RESOURCE MATERIAL SERIES No. 54 UNAFEI - CiteSeerX

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RESOURCE MATERIALSERIES No. 54

UNAFEIFuchu, Tokyo, Japan September 1999

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Mikinao KitadaDirector

Asia and Far East Institutefor the Prevention of Crime and

the Treatment of Offenders(UNAFEI)

1-26, Harumi-cho, Fuchu, Tokyo 183-0057, Japan

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CONTENTS

INTRODUCTORY NOTE ...................................................................... 1

PART ONE

Work Product of the 108th International Seminar“CURRENT PROBLEMS IN THE COMBAT OF ORGANIZED

TRANSNATIONAL CRIME”

Visiting Experts’ Papers•Recent Trends of Organized Crime in Europe: Actors, Activities and

Policies against Themby Ernesto Ugo Savona (Italy) ...................................................... 5

•The Threats Posed by Transnational Crimes and Organized CrimeGroups

by Frank J. Marine (United States) ........................................... 25

•Transnational Smuggling of Aliens and Stolen Vehiclesby Lau, Yuk-kuen (Hong Kong) .................................................. 54

•The Evolution of Drug Trafficking in the Pacific Rimby Lau, Yuk-kuen (Hong Kong) .................................................. 61

•Current Problems in the Combat of Transnational OrganizedCrime

by Dimitris Vlassis (United Nations Office at Vienna) ............. 68

•The Organized Crime in India: Problems and Perspectivesby Madan Lal Sharma (India) ................................................... 82

Participants’ Papers•General Picture of Organized Crime in Japan: The Activities of

Organized Criminal Groups Based In or Outside Japanby Yutaka Nagashima (Japan)................................................. 130

•Current Problems in the Combat of Transnational OrganizedCrime: Pakistan Perspective

by Tahir Anwar Pasha (Pakistan)............................................ 147

•Current Situation of Transnational Organized Crime in thePhilippines

by Alberto Rama Olario (Philippines)...................................... 171

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•An Overall Assessment of Transnational Organized Crimeby Muammer Yasar Özgül (Turkey) ......................................... 181

Reports of the Seminar•Topic 1: Current Situation of Illicit Drug Trafficking .................. 195

•Topic 2: Current Situation of Organized Crimes (Except DrugTrafficking) ..................................................................................... 230

•Topic 3: Legal Framework against Transnationl Organized Crimeby Criminal Justice Systems in Different Countries ................... 243

•Topic 4: Current Situation of Detection and Investigation .......... 250

PART TWO

Work Product of the 109th International Training Course“EFFECTIVE TREATMENT MEASURES FOR PRISONERS TO

FACILITATE THEIR RE-INTEGRATION INTO SOCIETY”

Visiting Experts’ Papers•The Importance of the Appropriate Management of Risk and

Reintegration Potentialby Don A. Andrews (Canada) ................................................... 261

•Some Old and Some New Experiences: Criminal Justice andCorrections in Finland

by Matti Laine (Finland) .......................................................... 271

•Community-Based Treatment for Offenders in the Philippines : OldConcepts, New Approaches, Best Practices

by Celia Capadocia Yangco (Philippines) ................................ 283

•Effective Treatment Measures for Prisoners and Drug Addicts toFacilitate their Reintegration into Society

by Lohman Yew (Singapore) ..................................................... 301

•Current Trends in Correctional Programming in the U. S. Aby Kenneth G. Adams (United States) ..................................... 315

Participants’ Papers•Effective Treatment Measures for Prisoners to Facilitate their Re-

integration into Society : The Ghanaian Experienceby Asiedu William Kwadwo (Ghana) ....................................... 327

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•Treatment Programmes for Offenders Run by the Hong KongCorrectional Services

by Chung, Wai Man (Hong Kong) ............................................ 341

•Effective Treatment Measures for Prisoners to Facilitate their Re-integration into Society

by Yossawan Boriboonthana (Thailand).................................. 348

Reports of the Course•Rehabilitation Programmes in the Prison to Prevent Prisoners'

Recidivism : The Actual Situation, Problems and Countermeasuresby Group1 .................................................................................. 360

•Early Release of Prisoners to Facilitate their Re-integration intoSociety: The Actual Situation, Problems and Countermeasures

by Group2 .................................................................................. 391

•Rehabilitation and Correctional Programmes in the Community toPrevent Recidivism by Discharged Prisoners : The ActualSituation, Problems and Countermeasures

by Group3 .................................................................................. 414

APPENDIX .......................................................................................... 437

PART I

Work Product of the 108th International Seminar“CURRENT PROBLEMS IN THE COMBAT OF

ORGANIZED TRANSNATIONAL CRIME”

UNAFEI

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108TH INTERNATIONAL SEMINARVISITING EXPERTS’ PAPERS

VISITING EXPERTS’ PAPERS

RECENT TRENDS OF ORGANISED CRIME IN EUROPE:ACTORS, ACTIVITIES AND POLICIES AGAINST THEM

Ernesto Ugo Savona *

I. EUROPE: A CROWDED MARKETPLACE AND CROSSROADS

The internal situation of the EuropeanUnion countries is characterised by therelevant and stable presence of Italianorganised crime groups, not only in thecountry of origin. But also in France,Germany and sporadically, even in Austriaand the United Kingdom. It is alsocharacterised by the development of“domestic bilateral organisations”operating from country to country, e.gbetween Belgium or Great Britain and theNetherlands, for taking advantage of theopportunities offered by drug pricedifferences in these countries. In othercountries there is the presence of domesticorganised groups (gangs), specifically inFrance, Great Britain and Spain.

The European Union is also thecrossroads for other criminal groupsoperating internationally. The westColombian cartels are still predominant inthe importation of cocaine, helped bynational criminal groups. Galicians inSpain and mafia in Italy co-operate withthe cartels to import and distribute cocainein the whole of Europe. From the south,Nigerian groups characterise the drugtraffic and exercise their expertise in thearea of fraud. Other groups from theMaghreb area are involved in hashishimportation. From the East, ChineseTr i a d s h a v e e s t a b l i s h e d s t a b l ecommunities in Spain, the Netherlands,the United Kingdom, Italy, Austria,

Belgium and Portugal, Their mainactivities of drug trafficking, aliensmuggling, local extortion, illegal gamblingand prostitution rackets are interrelated.Turkish and Pakistani groups control thetrafficking of heroin from the Middle Eastand Central Asia, through formerYugoslavia or other Eastern countries.

Part of Europe’s modern criminal historyis the threat of the progressive expansionof organised groups from eastern andcentral Europe, mainly from Russia. Butto call these groups “Russian” meanskeeping an old label for a new product. Theprocess of criminal fragmentation that ishappening today in Russia, in other CISRepublics and the states of the formerYugoslavia should be considered withextreme attention, especially for the futureimplications it could have on the Europeangeography of organised crime. Talks withnational law enforcement agencies in manyEuropean countries confirm that groups ofRussian, Polish, Czech, Rumanian andformer Yugoslav origin are active in Spain,Germany, Finland, Austria, the UnitedKingdom, the Netherlands and Sweden.Their main activities are drug trafficking,the export of stolen cars, alien smugglingand prostitution.

II. MULTIPLICATION OFTRAFFICKING ROUTES AND

RAMIFICATIONS OF EUROPEANKEY POINTS

The organised crime development inEurope shows a progressive multiplicationof trafficking routes either by sea, air orland towards Europe and the ramifications

* Professor of Criminology and Project Director of theResearch Group on Transnational Crime, School ofLaw, Trento University, Italy.

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RESOURCE MATERIAL SERIES No. 54

from European key points to outsidecountries. Spain and Italy are still themajor entry points for cocaine in Europe,along with Portugal. Spain and Portugalare, however, also increasing theirimportance as entry points for heroincoming from the south Asia area andPakistan, via African routes (touchingamong others Angola, Mozambique andCape Vert). Cocaine and heroin from Spainspreads into Europe through France or bysea from Italy. In both cases the Italianmafia plays a leading role in controlling thedeliveries.

Transhipments of heroin, Coming fromcentral Asian regions and Middle Easterncountries, and cocaine from South America,are also conducted by Nigerians via airthrough the main international airlinepoints. Also Turks and Kurds are involvedin heroin trafficking from the productionpoints to Germany and the UnitedKingdom, passing through the Balkanroutes and Greece. Heroin distributioninside these European Countries is carriedout by specialised Turkish networks withintheir immigrant communities.

The entry of Eastern organised crimeinto the international market has changedand increased the routes traditionally used.Russia and the other eastern Europeanregions are increasingly becoming the newtransit routes for drug trafficking as wellas for other criminal purposes, such as cartheft from Germany, The UK and theNetherlands, and illegal aliens smugglingfrom South-East Asia. The Baltic States,Finland and Sweden are the main pointsof entry into Europe from the North. Twomain migration routes lead throughPoland. The eastern route, controlled byRussian organised crime, is used totransport Asians, mainly Armenians,Indians, Afghans and Africans (mostlySomalis, Algerians and Nigerians). Thesouthern route is most often used by

Balkan residents, mainly Romanians. Theeastern route starts in Moscow, FromWhere the Asians and Africans take a trainto Belarus and are then transported by carto the Polish border with Lithuania, or tothe Ukraine, and finally into the EuropeanUnion.

Due to consolidated interaction amongRussian, Chinese and Vietnamese gangs,Austria has become a transit country forheroin coming from the central Asianregions and for cocaine arriving via centralEurope and Russia. In the south of Europe,Albania has replaced the traditional transitroute used through Yogoslavia for drugtraffiking. This route is also used for aliensbeing smuggled into Italy, as a point ofentry into Europe. France is a transit routefor hashish originating in South-West Asiaand North Africa. Ireland, due to its coastalextension, is another entry point for drugs(hashish from North Africa) destined to theUnited Kingdom and continental countries.

Ports and airports in Europe are themain points of ramification inside andoutside Europe. Frequent examples showNigerian criminals, specifically active inthis context, as importers of cocaine andheroin along routes involving Lagos(Nigeria), London, Athens, Antwerp(Belgium) and other main internationalairline points. They also act as exporterstowards the United States (Chicago) andCanada (Toronto). Part of the heroinimported by Nigerians and the hashishcoming from South West Asia and NorthernAfrica, first crosses France, then is re-exported towards other European andNorth American or Canadian markets.Opium also enters through the Frenchborders and, after being refined locally, isexported as pure heroin.

In the Netherlands, local networks arebecoming the main producers of syntheticdrugs in Europe. From here they are

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exported through new routes leading outof the European Union, utilised also fortrade in marijuana and hashish, which isstill flourishing. Several internal routes aredesigned to transit synthetic drugsproduced in the Netherlands, andamphetamines produced in Poland, intoSweden, Finland and other Europeancountries via Dutch, Belgian and Polishnetworks. Also Belgium is a consumermarket for synthetic drugs and traffickingis carried out through co-operation betweenrooted networks of Belgian and Dutchcitizens.

III. ORGANISED CRIME TRENDSIN THE EUROPEAN UNION

Analysis of the inteaction between thepatterns of organised crime moneylaundering cycles and patterns of anti-money laundering responses allows us tooutline present trends. In this section,changes in opportunities and mutations inthe structure of criminal organisations willbe considered. Both variables are relevantin terms of policy implications becausetheir modification through more effectivepolicies could result in a reduction of theextension of the organised crime problem.

A. Developing a Mix of Illicit andLegitimate Businesses

The traditional distinction betweenillicit and legitimate activities, withreference to organised crime, is becomingless evident in the modus operandi oforganised criminals. At the same time, thedistinction between what is criminal andwhat is not becomes more and more vague.The escalation of traditional criminalactivities (drug trafficking) and of theinvestment in legitimate industries (thecontruction or tourist industry) of theproceeds generated by criminal activitiesis in a continuum.

Criminalisation of money launderinghas solved the problem of distinguishingbetween what is formally criminal and theinvestment that becomes criminal becauseof where the proceeds come from.Organised crime and economic crimebecome more closely linked, and the futuretrends of organised crime tend towardsthose productive activit ies whereopportunities are big, risk is lower and theorganisation required from criminalsreaches high complexity. Some of theseactivities are outlined in the followingparagraphs.

Car theft has become an extensiveproblem in the European Union, where thenumber of stolen cars almost tripledbetween 1989 and 1993. A good indicatorof the quantity of vehicles involved is thenumber of missing cars reported and neverrecovered by the police. Based on the firstnational crime statistics for 1993, it can beestimated that last year some 250,000passenger cars disappeared without tracein the European Union.1 The stealing ofcars by Polish, former Yugoslav andRussian criminal networks has become aparticularly profitable market because ofthe wide range of expensive cars “offered”especially in countries such as Germany,the Netherlands and Finland, and becauseof the huge demand for stolen cars comingfrom countries such as the former SovietUnion, the Asian states or North Africa.From Poland the vehicles are taken to theBaltic republics, or the Ukraine, to Russia,the Caucasus region or Kazakhstan (thenations that have emerged from the SovietUnion are a common destinations for theflourishing traffic in stolen luxury cars andsport or utility vehicles2). Bulgarian andRussian criminal groups have become amajor force in this particular area of cross-border crime, together with indigenouscrime groups who carry out the theft andrebuild the cars to give them a new identity.The results are evident in the consumer

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states. While less serious than some of theother activities of organised crime, this isan additional source of revenue (oftenmixed with organised insurance fraud),helping these groups to consolidate theirposition in certain countries. In those cases,co-operation of criminal syndicates with themilitary is of special importance. Untilr e c e n t l y, t h e m a i n m i l i t a r y a i rtransportation centre was situatded onPolish soil. Thieves steal cars in Germanyand drive them to Poland. Then the carsare put on board military transportationand flown to Russian military airports.Russian companies which run the businessare not necessarily part of the criminalring, and sometimes they are even unaware(or prefer to be unaware) of the real originof the cars, though, of course, the majorityat least guess where the cars come from.Practically, all Russian dealers in foreigncars insist on receiving already renovatedcars from aboard. In cases of stolen cars(as opposed to genuine second-hand cars)the renovation takes place in Poland, theBaltic Republics and, on rarer occasions,in the Czech Republic, Slovakia orHungary.

Since 1988, the counterfeit industry hasconsiderably increased the sophisticationof its products and, in some instances,counterfeit credit cards have been of betterquality than the genuine cards theypurport to be.3 The American BankersAssociation (ABA) and the InternationalBankers Association (IBA) have expressedconcern over the extensive use of computertechnology to counterfeit corporatecheques, bonds, securities and negotiableinstruments o f governments andcorporations. The counterfeits are virtuallyindistinguishable from the genuine items.In addition to counterfeit currency, bondsand other monetary instruments, there hasbeen an escalation in the internationalproduction and fraudulent use ofcounterfeit access devices: commercial

credit cards, telecommunications,computers, identification documents.4 Thenumber of cases of counterfeit currency inwestern Europe seems to have tripled in1993, compared to 1991.5 In 1992 and 1993,printed counterfeit versions of the new onehundred and two hundred Deutschemarknotes were discovered, coming from Polandand Italy. Counterfeit money is becomingbig business in eastern Europe. The bleakeconomic outlook coupled with an unstablecurrency and high rate inflation, have ledto the Deutschmark and the US dollarbeing used in place of the local currency inseveral Newly Independent States whereeven basic products can only be obtainedwith foreign currency. Such a situationprovides ideal conditions for the productionand distribution of counterfeit money.

Frauds against the financial interests ofthe European Union are a traditionalsource of illicit proceeds from theexploitation of legislation or from the lackof domestic controls. These criminalactivities are not only carried out byprofessionals in the legitimate industry atthe margin of their business but also byextensive organised crime networks,which, in Belgium, the Netherlands,Portugal and Italy, have grown into well-established criminal trading communities.On the expenditure side, in 1995 8% of thecases accounted for 74% of the amounts atstake. These figures lend further supportto the Commission’s belief that fraudagainst the European Community is not aquestion of petty pilfering but of large scaleorganised financial crime.6 They intertwinewith normal trade and industry and usetheir facilities to sell products and tolaunder profits. Frauds occur at differentstages of the criminal process. Instrumentssuch as front companies could eithergenerate illegal proceeds from fraud, orthey could be used to launder proceeds fromother crimes such as corruption. Thenumber of frauds against the financial

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interests of the European Union isincreasing, although we do not know if theyare increasing in the number of thosecommitted or those reported. Data recentlyproduced by the Commission of theEuropean Union7 shows the dimension ofthe phenomenon and calls for moreattention to be paid to the problems linkedwith international frauds, internationalorganised crime and money laundering.This criminal phenomenon is not restrictedto food or agricultural products but itinvolves goods of every kind through a widerange of more or less sophisticatedmethods. Other kinds of fraud, carried outby the same organisations, are VAT fraudsand generally a wide range of financial andcommercial frauds.

Criminal organisations are engaged inthe massive smuggling of illegal aliens intothe European Union from poor regions suchas North Africa, eastern Europe, the formerSoviet Union, Asia and South-East Asia.The Russian mafia group that controls theroute makes an estimated $12 million ayear on this traff ic . 8 Most i l legalimmigrants coming from the East try toenter Poland through the porous, 102-kilometer Lithuanian border. In the firstsix months of 1995, border guards stopped341 people in 14 groups, mainly from India,Pakistan, Somalia and Nigeria.9 TheSouthern route is plied mainly byRomanian, Bulgarian, Turkish and formerYugoslav citizens. Most of them arrivelegally in Poland, taking adventage of aninternational agreement on visa-freetourist traffic.10 In Poland the governmentestimates that there are 100,000 migrantswaiting to be smuggled into Germany.11

German officials are collaborating veryclosely with the Polish government totighten controls along the border, but thesmugglers are diversifying their routes:Other landing places of choice areMediterranean ports such as Marseillesand the coastal border in Italy. For the year

1993, the International Centre forMigration Policy Development (ICMPD) inVienna estimated that migrants frombetween 100,000 to 220,000 in number hadused the help of smuggling syndicates moreor less intensely in one or several phasesof the transfer, in order to reach a westernEuropean state. The estimate by ICMPDis based on the assumption that between15% to 30% of immigrants (between250,000-300,000) entering Europe illegallyhave used the traffickers and that between20% to 40% of those requesting asylumwithout founded rights (estimated at300,000) have done the same. On theassumption that immigrants paytraffickers sums between $500 USD (pricefor crossing of a west European or MiddleEastern border) to $25,000 USD (forbringing Chinese people from China intothe USA), ICMPD believes that everyforeigner who reaches western Europe withthe help of traffickers, pays an averageamount of $2,500,USD to $5,000USD. Onthe basis of this calculation, ICMPD findsit realistic to estimate the profit of thetraffic syndicates for that year as aminimum of $100 million to a maximum of$1.2 billion USD. According to ICMPD, theworld profits in this criminal sector for thesame year was around $5 billion USD to$7 billion USD.12

This phenomenon has two effects, notonly is it a threat to the basic ingredientsof national sovereignty, it also places theimmigrants themselves in jeopardy.13

These would-be immigrants are highlyvulnerable, and women in particular areoften forced into sexual slavery in order topay off their debt to the criminal smugglingorganisations. In fact, the increase in thesmuggling of aliens is directly connectedwith prostitution. Experts estimate thatmore than 10,000 young women have beenrecruited in east European countries.14

In Europe, considerable alarm has been

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raised by nuclear materials trafficked bycountries belonging to the former SovietUnion. Although it is almost clear that forthe moment, rather than criminalorganisations, the traffickers are greedyfreelancers, traders, adventurers oropportunists15, looking for a demand in thearea. It is likely that in the future, criminalorganisations will enter this market forextortion purposes. If purchasers cannot befound and the material is on hand, thenextortion may appear particularlyattractive. There are currently severalhundred tons of weapon-usable fissilematerial under inadequate physicalsecurity and material control in Russia.Kilogram quantities of weapon-usablefissile materials have been stolen frominstitutes in Russia since the break-up ofthe Soviet Union. Part of this material isnot intercepted before leaving the Russianborders. The quantities that have alreadybeen stolen (and fortunately intercepted)are sufficient to make small nuclearweapons. It has been noted16 that sufficientfissile material can be diverted fromRussian stockpiles, with a high probabilityof success, to provide a sub-national groupwith one or two nuclear weapons, or evena rogue state with a sizeable arsenal.

Infiltration by organised crime groups,both traditional and relatively new ones,into the legitimate economy stems mainlyfrom the need to invest their illicit proceedsin order to obtain a legitimate income, butalso to reduce the overall risk of beingdetected and having their capital seizedand confiscated. Recent stringent anti-money laundering policies adopted by themember states have stimulated, via themoney trail, a more efficient detection ofthe real owners of these proceeds, and theseizure of capital of illicit origin. It istherefore likely that organised criminalsare seeking to internationalise themselvesin order to reduce the risk that theircriminal proceeds will be seized andconfiscated.

Infiltration of the licit economy stemsalso from the need criminals have alwayshad for respectability. The history ofcriminal organisations shows thatinfiltration in legitimate businessesbelongs in the evolutionary ladder of manycriminal organisations. Americanexperience has shown that this hashappened in the past, while the situationof the ex-Soviet Union already displays thisevolution. In the latter country, today’scriminal class, going through the processof contemporary infiltration into legitimatebusinesses and gaining respectability, willprobably be joining the ruling classes oftomorrow.

It is possible to distinguish threedifferent effects and four areas of thelegitimate economy in which organisedcriminals operate: the product market, thelabour market , capital and, as aconsequence, the stock market.17

In the product market, the criminalenterprise can seriously distort competitionamong legal enterprises. It strives todishonestly acquire a leading position inthe market or to engage in a coalition withlegitimate enterprises, and it is clear that,in this phase, it also tries to take over therole of the State. This means that criminalorganisations or legitimate enterprises, ina context of different and varying relations,seek to acquire a leading position over themarket, using weapons of voilence andbreaking the rules of competition. The morethe State or its institutions or markets areweak or weakly controlled and defended,the more easily attainable this objectivebecomes. In the European Union today,criminal organisations operate whereprofits are to be made, but also where theState or its institutions are weaker.Moreover, crimial penetration within theex-Soviet republics is due also to these twofundamental requisites: the maximisation

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of profits and the weakness of legislationand control instruments. It is thereforeclear that the major distortions incompetition produced by illicit methodsstunts the entrepreneurial initiative ofthose actors operating in accordance withthe law, and that it produces a major lackof equilibrium in the market.

Another important factor is distortion inthe labour market. Two basic distortionsarise in the labour market due to criminalinfiltration. The first is that the criminalenterprise offers job opportunities at higherprices and with lower costs than those fixedin the legal market. Control is exerted overthe work-force by the use or the threat ofviolence. By recruiting labour (especiallyf o r e i g n i l l i c i t a l i e n s ) , c r i m i n a lorganisations direct ly handle jobplacements, negotiations, wages, thusprotecting themselves against strikes orother forms of claimant behaviour.

Also of major importance for criminalorganisations is the capital market. Almostall of the European Union authorities areaware of illicit capital entering capitalmarkets. In investing their surplus money,criminal organisations increasingly tend touse professionals and lawyers who makeit possible to conceal the real ownership ofmoney thus averting the risk of itsdetection and seizure. It is evident thatfinancial markets are certainly the mostdesirable sectors for criminal infiltrationtoday.

But there is a further aspect ofpenetration which is of particularimportance: the effect of stock markets.Today, an interesting phenomenon withinthe European Union is that criminalorganisations tend to invest the launderedmoney by acquiring the property ofenterprises. Through the acquisition of alimited corporation, the criminal investorcan gain personal legitimisation, as well

as a profitable, unsuspected way tocommingle licit and illicit funds withoutdirectly using financial institutions.Depending on the surrounding economy orcriminal culture, such penetration may beperpetrated through violence, extortion,usury or other more sophisticated financialmethods. This kind of infiltration isparticularly important because it clearlyillustrates the type of distortion produced.It is also true that today, through theenterprise and its re-capitalisation withcriminal proceeds, a distortion ofcompet i t ion mechanisms may beengendered. Legal enterprises in factborrow capital by paying an official interestrate, not paid by those enterprises thathave the opportunity of resorting tocriminal proceeds to satisfy their need forliquidity and capital. Of course theseenterprises can operate in the market withmore competitive prices.

B. Changing Structures andRelations of CriminalOrganisations

The increased activities generated by thenew opportunities offered through theglobalisation of the markets seem to inducecriminal organisations to develop in twodifferent directions: specialisation anddiversification.

The trend towards specialisation in oneor more markets or specific illicit goods isprovoked by a combination of increasedcompetition among criminal organisationsand powerful investigations by lawenforcement agencies. Both are forcingcriminal organisations to develop theirexpertise and to become increasinglyefficient in their activities. Galicians inSpain and the mafia in Italy havespecialised as cocaine importers and mainsuppliers for Europe. Local criminal groupsin the Netherlands and Belgium havespecialised in the production and export of

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synthetic drugs in and outside theEuropean Union, whereas local groups ofwhite collar criminals still based in thesecountries have developed a long-standingexpertise in financial, European Union andVAT frauds . On the o ther hand,specialisation depends also on thetraditional expertise and on the specificgeographical position of the country oforigin to the criminal groups. It happensthat the Turkish and Kurdish drugtraffickers for example, are devoted almostexclusively to heroin trafficking, becauseof the vicinity of Turkey to the source area,and because of the wide immigrantcommunities in the heart of the EuropeanUnion.

With regard to the process o fdiversification as opposed to specialisation,some groups are developing a wide set ofopportunities providing goods and serviceson an opportunistic basis. They are sold toother criminal organisations even thoughthey may be competitors in a specificmarket or territory (arms trafficking andhuman smuggling, for example). Nigeriansand eastern European criminal networks(headed by the Russian mafia) havedeveloped their activity of delivery servicesfor a wide range of products and customers.The former have started importing cocainefrom the Colombian cartels, extendingfurther to heroin from South-East Asia.The latter, due to the geographic positionand the extension of the territory available,have diversified the products from drugs(both heroin and cocaine) to arms, alien andprostitute smuggling, and are in returnexporting cars and synthetic drugs fromEurope.

In terms of changes in organisationalstructure, there are two main changes thatcan be outlined; greater flexibility and moreco-operation with other criminal groups.

1. More FlexibilityMore flexibility occurs in the composition

of the criminal groups and their operations.A market with a varying demand for illegalproducts or services, such as the Europeanone, acts as a magnet for present and newadventurers. Criminal organisationsrequire a flexible structure in order topromptly re-organise their acitivitiesaccording to demand and to the number ofcompetitors. Occasional businesses orspecific targets more often require smalltask forces of criminal specialised experts,who work with external individuals,providing services and expertise in fieldsunknown or not directly accessible to thecriminal organisation. This networking canbe observed in the drug market, where theexample of the Nigerian networks is aclassical one. Small groups of excutives oreven individuals carry out the operationaltasks or missions, co-ordinated andinstructed by a strategic centre in thecountry of origin. In the field of fraudcommitted by Belgian or Dutch white collarcriminals, and for car thefts carried out byPolish and Yugoslav networks, thesenetworks have acquired a specific expertisein the division of labour for every task.

Flexibility also occurs in a wider gapbetween the ranks of the organisationalstructure. This means that the hierarchicaldistance between the leaders of a crime-enterprise and the rank-and-file isbecoming increasingly greater. This alsomeans that the “trail of evidence” linkingthe crime and the top level has becomeobscured, providing insulation against lawenforcement. At the lower levels, work iscarried out by small units (namely “cells”)which are aware of only a part of theorganisation’s activities or which functiononly as servicing units. This phenomenonhas been observed in the drug markets,where “veterans” are able to recruit a widenetwork of trusted executives.

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The organised crime groups analysedabove require a wide range of services,information and skills. Therefore, theproblem of co-operation comes eitherthrough the collusion/conflict with othercriminal groups or through corruption/conflict with law enforcement and judiciarypersonnel.

2. More Co-operation among CriminalOrganisation18

At the political and law enforcementlevels, attention is being paid to theproblem of collusive agreements amongcriminal groups. Recent alarm about suchagreements denotes the awareness that thelevel of competition among criminal groupsin some markets, and its development insome cases towards monopolistic positionsor collusive agreement, is relevant forunderstanding the way in which organisedcrime faces opportunities and risks. Sincecollusive agreements are made with thepurpose of optimising opportunities andrisk ( in this case, trading lesseropportunities against less risk), in regardto a monopoly where these two variablesare high (higher prices are an easy targetfor the police), it is understandable that lawenforcement agencies are concerned whena trend towards more collusive agreementsdevelops. For the same reason there is theopposite concern on behalf of organisedcriminals. It is possible to hypothesise thatthese collusive agreements are favoured ina combination of:

• Systemic variables: such as alengthy inter-criminal conflictwith inevitable spreading ofviolence;

• Organisational variables: such asweakness of the organisations dueto in f i l t rat ion , turncoats ,conviction of the top leaders;

• Economic variables: such as

changes in the markets, reductiono f r e s o u r c e s , d e m a n d f o rspecialisation;

• Perception of an increase of lawenforcement risk.

There is a continuum from completemerger between organisations at the oneextreme, to independent spot markettransactions on a one-off basis, at the other.These alliances can take many forms,including operating linkages, licensing orfranchise agreements and joint ventures.In this case, tactical arrangements, ratherthan strategic alliances are developed,because o f the lack o f long-termexpectations. In many respects suchactivities seem to be typical of a significantpart of the drug-trafficking industry, thatis, they are carried out by small ,independent organisations that have cometogether to exploit a particular traffickingroute and a specific way of circumventingcustoms and law enforcement. Many ofthese are small-scale tactical alliancesbased on transnational networks, but whenthey prove effective they have an inherentcapacity for growth. At the same time, theirloose, fluid nature makes it equallyplausible that they will be disbanded andtheir constituent elements reformed indifferent constellations. Tactical alliancesare made for specific purposes and are oftenfollowed by a search for other partners tomake shipments to different locationsusing different modes of concealment.

In the first place, alliances are a rational-response, multiplication of the businessopportunities (legitimate and criminal)provided by the opening of the Europeanmarkets. The development of alliances canbe understood as a response by criminalenterprises to the business environmentand as an attempt to overcome their ownlimitations. One of the most importantways to accomplish this is by aggressively

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gaining access to new markets. Sometimes,at the lower level (mainly involving streetdrug smuggling or prostitution rackets),this access happens with the use of violencein order to establish supremacy amongexploiters of the same market, as inGermany among east European groups orin the United Kingdom among street gangs.

The other way is to co-operate with thoseenterprises which are already entrenchedin these markets, having greaterknowledge of local conditions and beingmore attuned to local problems, rather thantrying to insert themselves as competitorson unfamilliar territory. In this case,alliances can also provide an effectivemeans of circumventing restrictionsimposed by government or ant i -governmental organisations, which canmake it difficult for foreign organisationsto penetrate the market. In this context,links are also increasing between criminaland terrorist organisations. Indeed, thedistinction between terrorist groupspursuing essentially political objectivesand criminal organisations pursuingeconomic goals is likely to becomeincreasingly blurred as can be noted interrorist groups such as the IRA and theINLA in lreland and the Kurds in Germanyand Turkey. They all act to achieveeconomic suppor t tha t c ou ld beinstrumental in the case of terrorists, orthe end result in the case of organisedcrime.

Paradoxically, co-operative tactics offera rational and effective response to a highlycompetitive situation. Obviously theorganisations already in the market haveto be offered something substantial inreturn, or some other form of reciprocityhas to be exercised.

