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© 2015 Association of Certified Fraud Examiners, Inc.
Navigating Investigations Overseas:
Resources, Procedures, and Best Practices
Liseli Pennings
NAVIGATING
INVESTIGATIONS
OVERSEAS A GUIDE TO RESOURCES, PROCEDURES, AND BEST PRACTICES
LISELI PENNINGS
The Mission of U.S. Embassies
Promote Diplomacy
Protect U.S. Interests
Assist U.S. Citizens Overseas
Key Embassy Personnel
Ambassador
Deputy Chief of Mission
Economic Section
Political Section
Regional Security Officer
Other Law Enforcement Agencies
Other Non-Law Enforcement Agencies
U.S. Ambassador
Promotes Diplomacy
Internal Embassy Cohesion
Approves/Denies Official Visits to Country
External Voice of U.S. in Host Country
Responsible for all Official Personnel assigned to the U.S.
Embassy
Deputy Chief of Mission (DCM)
Overseas day-to-day operations
Manages Consulate and Embassy mission and personnel
Engages in host nation liaison
Mission of U.S. Consulates
Assist Americans Overseas
Protect U.S. Border
Passport and Visa Issuance Process
Passport and Visa Issuance
Emergency Passport and Visa Replacement
Americans Incarcerated — Wellness Check
Missing Americans — Where-about Check
Work with Police and RSO to Locate
Mission of U.S. Consulate
Inform Americans of Security Situations
Travel Advisories
Travel Warnings
World Wide Cautions
Warden Systems
Assist Americans in emergency situations
Natural disasters
Wars
Assist with Evacuating Americans
Regional Security Officer (RSO)
Law Enforcement Attaché
Liaison between all U.S. law enforcement and host nation law enforcement
Security and Law Enforcement Advisor to Ambassador
Overseas security for all Diplomatic Missions and Personnel
Manages physical, procedural security
Protects U.S. Interests and businesses overseas
Leads internal Embassy investigations
Other Law Enforcement Agencies
Overseas
Federal Bureau of Investigation (FBI) Legal Attaché
Drug Enforcement Agency (DEA)
Homeland Security Investigations (HSI)
Naval Criminal Investigative Service (NCIS)
U.S. Secret Service (USSS)
Transportation Security Administration (TSA)
Political and Economic Sections
Engage in Political and Economic Interaction
Promote political and economic goals
Hold discussions
International collaboration on national and regional
issues
Exchange information
Exchange training
Other Embassy Sections
Foreign Commercial Service
Foreign Agricultural Service
Public Affairs
Management Section
Defense Attaché Section
Federal Drug Administration
Mission of U.S. Law Enforcement
Overseas
Liaise with host national police on areas of expertise,
some overlap
Coordination on investigations
Support for incidents and investigations
Provide/exchange training
Exchange information
Protect U.S. Interests overseas
Limitations of U.S. Law Enforcement
Overseas
Lack authority to arrest and search
Lack authority to investigate (externally)
Sometimes lack authority to carry a weapon
Dependent on host nation law enforcement
Participation in arrests and seizures
Apprehensions
Joint operations
Capabilities of Law Enforcement
Overseas
Dependent on relationship with U.S. and country
Investigate within Embassy (RSO only)
Promote nation/regional coordination on investigations
and security issues
Share information on criminal trends
Utilize international treaties/agreement for investigations
with overseas nexus
Provide/exchange training
International Investigative Routes
Mutual Legal Assistance Treaty (MLAT)
Mutual Legal Assistance Agreement (MLAA)
International Forfeiture and Asset-Sharing Program
Extradition Treaty
Expulsion
Mutual Legal Assistance Treaty
(MLAT)
Negotiation
U.S. Department of State
U.S. Department of Justice
Host nation
Exchange of information and evidence
Location of subject
Financial information
Countries Sharing MLAT Treaties
with U.S.
Antigua & Barbuda ,Argentina, Australia, Austria
the Bahamas, Barbados, Belgium, Belize, Brazil, Canada, Cyprus, Czech Republic,
Dominica, Egypt, Estonia, France, Germany, Greece, Grenada, Hong Kong, Hungary,
India, Ireland, Israel, Italy, Jamaica, Japan, Latvia, Liechtenstein, Lithuania, Luxembourg,
Malaysia, Mexico, Morocco, the Kingdom of the Netherlands (including Aruba, Bonaire,
Curacao, Saba, St. Eustatius and St. Maarten), Nigeria, Panama, Philippines, Poland,
Romania, Russia, St. Lucia, St. Kitts & Nevis, St. Vincent & the Grenadines, South Africa,
South Korea, Spain, Sweden, Switzerland, Thailand, Trinidad & Tobago, Turkey, Ukraine,
United Kingdom (including the Isle of Man, Cayman Islands, Anguilla, British Virgin Islands,
Montserrat and Turks and Caicos), Uruguay, and Venezuela.
Information retrieved from “2012 INCSR: Treaties and Agreements” www.state.gov
Mutual Legal Assistance
Agreement (MLAA)
Formal agreement between nations
Cooperation on investigation
Exchange of information
Can Change based
Host Nation administration
Diplomatic Relationship
Foreign Agreements with the U.S.
