information
is obtained.
- Identification of Legal Issues. A proper assessment
of investigative alternatives will normally require
a concomitant evaluation of legal issues likely
to arise during the investigation. Accordingly,
the team must make an effort to anticipate and
resolve any legal issues that might jeopardize
a successful investigation, prosecution, or other
remedial action."
- The Government's response to Professor Goldstock
refers to another report: the recently issued U.K.
Home Office report entitled "One Step Ahead: A 21st
Century Strategy to Defeat Organized Criminals," on
the Internet at: http://www.homeoffice.gov.uk/docs3/wp_organised_crime.pdf
- One of the interesting aspects of Professor Goldstock's
report are his references to "forensic accounting"
- and the importance of having personnel with such
skills on the multi-disciplinary team. In recent testimony
before Congress, a DEA official testified that DEA
Administrator Tandy has "systematically transformed
not only the organization and operation of the DEA
regarding financial investigations, but also the fundamental
mindset. Since every drug transaction has a profit
motive, every investigation has a financial component.
Therefore, the Office of Financial Operations (FO)
was established at DEA headquarters and financial
teams were placed in each field division."
- Transnational Crime: A monograph entitled "Alternative
Approaches to Combating Transnational Crime" published
by the Ministry of the Solicitor General of Canada can
be found at: http://www.ncjrs.org/nathanson/etranscrime.html
[ Top ]
Trafficking in Persons
- "The Three P's"
- As you may know, the three "P's" of a national anti-trafficking
strategy are prevention, protection, and prosecution.
- Awareness campaigns can be an important part of
a prevention program. "Vital Voices" is a non-profit
devoted to raising awareness of trafficking, and has
a great deal of information and reports on their website:
http://www.vitalvoices.org
- Model Law
- As many of you know, the State Department has posted
on the Internet a model law to address trafficking
in persons - see:
- http://www.state.gov/g/tip/rls/19087.htm
- You may find of particular interest the "Explanatory
Notes" at the back of this document (starting on
or about page 4). Here is an excerpt: "This Model
Law is offered to help criminal law policymakers
at the state level address the phenomenon of modern-day
slavery, often termed "trafficking in persons."
In the course of researching this proposal, it became
clear that many states already have laws on their
books that directly address this crime problem.
For instance, many trafficking-like crimes may be
codified in seemingly-unrelated parts of a state
code, such as the kidnapping or prostitution sections.
Unfortunately, by being codified in disparate parts
of the criminal code, it may unclear to prosecutors
that the behaviors are trafficking in persons crimes
and may be charged as such. Research into these
existing state statutes revealed that they are often
archaic, little-known, or underutilized, and do
not necessarily reflect the current understanding
of slavery and trafficking in persons."
- DOJ's Civil Rights Division recently posted on the
Internet the model anti-trafficking law for states,
at: http://www.usdoj.gov/crt/crim/model_state_law.pdf
- UN Presentation: The UN has published a short PowerPoint
presentation on trafficking in persons (TIP) which can
be found at: http://www.unodc.org/pdf/crime/training/Trafficking_HB.ppt
- Identification of Victims: Critical to the success
of national anti-trafficking plans are mechanisms to
inform uninformed police, border patrol officers, immigration
officers, customs officers and others on how they can
identify possible victims of trafficking - and then
how to respond. The State Department's Office to Monitor
and Combat Trafficking in Persons recently published
an excellent "tip sheet" which can be used as a model
for other countries to inform law enforcement officers
about the problem - a tip sheet that is handier than
the longer manuals used to train police that specialize
in anti-trafficking cases. The State Department's new
"tip sheet" (entitled "How Can I Recognize Trafficking
Victims?) can be found at: http://www.state.gov/g/tip/rls/fs/34563.htm
[ Top ]
Miscellaneous
- Justice Sector Project Initiatives (JSPI): These materials
can be accessed by clicking on the "Download JSP" link
at: http://www.usdoj.gov/criminal/opdat/jspi.html
or by directly going to the JSP URL at: http://www.usdoj.gov/criminal/opdat/JSPI2.pdf
- Supreme Court Decisions:
- Addressing the status of foreigners being held at
the Guantánamo Bay Naval Base in Cuba: http://www.nytimes.com/2004/06/28/politics/28CND-SCOT.html?hp
- The Hamdi opinion, concerning an American citizen
who was captured in Afghanistan (allegedly fighting
with the Taliban) and has been held indefinitely since
2001 without formal charges or access to counsel,
is available at: http://wid.ap.org/documents/scotus/040628hamdi.pdf
- The Guantanamo opinion, on two cases involving similarly
detained foreign nationals, is available at: http://wid.ap.org/documents/scotus/040628rasul.pdf
- Collaboration: DOJ's National Institute of Justice
issued a publication entitled: "What Does It Take to
Make Collaboration Work," posted on the Internet at:
http://ncjrs.org/pdffiles1/jr000251c.pdf
- Community Prosecution: There are a number of monographs
about the "Community Prosecution" model, including APRI's
"Community Prosecution Planning and Implementation Workbook"
(77 pages, revised 2003), on the Internet at:
- http://www.ndaa-apri.org/pdf/cp_workbook.pdf
- Additional materials on "Community Prosecution"
can be found on APRI's web site at: http://www.ndaa-apri.org/publications/apri/community_prosecution.html
- Mobile Phone Volunteers: Some countries may want to
replicate a program established by German police in
which law-abiding citizens with mobile phones volunteer
to act as a "force multiplier" for police. Here is a
summary:
- Dateline: Germany: GERMAN COPS are calling them
the best new weapon to hunt down crooks: mobile phones.
More than 75 percent of Germany's 85 million-plus
inhabitants own a mobile phone. Many of them are taxi
and bus drivers, delivery people and others who professionally
spend a lot of time on the ground. More so, in fact,
than the country's police force. That's why Germany's
cash-strapped government has turned to its mobilized
citizens for help in tracking down suspected criminals,
fugitives and even missing persons. In what is believed
to be the first service of its kind in the world,
citizens over 16 years old can now register with the
Federal Office of Criminal Investigation (known as
BKA) to become a volunteer mobile-phone cop. For more
information, see: http://www.cio.com/archive/050104/tl_text.html
[ Top ]
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