C o - o p e r a t i o n a m o n g c r i m i n a lorgan isa t i ons i s o f t en a imed a tcircumventing law enforcement andnat i ona l r egu la t i ons . From th i s

perspective, it is clear that at least some ofthe al l iances among them can beunderstood as risk-reduction alliances.Criminal organisations make allianceswith governments, either throughcorruption or coercion or, more often, a mixof both. A reoccurring feature of thisbehaviour is the extended use of bribery inItaly in order to enhance control onterritory, to minimise the risk of lawenforcement and to strengthen theirposition against external competitors.Another example is offered by the criminalnetworks carrying out European Union orVAT frauds which must necessarily developties with institutions both at a national andEuropean level. Even criminal groupsdealing with the transportation of illicitgoods through the European Union bordersmust have accomplics at some level in theCustoms sector.

IV. THE EUROPEAN POLICIES 19

The European Union context givescriminals a fertile ground for theirtransnational activities. The Treatiesestablishing the European Community andfollowing Treaty of Maastricht grant a totalfreedom in moving capital, goods, servicesand persons across the borders of theMember States . I t i s , there fore ,understandabele how organised criminalrings are taking advantage of thissituation, specialising themselves intransnational illegal behaviours, exploitingthis large possibility of movement withinthe Union in connection with the loopholesof national legislation. Consequentlycriminals tend to become transnational andorganised, building up illicit enterprises,moving criminal goods and criminalproceeds from one country to another,establishing their bases in the most securenations and entering those illegal sectorswhere they perceive high opportunities forgain, with low risk.

15


Drug trafficking, money laundering,fraud (especially against the EuropeanUnion’s interests), corruption, traffickingof aliens with the scope of their exploitationare all illicit behaviours that are an everincreasing threat not only to the singlestates of the Union, but also to all theEuropean Community. Money launderingin particular is advantaged by all the newtechnologies present in modern society.This is the way in which the EuropeanUnion institutions try to define thephenomenon:

“Organised crime is increasinglybecoming a threat to society as weknow it and want to preserve it.Criminal behaviour is no longer thedomain of individuals alone, but alsoof organisations that pervade thevarious structures of civil society, andindeed society as a whole. Crime isincreasingly being organised acrossnational borders, also takingadvantage of the free movement ofgoods, capital, services and persons.Technological innovations such asInternet and electronic banking turnout to be extremely convenientvehicles either for committing crimesor for transferring the resultingprofits into seemingly licit activities.Fraud and corruption take on massiveproportions, defrauding citizens andcivic institutions alike”.20

How can European Union organismsreact to this complex situation? Since theexistence of the European Union, with itsrules and aims, is itself a push factor tothe spreading of organised crime, how dothe European institutions envisage toendow themselves with specific means forcombating organised crime? Unfortunately,despite the general sovra-national powergiven to European institutions within theeconomic framework of the Union, as faras crime, legal co-operation in criminalmatters and immigration are concerned,

the situations differ widely.

Only since November 1993, does theTitle VI of the Maastricht Treaty, throughthe so-called ‘third Pillar’ of the Union,make specific provisions in the field ofjustice and home affairs, which includesimmigration, drug addiction and co-operation in civil, penal, custom and policefields, giving life to a special decisionprocess. In these fields, Member States donot fully give up their sovereignty to theEuropean Union, because decisionscontinue to be taken unanimously. Theprevious informal co-operation has nowbeen transformed into an institutionalisedmethod. That is to say that this particulardecision-making standard is a half-waybetween the traditional Communitysystem involving all the Europeaninstitutions and intergovernmental co-operation at the diplomatic level.21 Whilethe European Parliament and theCommission have a very reduced role, theEuropean Council, always unanimously,can adopt joint actions and decisions (whichbind the Member States to the extent inwhich they contain explicit obligation) andpredispose Conventions. It is mainly in thislegal framework that, at European Unionlevel, the fight against organised crime canbe contained.

It is difficult to draw a detailed pictureof the most recent actions developedagainst organised crime in the EuropeanUnion’s context. Anyway, the criterionadopted here is based on the differentillegal activities contrasted, on theimportance of the instruments settled andon the methods of fighting crime.

As drug trafficking and addiction areproblems that afflict all of the MemberStates, some efforts have been undertakento enhance international co-operation anddata exchanges. The action by theEuropean Union in this sector is based on

16


the 1994 Communications from theCommission to the Council and on theconclusions of the Cannes and DublinEuropean Councils (held in June 1995 andDecember 1996 respectively). The aim ofthese instruments is to combat drugtrafficking, to reduce drug demand and todevelop co-operation among countries.

During the European Council held inDublin 13 and 14 December 1996, theneed was underlined for harmonisinglaws, developing further co-operationamong law enforcement agencies, payingattention to synthetic drugs and fullyimplementing the European Union’sD i r e c t i v e o n m o n e y l a u n d e r i n g ,considering its application outside theclassical financial sector.22 Also the roleplayed by information, education andtraining on health matters in reducingdrug demand was highlighted. In thefield of co-operation among nations, theEuropean Council also gave prominenceto the implementation of internationalagreements , such as the ViennaConvention against Illicit Trafficking inNarcotics Drugs and PsychotropicSubstancs, and to a better informationexchange among partners about drugs(especially with countries of LatinAmerican, Caribbean, central Asia,central and eastern Europe).

Following this advice, a joint action23 wasissued on the approximation of the lawsand practices of police, customs servicesand judicial authorities to combat drugaddiction and to prevent and combat illegaldrug trafficking. This joint action, furtherto harmonising legal, police and customssystems within the nation so as to improveprevention and fight against illegal drugtrafficking, urges Members States to:combat illicit movements of narcotic drugsand psychotropic substances within theCommunity (including “drug tourism”);punish serious drug trafficking offences

with the most serious penalties availablein their penal systems for crimes of thesame gravity; endeavour to change theirlegislation or to fill the legal vacuums inregard to synthetic drugs; take appropriatesteps to combat illicit cultivation of plantscontaining ingredients with narcoticproperties; make it an offence to publiclyand intentionally incite or induce others,by any means, to commit offences of illicituse or production of drugs. On 16 December1996, the Council issued a resolution aimedat dismantling the illicit cultivation andproduction of drugs within the EuropeanUnion. On 20 December 1996, the Counciladopted a resolution on sentencing forserious drug offences, asking MemberStates to ensure the possibility of custodialsentences for serious illicit trafficking indrugs. On the same date, the Counciladopted another joint action on theparticipation of the Member States in astrategic operation planned by the CustomsCo-operation Council to combat drugsmuggling on the Balkan Route. Recently,on 16 June 1997, the European Councilenacted a jo int act ion related toinformation exchange, risk assessment andthe control of new synthetic drugs.

As far as police co-operation related todrugs is concerned, a special unit, theEuropean Drug Unit (EDU), was createdby ministerial agreement in June 1993.The initial task of this Unit was to solicitexchanges of information on narcotics andmoney laundering. When talking aboutEuropol and police co-operation later on,EDU will be discussed in more detail.

Concerning fraud against the EuropeanUnion’s financial interests, in 1994 UCLAF(Unitè Contre la Lutte Anti Frode) wasestablished by the European Commission.This is a special Unit in charge of theprevention and repression of fraudaffecting the budget of the Union. This typeof fraud, which is seriously damaging not

17


only the r ight functioning of theCommunity, but also the interests of allMember States, is more and more in thehands of organised criminal networks.UCLAF has both leg is lat ive andoperational functions, being responsiblenot only for studying all kinds of measuresfor protecting the European Union’sbudget, but also, more generally, fordeveloping a contrast strategy againsteconomic and financial crime prejudicial tothe Communi ty and operat i ona lcountermeasures against counterfeiting.Another task of UCLAF in that ofinformation, publishing a yearly report onthe outcome of its activity.24

The most noteworthy actions by theEuropean Union in the fraud sector havebeen:

• Community regulations aimed atco-ordinating the administrativeco-operation between MemberSta tes and the EuropeanCommission in the customs andagricultural fields;

• Directive issued on 18 December1995, on the protection of theEuropean Community’s financialinterests, that, amongst otherthings, defines the acts damagingthe Union’s budget;

• Convention on the Protection of theEuropean Communities’ FinancialInterests (adopted by the Councilon 26 July 1995), that fixed acommon definition of fraud andbinds the Member States topunishing this behaviour (and itsinstigation or attempt) as acriminal offence in their nationalpenal systems.

Keeping in mind that corruption is avery common criminal activity practised inorganised criminal networks when doingbusiness, and in particular, considering thenegative and prejudicial role played by

corrupt ive pract i ces both at theCommunity and national level, theEuropean Council, on 26 May 1997, drewup the Convention on the Fight AgainstCorruption Involving Officials of theEuropean Communities or Officials ofMember States of the European Union. Theaim of this Convention is to strengthenjudicial co-operation in the fight againstcorruption. The Convention gives legaldefinition of active and passive corruption,obliging Member States to punish thesebehaviours as crimnal offences i fcommitted either by national or byEuropean Union officers. Those committingthese offences, or instigating the conductin question, should be punished byeffective, proportionate and dissuasivecriminal penalties, including, in the mostserious cases, deprivation of liberty, whichcan give rise to extradition processes. Otherrules foresee the jurisdiction of the MemberStates and the total co-operation ofMember States in invest igat ing ,prosecuting and carrying out thepunishment of such offences, when theyinvolve more than one country.

A more and more alarming criminalquestion within the European Union is thetrafficking of migrants. This phenomenonis controlled mainly by powerful criminalorganisations, capable of establishingcontacts among nations, of corruptingofficials, of counterfeiting documents andof controlling black labour markets. In thishuman trade, particularly weak subjectsare women and children, as they can easilybe sexually exploited in host countries. TheEuropean Union institutions have recentlybecome more aware of this criminal issue.

A C o m m u n i c a t i o n , i n c l u d i n gimmediately effective steps to combat childpornography on the Internet, and a GreenPaper on the Protection of Minor andHuman Dignity were adopted by theEuropean Commission on 16 October 1996.

18


A Communication by Commissioner AnitaGradin on Trafficking in Women for thePurpose of Sexual Exploitation whose aimwas:

“to stimulate a broad policy debateand to promote a coherent Europeanapproach to this issue....such anapproach should include measures toimprove both international andEuropean co-operation, whilst puttingmore effective measures in place atthe national level”.25

The European Council, on its behalf, hasadopted:

• a joint action extending themandate given to Europol DrugUnit’s to include trafficking inhuman beings26;

• a joint action to establish ap r o g r a m m e f o r s h a r i n ginformation among MemberStates on trade in human beingsand the sexual exploitation ofchildren (the so-called STOPp r o g r a m m e ) . 2 7 T h e S T O Pprogramme should develop co-ordinated initiatives on thecombating of trade in humanbeings and the sexual exploitationof children, on the disappearancesof minors and on the use oftelecommunications facilities forthe purposes of trade in humanbeings and the sexual exploitationof children. The specific aim of theprogramme should be providingt r a i n i n g , e x c h a n g i n gprogrammes, holding meetingsand seminars, doing studies andr e s e a r c h , d i s s e m i n a t i n ginformation for judges, publicprosecutors, law enforcementagancies, civil servants or thepublic services that come tocontact with this particularphenomenon;

• a joint action introducing a

programme of training, exchangesand co-operation in the field ofidentity document 28 (the so-calledSHERLOCK programme), run bythe European Commission, witha view of making more effectivethe action against the false papersused, especially by clandestineimmigration networks.

Another method for fighting organisedcrime within the European Union is tostrengthen legal co-operation in thecriminal area among all Member States.For example, to facilitate and simplifyextradition procedures for criminals whohave committed particular offences, couldbe a good way for speeding up processesagainst persons involved in organisedcr imina l r ings opera t ing in thetransnational arena. The Convention onSimplified Extradition Procedures betweenthe Member States of the European Union,adopted by the European Council on 10March 1995, is aimed at abolishing anumber of bureaucratic formalities whenthe person in question agrees to beextradited. The Convention relating toExtradition between the Member States ofthe European Union, adopted by theEuropean Council of Dublin on 27September 1996, is aimed at increasing theposibilities of extradition. The requestedState cannot refuse the demand forextradition if the fact is punishable underthe law of the requested State with at least12 months of liberty deprivation, and bythe law of the requested Member Statewith a penalty of at least 6 months ofdeprivation of liberty. In the cases in whichthe offences are classified in the requestingState as conspiracy or association tocommit an offence, the requested Statecannot refuse the extradition, claiming thatits penal law does not provide for the samefacts to be an offence, if the conspiracy orthe association is finalised to commitcrimes related to terrorism and drug

19


trafficking or other forms of serious illicitbehaviours against individual freedoms orcreating a collective danger. It is, in anycase, necessary that these acts should bepunishable by the requesting Member witha penalty of at least 12 months ofdeprivation of liberty. Extradition may notbe refused on the grounds that the personrequested is a national of the requestedMember State. These two Conventions arecurrently being subjected to the process ofratification by Member States.

Furthermore, in the European Unionframework, a new inportant Convention onMutual Assistance in Criminal Matters iscurrently being drafted. It tends to reducedifficulties deriving from cross-borderssearches of evidence and to makeprocedures simpler and speedier, bymaking it easier to obtain evidence comingfrom other countries, bettering andintensifying cross-border investigationsand allowing contact and informationexchange among investigators and judgesof different Member States.

Considering how criminal groupsprosper, thanks also to the discrepanciesamong legal systems of the EuropeanUnion’s States, it not difficult to realisewhy, in the field of legal co-operation, theinstrument used to contrast the activitiesof organised crime is the harmonisating ofpenal legislation of the Member states. Afruitful example of this attempt is theCouncil Resolution on lndividuals who Co-operate with the Judicial Process in theFight against International OrganisedCrime, adopted on 20 December 1996. Inthis case the Council calls all MemberStates, to take appropriate measures toencourage persons who participate, or haveparticipated, in an association of criminalsor other criminal organisation of any kind,or in organised crime offences, to co-operatewith the judicial process. To co-operatemeans to reveal essential information to

the investigation authorities or tocollaborate in helping authorities todeprive criminal groups of their illegalresources or of the proceeds of crime.Information may cover the composition, thestructure or the activities of the criminalnetwork; the existing links with otherillegal groups or the offences committed orthat might be committed by the criminalring. Following the advice of the Council,Member States should introduce in theirlegislation rules granting benefits to theseindividuals who, breaking away from thecriminal organisations they belonged to,help authorities in collecting evidenceessential for reconstructing facts,identifying perpetrators of crimes andleading to their arrest. Stringent protectivemeasures should be granted to thesecollaborators and to their parents, childrenor other people who, as a consequence ofthe revelations, are likely to be exposed toserious and immediate danger. In the end,the Council underlines the need forfacilitating judicial assistance amongStates for processes involving individualsco-operation in the f ight againstinternational organised crime. Alsokeeping c learly in mind that theinstrument of the resolution is not bindingfor Member States, the relevance of theCouncil’s act must be stressed, for itrepresents a moral imperative and a well-defined way to address criminal organisednetworks operating in Europe.

The elaboration of an efficient strategyagainst international criminal syndicatesshould result in combating them on aninternational scale, and it should allow forthe circulation of police information andknowledge among the law enforcementagencies of the Member States, at least asfast as organised crime gangs crossnational borders. The European Unioninstitutions have always felt the need forpolice co-operation in the fight againstorganised cr ime, and have acted

20


accordingly by establishing Europol andEDU.

In June 1991 in Luxembourg, Heads ofGovernment or States of all Member Statesstressed, upon an initiative of the GermanChancellor Kohl, the urgency for creatinga force called Europol. While pending thedrafting of the Convention establishingEuropol, in June 1993 an embroyonic formof Europol, the European Drug Unit (EDU),was set up through a ministerialagreement. The initial task of EDU was theexchange of information among lawenforcement agencies on narcotics andmoney laundering. With a joint actionadopted by the European Council on 10March 1995 29, the role of EDU was betterdefined and this Unit was put in charge ofthe exchange of information andintelligence in relation to illegal organisedcriminal activities affecting two or moreStates, and of helping police and releventnational agencies combat them. Thecriminal activities to be covered by EDUwere illegal drug trafficking, illicittrafficking in radioactive and nuclearsubstances, crimes involving clandestineimmigration networks and illicit vehicletrafficking. With another joint action on 16December 1996 30, the Council extended themandate of EDU also to the trafficking ofhuman beings.

The creation of EDU was principallycaused by the bureaucratic slowness linkedto the birth of Europol. The Convention onthe Establishing of a European Police Office(Europol Convention) was, in fact, drawnup by the European Council on 26 July1995, but until now it has not yet beenratified by all Member States. On the basisof this Convention, and with the aim ofimproving the effectiveness of thecompetent authorities in the MemberStates and co-operation among them inpreventing and combating terrorism,unlawful drug trafficking and all other

forms of serious transnational crime,Europol has been endowed with differenttasks: to facilitate the exchange ofinformation among Member States; toobtain, collocate and analyse information;to notify the competent authorities ofMember States (without delay) of anyinformation and connections detectedamong c r imina l o f f ences ; t o a idinvestigation within the Member States; tomaintain a computerised system forcollecting information. In each MemberState a national Unit should be establishedor designed and should serve as a liaisonbody between Europol and nationalauthorities.

At the Dublin European Council of 13and 14 December 1996, conscious of theneed for serious and co-ordinated approachby the Union to organised crime problems,the Council expressed the hope of a rapidratification of the Europol Convention byMember States. In this Council furtherdecisions have been taken, the mostimportant of which was the establishing ofa High Level Group to draw up an actionplan with specific recommendationscovering all the aspects of organised crime.

This action plan, drafted by the HighLevel Group, was adopted by the Councilon 28 April 1997 and can be considered themost serious planning of the activities ofthe Union against organised crime. Thefinal part of this paper will deal more atlength with this action plan because of itsrelevance, its recent adoption, its broad anddetailed range of proposals and its long-term programme, that involves allEuropean institutions and Member Statesin an active future collaboration. Theguidelines, expressed in recommendations,that the European Union and MemberStates should follow in enhancing theirstruggle against organised crime are veryclear.

21


In the field of police co-operation, eachMember State should grant a high level ofco - o rd inat i on among a l l i t s l awenforcement agencies, providing a singlecentral contact law enforcement agency toexchange information and keep contactwith the authorities of other MemberStates (Recommendations no. 1-2). Theaction plan also asks for the rapidratification and implementation of theEuropol Convention, stressing that thepowers of Europol should be broadened toinclude the following:

“(a) Europol should be enabled tofacilitate and support the preparation,co-ordination and carrying out ofspecific investigative actions by thecompetent authorities of the MemberStates...; (b) Europol should beallowed to ask Member States toconduct investigations in specificcases...; (c)Europol should developspecific expertise which may be putat the disposal of Member States toassist them in investigating cases oforganised cross-border crime...; (d)F u l l u s e s h o u l d b e m a d e o fpossibilities of Europol in fields ofoperational techniques and support,analysis and data analyses files (forinstance registers on stolen cars orother property)...; (e) Access byEuropol may be sought to theSchengen Information System or itsE u r o p e a n s u c c e s s o r ”(Recommendation no.25).The possibility for Europol to collaborate

w i t h t h i r d p a r t y c o u n t r i e s a n dinternational organisations should also betaken into account (recommendation n.24).

The Commission, Council and MemberStates should develop a comprehensivepolicy against corruption, trying to betterthe transparency of public administration.This object should be achieved by focusingprimarily on prevention elements and:

“Addrµessingµ such issues as the

impact of defective legislation, public-private relationships, transparency offinancial management, rules onparticipation in public procurement,and criteria for appointments topositions ot public responsibility...”,but also not forgetting “the area ofsanctions, be they of a penal,administrative of civil character, aswell as the impact of the Union’s policyon relations with third States”(Recommendation no.6).

Commission, Council and MemberStates, together with the professionalorganisations concerned, should alwaysstudy and define methods for reducing thesusceptibility of l iberal and otherprofessions to organised crime, for examblethrough the adoption of codes of conduct(Recommendation no.12):

“The Member States and theEuropean Commission should ensurethat the applicable legislationprovides for the possibility for anappl i cant in a publ i c tenderprocedure,who has committedoffences connected with organisedc r i m e , t o b e e x c l u d e d f r o mparticipation in tender proceduresconucted by Member States and bythe Community. In this context itshould be studied whether and underwhat conditions persons who arecurrently under investigation orprosecution for involvement inorganised crime could also beexcluded. Specific attention should bepaid to the illicit origin of funds as apossible reason for exclusion”(Recommendation no.7).

As far as fraud against the financialinterests of the European Union isconcerned, Recommendation no. 10 of theaction plan states that;

“The Member States should consultregularly the competent services of

22


the Commission with a view toanalysing cases of fraud affecting thefinancial interests of the Community,and deepening the knowledge andunderstanding of the complexities ofthese phenomena within existingmechanisms and frameworks. Ifnecessary, additional mechanismsshall be put in place with a view toarranging such consultations on aregular basis. In this context, futurerelations between Europol and theCommission’s anti-fraud unit (Uclaf)should be taken into account.”

The action plan also considers thenecessity for countries to harmonisenational legal systems by adopting thesame offences all over the European Uniont e r r i t o r y. S o , o n t h e b a s i s o fRecommendation no. 17:

“The Council is requested rapidly toadopt a joint action aiming at making itan offence under the laws of eachMember State for a person, present inits territory, to participate in a criminalorganisation, irrespective of the locationin the Union where the organisation inconcentrated or is carrying out itscriminal activity.”

On the basis of Recommendation no. 9,the structural funds of the Union shouldbe employed to avoid large cities of theUnion becoming grounds for organisedcrimial groups:

“Particular attention should be given togroups not fully integrated in society,since these may be vulnerable targetsfor criminal organisations.”

In the field of money laundering andconfiscation of the proceeds of crime, theaction plan (Recommendation no.26)suggests to the Council, to the Commissionand to Europol to endeavour to:

• improve international exchange ofdata;

• make as general as possible thecriminalisation of the launderingo f the proceeds o f c r ime ,considering the opportunity ofextending this offence to negligentbehaviours;

• introduce in the legal systems ofthe Member States confiscationrules that allow confiscationregardless of the presence of theoffender (including dead orabsconded);

• extend the obligation imposed byArticle 6 of the European Directiveon Money Laundering to alloffences linked with seriouscrimes and to persons andprofess ions di f ferent fromfinancial institutions;

• address the issue of moneylaunder ing committed v iaInternet and other electronicmeans of payment (it has to ber e m e m b e r e d t h a tRecommendation no.5 calls for acrosspillar study in the field ofhigh-technology crime);

• try to reduce the use of cashpayments and cash exchanges bynatural and legal persons servingto cover up the conversion of theproceeds of crime into otherproperties;

• Consider common strategies to beundertaken in the fields ofe conomic and commerc ia lcounter fe i t ing and in thefalsification of banknotes andco ins , a lso in v iew o f theintroduction of single currency.

The action plan (Recommendations no.’s13-14) also calls for the rapid ratificationof the most relevant internationalConventions concerning criminal matters,such as the European Convention onExtradition (Paris 1957), the Protocol to theEuropean Convent ion on Mutual

23


Assistance in Criminal Matters (Strasbourg1978); the Convention on Laundering,Search, Seizure and Confiscation of theProceeds from Crime (Strasbourg 1990), theAgreement on Illicit Traffic by Sea,implementing Article 17 of the UnitedNations Convention against Illicit Trafficin Narcotic Drugs and PsychotropicSubstances (Strasbourg 1995), theConvention on the Fight against IllicitTraffic in Narcotic Drugs and PsychotropicSubstances (Vienna 1988). It also warmlyinvites Member States to ratify all therelevant European Union Conventions: theConvention on Simplified ExtraditionProcedure between the Member States of theEuropean Union; the Europol Convention,the Convention on the Protection of theEuropean Communities ’ FinancialInterests, the Convention on the Use ofInformation Technology for CustomsPurposes; the Convention relating toExtradition between the Member States ofthe European Union; the Protocols to theConvention on the Protoction of theEuropean Communities ’ FinancialInterests.

In conclusion, the Amsterdam Treatyshould also be mentioned which, modifyingyet again the essential structure of theUnion, could also be considered a firsta t t e m p t t o f o l l o w s o m e o f t h erecommendations of the action plan.Although signed on 21 September 1997,this Treaty has not jet come into force, forit is waiting for ratification by all MemberStates. In many of its points theAmsterdam Treaty focuses on criminalproblems, requiring different levels of co-operation among law enforcement andjudicial authorities of Member States, andbetween them and Europol, and calling forthe creation of a European research,documentation and statistical network oncross-border crime within five years. On thebasis of the Articles of the AmsterdamTreaty, Europol can ask Member States to

conduct joint investigations in specificcases; Member States are invited to set upjoint crime-fighting teams, that can besupported by Europol; easer extradition ofcriminals among Member States should bemade possible, and all over the Union acommon minimum standard for rules andpenalties in the field of organised crimeshould be adopted.

NOTES

1. J. Storbeck, “Developments of InternationalOrganised Crime and Future Expectations WithinEurope”, paper presented at the Europe 2000Conference, The Hague, April 1994, p.4.

2. N. Onishi, “Stolen Cars Find a World of Welcome”,The New York Times, July 10, 1995.

3. “Chinese Connections”, The Banker, October, 1994.4. The 1995 INCSR, p.478.5. J. Storbeck, “Developments of International

Organised Crime and Future Expectations WithinEurope” paper presented at the Europe 2000Conference, The Hague, April 1994, p.4.

6. Commission of the European Communities,Protecting the Community’s Financial Interests,The Fight Against Fraud - Annual Report 1995,Brussels, 1996.

7. Commission of the European Communities,Protecting the Community’s Financial Interests,The Fight Against Fraud - Annual Report 1994,Brussels, May 29, 1995.

8. E.U. Savona, G. Da Col and A. Di Nicola, “Dynamicsof Migration and Crime in Europe: New Patternsof an Old Nexus”, paper presented at theInternational Conference on Migration and Crime:Global and Regional Problems and Responses,Courmayeur, October 5-8, 1996.

9. G. Witkowski, “Illegal Migration West”, TheWarsaw Voice, September 10, 1995.

10. “The New Trade in Humans”, The Economist,August 5, 1995.

11. Ibid.12. J. Widgren, “Multilateral Co-operation to Combat

Trafficking in Migrants and the Role ofInternational Organizations”, paper presented atthe Eleventh IOM Seminar on InternationalResponse to Trafficking in Migrants and the

24


Safeguarding of Migrant Rights, Geneve, October26-38, 1994, pp. 5-6. For more details on this topic,see TRANSCRIME, Migrazione e criminaltà - Ladimensione internazionale del problema, CNPDS,Milano, June 1996, pp. 53-72. See also E.U. Savoma,G. Da Col and A. Di Nicola, op. cit.

13. J. Fredman, “Smugglers Move 1 Million Yearly toIndustral World”, The Houston Chronicle, June 12,1994, p.31.

14. J. Storbeck, op. cit., p.6.15. R. Atkinson, “Official Say Contraband Not a

Threat”, The Washington Post, August 28, 1994.16. T.B. Cochran, Prepared Testimony Before the

Senate Committee on Foreign Relations, EuropeanSubcommittee, August 23, 1995.

17. Ernesto U. Savona, “Svilppi delle attività criminalied ii riflessi nel sistema economico nazionale edinternazionale”, in Economia e Criminalità,Camera dei Deputati, Rome, 1993, p. 203-213.

18. This section draws upon the contributions of: P.Williams, “Transnational Criminal Organisations:Strategic Alliances”, The Washington Quarterly,January 1995; R. Godson and W.J. Olson,“International Organized Crime”, Society, n. 2. vol.32, January 7, 1995; E. Kemmelmeier, “LatestDevelopments of Terrorism and their Relation withMafia Type Organizations”, paper presented at theEuropean Round Table Conference on InstitutionalThreats to Parliamentarian Democracy - OrganizedCrime, Terrorism, Corruption and EuropeanStructured Answers, The Hague, 20-22 April, 1994.

19. This paragraph is mainly drawn on EuropeanCommission, Directorate-General X, Task Force onPriority Information Project, Security Supportingan Area of Freedom in Europe, Brussels, 1997, BNascimbene (ed.), Da Schengen a Maastricht.Apertura delle frontiere, cooperazione giudiziariae di polizia, Giuffrè editore, Milano, 1995.

20. Action Plan to combat organised crime, adoptedby the European Council on 28 April 1997, Part I,Chapter 1, paragraph 1.

21. U. Draetta, Elementi di diritto comunitario,Giuffrè editore, Milano, 1994, pp. 44-45.

22. This Directive (no. 91/308, 10 June 1991) is aimedat preventing traffickers from laundering theirmoney into European legal financial circuits, askingMember States to criminalise this behaviour andfinancial institutions to be more strict in controlling

the identity of their clients.23. Joint action 96/750/JHA, adopted on 17 December

1996.24. See, as an example, European Commission,

Protection of Community Financial Interest, FightAgainst Fraud - Annual Report 1996, Luxembourg,1997.

25. A. Gradin, Communication on Trafficking inWomen for the Purpose of Sexual Exploitation,Brussels, November 1996.

26. Joint action 96/748/JHA, adopted on 16 December1996.

27. Joint action 96/700/JHA, adopted on 29 November1996.

28. Joint action 96/673/JAI, adopted on 28 October1996.

29. Joint action 95/73/JHA, adopted on 10 March 1995.30. Joint action 96/748/JHA, adopted on 16 December

1996.

25


THE THREATS POSED BY TRANSNATIONAL CRIMES ANDORGANIZED CRIME GROUPS

Frank J. Marine*

I. INTRODUCTION

This conference is especially importantand timely because in the 1990s, theproblems to the world community posed bytransnational crimes and organized crimegroups have increased significantly and arelikely to continue to increase in the nearfuture. There are several principal reasonsthat account for this unfortunate increasein transnational and organized crimeactivities.

First, the increased volume of tradeamong nations, which of course has greatlybenefited legitimate business interests, hasalso generated greater opportunities forcriminals to criminally exploit suchbusiness and trade.

Second, the decrease in customs andother regulatory barriers to internationaltravel and business has also had theunintended effect of aiding criminalsengaged in smuggling of narcotics andother contraband.

Third, similarly, the proliferation of airtransportation connections and the easingof immigration, visa and travel restrictionsin many counties to promote legitimateinterests has also facilitated criminalactivity and the movement of criminalsacross international borders.

F o u r t h , m o d e r n a d v a n c e dtelecommunications and informationsystems that are used in legitimate

international commercial activity can alsobe used by criminal networks to improvetheir own communications and to quicklycarry out criminal transactions, especiallymoney laundering.

For example, through the use ofcomputers, international criminals have anunprecedented capability to obtain,process, and protect information andsidestep law enforcement investigations.They can use the interactive capabilitieso f a d v a n c e d c o m p u t e r s a n dtelecommunications systems to plotmarketing strategies for drugs and otherillicit commodities, find the most efficientroutes and methods for smuggling andmoving money, and create false trails forlaw enforcement or banking security. Theuse of computers has enabled Colombiandrug traffickers in particular to keep moreflexible and secure records of transactionsand money laundering act ivit ies .International criminals take advantage ofthe speed and magnitude of financialtransactions and the fact that there are fewsafeguards to prevent abuse of the systemto move large amounts of money withoutscrutiny.

Fifth, international criminals arebecoming more sophisticated in theiroperations, using modern businesstechniques and technology to facilitatetheir criminal activities and to thwart lawenforcement efforts. Such organizationsalso employ individuals with specificexpertise to facilitate their criminalactivities, including transportationspecialists, computer experts, financialexperts to launder their money and manage

* Deputy Chief, Organized Crime and RacketeeringSection, Criminal Division, U. S. Department ofJustice, United States.

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business investments, and attorneys toidentify loopholes in laws and regulationsthat enable criminal networks to laundermoney and establish front corporations andbusinesses.