Mutual Legal Assistance Agreement
China
The American Institute in
Taiwan
The Taipei Economic and
Cultural Representative
Office in the United States
Executive Agreements on
Forfeiture Cooperation
United Kingdom
The Kingdom of the
Netherlands
Singapore
Asset Sharing Agreements
Canada
The Cayman Islands
Colombia
Ecuador
Jamaica
Mexico
Monaco
Information retrieved from “2012 INCSR: Treaties and Agreements” www.state.gov
Other Treaties
Inter-American
Convention on Mutual
Legal Assistance of
the Organization of American
States
The United Nations
Convention against
Corruption
The United Nations
Convention against
Transnational Organized
Crime
The International Convention
for the Suppression
of the Financing of
Terrorism
The 1988 United
Nations Drug Convention
Information retrieved from “2012 INCSR: Treaties and Agreements” www.state.gov
International Forfeiture and Asset-
Sharing Program
Departments of Justice, State, and Treasury involved
Formal agreement or Diplomatic Exchange
Cooperation on locating and seizing assets
Sharing assets
Drug, money laundering, organized crime
Countries With Which U.S. Has
Shared Assets
Antigua, the Bahamas, Canada, Cayman have shared forfeited assets with the
United States Islands, Hong Kong, Jersey, Liechtenstein, Luxembourg, Singapore, Switzerland, and the United Kingdom.
Retrieved from www.state.gov
Asset-Sharing Statistics
Department of Justice, shared $235,925,145 with 38 foreign governments that cooperated and
assisted in investigations
Department of Treasury shared $30,478,024 with
foreign governments that cooperated and assisted in successful
forfeiture investigations.
Retrieved from www.state.gov
Financial Crimes Enforcement
Network (FinCEN)
International Financial Exchange
Diplomatic Exchange or MOU
Financial Crimes Enforcement Network (FinCEN)
Two-way information Sharing with Financial Intelligence Units (FIU) abroad
Establish strengthen exchange of information globally
Combat money laundering, terrorist financing, and other financial crimes.
Fields requests from domestic law enforcement to foreign FIUs.
Financial Crimes Enforcement
Network (FinCEN)
FinCEN responds to requests from financial intelligence
units (FIUs) that are members of the Egmont Group,
Egmont Group
International network of agencies
“Financial Disclosure Units” / “Financial Intelligence
Units”
Financial Crimes Enforcement
Network (FinCEN) Countries
Albania, Argentina, Aruba, Australia, Belgium, Bermuda, Brazil, Bulgaria, Canada, Cayman Islands, Chile, Croatia, Cyprus, Egypt, France, Fiji,
Guatemala, Indonesia, Israel, Italy, Japan, Macedonia, Malaysia, Malawi, Mauritius, Mexico, Montenegro, Moldova, the Netherlands, Nigeria,
Panama, Paraguay, Philippines, Poland, Romania, Russia, San Marino, Saudi Arabia, Senegal, Serbia, Singapore, Slovenia, South Africa, South Korea, Spain, the Money Laundering Prevention Commission of Taiwan,
and the United Kingdom
Information retrieved from “2012 INCSR: Treaties and Agreements” www.state.gov
Extradition Treaties
Mutual treaties between countries
Dependent on
Nationality of perpetrator
Nation in which perpetrator is located
The crime committed
Location of wanted person by host country
COUNTRIES SHARING BILATERAL
EXTRADITION TREATIES WITH U.S.
Albania, Anguilla, Antigua and Barbuda, Argentina, Australia, Austria, Bahamas, Barbados, Belgium, Belize, Bermuda , Bolivia, Bosnia and Herzegovina, Brazil, British Virgin Islands, Bulgaria, Burma,
Canada, Cayman Islands, Chile, Colombia, Congo, Costa Rica, Croatia, Cuba, Cyprus, Czech Republic, Denmark, Dominica, Dominican Republic, Ecuador, Egypt, El Salvador, Estonia, European
Union, Falkland Islands, Fiji, Finland, France, Gambia, Germany, Ghana, Gibraltar, Greece, Grenada, Guatemala, Guyana, Haiti, Honduras, Hong Kong, Hungary, Iceland, India, Iraq, Ireland, Isle of Man,
Israel, Italy, Jamaica, Japan, Jordan, Kenya, Kiribati, Korea, Latvia, Lesotho, Liberia, Liechtenstein, Lithuania, Luxembourg, Malawi, Malaysia, Malta, Mauritius, Mexico, Monaco, Montserrat, Nauru, Netherlands, New Zealand, Nicaragua, Nigeria, Norway, Pakistan, Panama, Papua New Guinea,
Paraguay, Peru, Philippines, Poland, Portugal, Romania, San Marino, Seychelles, Sierra Leone, Singapore, Slovakia, Slovenia, Solomon Islands, South Africa, Spain, Sri Lanka, St. Helena, St. Kitts and
Nevis, St. Lucia, St. Vincent and the Grenadines, Suriname, Swaziland, Sweden, Switzerland, Tanzania, Thailand, Tonga, Trinidad and Tobago, Turkey, Turks and Caicos, Tuvalu, United Kingdom, Uruguay,
Venezuela, Zambia, Zimbabwe
Information retrieved from “2012 INCSR: Treaties and Agreements” www.state.gov
Issues Impacting Treaties and
Agreements
Diplomatic Relations between countries
Political Party/Head of State
Changing Law in Host Nation
Jurisdiction change
Statute of Limitations
Capabilities of Host Country
Police
Legal systems
Extradition Treaties
Do not require surrendering the country’s citizens to
other country
Under U.S. Law, an American Citizen can be extradited
to any foreign country at the discretion of the U.S.
