INTERNATIONAL COOPERATION

1. INTERNATIONAL COOPERATION Daniel H. Claman Senior Trial Attorney U.S. Department of Justice

2. USD 1.5 to 5 billion USD 1 to 2.8 billion USD 3 to 14 billion USD 4.5 to 45 billion USD 4 to 8 billion USD 23 million to 1 billion USD 100 million USD 250 million or more USD 106 to 700 million

3. OVERVIEW • Informal versus Formal Assistance • Multilateral Treaties Generally • U.N. Convention against Corruption • Assistance from the United States

4. PURPOSE AND LIMITATIONS Formal Requests Informal 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

5. WHAT TO ASK FOR Formal Requests Informal 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

6. INFORMAL MECHANISMS • International law enforcement contacts • Law Enforcement Attaches • Embassy personnel • Financial Intelligence Units (FIUs) • Investigative Lead Information • Follow informal with formal…

7. MYTH OR TRUTH? NO TREATY NO HELP

8. FORMAL MECHANISMS • Multilateral agreements • Bilateral Mutual Legal Assistance Treaties • Letters Rogatory • Extradition Treaties Often Depends on Foreign law

9. MULITLATERAL TREATIES • United Nations Conventions • 1988 Drugs (Vienna) • 1999 Terrorist Financing • 2000 Organized Crime (Palermo) • 2002 Corruption (Merida) • Inter-American Conventions • 1992 Mutual Legal Assistance in Criminal Matters • 1996 Corruption • Terrorism

10. MUTUAL LEGAL ASSISTANCE UNDER THE UNCAC

11. OLD FORFEITURE LEGAL ASSISTANCE REGIME • Requested country either • open own case OR • enforce a foreign confiscation judgment • 1988 Vienna Convention • 2000 Palermo Convention

12. NEW FORFEITURE LEGAL ASSISTANCE REGIME • Direct recovery without forfeiture (Art. 53) • MUST have basis to provide assistance (Art. 54) • Procedures for international cooperation (Art. 55)

13. DIRECT RECOVERY - ARTICLE 53 • Courts must be open for civil action • Victim Country files civil suit to establish title • Restitution • Victim Country can be recognized for award of damages or compensation • Claimant in forfeiture proceedings • Victim country can be recognized as a legitimate owner before final forfeiture

14. FRAMEWORK FOR FORFEITURE COOPERATION - ARTICLE 54 • Provisional measures • Be able to enforce a foreign restraint order • Freeze on evidence that a forfeiture order forthcoming • Consider other options: arrest, charge • If open own case domestic restraint (Art. 31)

15. FRAMEWORK FOR FORFEITURE COOPERATION - ARTICLE 54 • Confiscation/Forfeiture • Must be able to enforce a foreign order • Must be able to open own case • Consider non-conviction based forfeiture

16. INTERNATIONAL COOPERATIONIN CONFISCATION - ARTICLE 55 • On receipt of request, either: • Enforce foreign judgment OR • Open own case • Guidelines for what to include in request • Deny request or lift provisional measures if: • Sufficient evidence not provided • De minimis value • BUT provide opportunity to cure problem

17. DUAL CRIMINALITYARTICLE 46 (9) • Traditional exception to legal assistance • Coercive measures, dual criminality still applies • Non-coercive measure, provide assistance • Unless de minimis, conflict with national law

18. MAKING THE REQUEST

19. MINIMUM REQUIREMENTS FOR TREATY ASSISTANCE • Identify Authority making the request • Object and Nature of Investigation or proceeding (including offenses) • SUMMARY of Pertinent Facts • Precise Description of Assistance Requested • Identity, location, nationality, of people involved • Purpose of request

20. FORFEITURE REQUESTS • Description of property, including location and value (where possible) • Admissible Copy of Orders on Which Request Based • Statement of Notice provided if Enforcement of Judgment sought • Statement that Forfeiture order is final and extent that enforcement is sought

21. FORFEITURE ASSISTANCE • May be refused or provisional measures lifted if • Evidence not provided • property of de minimis value • Opportunity to cure defect before provisional measures lifted

22. Assistance from the United States of America

23. ASSISTANCE FROM THE U.S. • U.S. initiates its own forfeiture action • Criminal Forfeiture • In Rem Forfeiture • Enforce Foreign Forfeiture Judgments • Provisional Restraint Mechanisms

24. ENFORCEMENT OF JUDGMENTS 28 U.S.C. § 2467 • Foreign Offense that would be Forfeitable Federal Violation if Committed in the U.S. • Treaty or Agreement • Attorney General Certification • Criminal and in rem Judgments

25. ENFORCEMENT OF JUDGMENTS • Enforce Judgment Unless • System Incompatible with Due Process • No personal jurisdiction • No subject matter jurisdiction • Insufficient notice to Defendant • Judgment obtained by fraud • Court Bound by Factual Findings in Foreign Judgment

26. PROVISIONAL MEASURES • Mechanism will Depend on Circumstances • Foreign Arrest or Charge can be basis for immediate 30-day freeze • Provide copy of charging document • Must provide additional evidence • Enforce foreign restraining order • Include specifics in order • Based upon affidavit

27. MYTH OR TRUTH? FEW COUNTRIES HELP

28. BEFORE MAKING A REQUEST • Coordinate timing with criminal investigation • Leave time for other country to act • Contact foreign attaches at local embassies, Central Authority of other country • Anticipate possibility of disclosure

29. Daniel H. Claman Senior Trial Attorney Asset Forfeiture and Money Laundering Section U.S. Department of Justice Criminal Division (AFMLS) Washington, D.C. 20530 Tel. (202) 514-6340 Fax (202) 514-5522 Daniel.Claman@usdoj.gov