Sixth, unfortunately, consumption ofillegal drugs has increased in somecountries leading to greater problems posedby trafficking in illegal narcotics.

Seventh, the breakup of the Soviet Unionin 1991 and the related break up of theSoviet Bloc has led to the development ofmany organized crime groups that haverecently engaged in substantial criminalactivities, especially effecting the Europeancommunity and the United States.

Eighth, the new governments that haveemerged from the former Soviet Bloc aremaking significant advances, but still havenot yet had enough time to develop andimplement laws, regulations and businesspractices to adequately address theproblems of crime and public corruptionposed by organized crime groups.

In sum, these and other recentdevelopments and trends have contributedto growing transnational criminal activitiesand the expansion of organized crimegroups. The cost to the world communitycaused by organized crime groups andtransnational crimes includes not only lossof billions of dollars, lose of life and physicalinjuries, but also entails substantial publiccorruption. The combined effect of theseadverse consequences tends to underminethe security and stability of governmentsthemselves . Indeed , the adverseconsequences of such criminal activitiescan not be understated. It is thereforeessential that the international communitycontinue to work together closely to addressthese very serious problems facing us all.

II. DEFINITIONS

It is important to note that the conceptsof transnational crimes and organizedcrime are different and distinct, eventhough they are interrelated and overlap.

As I use the term, “transnational crimes”refers to serious crimes that eithersignificantly affect more than one countryor are carried out across national bordersand thus involve criminal activity in morethan one country.

As I use the term “organized crime”, Iam not referring to a particular offense orcrime. Indeed, in the United States thereis no criminal offense designated“organized crime”; as in the United Statesit is not a crime “per se” merely to be amember of an organized crime group. Thisis so because in the United States criminaloffenses are defined by the specific conductthat is made criminal, and not by thenature of the group that is committing theoffense. Therefore, it is a crime for anyoneto commit conduct that is made criminalregardless of whether the offender is or isnot a member of an organized crime group.

M o r e o v e r, U n i t e d S t a t e s l a wenforcement does not use any particularrigid definition of “organized crime”.Rather, United States law enforcementuses an extended list of criteria orattributes that typically are shared byorganized crime groups. Thus, organizedc r i m e g r o u p s p o s s e s s c e r t a i ncharacteristics which include but are notlimited to the following :

(1) The groups have a hierarchicalstructure and continue over anextended period of time and are self-p e r p e t u a t i n g . T h a t i s , t h eorganization continues its illegalaffairs even after the death orimprisonment of some of its leaders

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and members.

(2) T h e i r i l l e g a l a c t i v i t i e s a r econspiratorial.

(3) In at least part of their activities, theycommit or threaten to commit acts ofviolence or other acts which are likelyto intimidate.

(4) They conduct their activities in amethodical, systematic, or highlydisciplined and secret fashion.

(5) They insulate their leadership fromdirect involvement in illegal activitiesby their intricate organizationalstructure.

(6) They attempt to gain influence ingovernment, politics, and commercethrough corruption, graft andlegitimate means.

(7) They have economic gain as theirprimary goal not only from patentlyillegal enterprises such as drugs,gambling and loansharking, but alsofrom such activities as launderingi l l e g a l m o n e y t h r o u g h a n dinvestment in legitimate business.

As you can see by this criteria, UnitedStates law enforcement uses the term“organized crime” to refer to organizedcr ime groups tha t r e f l e c t thesecharacteristics, and the term does not referto a particular offense or crime.

I realize that others may define“organized crime” differently and I do notmean to suggest that these criteria are theonly criteria for defining or describingorganized crime. Rather, I am only statingthat these are the criteria that federal lawenforcement uses in the United States.

By way of emphasis, the key attributes

of an organized crime group are that thegroup has a hierarchical structure,continues its illegal activities over anextended per iod o f t ime, i s se l f -perpetuating, and engages in diversifiedcriminal activities for profit.

It is also noteworthy that while virtuallyall serious and sophisticated criminalact iv i ty involves some degree o f“organization”, and some degree of jointconspirator ia l undertaking, suchorganization, in my view, does notnecessarily make such criminal activity“organized crime”. If that were the case,then virtually all serious crimes would beconsidered “organized crime” becausevirtually all serious crime involves“organization”.

It bears emphasis that, in my view, theterms “transnational crime” and “organizedcrime” are not synonymous. Althoughorganized crime groups may committransnational crimes, organized crimegroups also often engage in criminalactivities that mostly affect the country inwhich they operate with little direct effecto n o t h e r c o u n t r i e s . C o n v e r s e l y,transnational crimes are not onlycommitted by organized crime groups, butare also committed by offenders who arenot members of recognized crime groups.

I hope that the distinctions I am drawingbetween transnational crimes andorganized crime will become clearer as Idiscuss these concepts in more detail andillustrate my point by specific examples.

With these definitions in mind, I wouldnow like to briefly summarize the principaltransnational offenses that in my viewaffect the United States and many othercountries. By no means does the listnecessarily contain all transnationalcrimes, however, I would like to focus onthe principal ones in my view. Then, I

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would like to briefly describe the principalorganized crime groups that are operatingin various countries that also have impacton many countries.

III. TRANSNATIONAL CRIMES

A. Drug TraffickingThe worldwide illicit narcotics industry

is one of the greatest threats to socialstability and welfare in the United States.In addition to the terrible human cost ofaddiction and associated health concerns-including HIV and AIDS-endured by usersof illicit narcotics, drug abuse has asignificant impact on the social fabric thataffects all Americans. Drug abuseundermines family cohesion and has aterrible daily and often lifelong effect onthe lives of children across the country.Drug abuse also promotes antisocialbehavior and disrespect for laws andinstitutions. The drug trade brings with ithigh levels of street crime and violence byaddicts needing to pay for drugs and bydrug groups fighing for turf.

The economic costs to United Statescitizens are high—lost productivity at thework place, medical care, spending for drugrehabilitation and social welfare programs,and in the financial and personnelresources required by federal, state, andlocal law enforcement agencies and judicialand penal systems to deal with drug-related crimes.

• According to the most recent publiclyavailable survey data, about 13million Americans—6.1 percent of thetotal population—used drugs on acasual, monthly, basis in 1996. Thesurvey data indicates that in 1995there were approximately 3.3 millionchronic users of cocaine and some810,000 heroin addicts in the UnitedStates. It is estimated that nearly 5mill ion Americans have tried

methamphetamine, an illicit drugassociated with particularly violentaberrant behavior, in their lifetime.Every day, some 8,600 young try anillegal drug for the first time.

• In 1995, United States citizens spentapproximately $57 billion dollars ondrugs—including $38 billion topurchase cocaine and $10 billion onheroin from overseas sources. Theeconomic costs to society are evengreater; in 1990, the total costs ofdrug abuse—including health carecosts, lost productivity, and the costsof crime—were estimated to be $67billion, of which $46 billion wasrelated to crime and criminal justice.

• Drug use costs United States citizensroughly $17.5 billion per year inhealth-related costs, according to arecent estimate. The annual death-related costs of drug abuse accountfor an additional $3.2 billion. At least$6.3 billion of these costs aree s t i m a t e d t o b e f r o m A I D Stransmission driven by drug use.

• Drug use has a significant effect onwork place productivity. Drug usersare times more likely to be late forwork, 10 times as likely to be absent,and five times more likely to fileworker’s compensation claims. Theyare responsible for 40 percent of allindustrial fatalities and incurmedical costs three times as high astheir drug-free coworkers.

• There is a strong correlation betweendrug abuse and crime. In 20 of 23cities in 1996 in a program sponsoredby the National Institute of Justice,more than 60 percent of adult malesarrested for crimes tested positive forat least one drug. In 1995, almost255,000 people were incarcerated in

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state prisons and nearly 52,000 infederal prisons for drug offenses,about 60 percent of federal prisonpopulation was there for drug-relatedcrimes.

To put it mildly, these costs in money andhuman suffering from use of, andtrafficking in, illegal drugs are deplorable.

There in no doubt that the United Stateshas a serious problem with the degree ofillegal drug use. Unfortunately, othercountries are also experiencing an increasein illegal drug use. For example, it isestimated that in the Peoples Republic ofChina the number of registered drugabusers increased between 1990 and 1995from 70,000 to 520,000. In Pakistan theheroin addict population is estimated tohave grown from virtually none in 1980 totwo million. Likewise, the use of cocaineand other illicit drugs has substantiallyincreased in Russia and other countries ofthe former Soviet Bloc since the breakupof the Soviet Union.

This demand for illegal drugs drives thesupply. Regarding the supply, SoutheastAsia remains the greatest source region forheroin in the world, accounting for 60percent of the world’s production. Burmais the world’s largest producer of illegalopium and heroin, accounting forapproximately 50 percent of the world’sillicit production. Laos is also a largeproducer of opium and marijuana. Othercountries in Asia are transit routes for illicitopium and heroin, including Thailand,Vietnam, Cambodia and the People’sRepublic of China.

Colombia continues to lead the world incocaine production. Extensive drug cartelsuse Mexico and Central America as stagingor transhipment areas for United Statesbound cocaine, which is smuggled into theUnited States primarily through the

southwestern border and southeasternUnited States.

Colombian drug organizations arehistorically familial-based organizationsinvolved in cocaine trafficking and, to alesser extent, the trafficking of marijuana.Distribution in the United States isdirected by sophisticated organizedstructured groups. Cocaine wholesale-leveldistribution and money launderingnetworks comprised of multiple cellsfunction in a number of major metropolitanareas. These organizations are fullyequipped with the most up-to-datetechnology, including personal computers,pagers, and facsimile machines for use intheir daily operations. United Statesoperations are coordinated on a daily basisby key figures in Colombia. Primary UnitedStates bulk cocaine distribution centersinclude southern California, southernFlorida, southern Texas and New York City.

Recent cases indicate that Colombiandrug organizations are increasingly usinggangs operating in Mexico to provide drugsmuggling services. The terrible violenceassociated with these drug cartels is wellknown. The violence and corruptinginfluence of these drug cartels is sosignificant that they constitute directthreats to the stability of governments inCentral and South American countrieswhere they operate.

Recently, Nigerian organized crimegroups have become major suppliers ofheroin to regions in the United States.Cases that have been prosecuted indicatethat Nigerian drug organizations typicallysmuggle only small quantities of drugs ata time using thousands of couriers, ratherthan smuggling large bulk shipments asdo other drug trafficking organizations.

Illicit drug trafficking clearly posesformidable problems for the law

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enforcement agencies of the United Statesa n d o t h e r c o u n t r i e s . T h e D r u gEnforcement Administration (DEA) andthe Federal Bureau of Investigation (FBI)are the principal federal law enforcementagencies in the United States responsiblefor combating illegal drug trafficking. Theirprimary strategy involves the targeting ofthe largest or major drug traffickingenterprises for investigation andprosecution so that the enterprise itself canbe dismantled or disrupted.

In addition to attacking the suppliers ofillicit drugs, it is also imperative to reducethe demand for illicit drugs.

The Director of National Drug ControlPo l i cy in the Uni ted States hasimplemented a comprehensive five yearstrategy designed to reduce the demand forillicit drugs which includes: educationaland advertising programs to educatechildren and parents about the harmfuleffects of drugs, to persuade people to rejectillegal drug use; and to increase drugtreatment and rehabilitation efforts to helppeople refrain from using illegal drugs.

B. Alien SmugglingSophisticated alien smuggling networks

traffick in “human cargo”. Alien smugglingis fast becoming a global problem asresidents of many countries, particularlyMexico, the Peoples Republic of China,India, Pakistan and other counties seeknew homes and economic opportunities inCanada, Japan, the United States, WesternEurope and other countries. According toa United Nations Study, in 1994, the profitsturned from smuggling illegal aliens acrossinternational borders approached $9.5billion.

The United States is not alone inexperiencing a serious problem with illegalimmigration. In the last two years,estimates indicate that more than half a

million illegal immigrants were smuggledinto Western Europe. Japan has alsoexperienced an increase in illegalimmigration from other Asian countries.

The vast majority of migrants who enterthe United States and other countriesillegally are motivated by economic reasons- they seek jobs and greater economicopportunity. In some cases, the aliens arefleeing political persecution or are seekinggreater political freedom in other countries.Therefore , there are substant ia lhumanitarian concerns and issues relatedto the global problem of alien smuggling.However, alien smuggling also posessubstantial problems for law enforcementin the United States and elsewhere.

According to the Immigration andNaturalization Service of the United States(hereinafter INS), approximately fivemillion illegal aliens reside in the UnitedStates. By reside, I mean persons who haveremained in the United States for morethan 12 months. Therefore, this five milliondoes not include many, perhaps hundredsof thousands, of temporary illegal migrantswho may come to the United States to workfor several months and then return to theirhome country, and does not include alienswho stay a short period of time beyond thelegal limits of their admission. INSestimates that about 54 percent of thesefive million illegal aliens are from Mexico.

Although Mexico by far is the largestsource of illegal aliens in the United States,other countries such as El Salvador,Guatemala, Honduras and Haiti are alsoprincipal sources of illegal migration in theUnited States. Moreover, Central andSouth America are increasingly serving astransit zones for aliens from other areas,including Asia and Eastern Europe. Aliensmuggling networks and routes have beenestablished throughout Central America tomove local migrants, as well as illegal

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aliens from other areas. Tactics used byalien smuggling organizations run thegamut o f a l l avai lab le means o ftransportation including large boatloads ofmigrants, air travel of a few individuals tolarge groups of alleged tourists, tocommercial buses, trucks and vans.

The smuggling of aliens from thePeople’s Republic of China to the UnitedStates has posed particular problems forUnited States law enforcement. Between1991 and 1997, the United States Navy andCoast Guard interdicted a total of 43 shipscarrying over 4,000 migrants, mostly fromthe Fujian province in the People’s Republicof China. A series of prosecutions in Boston,New York, Honolulu, San Francisco andHawaii has established that an Asianorganized group known as the Fuk Chinggang that operates primarily in New Yorkand California was responsible for muchof smuggling of boatloads of aliens from thePeople’s Republic of China.

The dangers involved in such smugglingventures are highly significant. Theprosecutions I mentioned established thatin many instances the boats wereovercrowded, unsanitary, lacked adequatefood and supplies and were unsafe. In onetragic incident in 1993, a ship, the GoldenVenture, carrying over 100 aliens from thePeoples Republic of China ran aground offthe coast of New York City and 10 aliensdied as a result.

In addition, these prosecutions haveestablished that the aliens and theirfamilies are exploited if the alien issuccessfully smuggled into the UnitedStates. The smuggling fee of $20,000 to$30,000 per alien is clearly beyond themeans of a Peoples Republic of Chinamigrant to pay. Consequently, thesmugglers have threatened, kidnapped,and assaulted aliens and their familymembers to collect the smuggling fees and

often force the alien to work illegalgambling or prostitution businesses, orsweatshops in the garment industry untilthe smuggling fees are paid.

Similar harmful consequences stem fromsmuggling operations involving migrantsfrom Central and South America. Forexample, unsafe and overloaded vehicleshave contributed to accidents resulting indeath and injuries.

The costs to the United States associatedwith illegal migration is substantial. Toaddress alien smuggling and relatedm a t t e r s , t h e I m m i g r a t i o n a n dNaturalization Service’s overall budget hasmore than doubled within five years from$1.5 billion in fiscal year 1993 to $3.1 billionin fiscal year 1997.

A November 1997 report by the UnitedStates General Accounting Office indicatesthat illegal immigrant families receive overone billion dollars in welfare payments andFood Stamps alone. One state, California,alone spends about $830 million each yearto incarcerate illegal aliens who have beenjailed for criminal acts. The financial costsassociated with United States interdictionand deportation procedures are also high.For example, the costs exceeded $7 millionto deport 158 migrants and 11 crewmembers seized in a boat carryingmigrants from the Peoples Republic ofChina destined for Hawaii in May, 1995. Iwould imagine that other countries areexperiencing similar problems and costsrelated to the global prolems arising fromillegal migration.

To address these problems, the UnitedStates has recently nearly doubled the sizeof INS border patrol agency. United Stateslaw enforcement working with the CoastGuard and Navy and other agencies hasincreased its efforts to interdict boatloadsof illegal aliens and to repatriate them.

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Criminal penalties for alien smugglinghave been increased, a mandatoryminimum of three years’ imprisonmentupon conviction for smuggling an alien forfinancial gain. For example, in January1998, the ship’s captain and two crewmembers convicted of smuggling a boatloadof over 100 aliens from the People’sRepublic of China were sentenced in Bostonto 12, 10 and 8 years in jail. INS alsocontinues to work with other countries toidentify alien smuggling networks and tostandardize entry and documentaryrequirements for international travel tominimize the risks of counterfeitdocuments.

C. Money LaunderingMoney laundering is designed to prevent

governments and law enforcementagencies from knowing the source of illegalproceeds and from tracing the money to itssources. The primary motive of professionalcriminals is to obtain financial profits fromtheir varied criminal activities. Thus thecriminal activities that drive the need tolaunder money are very broad, rangingfrom laundering illegal proceeds from drugtrafficking and racketeering enterprises towhite collar crimes such as commercial andbank frauds, bribery and tax evasion.

• The amount of funds generatedaround the world by illegal activitiesrequiring legitimization is on theorder of hundreds of billions of dollarsannually; most estimates place theamount of money being launderedannually between $300 billion to$500 billion.

• In addition to drug traffickingproceeds, substantial amounts ofmoney are transferred abroad to belaundered or otherwise hidden,c o s t i n g t h e U n i t e d S t a t e sGovernment tens of billions of dollarsannually in tax revenue losses. A

1993 study on transfer pricingconcluded that the United States wasdeprived of at least $30 billion—andpossibly as much as $100 billion—intax revenue that year as a result oftax evasion or money launderingthrough transactions between UnitedStates firms and their foreignpartners.

The infrastructure for launderingcriminal proceeds, all of which must beplaced and “legitimized” in the legaleconomy, is extensive and worldwide.Banks, nonbank financial institutions —which inc lude brokerage houses ,commodities dealers, currency exchangeservices, and casinos — and otherlegitimate businesses are part of the moneylaundering network. Investment inlegitimate business enterprises providescover for criminal activities, as well as aplausible source of wealth and income todeny it was obtained illegally. Use of frontcompanies to launder illegal proceeds andto f inance i l l icit transactions arewidespread by criminals worldwide.

The international banking and financialsystem is routinely used by launderers tolegitimize and transfer illicit proceeds.Once i l l i c i t proceeds are in theinternational banking system, electronictransfers of funds makes it difficult to trackhow laundered money flows. Tens ofthousands of banks worldwide areconnected to electronic funds transfersystems. The flow of illicit money, however,is only a tiny fraction of the trillions ofdollars that move daily through theinternational financial system, more than$1 trillion moves daily through the UnitedStates-based Clearing House InterbankPayments System (CHIPS), which handlesnearly all international dollar transfers. Inmost cases, banking and other financialinstitutions probably serve more asavenues of opportunity for launderers

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rather than willing participants.

Foreign banking systems that offer bankand corporate secrecy, or where there isweak enforcement or an absence ofregulations against illicit financialact ivit ies , are most appeal ing tointernational criminals seeking to launderillicit proceeds or to stockpile funds insecret accounts and shell companies.Criminals also take advantage ofcorruption in many banking sectors, bothto place money into banking systems andthe economy, and to hamper anyinvestigation of illicit financial activities.

D. Financial FraudWide-ranging and complex financial

fraud schemes by international criminalorganizations are stealing billions of dollarsannually from United States citizens,businesses, and government programs.Financial fraud crimes have become moreprevalent in recent years as criminalorganizations take advantage of thesignificantly greater amounts of personaland corporate financial information nowavailable and the ability to access thatinformation through computer technology.The Association of Certified FraudExaminers estimated financial losses fromfraud perpetrated by domestic andinternational criminals in the UnitedStates at more than $200 billion per year.A 1995 survey o f personal fraudvictimization estimated the annualtangible costs associated with fraudschemes to be $45 billion.

Credit card fraud is another majorfinancial fraud that crosses internationalborders. Chinese gangs in the UnitedStates particularly have been adept atcarrying out a wide variety of credit cardfraud, including counterfeit credit cards.Major credit card issuers estimate fraudlosses to have been in excess of $2 billiondollars in 1996, about one-third of which

occurred outside the United States.

The expansion of computer technologythroughout the world has also led toincreased opportunities for transnationalcriminals to gain access to confidentialinformation and to use the interactivecapabilities of advances in computers andtelecommunications systems to facilitatefraudulent schemes and the movement ofillicit money other assets.

E. Bank Fraud and Threats toInternational Banks andFinancial Institutions

The use of banks and other financialinstitutions by international criminals tolaunder money, finance illicit transactions,or facilitate fraud schemes can underminetheir credibi l i ty, with signif icantrepercussions for the internationalfinancial system. Financial institutionsrely on their credibility in internationalfinancial transactions—including loans,investments, large fund transfers, andmanaging stock and equity funds—and thefailure of a large institution can affectglobal makets. Allegations that a financialinstitution is involved in criminal activityraises the possibility that its services andbusiness practices are corrupt, scaringaway investors and customers.

Efforts by some countries to developmodern banking systems can be greatlyinhibited by involvement in theirburgeoning financial sectors. In cash-and-credit-scarce countries like Russia, forexample, criminal groups can gaininfluence over banks and access to loansfor their enterprises simply by threateningto withdraw their funds from the bank.Criminal organizations that acquire controlor significant influence in banks or otherfinancial institutions sometimes use themto make loans to front companies that arenot repaid, which can undermine thecredility and solvency of the banks,

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sometimes forcing the internationalfinancial community to come to the rescue.

The collapse of Latvia’s Bank Baltija inAugust 1995—the largest commercial bankin Latvia at the time of this failure—illustrates the threat posed by criminalcontrol of financial institutions. Criminalsused the bank to make loans to their ownfront companies, which were not repaid,and defrauded accounts of as much as $40million. This massive fraud caused thebank to fail, provoking a major financialcrisis in Latvia.

F. CounterfeitingCounterfeiting of United States currency

and the currencies of other nations remainsa long standing problem, especially withimprovement in copying and productiontechnologies.

G. Transnational Crimes InvolvingIntellectual Property

Counterfeiting and other forms ofcopyright, trademark, and patentinfringement and sale of pirated productsdistort international trade, undermine thelegitimate marketplace, and causeextensive losses of revenue to both domesticand foreign industries. The illegalduplication of United States films, compactdisks, computer software computersoftware, pharmaceutical, and clothingtrademarks major—sectors of UnitedStates export earnings—causes annual toUnited States companies of up to $23billion.

H. Corrupt and Criminal BusinessPractices

Companies in the United States andother countries are victimized by the globalproblem of corrupt business practices,including commercial bribery to obtainlucrative business and governmentcontracts. In a three-year period betweenMay 1994 and April 1997, foreign business

companies were alleged to have offeredbribes for 180 contracts valued at $80billion.

I. Illegal Arms TraffickingInternational criminal networks that

are—or could be—used for illegal armstrafficking and brokering deals andsmuggling sensitive materials andtechnologies related to weapons of massdestruction threaten interests of theUnited States and many other countries.Although United States prosecutions ofsuch cases have been relatively few innumber, they have been significant.

For example, in 1997, a group ofindividuals connected to employees ofstate- run arms companies in the People’sRepublic of China were convicted inCalifornia of smuggling 2,000 AK47s andother arms into the United States.

J. International Car Theft RingsA relatively recent and significant

criminal activity carried out by Russianand Asian organized crime groups involvesextensive networks to steal luxury cars byhijacking or through fraud in the UnitedStates. The cars are then smuggled out ofthe United States for sale in foreigncountries in Asia and Europe.

K. ProstitutionAsian and Russian organized crime

groups are also significantly involved inobtaining women from Asia and formerSoviet Bloc countries to work in the UnitedStates as prostitutes. Often the women arebrought to the United States throughfraudulent visas and passports under falsepromises of assistance to obtain legitimateemployment. However, the women areforced into prostitution until they pay theorganized crime figures substantialamounts of money under threats ofphysical harm and under threats to exposetheir illegal alien status to the authorities.

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In my view, these are the principal, butby no means all, transnational offensesthat adversely affect the United States andother countries, and they pose formidableproblems to the global law enforcementcommunities. I would next like to brieflydiscuss the principal organized groupsoperating in the United States and othercountries.

IV. ORGANIZED CRIME GROUPS

A. United States—Based OrganizedCrime Groups

As I stated earlier, United Statesauthorities use a multi-faceted criteria toidentify a group that constitutes “organizedcrime”. To briefly repeat, the central factorsare whether the group has a hierarchicalstructure, is self-perpetuating andcontinues over time and engages indiversified criminal activities for profit.

Under these criteria, La Cosa Nostra,commonly referred to as the LCN, is themost significant organized crime groupoperating in the United States. The LCNis a nationwide criminal organizationdivided into approximately 24 families thatoperate in the major cities in United States.Five families exist in New York City and19 other LCN families are centered in otherlarge cities in the United States. However,for most part, the LCN’s criminal activitiesare focused in the United States and tosome extent in Canada and have littledirect effect on other countries. Of coursethere are some notable exceptionsincluding, but not limited to, the LCN’sinvolvement in narcotics trafficking, moneylaundering and stock frauds which aresignificant transnational crimes. But, theseare exceptions to the general propositionthat the LCN’s criminal activities,especially the LCN families outside of NewYork City, involve matters largely confinedto the United States.

The same is true for Asian organizedcrime groups operating in the UnitedStates. Thus far, the evidence indicatesthat Asian organized crime groups in theUnited States primarily operate in and arecontrolled in the United States withoutsubstantial ties to foreign organized crimegroups. However, there are notableexceptions, such as their involvement inalien smuggling, money laundering,narcotics trafficking and trafficking instolen cars which are transnational crimeswith substantial ties to criminal associatesin countries outside the United States.There may be other exceptions as well.Having said that, it remains generally thecase that for the most part Asian organizedcrime groups in the United States consistof relatively small groups of various ethnicAsians that lack the structure, long termcontinuity and breadth of activities as doesthe LCN. The evidence thus far indicatesthat the principal criminal activities ofthese ethnic Asian organized crime groupsin the United States include home invasionrobberies and burglaries, robberies andextortion of businesses, other extortions,gambling, credit card and other fraud andrelated crimes of violence that are focusedon the particular communities in theUnited States where the gang memberslive or operate.

B. The BoryokudanI am sure most of us are familiar with

the Boryokudan, which are large organizedcrime groups operating in Japan. However,thus far the evidence does not indicate thatthe Boryokudan poses a substantial threatin the United States. Indeed, over the past15 years there have only been three or fourfederal prosecutions in the United Statesinvolving criminal activities in the UnitedStates by the Boryokudan.

C. TriadsAgain as you may know, Triads are

relatively large criminal organized crime

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groups operating in Hong Kong, thePeople’s Republic of China and Taiwan.However, thus far the evidence indicatesthat Triads, as such, do not pose asubstantial threat to United States lawenforcement. Various Triad members havebeen prosecuted in the United States,mostly for drug trafficking, and there isevidence that Triad members have usedtheir Triad affiliations to facilitate theircriminal activities in the United States.However, thus far the evidence does notindicate that Triads are firmly entrenchedin the United States and does not indicatethat Triads have cells operating on anongoing basis in the United States.Probably, the greatest threat in the UnitedStates posed by Triads involves their drugtrafficking activities.

D. Italian Organized Crime GroupsThe principal organized crime groups

operating in Italy are the Sicilian Mafia orSiclian Cosa Nostra, the Camorra based inNaples, the ‘Ndrangheta based in Calabriaand the United Sacred Crown based inPuglia. Although, these organized crimegroups engage in transnational crimesaffecting Europe and elsewhere, thus farthe evidence does not indicate that thesegroups engage in significant criminalactivities in the United States. In the midto late 1980’s there were several importantprosecuions in the United States of SicilianMafia members and associates for drugtrafficking and money laundering offenses.Since then, there has not been evidence inthe public record that Italian organizedcrime groups have a significant presencein the United States, although therecontinues to be some drug trafficking andmoney laundering prosecutions of personstied to Italian organized crime.

E. South American Drug CartelsAs I previously stated, South American

Drug Cartels, such as the Cali and Medillindrug cartels, continue to have a significant

impact on the United States through theirextensive drug distribution and moneylaundering networks.

F. Russian Organized Crime GroupsUnited States law enforcement agencies

use the term “Russian Organized Crime”to refer not only to organized crime groupsoperating in Russia, but rather the termmore broadly encompasses two generalcomponents: First, Russian organizedcrime refers to organized crime groupsoperating in or headquartered in countriesin Eastern Europe and Asia that wereformerly part of the Soviet Union and theSoviet Bloc, which for example wouldinclude Russia, Poland, Hungary, Georgia,Armenia, Kazakhstan, Ukraine and others.And second, Russian organized crime refersto organized crime groups operating in theUnited States that have a nexus to thecountries that formerly comprised theSoviet Bloc.

1. Outside the United StatesI would like to first discuss the Russian

organized crime groups operating in orwhich are centered in the former SovietBloc countries. The collapse of the SovietUnion and the Soviet Bloc in 1991 createda vacuum of authority. As new governmentsbegan grappling with the awesomeproblems of developing laws, regulationsand business practices to govern emergingprivate businesses, economic activities andgreater political freedom, criminals haveexploited both the new economic andpolitical opportunities and the absence ofcomprehensive legal structures. Inparticular, Russia’s efforts to privatize theeconomy, that is—the sale of state-ownedindustries to the private sector, has beenfertile ground for criminal exploitation.

In 1993, Russian President, Boris Yeltsindeclared that crime was “the number onethreat to national security.” Figures for1994 from the Russian Ministry of the

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Interior, commonly referred to as the MVD,indicate that there are over 8,000 criminalgroups in Russia with approximately100,000 members. These criminal groupsoperate in over 50 countries, they are firmlyentrenched in the Former Soviet Union andSoviet Bloc countries, and are expandingto the United States, the Caribbean, SouthAmerica, Israel and the Middle East.

“Thieves-In-Law” represent the “old-guard”of these Russian organized crimegroups. The MVD estimates theirmembership to be roughly 750 to 800.Thieves-In-Law is a loosely organizedgroup of elite criminal leaders whose rootsstem from organized gangs in former Sovietprisons. Thieves-In-Law are selected bytheir prison peers for membership, observestrict codes of conduct, engage in ritualcermonies and sport physical markings. Inthese respects the society of Thieve-In-Laware similar to traditional organized crimegroups such as the Sicilian Mafia and theLCN in the United States.

There are at least 20 to 25 major Russianorganized crime groups operating in orcentered in the former Soviet Bloccountries. These are relatively largeorganizations, with key membershipranging from several hundred to 1,000active criminals. They have a hierarchicalstructure and are devided into brigades orcrews of members. These criminalenterprises engage in a wide variety ofcriminal activities, including murder,extortion, kidnapping, trafficking in drugsand weapons, money laundering,prostitution, fraud, theft and related publiccorruption.

I would like to briefly discuss a few ofthese criminal activities. Perhaps thegreatest threat to the stability of theRussian Federation and other newgovenments of the former Soviet Bloc thatis linked to Russian organized crime groups

arises from the looting and illegal exportof natural resources and other assets, oftencarried out with the assistance of corruptgovernment officials.

A recent prosecution in the UnitedStates illustrates this. In January 1998, aRussian emigre was covicted in SanFrancisco, California, on tax charges. Thecharges arose from an investigation intoan elaborate scheme to sell in the UnitedStates approximately $180 million in gemsand precious metals obtained from theRussian Federation, with the assistance ofcorrupt officials in the Russian Federation.The gems were supposed to be processedin the United States, but the conspiratorssold the gems and used the money to buyexpensive residences, real estate, cars andother assets. Several officials of theRussian Federation have been chargedwith corruption offenses in Russia.