Secretary of State
Extraditions
Issues Impacting Extradition
Classification of the crime in host country
Capital punishment
Political crime
Jurisdiction
Country’s stance on extraditing its own citizens
Expulsions
Revocation of immigration status of host country
Deportation
Canceling immigration permits
U.S. Passport with one-way issue
Interpol Notice
Options for U.S. Leos
Expulsion, then enters country with extradition treaty
If enters U.S. can apprehend subject on U.S. soil
Courses of Investigatory Process
Host country
Diplomatic Relationship
with U.S.
U.S. Embassy Law Enforcement and Host Nation Police
Relationship
Mutual Legal Assistance
Treaty/Agreement
International Financial
Agreement
International Forfeiture and
Asset Agreement
Extradition Treaty
Other Resources Available
Overseas
Interpol
Overseas Security Advisory Council
American Chamber of Commerce
Interpol
190 country member international police organization
(www.Interpol.int)
System of colored notices to identify and apprehend
subject
International alert used by police to communicate
information about specific types of crimes
www.Interpol.in
Interpol
Illegal gambling networks across Asia targeted in INTERPOL-led operation
USD 2.2 billion in illicit bets made during 2014 FIFA World Cup
LYON, France – An INTERPOL-coordinated operation targeting illegal soccer gambling networks across Asia during the 2014 FIFA World Cup has resulted in more than 1,400 arrests and the seizure of almost USD 12 million.
During the six-week operation, law enforcement officers from China, Hong Kong (China), Macao (China), Malaysia, Singapore and Vietnam carried out more than 1,000 raids on illegal gambling dens – many controlled by organized crime gangs – estimated to have handled around USD 2.2 billion worth of bets, the majority through illicit websites.
Operation SOGA V – short for soccer gambling – was the fifth action of its type since 2007 and was timed to target illegal soccer gambling activities from 1 June to 13 July, ahead of and during the 2014 FIFA World Cup.
Information retrieved from “Interpol News” www.interpol.in
Interpol
World Cup 2014: Brazil Security Arrests Mexican Drug Trafficker in Rio de Janeiro
Drug tycoon Jose Diaz Barajas, wanted for allegedly trafficking
methamphetamine in the United States, was arrested in Rio de Janeiro on his
way to a World Cup game. Luiz Cravo Dorea, head of the federal police’s
international coordination center, said the police knew his whereabouts and
watched him since him and his family crossed the border from Paraguay
Information retrieved from “World Cup 2014” www.Brietbart.com
Overseas Security Advisory Council
(OSAC)
Security information-sharing council
Members are American-owned businesses incorporated
in the U.S.
OSAC Councils chaired by the RSO
Exchange security, safety info, training
Host nation situation
Criminal/investigative patterns
Security and law enforcement trends
Issues impacting U.S. interests in region
OSAC
www.osac.gov
Notification of security environment
Protests
Incidents
Publications
Crime and Safety Report
Country Council Reports
American Chamber of Commerce
(AmCham)
American Chamber of Commerce Abroad, part of the
U.S. Chamber Federation, is
Located in 103 countries
Over 116 American Chambers of Commerce overseas
Networking repository
Trends impacting businesses
Investigations and criminal occurrences
Experienced overseas
UsChamber.com
Contacting Host Nation Police and
Protocols
Official U.S. Government Investigation — Contact RSO
U.S. business or local issue
Obtain Guidance from ROS, OSAC, other resource
Which Police Agency to contact
File Complaint in Host Country
Work with your legal counsel
Brief your public affairs to be prepared
Challenges Overseas
Customs
Not “American-style” investigation or procedures
Language
Colloquialisms
Protocols
Use of Media
Lack of confidentiality/sensitivity
Privacy Laws/Data Transfer Laws
Scenarios
Scenario 1: U.S. Company Seeking to
Investigate Employee and Pursue Legal Action in the U.S. (U.S. Extradition/Action)
Scenarios
Scenario 2: U.S. Company Seeking to Press
Charges Overseas against U.S. Citizen or Foreign National
Scenarios
Scenario 3: Law Enforcement Seeking
Assistance in Locating and Extraditing Felon
Scenarios
Scenario 4: Law Enforcement or U.S.
Company Seeking Assistance with
Investigation Entailing Electronic and Financial Elements Overseas
© 2015 Association of Certified Fraud Examiners, Inc.
Navigating Investigations Overseas:
Resources, Procedures, and Best Practices
Liseli Pennings
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