There are many other examples ofcorrupt capital flight from former SovietBloc countries. In the United States, therehave been numerous investigations ofhighly suspicious wire transfers ofsubstantial sums of money, in some casesin the millions of dollars to hundreds ofmillions of dollars, from entities in formerSoviet Bloc countries to entities in UnitedStates where there is no apparentlegitimate explanation for these transfersof money. Although some of these caseshave led to successful prosecutions, manyremain unsolved because of the difficultyto trace the money and to determine theultimate believed illiegal sources of themoney in the countries outside the UnitedStates.

Other kinds of fraud carried out byRussian organized crime groups also arebecoming more prevalent. For example, in1996, a group in Los Angeles was convictedfor a $4 million fraud against theGovernment of Kazakhstan on a contract

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to sell Cuban sugar to Kazakhstan.Advance payments were made by thegovernment of Kazakhstan to theconspirators in the United States, but thesugar was never delivered. Indeed, thefraud was quite brazen since it is not lawfulfor companies in the United States to sellCuban sugar to anyone. Similar contractfraud schemes have involved false promisesin the delivery of meat, alcohol, petroleumand other products.

As previously stated, in the 1990’snarcotics consumption increased in Russiaand other former Soviet Bloc countries.There is evidence that Russian organizedcrime groups are responsible for much ofthe drug trafficking and have formedalliances with South American drugtrafficking organizations and Italianorganized crime groups to handledistribution of narcotics in the formerSoviet Bloc countries.

Russian organized crime groups havebeen deeply involved in arms traffickingwith the assistance of current and formercorrupt government and military officials.Several recent prosecutions in the UnitedStates, including a pending indictment inFlorida of a Russian emigre LudwigFainberg, involved efforts sell illegal armsallegedly obtained from Russia.

Some of these cases have also involvedoffers to sell nuclear grade weaponsmaterials. However, thus far there havebeen no cases in the United States in whichnuclear grade weapons materials havebeen delivered. But, given the significantdangers inherent in trafficking in nucleargrade weapons materials, the UnitedStates will, of course, continue to vigorouslyinvestigate possible cases of suchtrafficking.

2. In the United StatesNext, I will briefly discuss Russian

organized crime activities in the UnitedStates. There are two general categoriesof Russian organized crime groupsoperating in the United States. The firstcategory consists of the traditional largeorganized crime groups based in Russiaand other countries of the former SovietBloc that I have just discussed. Some ofthese groups are trying to establish afoothold in the United States, and arecarrying out criminal activities in theUnited States through associates living inthe United States.

The Ivankov organization centered inNew York City illustrates the first category.Vyacheslav Ivankov operated an illegalorganization in New York City involvingextortion of an illegal organization in NewYork City involving extortion and fraud,and the organization had direct ties toRussian organized crime groups outsidethe United States. In 1996, Ivankov wasconvicted on extortion charges in theUnited States and sentenced to nearly tonearly 10 years in jail.

Another case illustrates the firstcategory. In January 1997, LudwigFainberg was indicted in Miami, Florida,on federal charges involving drugtrafficking efforts to smuggle cocaine fromEcuador to St. Petersburg, Russia and forthe interstate transportation of stolenproperty. The conspirators were alsoattempting to purchase a Russian dieselsubmarine to be used to smuggle drugs.

In another drug case, in December 1997,Oleg Kirillov, a Russian organized crimeleader based in Russia, was indicted in afederal court in Miami, Florida, forconspiring to export cocaine from theUnited States to Russia.

The second category of Russianorganized crime groups in the UnitedSta tes commonly re f e r red t o as

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“fraudsters”, are emigres from the formerSoviet Bloc countries living in the UnitedStates who engage in various kinds offraudulent and other criminal activities.Fraudsters are smaller, less centralizedand less hierarchical groups of criminalsthan the first category of more traditionalorganized crime groups. Moreover, whilefraudsters may have some ties to Russianorganized crime groups centered outsidethe United States, for the most part thefraudsters criminal activities are “homegrown”, that is, they focus on activities inthe United States with little or no directionfrom groups outside the United States.

United States authorities are still notsure how much of Russian organized crimeactivity in the United States falls withinthe first or second category. Russianorganized Crime activity in the UnitedStates is a recent development, and we stillhave a lot to learn. Thus far, the evidenceindicates that most Russian organizedcrime criminal activity in the United Statesfalls within the second category, that isfraudsters centered in the United Stateswith little or no direction from Russianorganized crime groups outside the UnitedStates. But, our assessment may changeas we learn more about fraudsters’activities.

A few cases illustrate the activities ofRussian fraudsters. A series of successfulprosecutions in the late 1980s and 1990s,in Los Angeles, New Jersey, New York andPhiladelphia established that Russianfraudsters formed an alliance with UnitedStates LCN members to defraud stategovernments of many millions of dollars indiesel fuel excise taxes. The conspiratorscarried out their scheme through extortionof businessmen and through establishingsham gasoline companies that evaded thepayment of the excise fuel taxes.

The most notorious fraud scheme

perpetrated by a Russian organized crimeenterprise was the massive medicalinsurance fraud conducted by theSmushkevich brothers in SouthernCalifornia in the late 1980’s. Michael andDavid Smushkevich were emigres fromLithuania who together with their spousesand eight associates, embezzled privateinsurers and the United States governmentof over one billion dollars. The brothersoperated mobile health care diagnosticlaboratories. Patients were solicited bytelephone to receive supposed “free”examinations at their mobile clinics. Thepatients were asked to sign forms givingthe clinics the rights to their insurancebenefits. The bills were then submitted toinsurers claiming that doctors had orderedthe tests. At its peak, the operationinvolved 500 companies.

There are numerous other prosecutionsand investigations involving Russianfraudsters’ carrying out similar health carefraud schemes to defraud state and federalgovernments. In addition to such fraud,money laundering by Russian fraudstersin the United States is a very significantproblem. As I mentioned earlier, there arenumerous cases involving suspicioustransfers of hundreds of millions of dollarsfrom former Soviet Bloc countries to theUnited States that are under investigation.As you can see, Russian organized crime isa very recent phenomenon that posesincreasing threats to the United States andmany other countries.

V. CONCLUSION

In conc lus ion , i t i s c l ear thattransnational crimes and organized crimegroups’ criminal activities are verycomprehensive and pose formidableproblems for the global community.Therefore, I am sure that you will agreethat it is imperative that we all continueto work closely together to combat theseworldwide problems.

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UNITED STATES RESPONSES TO THE THREATS POSED BYTRANSNATIONAL CRIME AND ORGANIZED CRIME GROUPS

Frank J. Marine*

I. UNITED STATES DOMESTIC LAWENFORCEMENT RESPONSES

In my first paper I described the natureof the principal transnational crimes andorganized crime groups affecting theUnited States and other countries, and thesubstantial threats to the world communityarising from these criminal activities. Iwould now like to discuss some of theinvestigative techniques and prosecutivetools and strategies that law enforcementhas used with some effectiveness in theUnited States to combat such criminalactivities. I hasten to add, however, thatwhile I believe that these tools have beeneffective in the United States, they may notbe transplanted easily into other countries.As we all know, there are differences amongthe countries of the world regarding theirhistory, size in population and territory,geographical location, political, social andeconomic systems, cultural values andsocial structure that greatly influences theappropriate policies and proceduresadopted by any particular country toaddress criminal activities and otherproblems. Therefore, I do not mean tosuggest that the approaches of the UnitedStates are the only ways, nor do I mean tosuggest they are the best ways. Rather, itis for each country to decide for itself onappropriate course of action to combatcriminal activities.

Equally, I do not mean to suggest thatlaw enforcement is capable of completelyeliminating transnational crimes and

organized crime activities. Such perfectionsimply does not exist in the real world. But,I firmly believe that working together wecan substantially reduce the threats posedby the adverse consequences of criminalactivities.

II. INVESTIGATIVE TECHNIQUES

1. Electronic SurveillanceThe single most important law

enforcement weapon against organizedcrime by far is electronic surveillance.Virtually all the major federal UnitedStates prosecutions against the leadershipand members of the La Cosa Nostra (LCN)over the past 20 years have involvedelectronic surveillance. Electronicsurveillance is likewise becoming anequally important weapon against Asianand Russian organized crime groups.

The reasons are obvious. First, there isnothing as effective as proving the crimethrough the words of the defendantthemself. There are often credibilityproblems with co-conspirators as witnessessince they are criminally involved andrece ived some form o f a deal orconsideration for their testimony. Whereaselectronic surveillance evidence providesobjective reliable evidence of crimesthrough the statements of the participantsthemselves . Moreover, e lectronicsurveillance enables law enforcement tolearn of conspirators plans to commitcrimes before they are carried out, whichenables law enforcement to surveil theactivities , such as delivery of contrabandand conspiratorial meeting, or to disruptand abort the criminal activities as

* Deputy Chief, Organized Crime and RacketeeringSection, Criminal Division, U. S. Department ofJustice, United States.

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approriate. In that regard, electronicsurveillance is particularly helpful inpreventing crimes of violence fromoccurring.

Indeed, electronic surveillance isespecially helpful in transnational crimesbecause it enables law enforcement tointercept conspirators in the United Statesdiscussing their crimes with their criminalassociates in countries outside the UnitedSta tes . Wi thout such e l e c t ron i csurveillance, it would be very difficult forUnited States law enforcement to obtainevidence of such conspiratorial planningagainst the co-conspirators operatingoutside the United States.

Although electronic surveillance isextremely valuable, it is also a verysensitive technique because of legitimateconcerns for a person’s privacy interests.Accordingly, United States law imposessignificant restrictions on electronicsurveillance. First, electronic surveillanceis authorized to obtain evidence of onlysome specific serious offenses listed in thegoverning statute. To obtain electronicsurveillance, agents and governmentattorneys must submit an affidavit to aUnited States district court judge whichcontains specific facts establishingprobable cause to believe that subjects ofthe electronic surveillance are committingcertain specified offenses and that it islikely that relevant evidence of such crimeswill be obtained by the electronicsurveillance. Thus, the government mustobtain the approval o f a neutralindependent judge to conduct electronicsurveillance.

Moreover, before electronic surveillanceis permissible, the government mustestablish probable cause to believe thatinvestigative techniques other thanelectronic surveillance have been tried andfailed to obtain the sought evidence, or we

m u s t e s t a b l i s h w h y s u c h o t h e rinvestigative techniques appear to beunlikely to succeed if tried, or will be toodangerous to try.

In executing the electronic surveillance,the government must “minimize” theinterception of innocent conversations.That is, the government must takereasonable steps to assure that onlyconversations relevant to the crimes underinvestigation are intercepted and thatinnocent conversations are not intercepted.In practice, the monitors must turn off therecording machines when conversationsare not discussing matters relevant to thecrimes under investigation.

Such court-authorized electronicsurveillance is limited to 30 days, the 30-day period may be extended for additional30-day intervals provided that all therequirements are met every 30 days andapproved by the judge.

2. Undercover OperationsWhen it comes to organized crime

control, undercover operations are secondonly to electronic surveillance; indeed, thetwo techniques often go hand-in-hand.

In undercover operat ions , lawenforcement agents may portraythemselves as criminals such as drugdealers, fences for stolen merchandise,money launderers or even hitmen willingto commit murder for hire. Through suchundercover operations, law enforcementagents are able to infiltrate the highestlevels of organized crime groups by posingas criminals because other real criminalswill discuss their criminal plans with theagents to get their assistance in committingcrimes.

The agents also gain the confidence ofcriminals, who will in turn often revealtheir past criminal activities to the agents,

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as well as plot with the agents to engagein additional ongoing criminal activities.Combined with eavesdroping, theu n d e r c o v e r a p p r o a c h p r o v i d e scomprehensive coverage of the targets’ day-to-day activities. But this technique alsocarries the potential for problems andrequires exceptional preparation. For onething, there is always the physical safetyof the undercover agent to consider. Toprevent the premature disclosure of his orher identity , the agent must be providedwith a fully substantiated past history(called “backstopping”) and carefulbriefings of the targets’ modus operandi.Every conceivable scenario that mightmake the targets suspicious of or hostileto the agent must be considered in advance.And the undercover agent themself mustundergo careful testing (including, ifnecessary, psychological profiling) toensure that s/he possesses the intangiblequal i t ies whereby they wi l l “ f i t ”comfortably into the new identity.

Another danger in undercoveroperations involves potential danger —either physical or financial — to the public.Undercover techniques need wide publicsupport to be successful. The quickest wayto lose public support for undercoveroperations is to operate them in a way thatv i c t i m i z e s t h e p u b l i c . U n l i k eeavesdropping, which is relatively passive,undercover operations frequently deal with- and sometimes intentionally mislead —the public. For example, suppose there isan undercover business selling products tothe public while advertising itselfunofficially to criminal as a place wherestolen property can be taken. Not onlycould the government be liable for anydefects in the products it sells to the public,it might be indirectly responsible forencouraging thieves to steal property byvirtue of supplying them with an outlet.

In order to balance these concerns and

avoid harm to the public, our Departmentof Justice has set up Undercover ReviewCommittees , comprised o f seniorprosecutors and investigators, to review,approve, and control all sensitiveundercover operations. To be approved, anundercover proposal must:

i. Be in writing;

ii. Contain a full factual description ofthe suspected criminal activity andthe participants therein;

iii. Set out in detail the proposedundercover scenario, the expertise ofthe undercover team, the duration ofthe project (not to exceed six monthsunless extended), and the anticipatedlegal issues (such as entrapment) ;and

iv. Evaluate the risk to the agents andthe public.

Regarding such dangers, when lawenforcement learns of potential crimes ofviolence, law enforcement authorities arerequired to take necessary steps to preventthe violence from occurring, which couldinclude warning the potential victim orarresting the subjects who pose a threat orending the undercover operation.

Undercover operations are especiallyessential and are very successful innarcotics trafficking cases becausetraffickers always need customers to selltheir contraband. Agents, posing as buyers,can obtain direct and substantial evidenceagainst the drug traffickers by buying theirproduct. Likewise, long term undercoveroperations are essential to infiltrateorganized crime groups that continue theirillegal activities over many years. Forexample, FBI agent Joseph Pistone workedundercover for six years as a jewel thiefunder the alias Donnie Brasco to infiltrate

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the highest levels of the Bonanno LCNfamily in New York City. This undercoverwork led to the convictions of many LCNleaders and members. A recent film -“Donnie Brasco” was made about his highlysuccessful undercover work.

3. InformantsAnother critical law enforcement

technique involves the use of confidentialinformants. I am a big fan of sherlockHolmes, and as a law enforcement official,would love to think that we could solveorganized crime problems using ourdeductive reasoning powers to sift throughintricate clues and arrive at the correctconclusion “who done it” , like the famousSherlock Holmes. Unfortunately, SherlockHolmes is fiction. In reality, we do not solveorganized crime cases the Sherlock Holmesway. Rather, we solve such crimes throughelectronic surveillance, undercoveroperations and also through the third mostimportant tool, — the use of confidentialinformants.

When United States law enforcementuses the term confidential informant, werefer to an individual who is not willing totestify and who provides information orassistance to the authorities under apromise that we will try to keep theiridentity confidential. We cannot absolutelyguarantee such confidentiality because inrelatively rare circumstances courts mayconclude that due process, or concerns offundamental fairness, require that aconfidential informant’s identity bedisclosed to a defendant charged with acrime where the informant can provideevidence that could exculpate thedefendant. Absent such a rare case, we areable in most cases to keep an informant’sidentity confidential.

Confidential informants are typicallymotivated to provide information to theauthorities in exchange for money or

lenient treatment regarding chargespending against them or likely to bebrought against them. In many casesconfidential informants are themselvesengaged in criminal activities whichenables them to provide valuable directevidence of criminal activities by theircr iminal associates . Conf identialinformants frequently provide theinformation that enables law enforcementofficials to obtain judicial warrantsauthorizing electronic surveillance. Manysuccessful prosecutions of the LCNleadership have involved informationsupplied by confidential informants whoprovided information for many years aboutthe leadership of the LCN; indeed some ofthe informants have been made membersof the LCN. Incriminating evidence byinformants who deal directly with the LCNleadership is simply invaluable to breakthrough the layers of insulation that theleadership uses to conceal their activities.

However, there are high risks associatedwith the use of informants. Sometimes,informants do not fully disclose their owncriminal activities, or they falsely implicatetheir enemies in crimes, or they engage inunauthorized criminal activities. In thatlatter respect, under United States law, lawenforcement may authorize informants toparticipate in some forms of non-violentcriminal behavior that would otherwise beillegal, if they were not acting asinformants with authority to engage in theactivities. For example, depending on thecircumstances, in order to protect aninformant’s cover and to enable them to bein a position to obtain incriminatingevidence against others, informants maybe authorized to participate in illegalgambling, trafficking in stolen property,and other non-violent crimes. Therefore, itis important for law enforcement to closelymonitor the activities of informants tominimize the danger that the informantwould use their association with law

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enforcement to sh ie ld the ir ownunauthorized criminal activities.

On balance, however, experience teachesus that as a general rule, the benefits fromthe use of informants greatly outweigh therisks. But, we must be ever vigilant of therisks.

III. PROSECUTION TECHNIQUESAND WEAPONS

1. The RICO Enterprise Theory ofProsecutionObviously, the goal in every organized

crime case is to convict the highest levelsof a crime organization. To do so,prosecutors need the proper tools. First andforemost, prosecutors need an “enterprise”or “racketeering” statute designedspecifically for this purpose.

Several countries already have enactedsuch legislation. Italy, for example, has ananti-Mafia statute; Japan, our host country,recently enacted statutes derected againstthe Boryokudan. Officials from Russia,Great Britain, and from several countriesin Eastern Europe have recently showninterest in “enterprise” legislation. An“enterprise” statute in this context is onethat explicitly prohibits participation in acrime group through specified unlawfulactivity.

In the United States, the most famousof all anti-racketeering laws is called RICO,an acronym for the Racketeer Influencedand Corrupt Organizations Statute. Ingeneral, it provides heavy penalties (up tol i f e impr isonment under cer ta incircumstances) when a defendant conducts(or conspires to conduct) the affairs of anenterprise through a pattern of specifiedacts known as “predicate” crimes. An“enterprise” can include anything from acorporation, to a labor union, to a group ofindividuals working together to commit

crime such as an LCN family, or an Asianor Russian organized crime group.

In one sense the RICO statute did notactually create a new offense becausemurder, arson, extortion, and all sorts ofbusiness crimes (to name a few of RICO’s46 predicate offenses) were already madecriminal when RICO was enacted in 1970.But RICO was still a dramatic legislativeinitiative because it permitted many ofthese generically different crimes to becharged in a single indictment, even, in asingle count, so long as those crimes werepart of a defendant’s patttern of acts thatrelated to the enterprise.

In addition, there are some features ofRICO that are particularly effective inorganized crime cases. For example, as longas one of the predicate crimes allegedagainst a defendant occurred within thelast 5 years before the indictment isbrought, the next previous crime in thepattern of racketeering need only be within10 years of the most recent crime. The thirdmost recent crime need only have occurredwithin 10 years of the second act and soon. The reach-back feature of RICO,therefore, can extend 15 or 20 years or moreinto the past. (Except for statutes likeRICO, indictmnts in the United Statesgenerally cannot allege crimes thatoccurred more than five years prior to thedate of indictment).

RICO’s reach is not only long, it is broad.As noted, the predicate crimes whichqualify as RICO predicates run the gamutfrom several forms of violence, robbery,murder, extortion to fraud, securitiesoffenses, most forms of vice (gambling,extortion, obscenity, prostitution, etc.), andillicit investment in legitimate businesses.Were it not for RICO, most United Statesjudges would prohibit the prosecution ofsuch diverse crimes in a single case,especially if 10 or more defendants were

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charged. Instead, the court would mostlikely require a series of smaller trials,which is exactly what crime groups hopefor, because they understand that the bestway to conquer a prosecution is to divideit. In a series of smaller trials no one jurygets to see the entire picture. Organizedcrime, by contrast, is a picture composedof many crimes, all linked by a single chain-of-command to the same enterprise. Anyeffective prosecution of a crime familywould thus necessitate proof of these manycrimes in a single trial. RICO permits this.RICO allows the jury to see the entirepattern of crimes committed by anorganized crime group. In bringing atypical RICO prosecution, for example, wemay charge six or more racketeers withperhaps a dozen of even more predicatecrimes covering a decade. In each allegedpredicate crime, some, but usually not all,of the defendants are named. In somecases, RICO indictments have chargednumerous defendants with committingmore than 50 offenses as part of a patternof racketeering activity.

As powerful as RICO is, very few RICOprosecutions were actually brought againstorganized crime until the early 1980s eventhough RICO was adopted in 1970. Part ofthe reason was that RICO has always beena very complicated and powerfulinstrument; it took nearly 15 years forFederal prosecutors to feel comfortableenough-about RICO to make it thecenterpiece of mob prosecutions. Anotherreason was that the investigativetechniques necessary to build a suitableRICO case, such as electronic surveillanceand undercover operations, were notroutinely used against organized crimebosses in the 1970s. To be sure, there werea lot of investigations and prosecutions ofracketeers for street crimes, but these casesrarely pierced the insulation behind whichbig organized crime bosses hid.

In the early 1980s, as already noted, theFederal Government (primarily the FBI)made a determined effort to infiltrate thesecret headquarters of LCN bosses,listening to their plans and reconstructingtheir crimes. In turn, Federal prosecutorsagreed to bring more and more complicatedRICO charges. As a result, more successfulcases against organized crime bosses havebeen brought in the last 15 years than inthe prior 80 years. In fact, prosecutorsdiscovered that RICO worked equally wellwhether the defendants were mobsterscharged with murders and extortions, orpublic officials charged with taking bribes.

Naturally, due to their sensationalrevelations, RICO mob cases receivedextensive media coverage. At this point itis clear that control of organized crime inthe United States would be inconceivablewithout RICO. In addition, RICO was thekey charge against panamanian dictatorManuel Noriega and the Philippines’President Ferdinand Marcos. RICO caseshave also been brought against hundredsof police officers, judges, and public officialsfor official misconduct, and againstterrorist groups, radical hate groups, streetgangs, stock manipulators, and drugcartels.

We are now successfully using RICO toattack newly emerging organized crimegroups such as Asian and Russianorganized crime groups, just as we didagainst the LCN.

Like any powerful tool, RICO could beabused. To protect against potentialabuses, the Organized Crime andRacketeering Section (OCRS) has a specialunit of attorneys who carefully review allproposed RICO indictments for legal andfactual sufficiency. The unit also ensuresin every case that RICO is necessary; whenother, less powerful statutes would do justas well, the use of RICO charges is not

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approved.

2. Organized Crime Strike ForceUnitsAs I previously stated, the LCN is the

number one organized crime problem in theUnited States. The LCN is an extensivenationwide criminal organization.Therefore, it was essential to attack theLCN through a closely coordinatednat ionwide e f for t . However, lawenforcement is very fragmented anddecentralized in the United States. TheUnited States Department of Justice at thefederal level is divided into 94 differentUnited States Attorneys offices throughoutthe country that operate with considerableindependence of the main JusticeDepartment located in Washington, DC. Inaddition, there are literally hundreds,perhaps over 1,000 state, county and cityprosecutors’ offices and police departmentsthat have criminal jurisdictions that aretotally independent of the federalDepartment of Justice. This fragmentedprosecutorial authority makes nationwidecoordination difficult. These difficulties aremade even greater when you factor in thelarge territorial size of the United Statesand its relatively large population of over260 million people.

To improve coordination of federal effortsto attack organized crime, in the late 1960sthe Department of Justice created 24specialized prosecutive units calledOrganized Crime Strike Forces, located inthe cities where the 24 LCN families weremost active. These Strike Force Units werestaffed by career prosecutors who wereexperienced in electronic surveillance,undercover operations, and long termproactive investigations. Moreover, theseprosecutors are only allowed to work onorganized crime matters. To assure thatthey work only on organized crime mattersand to assure that the Strike Force casesare properly coordinated from a national

perspective, supervising prosecutors inWashington, DC are able to maintain thefocus of efforts against the LCN and to seeto it that relevant information developedby one Strike Force office gets to anotheroffice in another part of the country thatmay need it.

Moreover, because the supervisors inWashington, DC, are aware of all LCNinvestigations and prosecutions in theUnited States, they are able to reduceduplication of efforts and coordinateinvestigations and prosecutions conductedby more than one office.

The creation of these Strike Force Unitsproved to be invaluable. Over the past 25years, the vast majority of all the majorconvictions of LCN bosses and memberswere obtained by these Strike Force Units.Although the LCN remains strong in themetropolitan New York City area whereroughly 80% of the LCN members operate,the LCN has been substantially weakenedin other parts of the United States -particularly in San Francisco, Los Angeles,Kansas City, Milwaukee, St. Louis, andother cities.

Although the Strike Force Units wereinitially created to combat the LCN, theirmission was expanded in 1990 to combatAsian and Russian organized crime groups.In 1990, the Attorney General of the UnitedStates adopted a national strategy tocoordinate the federal attack against thennewly emerging organized crime groupsoperating in the United States. The StrikeForce approach became the centerpiece ofthat national strategy since it had been sosuccessful against the LCN. The StrikeForce Units were well equipped to handlethe new challenges because of theirexperience, and also because the StrikeForce Units were already located in thecities where the Russian and Asianorganized crime groups were most active.

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Not surprisingly, the Russian and Asianorganized crime groups are active in thesame large cities as the LCN.

To implement this national strategy, theAttorney General created the AttorneyGeneral’s Organized Crime Council, themembers of which are the heads of theFederal Bureau of Investigation, the DrugEnforcement Administration (DEA), theDivision of Enforcement of the Securitiesand Exchange Commission, the SecretService, the Marshals Service, the CustomsService, the Postal Inspectors, and theInternal Revenue Service. The Councilmeets as necessary, and at least onceannually, to set the official priorities of theFederal Government’s organized crimeprogram, which currently are LCN, Asian,and Russian organized crime. In order toset these priorities, each agency and thecountry’s 94 top Federal prosecutors (calledUnited States Attorneys) are required eachyear to file written plans assessing theproblems posed by organized crime groupsin their districts and for attackingorganized crime groups in their districts.The Department of Justice’s OrganizedCrime and Racketeering Section thenreports its analyses of these plans to theCouncil. The most important feature of thissystem is control. It obligates the regionalprosecutors and agents to keep constantpressure on La Cosa Nostra and Asian andRussian crime groups, and prevents themfrom succumbing to periodic temptationsto assign prosecutors and agents to non-organized crime cases.

Implementing this national strategy hasenabled the Federal Government tocoordinate its nationwide efforts againstorganized crime groups and to keep thepressure on them to prevent them fromexpanding their corrupt influences onsociety.

3. Witness SecurityAnother va luab le asse t o f the

prosecutor’s arsenal has been the federalwitness security program. Because of theviolent nature of organized crime, witnessintimidation is a significant problem. Toaddress that program, in 1970 theDepartment of Justice created the federalwitness security program. Witnesses areadmitted to the program when they areable to supply significant evidence inimportant cases and there is a perceivedthreat to their security. Once in theprogram, the witness and his or her familyare given new identities, relocated toanother part of the United States wherethe danger to their security is lessened, andare given financial assistance until thewitness is able to secure employment.

Since the beginning of the witnesssecurity program, 6,816 witnesses havebeen admitted into the program along with8,882 family members for a total of 15,698persons in the program. The average costis $75,000 per witness per year and$125,000 per family per year.

As you can see, the program is verycostly, but the results have made it worththe cost. Since 1970, over 10,000defendants have been convicted throughthe testimony of witnesses in the program.Last year, 208 convictions were obtainedand 2 million dollars was seized.

The vast majority of protected witnesses,about 97 percent, have criminal records.However, the recidevist rate for witnessesin the program is 21 percent, which is halfthe rate of those released from prison.

4. ForfeitureIt cannot be overstated that making

money is the primary goal of organizedcrime and transnational criminal activities.Therefore, it is imperative to take the profitout of crime. Strong forfeiture laws do just

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that. Forfeiture is a criminal penalty formany offenses in the United States.Generally speaking, upon conviction for anoffense that carries forfeiture as a penalty,a defendant may be ordered to forfeit allprofits or proceeds derived from thecriminal activity, any property, real orpersonnel, involved in the offense, orproperty traceable to the offense such asproperty acquired with proceeds of criminalactivity. For example, if a defendant usesa residence or car to distribute drugs, thatproperty is subject to forfeiture. Thus, aconvicted defendant may be ordered toforfeit all proceeds of the criminal activityincluding money and other forms ofproperty.

In addition to criminal forfeiture, civilforfeiture laws also allow the governmentto obtain property used in criminalactivities. The principal difference betweencriminal and civil forfeiture is that criminalforfeiture is limited to a convicteddefendant’s personal interest in propertysubject to forfeiture, whereas civilforfeiture focuses on the property itself.

For example, suppose a defendantrepeatedly used a house to sell drugs, buts/he did not have an ownership interest inthe house. If convicted of drug dealing, thathouse is not subject to criminal forfeiturebecause the defendant did not own thehouse. However, a civil forfeiture law suitcould be brought against the house as adefendant, even if the owner of the housewas not engaged in criminal activity. Thehouse, nonetheless, is subject to civilforfeiture because it was repeatedly usedto facilitate criminal activities, and theowner did not take adequate steps toprevent their house from being used forcriminal activities.

There are various defenses to such civilforfeiture, such as the “innocent ownerdefense”, but I do not want to digress into

the complexity of United States forfeiturelaw. To some extent I have generalized andoversimplified United States forfeiture lawwhich is complex, so as not to detract ourattention from the main point I am tryingto make. That is, that criminal and civilforfeiture laws are powerful weapons in theprosecutors’ arsenal to take the profit outof crime.

5. Money LaunderingStrong money laundering laws go hand-

in-hand with forfeiture laws to be powerfulweapons against criminal activities. UnderUnited States money laundering laws, itis a crime to knowingly conduct a financialtransaction with the proceeds of certainspecified unlawful activity set forth in thestatute, with either the intent to promotethe specified unlawful activity or with theintent to conceal the specified unlawfulactivity. The term transaction is broadlydefined to include “a purchase, sale, loan,pledge, gift, transfer, delivery, or otherdisposition” and “with respect to a financialinstitution includes a deposit, withdrawal,transfer between accounts, exchange ofcurrency, loan, extension of credit,purchase or sale of any stock, bond,certificate of deposit, or other monetaryinstrument, use of a safe deposit box, orany other payment, transfer, or delivery by,through, or to a financial institution, bywhatever means effected.”

As you can see, the money launderingstatute covers nearly every imaginable typeof transaction. Moreover, the penalties formoney laundering include forfeiture whichgreatly enhances law enforcement’s effortsto take the profit out of crime.

For example, in one recent case inBoston, defendants were convicted oflaundering $136 million in drug proceedsfor Colombian drug traffickers. Thedefendants received the cash drugproceeds, and used it to buy money orders

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cashiers checks, or gold to conceal theillegal source of the cash; this constitutedmoney laundering. The defendants arguedthat they should only be required to forfeitthe 5% laundering fee (or roughly $7million) that they charged the drugtraffickers since the $136 million belongedto the drug traffickers. The court rejectedthis argument and held that thedefendants were liable for forfeiture of theentire $136 million that they laundered.

Other examples of money launderingillustrate the breadth of the statute. Forexample , proceeds of fraud that aredeposited in bank accounts or otherfinancial institutions which is commingledwith legitimate money in accounts underthe names of nominees constitutes moneylaundering subjecting, under somecircumstances, the entire amounts in theaccounts to forfeiture, including the moneyobtained legally as well as the crimeproceeds.

In many cases, not just organized crimecases, money laundering violations coupledwith forfeiture have proven to be powerfulweapons to take the profit out of crime.

6. SentencesFinally, I would like to briefly discuss

United States sentencing laws. Fairpunishment upon convictions of crimes toprotect society is obviously the ultimategoal of all prosecutions. Perhaps mostimportant is the protection afforded byincapacitating the convicted criminalthrough incarceration. To be sure,imprisonment substantially reduces, butdoes not totally eliminate, opportunities forcriminals to continue their their illegalactivities.

In 1987, the United States FederalGovernment adopted a comprehensivechange in its sentencing laws to makepunishment more definite and more

uniform throughout the federal system.First, federal parole was abolished.Therefore, a sentence of 10 years in jailmeans a defendant will not be paroled at ashorter time and the defendant willactually serve 10 years in jail, with somemodest reduction for good behavior whilein jail. Other changes involved substantialrestrictions on the discretion of judges inimposing sentences. Pursuant to thechanges, sentences are now determined byapplication of a complex numericalweighing system. Under the formula,specific numbers are assigned to relevantfactors such as the type of offense, thenature of the underlying circumstances,the defendant’s role in the offense and thedefendant’s criminal history. The numbersare added up and the defendant isgenerally sentenced to a guideline rangeaccording to the resulting number. Again,I am oversimplifying complex legalprovisions.

The end result of these reforms has beenthat more defendants have been sentencedto prison for longer terms. According to datafrom the Department of Justice’s Bureauof Justice Assistance, the state and federalprison population in the United States rose50 percent from 1990 to 1997, and has beenincreasing 6.5 percent annually. The stateand federal prison population in the UnitedStates is now 1.7 million prisoners. Duringthe last 25 years, the federal and stateinmate population has increased six foldfrom 200,000 in 1972.

The increases in the length of jailsentences and the number of defendantsimprisoned has been one important factorcontributing to the reduction of seriouscrime in the Untited States. According tothe FBI’s Uniform Crime Reports releasedin 1997, between 1992 and 1996, overallcrime in the United States dropped 10.3percent, violent crime droped 16.3 percent,murder dropped 20.4 percent, robbery

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dropped 23.2 percent, aggravated assaultdropped 12.1 percent and property crimedropped 9.3 percent.

I recongnize that this drop in crime isdue to a number of factors and not justputting more people in jail for longerperiods of times. But career criminals donot just commit the one crime they areconvicted for, rather they commit manycrimes each year. Therefore, it seems to methat putting more career criminals in jailfor longer periods of time will prevent themfrom committing those crimes whichsignificantly contributes to a reduction incrime.

I would now like to turn my discussionfrom the principal aspects of the UnitedStates domestic responses to transnationalcrimes and organized crime to what we aredoing together with other countries in theinternational arena to combat suchcriminal activities.

IV. UNITED STATES RESPONSESIN THE INTERNATIONAL ARENA

1. ExtraditionIt is imperative that international

criminals be denied a safe haven.International extradition treaties remainthe most effective legal mechanism toobtain the return of international fugitives.In 1990, the United States sought theextradition of 1,672 accused or convictedcriminals. By 1996, that number hadjumped to more than 2,894, includingnumerous fugitives wanted for murder,major drug trafficking offenses, moneylaundering, multi-million dollar financialscams, and other serious crimes committedagainst the United States.

The United States is currently party toover 104 such extradition treaties. TheUnited States Departments of State andJustice, with appropriate input from other

law enforcement agencies, are involved inan active program to negotiate moderntreaties in order to replace old, outdatedinstruments, to create extradition treatieswhere none previously existed, and toensure that new crimes are covered byextradition treaties.

In the past five years the United Stateshas entered into new extradition treatieswith Spain (1993), the Bahamas (1994),Jordan (1995), Malaysia, Bolivia (1996),Philippines (1996), Hungary (1997),Switzerland (1997) and Hong Kong (1997).United States extradition treaties with thefollowing countries are pending approvalof the United States Senate: Antigua andBarbuda, Barbados, Cyprus, Dominica,France, Grenada, Luxembourg, Poland, St.Kitts and Nevis, St. Vincent and theGrenadines, Spain, and Trinidad andTobago.

The United States is also pursuingefforts to secure extradition without atreaty. We encourage the internationalcommunity to work together to deny safehavens to international criminals throughprocedures consistent with domestic andinternational law.

2. Mutual Legal Assistance Treaties(MLATS)

In light of the international nature oftransnational and organized crimeactivities, it is also essential to be able totimely obtain the testimony of witnesses,bank records, other financial records andother evidence from foreign countries, andin some cases from several differentcountries, and for the United States to givesimilar assistance to other countries.Therefore, Mutual Legal AssistanceTreaties have become important tools toaddress international criminal activities.

Barely 20 yeays ago, the United Statesentered into its first MLAT. Today, there

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are 19 MLATs in force that extend to 23countries. In the 104th Congress, theSenate gave its consent to five additionalMLATs with Austria, Hungary, Korea, thePhilippines, and the United Kingdom. Then u m b e r o f U n i t e d S t a t e s m a d eapproximately 928 requests for mutuallegal assistance in criminal matters. In1996, that number had increased toapproximately 1,644 requests.

The United States Department of Stateand Justice have worked together innegotiating 14 additional MLATs that willrequire ratification by the Senate,including agreements with Australia, HongKong, and Poland. The United States alsohas signed a multilateral MLAT with theOrganization of American States (OAS),which potentially could create MLATrelations between the United States andthe 33 other member states of OAS.

Where there is no MLAT in force, theUnited States is hopeful that lawenforcement agencies will be able toexchange information and provide mutualassistance in ways that are fully consistentwith the laws of the countries involved.Such joint cooperation is essential toeffectively combat the internationalcriminal activities of sophisticatedcriminals who seek to exploit thedifficulties inherent in internationalinvestigations.

3. Expanding the Presence of UnitedStates Law Enforcement AgentsAbroadTough United States laws that protect

United States citizens and interests abroadwill be of little value if the United Statesdoes not establish an investigative and lawenforcement infrastructure to pursueviolations of these laws. United States lawenforcement officials stationed abroadwork shoulder to shoulder with theirforeign counterparts to investigate crimes

against United States nationals committedoverseas. Where offenders are identified,these officials also work to locate,apprehend, and return the perpetrators ofsuch crimes through extradition, expulsionor other lawful means. They also facilitatethe arrest and extradition of internationalfugitives located in the United States andwanted abroad.

The need for a major United States lawenforcement presence abroad is welldocumented. For example, in 1996 and1997, foreign offices of the United StatesCustoms Service handled over 3,850 cases.Moreover, there is often a direct tie betweenthe work of these overseas offices anddomestic criminal investigations. Forexample, over 80 percent of the 7,068 casespending in FBI Legal Attache officesoverseas at the end of 1996 originated fromUnited States FBI field offices. Also, thenumber of cases worked by FBI agents inthe new Moscow Legal Attache office grewfrom 20 in July 1994, to 289 through July1997 — a fifteen-fold increase. In their firstyear, the new Customs Service offices inMoscow and in Pretoria, South Africa,handled over 50 and 30 cases, respectively.A substantial number of these cases involvefugitives from United States courts, crimescommitted abroad against United Statesnationals, and other serious violations ofUnited States criminal laws.

The United States would like to expandits law enforcement presence in othercountries to work with the host countriesto respond to this growing need. Forexample, the FBI hopes to establish newFBI offices in 24 foreign nations and toexpand existing offices in an additional 23countries. Similarly, the Customs Servicehopes to open 11 new offices in Europe,Asia, Australia, and the Americas,complementing 26 existing offices. TheDEA hopes to augment its already sizeablepresence with further expansion into the

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Newly Independent States from the formerSoviet Bloc, Latin America and othercurrent and emerging centers of drug trade.These expansions will bolster UnitedStates law enforcement abilities to arrestand punish fugitives who have committedcrimes against the United States, todismantle international organized crimerings, and to strengthen law enforcementand judicial systems around the globe.

To complement the increasing numberof United States law enforcementpersonnel overseas, it would be helpful toexpand the Department of Justice’s cadreof overseas attorneys. Their role includesfacilitating requests for extradition andmutual legal assistance, providingsubstantive legal guidance on internationallaw enforcement and treaty matters, andincreasing cooperation between UnitedStates and foreign prosecutors. In 1990, theUnited States handled approximately2,208 extradition and 1,784 mutual legalassitance requests both to and from theUnited States. By 1996,those numbers hadnearly doubled, jumping to 3,963extraditions and 3,407 mutual legalassistance requests . Furthemore,approximately 25 percent of all extraditionrequests and 9 percent of all mutual legalassistance requests were in support of stateand local prosecutors. This increasingcaseload requires United States attorneysin other countries to respond to requestsfor information, and to facilitate thetransfer of fugitives and evidence to andfrom the United States. Currently, theDepartment of Justice has prosecutors inBrussels, Mexico City, Paris, and Rome.The planned expansion includes additionalattorneys in Manila, Brasilia, Athens, andAsia.

4. International TrainingIn 1995, the United States working with

Russia, Hungary and other countries inEastern Europe es tab l i shed the

International Law Enforcement Academy(ILEA) in Budapest, Hungary. Thisacademy offers law enforcement officersfrom Eastern and Central Europe an eight-w e e k p e r s o n a l a n d p r o f e s s i o n a ldevelopment program modeled after theFBI’s National Academy in Quantico,Virginia near Washington, DC. The UnitedStates is working with other countries toestablish a similar training academy inAsia.

In addit ion, United States lawenforcement officials participate in a widevariety of other training and technicalassistance with other countries concerning,among other matters, fraudulent documentdetection, alien smuggling, border controlenforcement, narcotics trafficking,organized crime, money laundering andasset forfeiture. Such training is mutuallybeneficial to the United States and otherparticipating countries because we are ableto learn about each others’ problems anddevelop strategies and techniques toaddress these problems. It affords avaluable opportunity to work together toaddress common law enforcementproblems and issues of mutual concern. TheUnited States is also working with theUkraine and other countries to developprosecutors’ units modeled after the UnitedStates Organized Crime Strike ForceUnits.

5. Coordination with Internationaland Multilateral Organizations

(1) The United States is currently workingtogether with the G8 nations and theUnited Nations in the initial stages ofdeveloping an international crimeconvention addressing transnationaland organized crime activities.

(2) The G7/P8 Senior Experts’ Group ontransnational organized crime hasproduced 40 recommendations tocombat transnational organized crime,

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i n v e n t o r i e s o f i n t e r n a t i o n a lconventions and institutions relating totransnational crime and inventories ofmember countries’ relevant domesticcriminal laws.

(3) The United Nations International DrugControl program (UNDCP) is currentlydeveloping a global program on moneylaundering that includes a modelmoney laundering statute and legaland technical assistance and trainingfor Southeast and Southwest Asia.Similarly, the United States, Japan,and other countries created theFinancial Action Task Force (FATF) toa d d r e s s i n t e r n a t i o n a l m o n e ylaundering.

(4) The United States also continues towork with many countries on bilateralefforts to combat transnational andinternational organized crime criminalactivities.

(5) Finally, the United States and over 170other countries have long worked withthe International Criminal PoliceOrganization (INTERPOL) whichfacilitates a broad range of bilateraland multilateral police-to-policecooperation.

V. CONCLUSION

There is no doubt that the worldcommunity shares substantial commonproblems posed by transnational criminalsand organized crime groups. Therefore, wemust continue to work closely together todevelop new techniques, as well as toimplement approaches that have proven tobe successful, in our common fight againstsuch international criminal activities . Wemust share information and cooperate toidentify, investigate and prosecute the mostsignificant international criminals andorganized crime groups. In the final

analysis, we have no other choice but tocooperate , o r e l se soph i s t i ca tedinternational criminals who do notrecognize international boundaries willtriumph.

54


TRANSNATIONAL SMUGGLING OF ALIENSAND STOLEN VEHICLES

Lau Yuk-kuen*

I. INTRODUCTION

Transnational smuggling is generallyregarded as the moving of unmanifestedgoods across and beyond internationallyrecognized boundaries defining thesovereignty of countries. The intention isto evade the control on prohibited items orlegitimate taxation. Since the end of theso-called Cold War, the liberalization oftrade restrictions has increased thepotential of both trade between nations andtrade across the globe. The result has beena growth in organized transnationalsmuggling activities involving not onlygoods, but also aliens.

T h i s p a p e r, w h i c h w i l l c o v e rtransnational smuggling of aliens andstolen vehicles, is based mainly on theknowledge and experience gained by theHong Kong Police in the investigation ofthese types of cr imes. Other lawenforcement agencies are likely to haveencountered similar criminal groups intheir own jurisdictions and identified themethods of operation of such groups, aswell as the extent to which they haveglobalised.

II. SMUGGLING OF ALIENS

The term “alien smuggling” was firstcoined in the United States of America todescribe the organized passage of non-indigenous citizens into the country acrossits land border. “Aliens” are broadlycategorized by the authorities into twogroups according to their personal

circumstances. Those seeking better livesaway from impoverished homelands,increased employment and financialopportunities are classified as “economicaliens”, while those fleeing persecutionbecause of their different political,religious, cultural views or because of warare classified as “political aliens”. It is thesmuggling of the former category, i.e.,economic aliens, that has become a concernfor an increasing number of police forcesin different parts of the world, and will befocused in this paper.

The smuggling of aliens is different totraditional smuggling in two respects.Firstly special attention is required toensure the safe carriage of living people.Secondly illegal aliens represent a dualbenefit for the criminal syndicatesorganizing the clandestine operation.While goods may earn a profit, aliens notonly pay to be transported but they can alsobe used as indentured workers in slave-likeconditions in destination countries. Thusthe profits for the syndicate can be fargreater and longer lasting.

The transport needs for trafficking inaliens varies between the use of air, sea andland routes. Related needs include theacquisition of visas, passports and othertravel documents from corrupt officials orforgery syndicates, the provision of staginghouses en route to destinations toaccommodate the migrants, and thepurchase and modification of vessels for thecarriage of ‘human’ cargoes, plus therelated registration, manifests and import/export documentation. It is, in short, aresource intensive operation.

* Director of Crime and Security, Hong Kong PoliceForce Headquarters, Hong Kong.

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Investigations in Hong Kong andoverseas uncovered criminal syndicatesutilizing increasingly sophisticated meansto transfer aliens out of their homecountries. In 1992, fishing vessels speciallymodified for carrying Chinese illegalmigrants were intercepted in Honolulu andLos Angeles. These dilapidated vesselswere manned by a crew of criminals andenforcers and packed full of paying illegalmigrants. The enforcers maintaineddiscipline and abused the illegal aliensuntil they landed at their destination. Themigrants were then disembarked andtransferred into the criminal economy ofthe Chinese underworld. This wasidentified as the most common and cost-effective method used by smugglingsyndicates at the time.

Before long, smuggling syndicatesupgraded their means of transport toocean-going vessels. However, the degreeof human suffering inflicted on the humancargoes did not diminish with the changeto more powerful conveyance. The gravetragedy was particularly highlighted in1993 when the ship “Golden Venture” ranaground off New York, U.S.A. carrying 300Chinese illegal immigrants, and ten ofthem died whilst attempting to swimashore.

The use of open-top containers tosmuggle aliens has been evident morerecently in Hong Kong and interestinglyenough several cases have revealedJapanese connections. One example whichmay illustrate this connection was that inJanuary 1997 at the port of Kobe. Policeintercepted and arrested 30 Chinese illegalimmigrants who had been concealed in anopen-top container onboard a vessel whichhad departed from Hong Kong and wasoperated by a Hong Kong-based shippingcompany. Intelligence was exchangedbetween the Japanese and Hong KongPolice which resulted in the successful

prosecution of two persons in Hong Kongin connection with the incident.

A second example relates to informationreceived which indicated that an unknownnumber of illegal immigrants were beingtransported to Japan in an open-topcontainer, again in 1997. Close liaisonbetween the Hong Kong and JapanesePolice resulted in the container beingsearched on its arrival in Japan.Unfortunately no illegal immigrants werefound. However the container containedthe remnants of food, bottles of water andfaeces, indicating that illegal immigrantshad been loaded and later unloadedelsewhere.

Whilst smuggling by sea provides aneffective means to transport a largenumber of aliens in one single run, the pastfew years have also seen the use of long,erratic and circuitous routes over land andby air for those aliens who are willing orable to pay a higher fee, involving the useof forged travel documents or passportssubstituted with false particulars. Theland/air route from southeast Asiameanders through the former SovietUnion, Europe and South America to theU.S.A. There are two reasons for this: thedispensation with border controls withinthe European Union countries and thecollapse of a centralized authority inRussia, and the Newly Independent States.

Whatever the mode of transport thesmuggling syndicates use, one commonfeature that characterizes their operationsis their reliance on clan relationships todevelop local infrastructures to facilitatethe recruitment of illegal migrants fromtheir home countries, and to organize theirsubsequent illegal employment in thedestinations. Although, when compared todrug trafficking and goods smuggling, aliensmuggling is a relative new comer totransnational crime problems, its potential

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for generating substantial criminal incomefor the syndicates involved is apparent.

It has been reported that the price formoving an alien from southern China toJapan is US$20,000 and to the U.S.A,US$33,000. To fund these fees, illegalmigrants borrow money from relatives orfriends but more usually from thesmuggling syndicates at exorbitant ratesset by them. As a result, both theimmigrants and their family members maybecome indentured workers or forced toturn to crime to repay the debts.

An American estimate was that, in 1994,over 100,000 Chinese illegal immigrantshad arrived in the United States by land,sea or air. A simple calculation indicatesrevenues in excess of US$3 billion isgenerated each year from passages alonebut, when indentured work is taken intoaccount the revenues derived by thesyndicates will be much higher.

Intercepting transnational smugglinghas never been an easy task, alienssmuggling is particularly so. Because oftheir illegal status, aliens do not normallyperceive law enforcement officers as apotential source of assistance, but ratheras a threat to their precarious stay. Suchan attitude is shared by their fellowclansmen and employers, albeit fordifferent reasons, and has resulted inadditional obstacles to law enforcementagencies in their intelligence gathering.This, coupled with the fact that smugglingsyndicates are difficult to infiltrate due tolanguage and cultural barriers and that thetrue victims of this type of crime are lessobvious, has naturally meant that theproblem of alien smuggling has notreceived its deserved attention untilrecently.

III. SMUGGLING OF STOLENVEHICLES

In contrast with the labor iousrequirements for the smuggling of aliens,the mov ing o f veh i c l es invo lvescomparatively simple procedures. Thereare three principal stages, beginning withacquisition.

(1) First acquiring vehicles, which may beconducted by stealing by professionalcar thieves, or purchase through bogustrading and transportation companiesusing fraudulent means.

(2) C o n c e a l i n g t h e v e h i c l e s f o rtransportation may involve theconstruction of secret compartmentswithin the conveying vessel. On theother hand, vehicles can be dismantledand shipped as parts from the sourceand reassembled at the destination.

(3) Delivery can simply be by way of adriver taking it across a border, or mayrequire a team such as the crew whena vessel is used.

In recent years smuggling syndicateshave turned to use containers, which offera more flexible alternative with far lowerrisks. The use of containers allows thesmuggler to choose a land or sea route fromsource to destination, enables movementthroughout the day and night, shields thecontents from view and, of criticalimportance, allows the use of innocentparties to handle transportation.

Containers are an internationallyaccepted method for transporting goods byland, sea and air from source to destinationand are thus a better vehicle fortransnational syndicates as they expandtheir scope of their operations.

What is more significant is the low level

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of risk faced by smugglers using containersthrough legally designated terminals andcustoms checkpoints. Take Hong Kong asan example. In a normal year, between 13and 14 million containers are processedthrough Hong Kong’s container terminals.Over 8 million cargoes carrying trains andgoods vehicles arrive and depart each year,while about 300,000 sea borne cargoes areprocessed. The sheer volume of trafficrenders comprehensive inspection ofshipments impossible.

Actual inspection rates range between1 to 3 percent. This low rate of inspectionmakes chance detection less likely,especially when combined with theconcealment that comes with a carefullychosen mode of transport. Between 1991to 1993, in the detected cases in Hong Kongonly 2 percent of stolen vehicles werecarried in containers. From 1994 to 1997,this had grown to a massive 71 percent.

Vehicle smuggling syndicates operatewith a high degree of organization in whichparticipants can be divided into a numberof possibly overlapping roles, such as carthieves, jockeys, car yard workers, cross-border lorry drivers and the staff of boguscompanies established locally or overseas.Other participants acting in a support rolewill provide concealment and storage of thecontraband, and will arrange for thenecessary manifests, licenses and otherpaper work.

Two cases of syndicated transnationalvehicle smuggling will clearly illustrate themethods of operation used. In the first, in1997, new left hand drive luxury vehicleswere obtained by syndicate members in theUnited States by making the minimumdown payments to genuine car suppliers.On receipt of the vehicles, the syndicatewould organize its shipment to Hong Kongas perfectly legal goods. Once arrival hadbeen confirmed by the receivers in Hong

Kong, the syndicate would report thevehicles stolen in the U.S.A.

The remainder of the vehicle cost wouldbe covered by insurance payments whilethe vehicles were exported to China fromHong Kong within a few days of arrival. Itwas intended that, by the time U.S.investigators had traced the route takenfrom the U.S.A. the vehicles would havelong crossed the border into China.

The second case is equally illustrativebut may be of more interest to vehicleowners in Japan. In January 1997, 14containers in four shipments, originatingfrom Japan were found on arrival tocontain a total of 56 suspected stolenvehicles. The prompt assistance of liaisonofficers in the Consulate General of Japanin Hong Kong led to the early confirmationthat all of these vehicles had already beenreported stolen in Japan.

When the first nine containers arrivedand before the forged papers could bepresented for their release, the consigneenamed on the shipping documents wasapproached for payment of charges.Confirmation that he had not ordered theconsignment triggered a joint Police,Customs and Excise Departmentinvestigation.

By tracing the syndicate back throughthe tractor driver who turned up to collectthe cargo, three arrests were made. One ofthe arrested persons was known to thepolice for his involvement in vehicle crimes,and a web of false addresses, boguscompanies and sham consignees wasestablished.

Investigation by officers of the TokyoMetropolitan Police Department confirmednot only the places from which therecovered vehicles had been stolen, namely,Chiba, Kanagawa, and Tokyo, but also

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details of the shipping company and agentresponsible for sending the containers toHong Kong. Investigation also indicatedthat the syndicate comprises of probablyfive to six Chinese criminals who had senta further six containers, containing 19stolen vehicles, in three shipments to HongKong. These vehicles were subsequentlyrecovered. This, however, is the onlyknown case of transnational smuggling ofstolen vehicles involving a Hong KongChinese syndicate.

The above examples have shown thatinternational co-operation is vital in thedetection of vehicle smuggling. Many lawenforcement officers are already aware ofthe availability of the International StolenVehicle Database, which is maintained bythe Interpol General Secretariat in Lyon,France. This facility enables countries toinput and retrieve details of stolen vehicleswhi ch i s an inva luab le t oo l f o rinternat ional cooperat ion in theinvestigation and neutralization of vehiclesmuggling syndicates.

IV. TACTICS IN TACKLING THEPROBLEM

Having detailed the scope and nature ofthe problem, it is worthwhile to describesome of the measures that have been takento counter smuggl ing ac t iv i t i es ,unilaterally, bilaterally or multi-laterallyby law enforcement agencies.

Firstly, the primary tool in all policeinvestigations and operations is the timelyand effective use of criminal intelligenceto the benefit of prosecuting those involved.Anti-transnational smuggling is noexception. In the earlier part of thispresentation, the difficulties in cultivatinginformation on the activities of thosesyndicates involved have been explained.They include cultural and languagebarriers, the code of silence shared by those

people who know what is going on, and theutilization of clan relationships by theclosely knitted syndicates. Despite all thesedifficulties, given the large volume of tradeand passenger traffic that goes througheach major port every day, an operationthat is not supported by good intelligencecan not stand any realistic chance ofsuccess. To give the problems the prioritiesthey deserve and to assign an appropriatelevel of resources will be the first importantstep towards developing a more effectiveintelligence system against these activities.

Secondly, and what many law enforcersconsider to be of most importance, is theidentification of the “money trails” and theseizing of the syndicates’ assets. Money, inthe quantities now involved cannot, despitethe best efforts of criminals, move easilyor without leaving a trace. Furthermoresuch trails often provide a clue to the sizeand the sophistication of the syndicates andtheir operations. As a result of making itan offence to assist criminals in launderingtheir crime proceeds and by empoweringthe court to confiscate such proceeds,enforcement actions have succeeded inbringing members of smuggling syndicatesto justice and in tracing and seizing theassets that they have derived from theirillicit activities.

U s e d i n t e l l i g e n t l y, m o n e t a r yinvestigation can be a great aid to tacklingtransnational organized cr iminalsyndicates. Early detection of unusualmonetary movements may provide a timelyindication of how and where criminalgroups move their funds. In this regardthe Hong Kong Police is keen to continuewith the development of eff icientmonitoring programmes in liaison withcountries to which the flow of criminalassets is directed.

Thirdly, co-operation from thoseinnocent part ies that have been

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unwittingly involved in the process is tobe secured. In this regard, the Hong KongPolice has attempted to establish widercommunication channels with its locallybased shipping companies who can provideinvaluable information concerning thebooking of open-top containers or othercircumstances which meet knownsmuggling profiles.

Fourthly, l iaison with overseasauthorities in the affected destinations isalso maintained for the speedy exchangeof intelligence and information onsmuggling activities so that action can betaken to intercept and arrest syndicateoperatives. Past investigations show thattime is always a critical factor which caninfluence the outcome of anti-transnationalsmuggling operations. Hong Kong is in afortunate position to have a number ofLegal Liaison Officers from countries in thePacific Rim posted to the Territory whichenables the speedy passage of informationto take place.

Last, but by no means least, weaving thedisparate strands of information togetherto form a usable picture is now far easier.Technology has played a major role and theHong Kong Police has been fortunateenough to be able to develop analyticalprogrammes which can link scraps ofinformation on people, places and thingstogether in an orderly structure which canbe interactively apprised by intelligenceanalysts.

These tact ics are by no meansexhaustive. To be able to keep an upperhand in the fight against the criminalsyndicates who are a blight on society,continued effort in looking for newtechniques is a must.

V. CONCLUSION

As long as smuggling is a profitable

activity there will be criminals who willweigh the relative risks and rewards oftheir actions and decide to take the chance.Unchecked at an early stage, such activitieswill globalise, and become a major lawenforcement problem.

To counter this trend, a way has to befound to increase their risk and to reducetheir reward. If their chance to make profitis reduced, or the opportunity to keep itonce made can be taken away, the incentivefor them to become criminally involved insmuggling may be reduced; although it cannever be completely removed.

Whilst increased efforts in identifyingsuspect vessels used in sea-bornesmuggling operations, and increasedpenalties for those found to be modifing oradapting these for use in transportingillegal immigrants can reduce the meansof transportation available to smugglingsyndicates, an enhanced intelligencesystem can provide the much needed basefrom where enforcement actions can beguided with greater accuracy.

On the international level, co-operationbetween not only the countries directlyaffected, but those who will be affected bychanges in routes or the influx of criminalfunds, are needed to thwart the massivenetworks and resources that smugglingorganizations possess.

Given the economic and politicaldifferences that exist amongst countriestoday, one does not require a crystal ball topredict that smuggling activities willcontinue to thrive. It has already beenwidely accepted among social scientiststhat “social problems will rarely be solvedbut only be alleviated”. As far as smugglingof aliens and stolen vehicles is concerned,this statement only represents half of thetruth. For police officers who have beeninvolved in the fight against such activities,

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they all know that even alleviation will notcome easily, and not without a concertedinternational enforcement effort.

61


THE EVOLUTION OF DRUG TRAFFICKINGIN THE PACIFIC RIM

Lau Yuk-kuen*

* Director of Crime and Security, Hong Kong PoliceForce Headquarters, Hong Kong.

I. INTRODUCTION

This paper concerns the evolution ofdrug trafficking in the Pacific Rim and themany changes that have taken place in thedrug trafficking scene in this region duringthe past thirty years. It also covers apersonal view on the probable evolution ofillicit trafficking in the Pacific Rim.

Broadly speaking, the drugs that arebeing abused in the region can be dividedinto four major categories. These areopiates, cannabis, cocaine and psychotropicsubstances. In each of the followingsections, the focus is on the currentdevelopments in the illegal trafficking ofthese substances in the Pacific Rim.

II. OPIATES

Opiates are considered first, not onlybecause they are the oldest problem amongthe four categories, but also because theyare the most widely abused in manycountries. The term, “opiates” includesopium, morphine and heroin.

During the past thirty years, manychanges have taken place in the illegal drugtrafficking scene. Changes have includedthe personalities involved, the smugglingmethods, the form of the drug beingsmuggled, the routes used and the locationsof transit and storage centres. One thingwhich has gone virtually unchanged overthis long period of time is the direction ofthe traffic.

Thirty years ago, the direction of thetraffic in opiates was from the southeastto northwest, that is, from the source oftheir production in the Golden Triangle(the mountainous area lying betweenThailand, Laos and Burma, now theRepublic of Myanmar), to the United Stateswhere the drugs were sold at prices up to20 times as high as the original cost in theproducing country. After thirty years, thedirection of traffic remains virtuallyunchanged.

On the production side, some changeshave taken place, but these have beenrelated more to the personalities involvedthan anything to do with the drug itself.Even the surrender of the infamous opiatedrug lord Khun Sha in the Golden Triangleto the authorities in 1996 does not seem tohave a significant lasting impact on theavailability of the drug in the region.

To the pessimists, it can be verydisheartening that, despite the resourcesthat have been spent on the prevention andinterception of drugs, and or the educationand rehabilitaion of drug abusers, therehas virtually been no change in the supplyand demand of the drug over this thirty-year period. Law enforcement officers,however, see the situation quite differently.Compared to thirty years ago, numerousnew check points have been set up alongthe routes and borders between theproducing and the consumer countries asa result of the joint efforts of governments,making it much more difficult for drugt ra f f i ckers t o cap i ta l i ze on anyopportunities.

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Also, thirty years ago, opiate drugs weretransported from the producing countriesin large consignments using sea routes tointermediary countries in the region beforethey were transported onward to theUnited States. At that time, manycountries in the region were not yet openedup, hence the choice of intermediarycountries was quite limited. Hong Kong,being one of the more conveniently locatedcities between the United States and theGolden Triangle, was quite naturallychosen by traffickers as one of their transitcentres. The capital, connection and theexpertise required for transporting a largequantity of drugs in single consignmentsin those days, when internationaltransportation was far less well developedthan today, meant that the traffickingsyndicates at that time had to be wellorganized.

In terms of seizures, the sixties andseventies must have been the morerewarding period for drug enforcementofficers. They had fewer but bigger targets,and the drugs seized in each significantcase could be weighed in hundred-kilogramunits. Around that time, indeed up to theearly eighties, the Hong Kong police hadsuccessfully intercepted many of theselarge drug consignments, and had broughtthe syndicates involved to justice.

To rid themselves of their reputation asmajor opiate transit centres, intermediarycountr ies sought , in addi t ion toenforcement actions, to strengthenlegislative controls to make the life of drugtraffickers more difficult. Some chose tointroduce capital punishment as adeterrent. Hong Kong chose to tighten upthe control of the chemical substancesrequired for converting morphine base toheroin, and to introduce legislation topunish drug traffickers who used HongKong as their operating base, even thoughthe drugs involved never transited through

Hong Kong.

Both measures appear to have producedpositive results. The joint shortage of therequired chemicals , and ef fectiveenforcement action, have together forceddrug traffickers to relocate their refiningcentre away from Hong Kong, reducing thechance of being caught red handed duringthe refining process. Morphine base, whichis the basic ingredient for manufacturingheroin, and which at one time constituteda significant portion of the opiate drugsseized in the territory, has dropped fromthe 551kg seized in 1972 to zero in 1983and after. The amended drug legislationhas also given the enforcement agencies apowerful weapon to f ight againstinternational drug traf f ickers byprosecuting them for conspiracy to trafficin drugs outside Hong Kong. Many onceinfamous traffickers have ended up behindbars for lengthy periods of imprisonment,with sentences of up to 30 years.

The effective law enforcement inintermediary countries has seen manydrug traffickers choose alternative routesto avoid losses. Increasingly they use other,less conveniently located, countries astransit centres even though this meansgreater costs and, in some cases, if caught,a more severe punishment. It is thechanging patterns of transnational drugtrafficking that have fostered a closeworking relationship among drugenforcement agencies in the region,something which, in the view of many drugenforcement officers, is the most importantelement for tackling international drugtrafficking.

New air routes and the opening up ofcountries in the region have speeded upchanges in the last decade. The directsupply of high-grade heroin rather thanmorphine base or opium from the sourcecountries means that drug trafficking

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syndicates are less dependent onpharmaceutical expertise. The prerequisitethat a syndicate must have a chemist andrefining centre before it could act as aninternational broker has gone. Anyone withthe required connections can now, almostsingle-handedly, arrange his own supply ofheroin, in small consignments, from thesource to the consumer countries. Theamount of capital required for financingthis type of small run is substantiallyreduced, so is the size of the syndicates.The collapse of the large syndicates hasseen an increase in the number of smallersyndicates operating under much less wellorganized structures.

Syndicates of all sizes have increasinglyturned to countries which are lessexperienced in drug enforcement as theirtransit and storage centres. This is onlynatural. In countries with less experiencein drug enforcement, the drug traffickersstand a lower chance of being caught. It isfor this reason that countries which wererarely mentioned among drug enforcementofficers in the sixties and seventies havegradua l ly emerged as pre f e r redintermediary countries by opiatetraff ickers, and a new chapter ofinternational cooperation in the fightagainst drug trafficking has begun.

One of the countries exploited byinternational drug traffickers of late hasbeen China. Its first major joint operationwith drug enforcement agencies outside thecountry can be dated to 1988. In thatground-breaking joint operation 60 kg ofheroin were concealed by a drug syndicatein gold fish that were shipped to the UnitedStates from Shanghai, China via HongKong. The operation was very complicatedin view of the protocols and the formalitiesthat the enforcement agencies in the threeplaces had to go through, but was verysuccessful resulting in the arrest of a totalof 14 members of the syndicate including

its master-mind. A close workingrelationship has since developed betweenthe agencies and has been instrumental tothe subsequent neutralization of a majordrug trafficking syndicate in southernChina. This, in 1996, resulted in the seizureof some 600 kg of heroin.

To sum up, the main direction of trafficof opiate drugs has been from the southeastof the region to the northwest, crossing thePacific Ocean. This is likely remain so inthe next few decades, although alternativemarkets have come to the fore as a resultof economic development throughout theregion. The syndicates involved in the tradehave increased in number but now operateunder a less well organized structure.Increasingly, emigration will see morenetworks of contacts between persons inthe source countries and in the consumermarket, based upon the common culturali d e n t i t y o f m e m b e r s , m a r k i n ginternational drug trafficking no longer aprivileged area for sophisticated criminalsyndicates. Drug traffickers will continueto explore new routes to minimize theirrisk, and countries in the region which arecurrently not attractive to them for lack oftransportation or communication facilitieswill soon find themselves being used astransit centres as and when they improvetheir facilities. The development of newroutes from the Golden Triangle in the westto east and southern Chinese cities, as anexample, is now well documented;something which was outside theimagination of even the most creativethinking drug enforcement officers say 30years ago.

III. CANNABIS

Compared to the opiates, cannabis hasa shorter history of abuse, at least on theeastern side of the Pacific Rim. Thirty yearsago, in Hong Kong, cannabis was seen as asymbol of the liberal western society, and

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was abused only by a handful of expatriatepeople. The main growers of cannabis are,according to the Hong Kong seizure record,Cambodia, Colombia, Laos, Mexico, thePhilippines and Thailand, while the mainmarkets would appear to be in the UnitedStates and Europe.

However, the westernization of Asia’sown countries provides an ever growingmarket for a drug which is popularlythought of as less addictive than most. TakeHong Kong as an example. For the ten-yearperiod between 1978 and 1987, a total of743 kg of the drug were seized, comparedto 20,826 kg in the following ten-yearperiod. Indications were that, of the 20,826kg seized, only some 7,200 kg had beenintended to be on-shipped to overseasmarkets. The amount which is believed tohave been for local consumption hasincreased by almost twenty times.

The rise in abuse of cannabis mayeventually equal that of opiates, as thedrug has been widely seen as a relativelyharmless one. The belief that cannabis isless harmful is reinforced by the extremelylow sentencing tariffs meted out by thecourts, and the frequent calls for itslegalisation in many countries.

The debate regarding the legalisation orde-criminalisation of cannabis is conductedon many levels, many of them political.Social issues aside, there is little doubt inthe minds of many drug enforcementofficers that there are cases in whichprogression towards opiate abuse has beenfacilitated by initial experimentation withcannabis. In their experience, addicts donot respond to situations with any degreeof common sense. The search for a strongerexperience has been quoted by manyaddicts as the reason for abusing opiates.

IV. COCAINE

All drugs that are widely abused todayhave their own legitimate use. Cocaine isno exception. The drug, in the limitedamounts that could be ingested from thechewing of the raw leaves, helpedindigenous natives in South America tofunction at high altitudes on a low-levelsubsistence diet. The upsurge in its abusewould appear to be a direct result of theboom years in North American society.Greater wealth and opulent lifestyles ledto experimentation with a drug which wasconsidered safe as it was not associatedwith needles or the less salubrious side ofthe drug culture. Like cannabis in the1960s, it became fashionable to take “coke”in the 1980s and 1990s. In the lower levelsof society, the major impact is moredefinitely attributable to the cheap,smokable form now known as “crack”.

The source countries for cocaine continueto be Peru and Bolivia, with processingtaking place in Columbia. Successful actionagainst the infamous cartels has led to thedevelopment of smaller, lower-profilesyndicates, in the same way as the opiatescene has developed in Asia. The popularityof cocaine goes through peaks and troughs,and seizures have shown a notable declinein the Americas over recent years. Therehave been indications that traffickerswould seek to enter East Asian marketswhere other stimulants are prevalent,However, the high transportation costs andlack of significant Latino communities inEast Asia, which could provide trustedmiddlemen, have hampered efforts in thisrespect. The current rising market foramphetamines in Asia would tend toindicate that cocaine will form only a smallpart of overall drug seizures in this sectionof the region.

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V. PSYCHOTROPIC SUBSTANCES

After the opiates, cannabis and cocainewhich are relatively natural products, theworld has now seen a gradual shift tosynthesized drugs. The use and traffickingof amphetamines and their derivatives arenow increasing throughout the Region.Chemical synthesis does not create areliance on large expanses of land or thew e a t h e r w h e n m a n u f a c t u r i n gamphetamines. Harvesting periods are ofless importance in the clandestinemanufacture of amphetamines althoughone of the necessary precursor chemicalsremains plant-based ephedrine. It has thusbeen inevitable that where easier, and lessvisible methods of drug production areinvented, the illegal syndicates will turnto them for profit.

The expansion of what is described asthe “rave party” or “dance scene”throughout the region and the subsequentabuse of the tablets associated with it, hasbegun here as it did in Western cultures,and is likely to continue for the foreseeablefuture. Tablets such as the Ecstasy familyare now generally thought of as “safe”drugs by those who abuse them.

The opening up of the two chemicalgiants-Russia and China-and theagricultural bases they represent have haddefinite effects on amphetamine abuseworldwide. Factories producing MDMA areallegedly rife in Poland and other countiesof the old Soviet Bloc, while China isallegedly the largest supplier of organicephedrine (the main precursor formethylamphetamine “ICE”). Syndicatesbased in China would appear to be theprincipal suppliers of ICE in the Region,for Hong Kong, Japan, the Philippines andthe Republic of Korea.

VI. THE BROADER VIEW

Having examined developments in theillegal trafficking of different categories ofdrugs, it is useful to examine the broaderpicture of the Region. The term “PacificRim” encompasses the land masses whicheither border, or lie within, the world’slargest ocean-the Pacific. The physical andcultural characteristics of the area’sinhabitants are extremely diverse. Due toits enormous size, the Pacific Ocean hasacted as a formidable natural barrier tocultural exchanges, not only in early timesbut also in modern times.

Politically, the region is as diverse as itspeoples. Some countries are highlyconservative, while others are very liberal.Some countries have governments drawnfrom the military, some are communist led,while others are more akin to Western styledemocracies.

Socially, there is an equally widespectrum. The Pacific Rim includes someof the richest nations as well as some ofthe poorest. In terms of the legal systemsin place, the nations of the Pacific Rim areequally diverse. Different laws and judicialpractices exist, together with differentstandards of proof or admissibility ofevidence.

It is against this background ofdifference that the enforcement agenciesin the region have achieved far moresuccesses than in most other areas of co-operation. Most of the countries of thePacific Rim are signatories to the variousinternational treatise and conventions inrespect to drug trafficking. Even in the caseof some of the poorer economies wherethere may be a lack of financial resourcesor expertise to tackle the trade in illegaldrugs, genuine attempts are still beingmade to join forces to combat thetraffickers.

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In addition to international co-operation,another powerful weapon that has beenadopted by nations against the illegal tradehas been the introduction of legislation toempower courts to confiscate the proceedsof drug trafficking. The significance of thismove is threefold.

Firstly, confiscation strikes directly atthe power base of the drug syndicates,instantly stripping them of their assetsonce caught and convicted, making itdifficult for them to recover.

Secondly, confiscation provides nationswith an immediate financial incentive toput more resources into drug enforcement,as it can effectively shift a proportion ofthe financial burden of fighting drugtrafficking from the government to the drugtraffickers, who now finance the authoritieswith their ill gotten gains when caught.

Thirdly, and perhaps more importantlyfrom the viewpoint of law enforcement, thisapproach opens up a whole new area ofinvestigation which is much more revealingthan the traditional methods. By followingthe money trail rather than the drug trail,investigators now find they have a muchbetter chance of identifying the ‘Mr. Big’ oftheir targeted syndicates, and of bringinghim to justice.

This new weapon was used in the UnitedStates in the 1980’s, and has now becomea standard item in many of the Pacific Rimnations’ anti-drug trafficking policy. Interms of hard figures, Hong Kong hasrestrained or confiscated assets worth someUS$63.5 million within the eight yearssince the confiscation law was introduced.

VII. THE FUTURE

The foregoing has been largely positive.However, despite concerted attempts toreduce illegal drug abuse through

treatment and education, the consumerdemand for drugs seems to have increasedrather than decreased. This has createdever increasing financial opportunities forthe trafficker to exploit.

Of particular concern must be theincreasingly addictive nature of thed e r i v a t i v e s n o w a v a i l a b l e . T h emodernization of communications andtransportation systems throughout theworld have not only enabled a growth inthe sophistication of trafficking syndicates,but also expanded the markets throughincreased exposure to drug abuse. Hugefinancial rewards from such illegalenterprises can now be hidden throughnumerous legal and illegal financialvehicles and the scale almost defies theimagination. The annual turnover of someof the larger syndicates is estimated toexceed that of some smaller nations. Nowmore than ever, as the next centuryapproaches, the strengthening ofinternational co-operation will be ofparamount importance with globalizationof the drug trade.

As to the most widely abused drugs ofthe future, it is fairly easy to see that therehas been a shift towards synthetic drugs.The reasons for this are apparent: largeareas of land are no longer required andproduction is no longer limited to the twoharvest seasons each year, each dependentupon the weather. Synthetic drugs, beingfar more potent, weight for weight, theirtransportation is much easier, and thisincreased potency can produce such intenseeffects that a craving for repetition oraddiction can be generated by one or twoexposures. This is contrary to the carefullyfostered view that such drugs, whichrequire no injection, are far safer. Thereare already suggestions that Thailand, asource country for heroin, now has anaddict population which seems to haveshifted almost completely to the abuse of

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ICE because this drug, a stimulant ratherthan a depressant, is so much more intenseand addictive.

VIII. CONCLUSION

For those who have been involved inattempting to reduce the trafficking indrugs of abuse, it is obvious that the regionstill suffers from a significant drugproblem. While there is still a large demandfor heroin, cocaine and cannabis, we arenow seeing an ever increasing trendtowards amphetamine-related andsynthet ic drugs . The tradi t ionalapproaches adopted to target drug baronsmay not have the same effect whensynthesis can be used to create a drugsupply so simply and easily.

It is not known what new drugs mayenter the market in the next few decades,a similar situation to that which precludedthe prediction of Cocaine, ICE and Ecstasy,becoming common drugs of abuse. At thesame time, technological change are takingplace at such a pace that they may rapidlymake currently used enforcement tacticsoutdated and ineffective. The search foranswers to new challenges must, therefore,continue.

If any one lesson, learnt from theexperience of the past thirty years, was tobe singled out as of overriding importance,it would be that the globalisation of crimehad to be met by a globalisation oflegislative and enforcement efforts tocounter it. Today, fewer barriers exist andofficers from different nations are moreable to share their experience, establishworking contacts and explore new ideas.It is in this sharing that new solutions canbe found.

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CURRENT PROBLEMS IN THE COMBAT OFTRANSNATIONAL ORGANIZED CRIME

Dimitris Vlassis*

I. TRANSNATIONAL ORGANIZEDCRIME IN PERSPECTIVE

Law-abiding citizens are becomingincreasingly aware of and concerned aboutcommon crime. Indeed, the fear of crimeseems to permeate our lives. We worryabout being mugged or robbed in a parkinglot; our wives and daughters are afraid ofbeing raped or molested while walkinghome from work or school; many of us livein terror of having our children kidnapped,or entrapped into drug circles. We putalarms in our cars, place bars on ourwindows, trying to make our homes assecure as prisons; at the same time weaccept to live as prisoners.

The tools of crime have becomefrightening. Not to mention the misery itleaves in its wake, the financial damage tosocieties is staggering. The economic priceexacted on our nations is enormous, whileits social and hidden human costs are evenhigher. In addition to traditional and“street” crime, the consequences of certainnew forms of criminality present real andpresent dangers to progress and a brake todevelopment. Economic crimes, includingfraudulent bankruptcy and illicit outflowof capital, tax evasion, computer crimesand the theft of works of art representingthe cultural heritage of nations, havebecome especially troubling, as they arevery difficult to detect and control,particularly when they are inter-linked toc o r r u p t i o n a n d a b u s e o f p o w e r.

Environmental offences and criminalnegligence damage the human habitat,sometimes irreversibly and disastrously.Sea piracy, including against refugees, thetrafficking in persons across borders,particularly women and children, and othercrimes, including smuggling of humanorgans or the mistreatment of migrants,add a new d imens ion t o humanexploitation. Violence is extending its reachfar beyond national frontiers; withterrorism introducing a random and highlydangerous element into internationalrelations, and with the covert arms tradecreating a “deadly convergence” betweensubversive movements, drug traffickersand local warlords.

Crime strikes not only its mostimmediate vict ims, but ser iouslyundermines the foundation of trust uponwhich government rests, by eroding itsauthority and legitimacy, wherever allegedoffenders manage to escape apprehensionand sanctioning. It is high time to promoteworldwide a culture of legality andtolerance, instead of accepting a culture oflawlessness and v io lence , whichd a n g e r o u s l y t h r e a t e n s n a t i o n a linstitutions and their principal foundation:global values. Nations have decided to joinefforts to reduce crime not only because itconstitutes a serious infringement of ourinalienable right to live in peace andtranquility, but also because it impedes thequest of countries to growth, stability andsteady progress towards democracy.

Throughout the world, there isrecognition of the need to develop moreeffective, ideally global, strategies to

* Crime Prevention and Criminal Justice Officer,Centre for International Crime Prevention, Officefor Drug Control and Crime Prevention, UnitedNations Office at Vienna.

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prevent and control crime, especiallytransnational organized crime. The taskbefore us is in my view even greater,because the development of better andmore effective solutions is not the onlyneed; we must reassess the very nature anddimensions of the problem, and the policiesthat can serve the common purpose ofdealing with it. But we must also reflectvery seriously on the impact of crime ingeneral, and transnational organized crimein particular, on our lives and economicactivity. We must gear our minds to thinkbeyond (and to challenge) perceptions moreor less well ingrained. We need to reassessour interests and look beyond traditionalroles and stereotypes. If we do that, I amsure we will discover that:

(a) transnational organized crime is aphenomenon with multiple facets whichhave hardly been thoroughly studied;

(b) organized criminal groups areconscious of and ready to seize theopportunities presented to them byglobalization and the growing trendstowards trade liberalization to expand theiractivities and operations, in spite of theincreased awareness of the problem on thepart of Governments;

(c) in view of the increased opportunities,but also in order to thwart efforts that gotogether with the increased awareness,organized criminal groups are formingal l iances and re-examining theirstructures, as well as their targets andmodus operandi;

(d) the public and private sectors sharemuch more than we previously perceived.They share not only common interests butalso common values.

We must begin, as a matter of urgency,to think in terms of new partnerships tosafeguard these values and protect mutual

interests.

While the forms of crime affecting ourlives and the viability of our societies arenumerous, organized crime is one of themost nefarious manifestations. Organizedcriminal groups are spreading theiroperations around the globe and areengaging in a variety of activities thatrange from the traditional to the modern,with an increased level of sophistication.They also display a remarkable ability toshift across borders and from activity toactivity with speed and adaptability thatwould be the envy of any legitimatebusiness.

The amounts of money generated bythese activities are mind-boggling. Leavingaside some of the more “traditional”activities, like drug trafficking, by way ofexample, it is estimated that if car theftand its illicit trafficking were a legitimatebusiness, it would rank fifth in the Fortune500. Overall, the annual profits oforganized crime are estimated, accordingto some sources, at one trillion dollarsworld-wide; almost as much as the UnitedStates annual federal budget.

F r e e t r a d e a n d h i g h - s p e e dtelecommunications make it easier toengage in multiple activities and to laundermoney across national borders, with anestimated one billion dollars in crimeprofits wire-transferred though the worldfinancial markets every day. Moreover, theexport of precious raw materials, includingchemical, biological and nuclear material,is increasingly attracting the attention, andoften falling into the hands of, organizedcrime.

Through its interfaces with other licitand illicit activities, organized crime isinfiltrating national economies, takingadvantage of the difficulties of following thetrail of criminal proceeds. It has become

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clear that only by tackling organized crimein a concerted manner can we hope to makeinroads into a problem that transcendsborders and exceeds the capacity ofnational mechanisms operating alone.

Developing countries and emergingdemocracies are becoming a target fororganized criminal groups operating acrossborders, because of their vulnerabilitieswhile their institutions are either youngor in the process of being built. Often, thesophisticated modus operandi of thesegroups is no match to the criminal justicesystems of developing countries andcountries with economies in transition. Theneed for foreign capital to give new life tothe economy and assist these countries inenter ing today ’s competit ive anddemanding global market, frequentlyobscures the long-term threat posed by theinvestment of criminal proceeds. Criminalgroups are keen to enter developingcountries and economies in transition, notonly because of their potential, but alsobecause of the decreased risks involved.The advantages that such groups enjoy, dueto the sizeable amounts of money at theirdisposal and their ability to eliminatecompetition through intimidation andviolence, make risks that would daunt anylegitimate business perfectly acceptable.The consolidation of their power places ingrave danger the growing economies ofthose countries, particularly in terms ofthe i r fu ture deve l opment , the i rcompetitiveness in the international arena,and their stability.

The situation has become even morealarming with the expansion of organizedcrime and the growing tendency oforganized criminal groups to diversify theiroperations in response to a principle thathas been driving international businessforever: reduce risks and maximizep r o f i t a b i l i t y. S o m e y e a r s a g o ,criminologists were drawing a clear

distinction between the activities oforganized crime and the areas in which itwas operating, and another elusive formof crime known as “white-collar crime.”This is no longer the case. While retainingtraditional activities, particularly thosethat continue to be lucrative, and findingnew ways of eluding law enforcementefforts, organized criminal groups areincreasing their sophistication and turningto “borderline” economic endeavours. Theadvantages are obvious. Countries are stillin the process of analyzing the potentialfor malfeasance of a broad range of neweconomic activities and products availableto individual and institutional investors,before they can even attempt to conceive,e l a b o r a t e a n d e n f o r c e a d e q u a t eregulations.

In addition to the obvious advantage ofconcealing wealth and launderingproceeds, organized criminal groups aredrawn to the great possibilities for reapingsizeable, perfectly legal profits beforeanyone has even realized whether therewas anything wrong. Since this type ofcrime is often “victimless”, such activitiesoffer the additional advantage of notdrawing public attention, which putsincreased pressure on national authoritiesfor action.

Finally, such activities come with addedvalue: power, which organized crime hasnever shunned if the price for obtaining itwas right. There is another feature in thistype of crimes that is both an additionaladvantage for criminal groups and anincalculable danger for modern societies.The successful engagement of criminals ineconomic crimes is often viewed by thepublic as an act of cunning and evenbravery. Social criticism for the perpetratoris directed not at the commission of thecrime but at the failure to escape justice.This attitude is a sign of the times andamply demonstrates the corrosive effects

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that such crimes have on the social fabric.It is fundamental that this attitude bereversed, because it can prove equally ormore dangerous than the offencesthemselves. We must not shy away fromthis responsibility, which does not rest onlyon Governments, but must be equallyshared by everyone, with the private sectorplaying a prominent role.

What are the problems facing individualcountries and the international communityin effectively dealing with organized crime?Policy-makers, legislators and criminaljustice officials think in a certain way. Weare all aware of the simple truth thateveryone is captive of his/her ownexperience. We are trained according tocertain principles and standards, and weare naturally inclined to base ourreasoning, organize our work and approachproblems and seek solutions on the basisof these principles. These standards maybe part of our upbringing, our education,our professional training or our experience.Together with these standards andprinciples, we are also guided by certainvalues which we believe are paramountand should be protected.

Policy-makers are trained to think interms or certain organizational structuresthat must be respected in making andimplementing policies. Legislators and lawenforcement officials are trained to thinkalong the fundamental lines of theirrespective legal systems in elaboratinglaws and in implementing them. Whenfaced with the necessity to put in placefunctioning and effective mechanisms ofcooperation, responsible officials areconstrained by the fundamental principlesof their thinking and of the instrumentsdefining their mandate and the marginswithin which they can operate or negotiate.

In order to comprehend the problemcalling for cooperation, people have the

tendency to try and either break it downto elements with which they are familiaror try to project the problem (and itsconstituent elements) within their ownoverall perspective and operatingenvironment. This effort is manifested inseveral ways, principal among them beingthe use of terminology. Consequently, ind iscuss ions and negot ia t i ons oninternational cooperation, governmentrepresentatives tend to reason in ways thatconform to their terminology and to theirnational legal frameworks and structures.Furthermore, there are always effort toe n s u r e t h a t t h e m e c h a n i s m s o finternational cooperation are designed insuch a way that would, if possible, not runcounter to national norms and legalregimes.

Organized crime attacks the veryfundamental values that we are trying toprotect and on which we base ourperception of structures, norms andstandards. It also exploits lacunae and gapsthat exist in legal systems and in legalthinking. It benefits from the limitationsthat the mode of reasoning discussed aboveimposes on mechanisms of internationalcooperation. If we are to deal effectively anddecisively with organized crime, we mustchallenge our way of thinking and changethe way we operate.

Let me make one thing absolutely clearat this stage. The fundamental precept ofcriminal law is, and must remain, theprotection of individuals and society. Anyaction against organized crime (or any formof crime for this matter) must not bedesigned or undertaken in a way thatwould j eopard ize or compromisefundamental rights and freedoms of theindividual or society. This is one of thereasons that the task is even more difficult.

Effective action against organized crimerequires an unreserved commitment to

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international cooperation. It also requiresthe will of Governments, and ultimatelyeveryone involved in policy-and decision-making, as well as civil society to conformlegislative instruments and practices to theneeds of international cooperation, insteadof the other way around. This means thatcountries should be willing and ready toamend their legislation in order to maketheir legal and law enforcement regimesable to converge with those of othercountries in order to ensure that no matterwhich activity, no matter in whichgeographical region, and no matter who arethe perpetrators, organized crime groupsfind no safe haven. Furthermore, this willand readiness must be manifested by allcountries from all regions, and theircommitments must be sustained over time.

Action cannot be limited because of thetransnational nature of organized crimeand its ability to shift its operations acrossborders in response to increases in the risksit is facing. The commitment must besustained over time for two reasons. First,because of the strength and resilience oforganized criminal groups and, second,because of the power organized criminalgroups wield due to their wealth and thecomparative advantage this wealth givesorganized criminal groups over lawenforcement authorities which invariablyoperate with limited budgets. One may betempted to ask: is this a last cause? Areefforts by law enforcement authoritiesdoomed to merely trying to catch up?Optimism, albeit with caution, shouldguide us in answering these questions.Pooling resources, relying on active andgenuine cooperation, and constantlyincreasing the professional capacities andthe knowledge of law enforcement andcriminal justice personnel can be theelements of successful action. But, moreimportantly, there is need for functionalframeworks for international cooperation,coupled with appropriate mechanisms at

the national level.

II. UNITED NATIONS ACTIONAGAINST TRANSNATIONAL

ORGANIZED CRIME

The work of the United Nations instrengthening international cooperationagainst organized crime dates back twentyyears. The issue and its various aspectshave been debated and analyzed bysuccessive congresses on the prevention ofcrime and the treatment of offenders,starting with the Fifth Congress in 1975.This debate has, of course, evolved throughthe years to reflect changing perceptionsand priorities of States, but also theincreased understanding of the realdimensions of the problem.

The Fifth United Nations Congress onthe Prevention of Crime and the Treatmentof Offenders examined the “Changes inForms and Dimensions of Criminality-Transnational and National” under agendaitem 5. In what could today, with thebenefit of hindsight, be termed prophetic,the Congress focussed on crime as businessat the national and transnational levels:organized crime, white-collar crime andcorruption. Crime as business wasrecognized as posing a more serious threatto society and national economies thantraditional forms of crime. While it was aserious problem in many developedcountries, the national welfare andeconomic development of the entire societyin developing countries was found to bedrastically affected by such criminalconduct as bribery, price-fixing, smugglingand currency offences.

In 1980, the Sixth United NationsCongress, under agenda item 5 entitled“Crime and the Abuse of Power: Offencesand Offenders beyond the Reach of theLaw,” added new elements to theinternational perception of organized

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crime. Among these offences were thosecrimes with respect to which the lawenforcement agencies were relativelypowerless, because the circumstancesunder which they had been committed weresuch as to decrease the likelihood of theirbeing reported or prosecuted. Organizedcrime, bribery and corruption were amongthe first examples listed.

The issue was considered further by theSeventh Congress in 1985 under Topic 1“New dimensions of criminality and crimeprevention in the context of development:challenges for the future.” The Congressemphasized that multiple illicit operationscarried out by international criminalnetworks represented a major challenge tonational law enforcement and tointernational cooperation.

In 1988, a high-level plenipotentiaryconference, held in Vienna, adopted theUnited Nations Convention Against IllicitTrafficking in Narcotic Drugs andPsychotropic Substances. At the end ofAugust 1996, 136 States were parties tothe Convention, which represents one ofthe most important binding internationalinstruments against drug trafficking, anactivity in which transnational criminalorganizations are regularly engaged.

In 1990, within the framework of itsTopic III “Effect ive national andinternational action against: (a) Organizedcrime; (b) Terrorist criminal activities,” theEighth Congress examined the problem oftransnational organized crime in the lightof new historic developments. The rapidincrease in the number of independentcountries, together with the growingexpansion of criminal activities beyondnational borders, had created the need fornew international institutions that couldintroduce a measure of order and enhancethe effectiveness of crime preventionefforts. On the recommendation of the

Congress, the General Assembly made asubstantive step towards strengtheninginternational cooperation by adopting theModel Treaties on Extradition, on MutualAssistance in Criminal Matters, onTransfer of proceedings in CriminalMatters and on Transfer of Supervision ofOffenders Conditionally Sentenced orConditionally Released (resolutions 45/116,45/117, 45/118 and 45/119 respectively).The Congress also adopted a set ofguidelines against organized crime inresolution 24, which was welcomed by theGeneral Assembly in resolution 45\121. Inresolution 45/123, the General assemblyurged Member States to implement theseguidelines and invited them to makeavailable to the Secretary-General theirnational legislation against organizedcrime and money laundering.

Pursuant to General Assemblyresolution 45/108 of 14 December 1990 theMinisterial Meeting on the Creation of anEffective United Nations Crime Preventionand Criminal Justice Programme was heldin Versailles from 21 to 23 November 1991.The General Assembly, by resolution 46/152 of 18 December 1991, adopted aproposed Statement of Principles andProgramme of Action, which, inter aliaestablished the Commission on CrimePrevention and Criminal Justice (a 40-member functional Commission of theEconomic and Social Council).

The Commission was established andheld its first session in 1992. On itsrecommendation, the Economic and SocialCouncil adopted resolution 1992/22, bywhich it determined that one of the prioritythemes that should guide the work of theCommission and the United Nations CrimePrevention and Criminal Just iceProgramme would be “national andtransnational crime, organized crime,economic cr ime, including moneylaundering, and the role of criminal law in

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the protection of the environment”. TheCouncil also adopted resolution 1992/23, inwhich it noted the recommendations of twoAd Hoc expert group meetings held in 1991,in Smolenice, Slovak Republic, and inSuzdal, Russian Federation, and requestedthe Secretary-General to continue theanalysis of the impact of organized criminalactivities upon society at large. TheCommission, also at its first session,adopted resolution l/2 by which it requestedthe Secretary-General to examine thepossibility of coordinating efforts made atthe multilateral level against launderingof the proceeds of crime and relatedoffences, and to propose means for technicalassistance to requesting Member States indrafting legislation, training lawenforcement personnel, in developingregional, subregional and bilateralcooperation and in providing advice.

The efforts of the United Nations, andthe awareness and interest displayed bythe intemational community through theCommission on Crime Prevention andCriminal Justice, led to the organizationof one of the most significant events in thehistory of the United Nations CrimePrevention and Criminal Just iceProgramme. The World MinisterialConference on Organized TransnationalCrime was organized in Naples, Italy, from21 - 23 November 1994. The 142 States inattendance (86 of them at the Ministeriallevel, while others were represented bytheir Heads of State or Government)unanimously adopted the Naples PoliticalDeclaration and Global Action Plan againstOrganized Transnational Crime, whichwas later approved by the GeneralAssembly (resolution 49/159 of 23December 1994).

The Naples Political Declaration andGlobal Action Plan emphasized the needand urgency for global action againsttransnational organized crime, focussing

on the structural characteristics of criminalorganizations. Countries were called uponto begin the process of harmonizing theirlegislation, while special attention was paidto the need for countries to ensure thattheir criminal justice systems had thecapac i ty t o prevent and contro ltransnational organized crime in all of itsmanifestations. Equal attention was givento the need for the internationalcommunity, particularly donor countriesand financing institutions, to assistdeveloping countries and countries witheconomies in transition, to bridge the gapbetween the capacity of their lawenforcement authorities and criminaljustice systems in general, and the abilityof organized criminal groups to shift theiroperations from activity to activity and toelude efforts against them by usingsophisticated methods of operation.

The Naples Political Declaration andGlobal Action plan stressed the need for theinternational community to arrive at agenerally agreed concept of organized crimeas a basis for more compatible nationalresponses and more effective internationalcooperation. Particular attention was givento more effective bilateral and multilateralcooperation against transnationalorganized crime, asking the Commissionon Crime Prevention and Criminal Justiceto examine the possibility of a conventionor conventions against transnationalorganized crime. Furthermore, theprevention and control of the launderingand use of the proceeds of crime wereconsidered essential elements of anyinternational effort.

The Commission on Crime Preventionand Criminal Justice followed up on theimplementation of the Naples PoliticalDeclaration and Global Action Plan at itsfourth and fifth sessions (Vienna, 30 May -9 June 1995 and 21 - 31 May 1996respectively). On its recommendation at its

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fourth session, ECOSOC adoptedresolution 1995/11 of 24 July 1995, in whichthe Secretariat was requested (a) to initiatethe process of requesting the views ofGovernments on a convent ion orconventions; (b) to collect and analyzeinformation on the structure and dynamicsof transnational organized crime and on theresponses of States to this problem, for thepurpose of assisting the internationalcommunity to increase its knowledge on thematter; (c) to Submit to Member States atthe next session of the Commission aproposal on the creation of a centralrepository of existing legislative andregulatory measures and information onorganizational structures designed tocombat transnational organized crime; (d)to submit proposals to the Commission forthe development of practical models andpractical guidelines for substantive andprocedural legislation in order to assistdeveloping countries and countries intransition; (e) to provide advisory servicesand technical assistance to requestingMember States in needs assessment,capacity- building and training, as well asin the implementation of the NaplesPolitical Declaration and Global ActionPlan; and (f) to join effort with otherrelevant international organizations inorder to reinforce common regulatory andenforcement strategies in the area ofprevention and control o f moneylaundering, and to assist requesting Statesin assessing their needs in treatydevelopment and the development ofcriminal justice infrastructure and humanresources.

An in-sessional intergovernmentalworking group was established at the fifthsession of the Commission to review theviews of Governments on a convention orconventions, as well as the proposals of theSecretariat described under (c) and (d)above. The Crime Prevention and CriminalJustice Division, on the basis of information

provided by Member States, prepared areport for the Commission’s considerationat its fifth session (Vienna, 21 - 31 May1996), in which the actual situation oforganized crime was reviewed. Mostresponding Member States expressed theirfavourable disposit ion towards aconvention against transnationalorganized crime.

In November 1995, the Divisionorganized a regional Ministerial Workshopon the Follow-up to the Naples PoliticalDeclaration and Global Action plan, hostedby the Government of Argentina in BuenosAires. The Workshop adopted the BuenosAires Declaration on Prevention andControl of Organized Transnational Crime,in which the countries of Latin America andthe Caribbean expressed their support forexpeditious follow-up to the NaplesPolitical Declaration and Global Actionplan, and endorsed the idea of developinga convention against transnationalorganized crime, offering a list of elementsthat such a convention should include.

At its fifth session, the Commissiondevoted special attention to the issue oforganized crime in general, and to thefollow-up of Naples in particular. On itsrecommendation, the General Assemblyadopted, at its fifty-first session in 1996,the United Nations Declaration on Crimeand Public Security (resolution 51/60). Bythis Declaration, Member States undertookto seek to protect the security and well-being of all their citizens, by takingeffective national measures to combatserious transnational crime, includingorganized crime, illicit drug and armstrafficking, smuggling of other illicitarticles, organized trafficking in persons,terrorist crimes and the laundering ofproceeds from serious crimes. MemberStates also pledged their mutualcooperation and to promote bilateral,regional, multilateral and global law

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enforcement cooperation and assistance;white taking measures to prevent supportf o r a n d o p e r a t i o n s o f c r i m i n a lorganizations in their national territories.In addition, Member States undertook, tothe fullest extent possible, to provide foreffective exdradition or prosecution of thosewho engage in serious transnational crimesin order to ensure that these criminals findno safe haven.

According to the Declaration, mutualcooperation and assistance in thesem a t t e r s w o u l d a l s o i n c l u d e t h estrengthening of systems for the sharingof information among Member States, andthe provision of bilateral and multilateraltechnical assistance. This is also importantin connection with the agreement ofMember States to take steps to strengthenthe overall professionalism of theircriminal justice, law enforcement andvictims assistance systems, as well asrelevant regulatory authorities. MemberStates were urged to become parties assoon as possible to the principal existinginternational treaties relating to thevarious aspects of the problem ofinternational terrorism, as well as to theinternational drug control conventions. TheDeclaration called upon States to takemeasures to improve their ability to detectand interdict the movement across bordersof those engaged in serious transnationalcrime, as well as the instrumentalities ofsuch crime, and to protect their territorialboundaries. Such measures would includeadopting effective controls on explosivesand against illicit trafficking in certainmaterials and their components that arespeci f ical ly designed for use andmanufacturing nuclear, biological orchemical weapons; strengtheningsupervision of passport issuance andenhancement of protection againstt a m p e r i n g a n d c o u n t e r f e i t i n g ;strengthening enforcement of regulationson illicit trafficking in firearms; and

coordinating measures and enhancinginformation exchange to combat theorganized criminal smuggling of personsacross national borders.

In connection with the control of theproceeds of crime, Member States agreedto adopt measures to combat theconcealment or disguise of the true originof the proceeds of serious transnationalcrime and the intentional conversion ortransfer of such proceeds for that purpose.Member States also agreed to requireadequate record-keeping by financial andrelated institutions and the reporting ofsuspicious transactions and to ensureeffective laws and procedures to permit theseizure and forfeiture of the proceeds ofserious transnational crime. MemberStates recognized the need to limit theapplication of bank secrecy laws, if any,with respect to criminal operations and toobtain the cooperation of financialinstitutions in detecting these and otheroperations which may be used for thepurpose of money laundering.

Further, Member States agreed tocombat and prohibit corruption and briberyand to consider developing concertedmeasures for international cooperation tocurb corrupt practices, as well asdeveloping technical expertise to preventand control corruption.

On the very important issue ofcorruption, the General Assembly adoptedanother resolution, also recommended bythe Commission at its fifth session(resolution 51/59). Entitled ‘‘action againstcorruption’’, the resolution represents workcarried out in the context of the UnitedNations Crime Prevention and CriminalJustice Programme for the last seven years.According to the resolution, the Assemblyadopted an lnternational Code of Conductfor Public Officials, which sets out anumber of principles which Member States

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can use as a tool to guide their effortsagainst corruption. The crime Preventionand Criminal Justice Division is currentlyin the process of revising and expanding aManual on Practical Measures againstCorruption, which together with the Codeof Conduct would form a package foradvisory services, training and othertechnical assistance activities. We are alsoworking on model legislation againstcorruption for use in the context oftechnical cooperation adivities. Countriesrequesting assistance in this field wouldbe provided with the model law, which canbe adapted to the particular legalrequirements and other circumstances ofthe country, and assisted in making suchadaptations and supplementing thelegislation with regulatory and othermeasures.

In 1996, the General Assembly adoptedanother resolution (resolution 51/191) onthe United Nations Declaration againstCorruption and Bribery in InternationalCommercial Transactions. The resolution,which approaches the issue of corruptionfrom another, very important angle,contains a request to the Commission onCrime Prevention and Criminal Justice toexamine ways, including through legallybinding international instruments, tofurther the implementation of theDeclaration, so as to promote thecriminalization of corruption and briberyin international commercial transactions.The Assembly stressed that this actionshould in no way preclude, impede or delayinternational, regional of national actionsin this field. The Assembly encouragedprivate and public corporations, includingt ransnat i ona l c o rpora t i ons , andindividuals engaged in internationalcommercial transactions to cooperate in thee f f e c t i ve imp lementa t i on o f theDeclaration. States committed themselvesto take effective and concrete action tocombat all forms of corruption, bribery and

related illicit practices in internationalcommercial transactions and to call uponprivate and public corporations, includingt ransnat i ona l c o rpora t i ons , andindividuals within their jurisdictionengaged in international commercialtransactions to promote the objectives ofthe Declaration.

Further, in accordance with theDeclaration, which among other provisionscontains elements that bribery mayinclude, States committed themselves todeny, where not already done, the taxdeductibility of bribes paid by any privateor public corporation or individual to anypublic official or elected representative ofanother country and to develop or maintainaccounting practices that improvetransparency of international commercialtransact ions and that encouragecorporations and individuals to avoid andcombat corruption and bribery. In addition,States committed themselves to develop orencourage the development of businesscodes, standards and best practices thatprohibit corruption, bribery and relatedillicit practices in international commercialtransactions. Our Commission took furtheraction on the modalities of implementationof the Declaration at its sixth session inApril last year, while an expert groupmeeting was organized in Buenos Aires inMarch 1997, which made a number ofrecommendations to assist the Commissionwith its work.

Reverting to the follow-up to the NaplesPolitical Declaration and Global ActionPlan, the Economic and Social Counciladopted resolution 1996/27, in which it tooknote of the Buenos Aires Declaration andrequested the Secretary-General tocontinue his consultations with MemberStates on the possibility of elaborating aconvention or conventions againsttransnational organized crime. The Councilalso requested the Secretary-General to

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assist in the implementation of the NaplesPolitical Declaration and Global ActionPlan and to meet the needs of MemberStates for increased knowledge on thestructure and dynamics of transnationalorganized crime in all its forms, as well astrends in its development, areas of activityand diversification. In addition theSecretary-General was called upon to assistMember States in reviewing existinginternational instruments and exploringthe possibility of elaborating new ones tostrengthen and improve internationalcooperation against transnationalorganized crime and to intensify technicalassistance in the form of advisory servicesand training. The Secretary-General hasalso been requeted to establish a centralrepository for national legislation,including regulatory measures, ontransnational organized crime; informationon organizational structures designed tocombat transnational organized crime; andinstruments for international cooperation,including bilateral and multilateraltreaties and legislation to ensure theirimplementation. For the purpose ofproviding increased technical assistance torequesting Member States, the Secretary-General has been requested to developtraining manuals for specialized lawenforcement and investigative personnelon action against transnational organizedcrime, taking into account differences inlegal systems.

In July last year, we organized a regionalMinisterial Workshop in Dakar for thecountries of the African region. In adoptingthe Dakar Declaration, the Ministersreaffirmed their commitment to fightagainst transnational organized crime andreiterated their collective political will tosupport the efforts of the Commissiontowards the elaboration of an internationalconvention against transnationalorganized crime. In addition, the Ministersreviewed and approved two regional

projects for technical cooperation aimed atproviding assistance to the Governmentsof the region in strengthening theircapacit ies to prevent and controltransnational organized crime.

The issue of the convention has come tothe forefront as a result of a resolutionadopted by the General Assembly inDecember 1996 (resolution 51/120),following the initiative of the Governmentof Poland to submit to the Assembly thetext of a draft framework conventionagainst transnational organized crime. Onthe recommendation of the Commission atits sixth session, the General Assemblyadopted resolution 52/85 of 12 December1997. By virtue of this resolution, an in-sessional intergovernmental group ofexperts was established and held a meetingfrom 2 to 6 February in Warsaw. Thegroup’s mandate was to elaborate ap r e l i m i n a r y d r a f t o f a p o s s i b l einternat ional convent ion againsttransnational organized crime, on the basiso f a n u m b e r o f d o c u m e n t s a n dcontributions from Governments, eitherindividually or in the context of a workinggroup established at the last session of theCommission.

All this is a summary of the politicalprocess at the intergovernmental level.This process may sometimes appear to becumbersome and to require considerabletime. It is, however, essential forinternational cooperation, since theobjective cannot be expediency and stronglanguage but consensus, together withconscious and genuine commitment, whichare the cornerstones of successful action.

While this process is under way, and inorder to encourage it and solidify the gainsthat are made, technical cooperation iscrucial. The Centre for International CrimePrevention has been making every effottpossible to advance the implementation of

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the Naples Political Declaration and GlobalAction Plan and to provide assistance toMember States who wish to strengthentheir capacity to fight organized crime. Ofcourse, as with almost everything thesedays, this is also a question of resources.Technical cooperation activities areresource-intensive and the Centre’s regularbudget and extra-budgetary funds have notkept up with the emphasis placed by theinternat iona l communi ty on theProgramme’s priority role as the providerof timely and practical assistance. Theproblem we are facing has become moreacute in the past couple of years with themultiplication of requests from developingcountries and countries with economies intransition, whose needs have grownexponentially with the growth of crime ingeneral, but also with the expansion oforganized crime, and whose expectationshave been raised by the emphasis placedby the Commission on the provision ofpractical assistance and the neworientation of our Programme.

With the limited resources at ourdisposal we have managed to provideassistance to the Economic Community ofWest African States (ECOWAS) indeveloping a regional convention on mutualassistance in criminal matters and inbeginning a similar exercise with regardto extradition. In South Africa, we assistedthe Government in developing a witnessprotection programme, while anotherproject is under development to assist thecountry in strengthening its overallcapacity to prevent and control organizedcrime. In Kyrgyzstan we are currentlyhelping the Government to develop aspecific project related to the establishmentof a specialized department within theMinistry of the Interior to fight organizedcrime. We have also managed to respondto Some of the needs of Belarus andUkraine, with the assistance of the UnitedNations International Drug Control

Programme (UNDCP), and to carry outneeds assessments in Angola, Argentina,Armenia, Bolivia, Georgia, Guinea, theFormer Yugoslav, Republic of Macedonia,Togo and Pakistan. In Bosnia andHerzegovina we have developed a numberof project proposals, together with UNDCP,while we are implementing a project onstrengthening the criminal justice system.In Romania, we have developed a projectfor building and strengthening the capacityof the country’s criminal justice system toprevent and fight corruption and organizedcrime. On the occasion of the Buenos Airesand Dakar Workshops mentioned above,the Division developed regional technicalcooperation projects on action againsto rgan ized c r ime and co r rupt i onrespectively, which are now awaitingfunding. In June 1996 we organized,together with the Organization for Securityand Cooperation in Europe (OSCE) andUNDCP, a seminar on drugs and crime forthe five Central Asian Republics. InNovember, organized with funding by theGovernment of the United States, aninternational conference on the theft of,and illicit trafficking in, motor vehicles washosted by the Government of Poland inWarsaw. We are also planning regionalMinisterial Workshops, along the lines ofthe ones held in Buenos Aires and Dakarfor Asia and the Pacific in Manila in Marchand for Eastern Europe, in Kiev, Ukraine,in June.

In 1996, a joint technical cooperationproject entitled “Global Programme againstMoney Laundering’’ - aimed at makinginternational action against moneylaundering more effective - was finalized -by UNDCP and the Division. The projectconsists of a number of specific activitiesrequired at the international level to helpadequately fight money laundering, raiseawareness about the problem, put in placethe necessary legal frameworks, andprovide assistance to the judicial, financial

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and law enforcement sectors. The projecthas six immediate objectives: (a) increasedawareness and improved understanding ofthe money laundering phenomenon anda c c e p t a n c e o f t h e n e e d f o rcountermeasures; (b) introduction ofrelevant legislation, including promotion ofmutual legal assistance; (c) improvedglobal infrastructure including for thedelivery of training services; (d) improvedcapacity of legal and related lawenforcement systems, including theestablishment of financial intelligenceunits or similar bodies; (e) reducedfinancial system vulnerability: and (f)improved process of performanceevaluation. Within this framework, theproject will target Priority Countries andassist them to put in place necessarylegislation and other regulations, tocounter money laundering, as well asundertake activities in infrastructure-building and training in the judicial,financial and law enforcement sectors. Tothis end, materials will be developed, suchas a compendium of relevant nationallegislation and procedures, as well ascomputer databases and training materialsof general application. These materials willbe tested in pilot projects. The project wasapproved in October 1996 and the bulk ofthe necessary financing has already beensecured. Its execution, which has alreadybegun and is expected to last three years,is being carried out by UNDCP incooperation with the Centre. The projectalso foresees close cooperation with otherorganizations active in the field, such asthe Financial Action Task Force (FATF), inorder to ensure proper coordination of thework done at the international level.

But much more needs to be done. Wemust raise awareness among people andwithin the business community about thedangers, the methods of operation and theshort and long-term impact of the activitiesof transnational criminal organizations. We

must direct attention to the fact thatorganized criminal groups are now involvednot only in traditional and violent crimes,but are shifting their attention to theeconomic and financial spheres. We mustmake everyone aware of the effects of theseactivities on our financial systems, ourdaily lives and, most importantly, on ourvalues and institutions. We must allunderstand that no country is immune, nocountry is safe from the operations ofcriminal organizations, no matter what itslevel of development. The vast resourcesavailable to criminal organizations makethe race with law enforcement and criminaljustice an unequal one under anycircumstances. It is only a question ofdegree of sophistication, and a question oftype of activities which present less riskfor criminal organizations. Internationalcooperation holds the key. Genuineinternational cooperation, as well asforward looking concerted action, can onlystem from knowledge. It is of the utmosturgency that we develop and disseminateinformation. The international communitycannot afford to allow the situation todeteriorate further. It must take measuresnow and proceed to practical action basedon agreement and founded on collectivepolitical will, as expressed in Naples andin every international forum since. It is stillpossible for such action to be proactive andnot only be composed of damage control orcontainment measures. We must not losethis opportunity through further delay.

The role that the private sector can playin furthering the process and in developingand taking the appropriate action againstorganized crime, including moneylaundering is central and crucial. Assistingdeveloping countries and countries witheconomies in transition to build andstrengthen their criminal justice system tofight transnational organized crime in allits forms, including money laundering, isa sound investment, and one with high

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long-term returns. In the last quartercentury, private capital flows to developingcountries have risen 35 times, from $5billion to $176 billion. These investments,most of which are long-term can flourishand their potential and returns can bemaximized only in an environment ofsecurity and stability. The cost ofinvestment can be considerably lower whennot compounded by expenditures forsecurity of installations, personnel andproducts. It is fundamental to any businessthat competition be not restricted throughthe operations of organized criminal groupsand their front companies, or that theintegrity, image and viability of acorporation would not be compromised orthreatened through infiltration by thesegroups or their laundered profits.

As the Secretary-General of the UnitedNations said in Davos a few weeks afterhe took office, “in the post-cold-war era,peace and security can no longer be definedsimply in terms of military might or thebalance of terror. The world has changed....In today’s world, the private sector is thedominant engine of growth; the principalcreator of value and wealth; the source ofthe largest financial, technological andmanagerial resources. If the private sectordoes not deliver economic opportunity -equitably and sustainably - around theworld, then peace will remain fragile andsocial justice a distant dream.’’

A partnership between the private sectorand the United Nations is crucial and wemust work together to forge and sustainit. The United Nations set the internationalnorms and standards that make progresspossible. The partnership between theUnited Nations and the private sector canhelp ensure that progress and developmentare not threatened by crime.

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ORGANISED CRIME IN INDIA: PROBLEMS& PERSPECTIVES

Madan Lal Sharma*

I. INDIA THE LAND AND PEOPLE

India is one of the oldest civilisationswith a kaleidoscopic variety and richcultural heritage. It covers an area of 32.87,263 sq. kms extending from the snowcovered Himalayan heights to the tropicalrain forests of the south. As the seventhlargest country in the world, India is wellmarked off from the rest of Asia bymountains and the sea, which give thecountry a distinct geographical entity. Ithas a land frontier of 15,200 kms and acoast line of 7,516 kms. In 1996, India’spopulation was 931.9 million. Apart fromEnglish and Hindi, India has 17 otherofficial languages recognised by theConstitution.

India is a Union of States and isgoverned by a written Constitution whichcame into force on 26th November, 1949.It consists of 25 States and 7 UnionTerritories. Due to its colonial heritage,India follows the Anglo-Saxon common lawsystem. Article 14 of the Constitutionprovides for equality before the law. Article21 guarantees protection of life andpersonal liberty. Article 20 providesprotection against double jeopardy. Article39-A mandates the State to secure equaljustice for all. Article 50 provides forseparation of the judiciary from theexecutive in the public services of the State.

‘The Police’ and ‘Public Order’ are in theState List but the ‘Criminal Laws’ and‘Criminal Procedure’ are in the ConcurrentList. Resultantly, the basic criminalstatutes, namely, India Penal Code, 1860;Criminal Procedure Code, 1973; Indian

* Joint Director, Central Bureau of Investigation,India.

Evidence Act, 1872; Indian Police Act,1861and several others have been enacted bythe national Parliament. The States alsohave limited authority to legislate on thesubjects falling in the State List. ThePolice, being a State subject, is raised andmaintained by the State Government. EachState and Union Territory has a separatepolice force. Thus, registration of crime,investigation and finalisation thereof is themandate of the State Police. In addition tothe State Police Force, the CentralGovernment has set up certain CentralInvestigating Agencies, including theCentral Bureau of Investigation (CBI). CBIwas set up under the Delhi Special PoliceEstablishment Act, 1946. It has concurrentjurisdiction in the investigative field in theUnion Territories. It can also take upinvestigation of cases falling within thejurisdiction of the States under the ordersof the Central Government, but only withthe prior consent of the State Governmentsconcerned. In addition, the CentralGovernment has constituted certain otherinvestigating agencies, namely, theN a r c o t i c s C o n t r o l B u r e a u , t h eEnforcement Directorate, the CentralBoard of Direct Taxes and the CentralBoard of Customs and Excise. Theseagencies investigate criminal cases fallingin the ambit of special statutes beingadministered by them and are empoweredto launch prosecutions. The CBI, however,is the premier investigating agency of theCentral Government and has an omnibuscharter.

II. CRIME SCENARIO IN INDIA

Before I come to the subject of organisedcrime proper, it would be useful to have

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some idea about the general crime situationprevailing in the country. India, the landof Lord Budha and Mahatma Gandhi, isgrowing into a violent society. The violentcrimes that constituted only 8.2 per centof the total crimes registered under IndianPenal Code (IPC) in 1953 increased to14.4% in 1994. Gulshan Kumar, a Bombaymusic magnate with Rs. 800 crore empire,was shot dead last year as he refused topay a large sum of money demanded byDawood Ibrahim gang. This was precededby killings of several Bombay industrialistsand politicialns. 48 persons in 1995 and 71persons in 1996 were lynched in WestBengal by the public. 61 Harijan werekilled in Jehanabad District (Bihar) incaste based violence last month. The casteand communal strife claimed 511 lives in1997,with 3701 injured. The kidnappingsfor ransom of r ich industrial ists ,businessmen, top professionals and theirwards are lucrative for the criminal groupsin the metropolitan cities. Delhi witnessed40 such incidents in 1994; 43 in1995 and23 in 1996. Brutal attacks by the domestic

servants of lonely housewives and oldcouples for looting are a recurringphenomenon in Delhi . A Benarasbusinessman was kidnapped by a gangheaded by a Member of State Legislatureand even after extortion of a huge ransom,he was killed lest he approach the policeand reveal the gang’s identity. Terroristcrimes have also taken their toll in termsof human casualties and damage to publicproperty. 308 bomb explosions in 1997 left197 people dead and 1109 injured. Delhicity alone witnessed 26 such incidents lastyear. The crime scenario is, thus, rathergrim.

Table I shows the incidence and the rateof cognizable crimes under IPC and Specialand Local Laws (SLL) from 1986 to 1996:IPC crime, in absolute number, remainedat about 1.6 million since 1990 but the SLLcrime is increasing rapidly. In 1996, IPCcrime constituted 27.1% of the total crimeregistered. Over the decade 1986-96, theIPC crime increased by 19.2% but the SLLcrime increased by 39.8%. However, thelesser increase in the IPC crime does not

TABLE I

INCIDENCE AND RATE OF COGNIZABLE CRIMES UNDER IPC AND SLLFROM 1986-1996 (IN LACS)

YEAR INCIDENCE RATE**IPC SLL TOTAL IPC SLL TOTAL

1986 14.05 29.8 43.9 183.5 389.6 573.11987 14.06 35.8 49.9 180.1 459.3 639.41988 14.4 37.6 52.06 180.8 472.7 653.51989 15.2 38.4 53.7 188.5 474.0 662.41990 16.04 32.9 48.9 194 398.3 592.31991 16.7 33.7 50.4 197.5 396.8 594.31992 16.8 35.5 52.4 194.7 410.1 604.81993 16.2 38.03 54.3 184.4 430.4 614.81994 16.3 32.8 49.2 181.7 365.6 547.31995 16.8 42.6 59.4 184.2 465.3 469.61996 16.7 44.6 …61.4 179.8 479.1 458.9

*A lac=1,00,000.**Crime per 1,00,000 of population

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appear to truely reflect the intensity,gruesomeness and social impact of violentand organised crime.

In this context, it is be useful to look atthe incidence of IPC crimes under majorcrime heads as shown in Table II. Therehas been 44.3% increase in murders in1995 over 1985. The incidence of rape hasincreased by 88.7% over this period.Similarly, kidnapping and abduction hasincreased by 27.3%. However, the dacoityshows decrease of 25.9%. While robberyshows a negligible decrease over the thedecade, there is about 11% decrease inburglary and theft cases and 3.2% in riotcases . The inc idence o f currencycounterfeiting increased by 46.5% over thisperiod. Overall IPC crimes showed anincrease of 22.5% over the decade.

In 1993, the crime rate in murderoffences in India was 4.32 which is lowerthan that of Canada (5.63) but higher thanthat of Bangladesh (1.99), China (1.95),Hong Kong (1.55), Indonesia (0.84), Japan(0.99), Nepal (2.32) and Singapore (2.02).The crime rate in theft and dacoity cases

was 1.05 in India. It is much lower thanthat of Bangladesh (7.29), Hong Kong(390.86), Indonesia (28.39), Japan (205.97)and Singapore (146.18). In India, the crimerate in burglary offences was 13.91 whichis much lower than most of the countriesof the region. The crime rate in rapeoffences was 1.38 which is lower than thatof China (3.62), Hong Kong (1.74) andSingapore (2.75) but higher than that ofJapan (1.29), Nepal (0.98), Indonesia (0.71)and Bangladesh (0.44).

It is pertinent to mention that crimeunder the special and Local Laws (SLL)constitutes over two-thirds of the totalcognizable crime in India (IPC crimeconstituting less than one-third).

Table V shows the incidence of SLLcrime. About 4.29 million SLL cases wereregistered in 1995. There was 38.8%increase in SLL in 1985. Registration underthe Arms Act has shown a marginalincrease of 3.8% over the decade. However,there was increase of 41.4% under theNDPS Act. Suprisingly, registration underthe Gambling Act, declined by 23.2 per cent

TABLE II

INCIDENCE OF IPC CRIMES UNDER MAJOR CRIME HEADS

Crime Head 1985 1991 1992 1993 1994 1995Murder 25970 39174 40105 38240 38577 67464Attempt to - 29778 31202 29725 30020 29571murderRape 7289 10410 11708 12218 13508 16754Kidnapping 16051 20079 20518 19830 20983 20426& abductionDacoity 11254 10831 11308 9357 9271 8335Robbery 22501 26428 26444 24354 23933 22443Burglary 130354 132087 127281 123020 121536 116507Theft 330554 36282 350582 320434 303564 294306Riots 99757 105309 104749 93838 94344 96520Counterfeiting 1504 4467 5133 3728 2851 2203OTHER IPC 696069 886287 907071 903082 924342 722583CRIMESTOTAL: 1384731 1678375 1689341 1629936 1635251 1695696

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TABLE III

INCIDENCE OF SLL CRIME UNDER MAJOR HEADS

CRIME HEADS 1985 1991 1992 1993 1994 1995ARMS ACT 61987 62025 63893 65532 60289 64331NDPS ACT 14277 20944 99478 21087 20304 20194GAMBLING 179419 167113 167193 162800 156926 137737ACTEXCISE ACT 106183 95863 95108 96578 102096 114355PROHIBITION 106183 95863 95108 96578 102096 114355ACTEXPLOSIVES 3373 5458 8899 6163 4641 5113ACTIMMORAL 14815 14639 12580 12496 10132 8447TRAFFIC ACTANTIQUITY& - 10 40 18 66 69ART TREASUREACTOTHER SLL 2327129 22844958 2401039 2513251 2793225 3232633CRIMESTOTAL: 3096481 3773563 3350971 3808448 328638 4267476

but, registration under the Prohibitionpolicy being pursued by the States likeHaryama and Gujarat, creating a fertileground for organised boot-legging. Crimeunder the Immoral Traffic (Prevention) Actdecreased by 43% which is rathersurprising.

A. Convivtion RateTo secure high conviction rates is not the

overall objective of the criminal justicesystem in any country. Even so, convictionrate is one of the main indices of its efficacy.Table IV shows the percentage of IPC trialscompleted in the courts and the percentageof cases convicted.

TABLE IV

DISPOSAL OF IPC CRIMES IN THECOURTS (PERCENTAGE)

YEAR TRIAL COMPLETED CONVICTION1961 30.3 64.81971 32.0 62.01981 23.9 52.51991 16.8 47.81993 16.7 45.91994 15.5 42.91995 15.1 42.1

The percntage of trials completed in agiven year is going down steadily. Whileabout 30% trials were completed in 1961and 1971, the percentage came down to23.9 in 1981 and 16.8 in 1991. Thepercentage has further come down to only15.1 in 1995. Crime head-wise, convictionrate in IPC crime is shown in Table V.

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TABLE V

PERCENTAGE OF CONVICTIONSUNDER MAJOR CRIME HEADS IN 1995

CRIME HEAD % OFCONVICTION

Muder 37.0Attempt to Murder 36.0Rape 30.0Kidnapping & Abduction 30.3Dacoity 27.3Robbery 34.1Burglary 42.7Theft 45.7Hurt 38.4Sexual Harassment 73.1Other IPC crime 45.9TOTAL IPC CRIME 42.1

About one-third of the IPC crime areconvicted by the trial courts, with theexception of sexual harassment caseswherein the conviction rate is quite high.This dose not compare favourably withmost other nations, including UK, USA,Japan, France and China. However, unlikeIPC crimes, the conviction rate is muchhigher in non-IPC (i.e SLL crimes). TableVI shows the conviction rate under majorcrime heads.

TABLE VI

CONVICTION PERCENTAGE IN SLLCRIMES IN 1995

CRIME HEAD PERCENTAGEArms Act 59.6NDPS Act 48.8Gambling Act 82.9Excise Act 74.3Prohibition Act 69.1Explosives Act 48.2Immoral Traffic(P) Act 89.7Indian Railway Act 96.7Indian Passport Act 69.9Forest Act 61.6Other SLL Crimes 90.4Total SLL Crimes 85.8

The cases instituted under the Arms Act,NDPS Act and Explosives Act areessentially recovery based. The Policerecovers the contraband or illicit armsexplosives from the possession or premisesof the accused, filing the charge sheet.Almost 50% are acquittals in narcotic drugsrelated cases; which is mainly due to non-observance of statutory and proceduralrequirements by the investigating officers.This is rather disturbing and calls forproper training of officers and streamliningof systems and procedures.

B. Pace of TrialThe accused has a right of speedy trial

as per the tenets of natural justice. Such aright is inherent in Art. 21 of ourConstitution. However, the reality isdifferent. In the end of 1995, 7.12 millioncases- 4.12 million under IPC and 3.0million under SLL- were pending trial. Ofthe IPC crimes, 0.77 million were pendingtrial for more than 8 years. Thus, 18.6%cases were pending trial over 8 years. It iscommon ground that delayed trials violatenatural justice and are also prejudicial tothe interests of the prosecution.

No data for the average time taken intrials is available on an all-India basis.However, according to a study conductedby S.Venugopal Rao, a distinguished policeofficer, in regard to 16 police stations inAndhra Pradesh State, the average timetaken for trial is 15 months in convictedcases of murder and 28 months in acquittalcases. In rape cases, it is 21 and 9 monthsrespectively. In burglarly cases, it is 3 and6 months but in robbery cases the timetaken is 1 month and 21 monthsrespectively 7.

The study generally shows that theaverage time taken in trials is much higherwhen compared to countries like Japan,where the average time taken is only about3 months. It is also higher compared toKorea, UK and USA. This is one of the maincontributory factors to the low convictionrate.

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III. ORGANISED CRIME-TOWARDSA CONCEPT

The core organised crime activity is thesupply of illegal goods and services tocountless numbers of citizen customers. Itis also deeply involved in legitimatebusiness and in labour unions. It employsillegitimate methods-monopolisation,terrorism, extorition and tax-evasion todrive out or control lawful ownership andleadership, and to extract illegal profitsfrom the public. Organised crime alsocorrupts publ ic o f f ic ials to avertgovernmental interference8 and isbecoming increasingly sophisticated. InIndia, in addition to its traditional spheresof activities which included extortion,seeking protection money, contract killing,boot-legging, gambling, prostitution andsmuggling, now added is drug trafficking,illicit arms trading, money laundering,transporting illegitimate activities basedessentially on its readiness to use bruteforce and violence. By corrupting publicofficials and thereby monopolising or nearmonopolising, organised crime aims tosecure for itself power. Later, the moneyand power it begets are used to infiltratelegitimate business and several otherrelated activities.9 The recent experiencehas shown that it attempts to subvert andcorrupt our democratic processes.Involvement of Bombay based criminalsyndicates in the serial bomb blast in 1993,and the contract killings of severalimportant social and political leaders inBombay, indicates that organised crime inthis part of the country is emerging as aserious challenge to the State. The de-stabilising effect that organised crime hason the country’s economy, trade andcommerce can hardly be over-emphasised.Organised crime continues to grow at adisconcerting speed as the existing lawsand procedures are not powerful enoughto help the law enforcement agencies tocollect adequate evidence to bring criminal

charges and try other remedies againstorganised criminal syndicates as a wholeand thereby incapacitate them fromcarrying out their nefarious activities.Since the real strength of organised crimelies in its money power with which it buyspolitical power, it is imperative to destroyits money power base.

Organised crime is not confined to theboundaries of any one country and hasbecome a transnational problem. This isevidenced in the fields of drug trafficking,money-laundering, terrorism, gun-runningand illegal immigration rackets. Moreover,advances in science and technology enablemembers of organised criminal groups toopera te w i th h igh mob i l i t y andsophistication, thereby aggravating thealready grim situation.

Organised crime has been studied indepth in USA since the beginning of thiscentury. The Kefauver Committee (1951)concluded that there was a nation-wide network of criminal syndicates in the USA,fundamentally based on ‘muscle’ and‘murder’ indiscriminately used in runningtheir criminal enterprises.10

The U.S Task Force Report, 196711 , aptlydescribes the scourge in the followingwords:

“Organised crime is a society that seeksto operate outside the control of theAmerican people and their government.It involves thousands of criminalsworking within structures as complex asthose of any large corporation, subject tolaws more tightly enforced than those oflegitimate governments. Its actions arenot impulsive but rather the result ofintricate conspiracies, carried on overmany years and aimed at gaining controlover whole fields of activity in order toamass huge profits”.In 1968, the US Congress enacted the

Omnibus Crime Control and Safe StreetsAct. According to it :

“Organised crime includes the unlawfulactivities of the members of a highly

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organised, disciplined associationengaged in supplying illegal goods andservices, including but not limited togambling, prostitution, loan sharking,narcotics, labour racketeering and otherunlawful activities of such associations”.This language reflects both a growing

knowledge of the extent and diverse natureof organised crime and a conscious effortto avoid restrictive definition that mightlimit application of the statute.

The 1976 Task Force on OrganisedCrime of the National Advisor Committeeon Criminal Justice Standard and Goalsdid not endeavour to define organised crimebut proposed a description that attemptedto explain the nature of organised criminalactivity. It listed seven characteristics oforganised crime. It, inter alia, observedthat organised crime is a conspiratorialcrime, having profit as its primary goal 12 .

The Organised Crime Control Act, 1970,strengthened the existing laws in severalrespects in that it, inter alia, providedimmunity to an organised crime witnessand prescribed testimonial compulsion ofthe witness. It also criminalised use ofmoney generated by the racketeeringactivity and prescribed longer jail terms13.The preamble of the Act captures thenature and magnitude of the threat posedby organised crime to the society14 :

“Organised crime in the US is a highlysophisticated, diversified and wide-spread activity that annually drainsbillions of dollars from America’seconomy by unlawful conduct and illegaluse of force, fraud and corruption;organised crime derives a major portionof its power through money obtainedfrom such illegal endeavours assyndicated gambling, loan sharking, thetheft and fencing of property, theimportation and distribution of narcoticsand other dangerous drugs, and otherforms of social exploitation; this moneyand power are increasingly used toinfiltrate and corrupt our democratic

processes; organised crime activities inthe US weaken the stability of theNation’s sconomic system, harm innocentinvestors and competing organisations,interfere with free competition, seriouslyburden inter state and foreign commerce,threaten the domestic security andunderline the general welfare of a nationand its citizens”.The Racketeer Influenced and Corrupt

Organisations statute (RICO-1970) hasbecome the centre piece of U.S federal lawproscribing organised criminal actibity.In lieu of a definition of organised crime,RICO defines rackteering activity:

“Racketerring is an act or threatinvo lv ing murder, k idnapping ,gambling, arson, robbery, bribery,extortion or dealing in narcotics ordangerous drugs and other denominatedcrime......A pattern of racketeeringactivity requires at least two acts ofracketeering activity”.The Witness Security Reform Act, 1984,

empowers the US Attorney General tochange the identify of a witness, relocatethem and financially support them till theybecome self-supporting. The witness is alsogiven physical protection. The USauthorities secured several convictions ofimportant mafia leaders in the 1970’sunder the deterrent laws (RICO) mainlydue to the witness protection programme.

The penal statutes of several countries,including Italy, have criminalisedorganised crime. The Italian Penal Codedose not specifically define ‘organisedcrime’ but it dose define ‘criminalassociation’. According to Article 416 of theItal ian Penal Code, the cr iminalassociation is:

“When three or more persons associatefor the purpose of committing more thanone crime, who ever promotes orconstitutes or organises the assochiation,shall be punished, for that alone, withimprisonment from 3 to 7 years”.Japan has a special law on the

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Prevention of Irregularities by gangsters.It is meant to exercise necessary controlon acts of intimidation and violence carriedout by gangsters, to protect the activitiesof Civic Public Organisations and toprevent danger to the life of citizens fromgang-land war. Article 2 of the aforesaidlaw defines gangs as:

“Gangs means any organisation likely tohelp its members (including members ofaffiliated organisation of the saidorganisation) to collectively andhabitually commit illegal acts ofviolence”.The law appears to have wide canvass

as it purports to cover all types of illegalacts of violence. The main emphasis is onthe collective and habitual commission ofillegal acts of violence of by the membersof an organisation. The Acts also providesfor designation of a gang by the PrefecturalPublic Safety Commission after giving anopportunity to be heard by such gangs andtheir members. It criminalises the act ofbeing a member or associate of a designatedgang. The punishment, however, is light i.e,imprisonment up to one year.

Interpol has sought to define organisedcrime as :

“Any enterprise or group of personsengaged in continuing illegal activitywhich has as its primary purpose thegeneration of profits irrespective ofnational boundaries”.No definition of organised crime can be

perfect and universally acceptable. Theevolution and the forms of organised crimediffer from one country to another, whichmay be the result of different social,economic, historical and legal factors.Hence, any attempt to define organisedcrime has to be in the light of each country’sexperience in dealing with the problem. Letus not restrict organised crime to Mafiatype bodies or secret societies with rigidrules and initiation rites. This is moreromantic that what is found in practice.

IV. CHARACTERISTICS OFORGANISED CRIME

According to the Presidents Commissionon Organised Crime 1986 14 , organisedcrime is the collective result of thecommitment, knowledge and actions ofthree components :

i) The Criminal groups;ii) The Protectors; andiii) The Specialist support.

A. Characteristics of the CriminalGroup

(1) Continuity: The criminal group operatesbeyond the life time of individualmembers and is structured to survivechanges in leadship.

(2) Structure: The criminal group iss t ruc tured as a c o l l e c t i on o fhierarchical ly arranged inter-dependent offices devoted to theaccomplishiment of a particularfunction. It may be highly structuredor may be rather fluid. It is, however,distinguishable as the ranks are basedon power and authority.

(3) Membership: The membership in thecore criminal group is restricted andbased on common traits such asethnicity, criminal background orcommon interests. The potentialmembers are subjected to a lot ofscrutiny and required to prove theirworth and loyalty to the criminal group.The rules of membership includesecrecy, a willingness to commit any actfor the group and intent to protect thegroup. In return for loyalty, the memberof a criminal group receives economicbenefits , certain prestige, andprotection from law enforcement.

(4) Criminality: The criminal group relieson continuing criminal activity togenerate income. Thus, continuingcriminal conspiracy is inherent inorganised crime. Some activities suchas supplying illegal goods and services

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directly produce revenue, while othersincluding murder, intimidation andbribery contribute to the groups abilityto earn money and enhance its power.The criminal group may be involvedboth in leg i t imate as wel l asillegitimate business activity at thesame time.

(5) Violence: Violence and the threat ofviolence are an integral part of acriminal group. The violence or threatof it is used against the members of thegroup to keep them in line as alsoagainst the outsiders to protect theeconomic interests of the group.Members are expected to commit,condone or authorise violent acts.

(6) Power/Profit Goal: The members of thecriminal group aim at maximising thegroup’s profits. The political power isachieved through the corruption ofpublic officials, including legislatorsand political executive. The criminalgroup maintains power through itsassociation with the “protectors” whodefend the group and its profits.

B. ProtectorsThey are corrupt public officials,

a t torneys and bus inessmen whoindividually or collectively protect thecriminal group through abuses of statusand/or privilege and violation of the law.As a result of the protector’s efforts, thecriminal group is insulated from both civiland criminal government actions.Corruption is the central tool of thecriminal protectors. A criminal group relieson a network of corrupt officials to protectthe group from the criminal justice system.

C. Organised Crime Support(1) Specialist Support: Organised criminal

groups and their protectors rely onskilled individuals or support to assistthe criminal groups on an adhoc basis.They are nonetheless considered partof organised crime. The specialists

include pilots, chemists, arsonists,hijackers, shooters etc.

(2) Social Support: Social support includespublic officials who solicit the supportof organised crime figures; businessleaders who do business with organisedcrime figures at social gatherings andthus portray the criminal group in afavourabale or glamorous light.

My experience shows, that all theaforesaid characteristics are not apparentin all the ciminals group in India. Futher,the degree of these characteristics mayv a r y f r o m g r o u p t o g r o u p . T h equintessential element of organised crimeis continuing illegal activities forgenerating illegal profits. Conceptually, aslong as this condition is satisfied, a groupcan be termed as an organised criminalgroup. Indian experience, however, showsthat there is continuing illegal activity byorganised criminal gangs, sometimes evenin the absence of profit motive. Rigging ofelections, proventing voters from exercisingtheir electoral rights, preventing publicservants from the lawful discharge of theirduty, and recurrence of caste or communalviolence on a continuing basis are suchexamples. In my view, it would beapporopriate to bring such crime also underthe ambit of organised crime.

V. LEGAL POSITION IN INDIA

Organised crime has always existed inIndia in some form or another. It has,however, assumed its virulent form inmodern times due to several socio-economicand political factors and advances inscience and technology . Even though ruralIndia is not immune from it, it is essentiallyan urban phenomenon. In India, there isno comprehensive law to control organisedcr ime in a l l i t s d imens ions andmanifestations, There is, however,substantive law regarding criminalconspiracy. There are also penal provisions

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in various statutes against specificviolations of those statutes.

A. Criminal ConspiracySec. 120-A of the Indian Penal Code

defines criminal conspiracy as:“When two or more persons agree to do,

or cause to be done-(1) An illegal act, or(2) An Act which is not illegal by illegal

means . Such an agreement i sdesignated as criminal conspiracy:provided that no agreement except anagreement to commit an offence shallamount to a criminal conspiracy unlesssome act besides the agreement is doneby one or more parties to suchagreement in pursunce thereof.

Explanation: It is immaterial whether theillegal act is the ultimate object of suchagreement, or is merely incidental tothat object”.

Section 120-B of the India Penal Codeprovides for punishiment for criminalconspiracy. The punishment for theconspirator is the same as for the principaloffender. It may, however, be emphasisedthat the criminal conspiracy by itself is asubstantive offence. The conspiracy neednot fructify and the mere proof of thecxistance of the criminal conspiracy isadequate to have the criminal punished forsuch criminal conspiracy.

B. Dacoity and Related OffencesDacoity is one of the oldest forms of

crimes in India and is committed purelyfor the purpose of looting or extortion.Section 391 of the Penal Code definesdacoity as:

“When five or more persons conjointlycommit or attempt to commit a robbery,or where the whole number of personsconjointly committing or attempting tocommit a robbery, and persons presentand aiding such commission or attemptamount to five or more, every person socommitting, attempting or aiding is said

to commit ‘dacoity’.”In other words, if five or more persons

commit the offence of robbery, they commit‘dacoity’. Dacoity is punishable withimprisonment for l i fe or rigorousimprisonment up to 10 years and fivemonths (section 395). The Code alsocriminalises preparation to commit dacoity(section 399) and assembly for the purposeof committing dacoity (section 402).

Importantly, section 400 of the Codecriminalies the act of belonging to a ‘gang’ofpersons associated for the purpose ofhabitually committing dacoities. Thepunishment is quite severe and may evenextend to life imprisonment. Similarly,section 401 criminalises the act ofbelonging to a gang of thieves. It would,thus, appear that adequate legislative toolsare available to the law enforcementagencies to deal with gangs of dacoits andthieves, but the proof of existence of a gangi n C o u r t r e q u i r e s p a i n s t a k i n ginvestigation.

In view of increasing incidents ofkindnapping for ransom, the parliamentinserted Section 364-A in the India PenalCode to provide for stingent punishmentfor such offences, further strengthened in1995. The amended Section 364-A readsas follows:

“Whoever kidnaps or abducts any personor keeps a person in detention after suchkidnapping or abduction and threatensto cause death or hurt to such person, orby his conduct gives rise to a reasonableapprehension that such person may beput to death or hurt, or causes hurt ordeath to such person in order to compelthe Government or any foreign State orinternational inter-governmentalorganisation or to do or abstain fromdoing any act or to pay shall bepunishable with death, or imprisonmentfor life, and shall also be liable to fine”.

C. Law on GangstersThere is no central legislation to

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suppress ‘gang activity’ having country-wide applicability. The State of UttarPradesha, most populous and politicallymost powerful (population : 139.1 millionin 1991), enacted Uttar Pradesh Gangstersand Anti-Social Activities (Prevention) Act,1986, which is applicable in that State only.The gang has been defined as a group ofpersons, who, singly or collectively, indulgein anti-national activities by violence orthreat of violence for gaining unduepolitical, economic or physical advantagesand includes, offences against the body,boot legging, forcible possession ofimmovable property, creating communaldisturbances, obstructing public servantsin the discharge of their duties, kidnappingfor ransom, diverting an aircraft or publictransport vehicle from its schedule path,etc 16 .

A gangster is punishable with minimumimprisonment of two years extendable upto 10 years (sec. 3). The rules of evidencehave been modified and certain statutorypresumptions can be raised against thegangsters by the trial court. Provision hasalso been made for the protection ofwitnesses. The trial may be held in-cameraon the request of public prosecutor. Thename and address of a witness can beomitted in the court records, if the Courtso desires. The property of the gangster canbe attached by the District Magistrate ifsatisfied that it was acquired throughcriminal activity.

This Act has a wide canvass andpurports to cover large areas of organisedcriminal activity. It is, however, differentfrom laws enacted in foreign countries, inthat, apart from criminalising moneymaking activities of the criminal gangs, italso criminalises infringement of electionlaws, causing obstruction or disturbance inthe pursuit of lawful trade, business orprofession and incitement to violence anddisturbance of communal harmony etc. Itappears to be more comprehensive thanRICO.

There is no firm data available to assessits effectiveness. It appears that due toinadequate investigations and inordinatelydelayed trials by the courts, this legislationhas not been able to make any dent on thecriminal landscape of the State.

D. Other LawsThere are several other central statutes

which deal with specific facets of organisedcrime. Some of them are: the Customs Act,1 9 6 2 ; t h e N a r c o t i c s D r u g s a n dPsychotropic Substances Act, 1884; theImmoral Traffic (Prevention ) Act, 1956; theForeign Exchange Regulation Act, 1973and the Public Gambling Act, 1867 etc.Besides, the State Government have alsolegislated on subjects l ike excise,prohibition and gambling etc.

E. Preventive ActionThe National Security Act 1980, provides

for preventive detention by the CentralGovernment or the State Government orby the officers designated by theseGovernment. The detention order is issuedfor one year with a view to preventing aperson from acting in any mannerprejudicial to the defence of India or to thefriendly relations with foreign powers. Thedetention has to be approved by anAdvisory Board headed by a serving HighCourt judge. The expression ‘security ofIndia’ is open to liberal interpretation andthis Act has been used, though sparingly,against anti-national elements and hardcore gangsters. Detention is an executiveaction and the case does not go to the courtfor trial.

The illicit trafficking in narcotic drugsand psychotropic substances poses aserious threat to the health and welfare ofthe people and the activities of personsengaged in such illicit traffic have adestablising effect on the national economy.The Prevention of Illicit Traffic in NarcoticDrugs and Psychotropic Substances Act1988, provides for detention of such

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persons. The Central Government or theState Government or designated officers ofthese Government, can pass an order fordetaining a person with a view topreventing him from engaging in illicittraffic in narcotic drugs. The detention canbe made for one year but in certaincircumstances it is extendable to two years.

Thus, India has laws scattered in variousstatutes to deal with various facets oforganised crime. The existing laws,however, drastically fall short of therequirements to curb the menace. TheGovernment of India is conscious of thisand has drafted the Organised CrimeControl Act.

The draft Act defines ‘OrganisedCriminal Gang’ in a very comprehensivemanner, incorporating most of the essentialcharacteristics of organised crime. A gangis defined as:

“A band of two or more persons whocommit or attempt to commit or cause tobe committed, either individually orcollectively, in furtherance of a commonobject or objects and on a continuingbasis, for material gains or otherwise, bytaking recourse to use or show of violenceor threat of violence, either direct orimplied, or by fraudulent or dishonestmeans corrupting the public servants,any of the acts listed in Schedule I to thisAct.”Schedule I includes most major criminal

offences, including murder, bodily harm,smuggling, traffic in drugs, kidnapping forransom, espionage, causing bomb blasts,aircraft hijacking, hostage taking, masskilling, contract killing, gang rapes,extortion etc. The draft Act specificallyprovides for admissibility of scientificexpert evidence; computer print-outs oftelephone calls, confession of the accusedperson made to a po l i ce o f f i cer ;identification by videograph; evidenceobtained through Interpol and protectionof witnesses. It also provides for the settingup of a national body to co-ordinate effort

against organised crime and the setting upof Organised Crime Cells at the State andDistrict levels. The Act also criminaliseslaundering the proceeds of crime. The trialunder the proposed Act is to be conductedby a Designated Court. The Act providesfor stingent punishment to the accused. Itis not known when the NationalParliament will enact the law, but theabove effort shows the government’s deepconcern and anxiety about the growingmenace of organised crime and the need tocurb it.

The most significant aspect of the draftAct appears to be that continuing criminalactivity, based on violence, even when notimpelled by ‘material gain’ , is proposed tobe brought within the ambit of organisedcrime. This is an obvious departure fromprevalent definitions of organised crime inother countries.

VI. PROFILES OF SOMEORGANISED CRIMINAL GANGS

Criminal gangs have been operating inIndia since ancient times. The gangs of‘thugs’ usually preyed on travellers orwayfarers while traversing lonely regionsthat passed through thick jungles. The‘thugs’ travelled in gangs, large or small,usually un-armed and appearing to bepilgrims, ascetics or other harmlesswayfarers. By means of ingenius tricks andfalse pretences, they won the confidence oftheir intended victims who were looted andmurderd17. Sir William Sleeman wasmainly responsible for destroying the‘thugg’ organisation. Lord WilliamBentinck passed a series of speciallegislation to crush the gangs. SirWilliam Sleeman in his book “Rambles andRecollections” claims that between 1831-1837, as many as 3,206 thugs wereproceeded against; 418 out of that numberbeing hanged and 483 taken as approvers18.Approvers and their descendents weredetained for many years in a special

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institution at Jabalpur. The thug crime isalmost extinct now.

Dacoity was a serious menace in someparts of the country, particularly in theChambal ravines (trijunction of the presentStates of Madhya Pradesh, Uttar Pradeshand Rajasthan) in the 1940’s and 1950s.Some dacoit leaders like Man Singhbecame legends in their life time due totheir Robin-hood image. Several suchgangs continued to operate in the States ofMadhya Pradesh and Uttar Pradesh whichhave more or less been neutralised nowboth as a result of police action and socialreform movements.

Depredations of criminal gangs inBombay compelled the first Governor of theisland to constitute a Special Forceconsisting of about 600 men in 1669 tocontrol the menace of the criminal gangswho robbed the citizens and visiting sailorsalike 19 .

No systematic study of organised crime-has been conducted in India either from asociological or criminological angle. Thereis no firm data to indicate the number oforganised criminal gangs operating in thecountry, their membership, their modusoperandii and the areas of their operation.It whould not be wide off the mark to saythat thousands of organised gangs operatein the country side. Their structure andleadership patterns may not strictly fallinto the classical Italian Mafia module, andthey may sometimes be operating in loosestructures, but the depredations of suchcriminal gangs are too well known to berecounted. However, the most essentialcharacteristic of organised crime i.e makingmoney or “maximisation of profits” andacquiring political power through suchmoney, exists in most of the gangs. Thepurpose of organised crime in India, aselsewhere in the world, is monetary gainand this is what makes it a formidable forcein today’s socio-political set up.

In view of the complexity of the problem,the continental size of the country and lack

of authentic data, it is not possible to coverall, or for that matter even major, organisedcriminal gangs in this paper. I have,however, attempted to give profiles in brief,of some of the major gangs in metropolitanareas which cosiderably affect the nation’slife.

A. Bombay GangsBombay, being the financial capital of

India, is the playground of several criminalgangs and their continuing warfare fordominance. The first systematic study oforganised crime was conducted by VKSaraf, retired Commissioner of Police,Bombay City, in 1995, in which he hastraced the origin of organised criminalgangs in the city, their criminal activitiesand the inter-gang warfares. He has alsoenumerated the chief characteristics of theBombay gangs 20 .

After independence, due to prohibitionpolicy adopted by the Government ofMaharashtra, boot-legging or trade in illicitliquor, became a lucrative business for thecriminal gangs. They made lot of moneyby supplying illicit liquor to the localcitizens. Their activities also extended tothe neighbouring State of Gujarat whichwas dec lared dry at the t ime o findependence and continues to be so eversince that time. Varada Rajan Mudaliar,who started as a porter at VT RailwayStation, took to thievery at the BombayDocks and graduated to boot-legging in the1960s. He acquired considerable wealththrough this activity and compromised thelaw enforcement system considerably. Inthe mid 1980s, he became so influentialthat he used to hold ‘durbars’ in his areasof influence, to settle disputes.

Similarly, Haji Mastan and Yusuf Patelstarted off as a small time criminals andlater took to smuggling gold and silver:They made a lot of money and invested itin legitimate business, mainly constructionand real estate. Haji Mastan had anattempt made on Yusuf Patel’s is life in the

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1970s due to business rivalry but the lattersurvived. It was the beginning of gangwarfare in Bombay which continuesunabated to date and has claimedhundreds of lives.

The four major Bombay gangs are asfollows:

1. Dawood GangDawood is the most powerful, Bombay

gangsters having a country wide networkswith linkages abroad. He is one of the mostpowerful gangsters involved in trans-national crimes mainly narcotic drugs,smuggling, extortion and contract killing.He has lived in Dubai since 1985. He hada phenomenal rise in short time. Being theson of a Bombay Crime Branch HeadConstable, he started off as a petty criminaland had the sympathies of Bombay Policedue to his father’s connections. He used tohelp smugglers recover money from thosewho did not keep up their word. In the1970s other gangs had become relativelyweak and he took advantage of the vacuumand took to smuggling gold and silver. Hebuilt up his criminal empire with the helpof his brothers, and close associates. He isresponsible for the elimination of hundredsof criminals belonging to rival gangs. He isnow in narcotic drugs trafficking. Theliberal bail policy pronounced by theSupreme Court helped him consolidate hisgang. In 1980s he became the most fearedgangster of Bombay. However, fearing riskto his life at the hands of rival gangs, hefled to Dubai, but his criminal networkremains virtually intact. He operates hisgang with impunity as there is noextradition treaty between India andDubai, and his extradition has been refusedby the Duabi authorities. He tried to winsocial respectability by playing host toinfluential politicians and film stars inDubai.

His brother Anees Ibrahim looks aftersmuggling, drugs and contract killings.Noora looks after film financing and

extortion from film personalities. Iqbal, alow profile person, looks after his legitimatebusiness activities including share marketsin Hong Kong and jewellery and goldbusinesses. His gang cosists of about 4,000to 5,000 men. 50% of the members are fromBombay and the neighbouring districts.25% come from Uttar Pradesh, includingAbu Salem, his right hand man.

Due to changes in fiscal policies,smuggling of gold and silver has becomeless lucrative now. The main activities ofthis gang now are extortion, contractkilling, film financing, drug trafficking,smuggling computer parts and illicit tradein arms and ammunitions. They have beensupplying arms both to criminals andterrorists.

Dawood Ibrahim has invested heavilylegitimate businesses. His brother Aneesowns a Trading Company in Dubai.Dawood has invested about 20 crores inDiwan Shopping Centre in Bombay and isalso said to have financial stakes in theDiamond Rock Hotel in Bombay. Nooraruns Suhail Travel in Bombay, which hassince come under severe enforcementpressure. Dawood reportedly has hugefinancial stakes in the East West Airlines.His legitimate business empire isestimated to have a turn over of about Rs.2,000 crores per year.

Dawood’s gang was secular in characterbefore 1993 and used to attract volunteersfrom both the Hindu and Muslimcommunit ies . However, a f ter h isinvolvement in serial blasts in Bombay in1993, most of the Hindu gangsters haveparted company with him. Sunil Samant,a dreaded gangster who continued to beloyal to him, was shot dead in Dubai in1995 by the Chota Rajan gang. Apart fromhis brothers, who are his chief counsellors,he now runs his empire through AbuSalem and Chota Shakeel. The heirarchicalstructure of his gang is shown in AppendixI.

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2. Arun Gawli GangAfter the death of Ramya Naik, the

mantel of leadership of this gang fell onthe shoulders of Arun Gawli. There havebeen several inter-gang killings with theDawood gang and they have beentargetting the political and economicinterests of each other. This gang consistsof about 200 to 300 persons. Interestingly,Arun Gawli was sent to jail in 1990 andeven though the Court granted him bail,he chose to remain in jail primarily toescape the wrath of the Dawood gang. Hewas running his criminal empire fromwithin the jail premises by passinginstructions through his visitors. His gangis involved in the collection of protectionmoney from rich businessmen and contractkillings. He came out of jail and started apolitical party, Akil Bhartiya Sena. He hasagain been sent back to jail for a contractkilling case. Arun Gawli is politically veryactive and has considerable influence in theslum areas. He is posing a politicalchallenge to the ruling Shiv Sena inMaharashtra.

3. Amar Naik GangThis gang originated sometime in 1980

and was collecting protection money fromthe vegetable vendors in Dadar area ofBombay. When the leader of this gang (RamBhat) was sentenced to imprisonment in arobbery case, Amar Naik took over thereigns of the gang. The main thrust of hiscriminal activities was to collect ‘haftas’from the vegetable vendors, hawkers, boot-leggers and smugglers. This earned himgood money. Due to a clash of interests, hisgang had several violent skirmishes withthe Arum Gawil gang, not only outside jailbut even within the jail premises wheregangsters of both the gangs were lodged,resulting in several killings. This gang hasa strength of about 200 criminals. AmarNaik was killed last year and the mantleof leadership has now fallen on theshoulders of his younger brother, an

engineer by profession.

4. Chota Rajan GangChota Rajan started his criminal career

in the Dawood gang. After the 1993 bombblasts in Bombay, Dawood’s gang wasdivided on communal lines. Chota Rajanfell out with Dawood and fled from India.He raised a new gang in 1994-95. Accordingto one estimate, the membership of thisgang is about 800. His areas of operationare Maharashtra, Karnataka, UttarPradesh and Delhi. He essentially is adrug-trafficker and contract killer. Hejoined hands with Arum Gawli and wasresponsible for the killing of Sunil Samant,a trusted lieutenant of Dawood Ibrahim,in Dubai in 1995. It was a retaliatorykilling. He has targetted many Dawoodloyalists and his gang has also suffered inretaliatory actions. Chota Rajan ispresently operating from a foreign base.

5. Characteristics of Bombay GangsBased on the study of the Bombay under-

world, VK Saraf has concluded that:

(i) 66% gangsters are in the age groupof 19 to 28 years; 26% in that of 29to 38 years and 6.5% are above 40years.

(ii) 29% studied up to primary school,42.5% up to secondary school and5% had a college education.

(iii) M o s t h a v e p o o r e c o n o m i cbackgrounds and were propelledinto the world of crime due toeconomic difficulties.

(iv) Majority of the gangsters come fromoutside Bombay city and about 30%f r o m o u t s i d e t h e s t a t e o fMaharashtra.

(v) The gangs are not based on regionor religion but after the 1993 bomb

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blasts, the Hindu gangsters havediassociated themselves from theDawood gang.

(vi) The Bombay gangster is a coolheaded schemer and ruthless andun-hesitatingly employs terroristicmethods when he percieves hisinterest jeopardised. He is prone totaking to violence on the slightestprovocation.

(vii) There is no initiation ceremony orritual for the members. However, a‘hopeful’ is made to be involved in acriminal situation to test his metal.

(viii) The leaders have a caring attitudetowards the members. The familiesare well looked after by theleadership when the members arekilled or are in jail.

(ix) A gang leader is not a total autocrat.He consults experienced people inthe gang. After the death of SunilSamant, Dawood Ibrahim relies onhis brothers and his decisions areexecuted through Abu Salem andChota Shakeel.

(x) There is evidence of a looseconfederation of gangsters. Asmaller gang may merge into abigger gang but does not lose itsidentity completely. The smallergang carries out the decisions of themain gang but is left free to involvein any activities of its choice, so longas it does not clash with theinterests of the main gang.

(xi) The gangsters have unflinchingloyalty to the boss. Lack of loyaltymeans death.

(xii) The gangsters are divided in threecategories, namely, shooters, money

collectors and liaison workers. Theliaison workers deal with thelawyers and law enforcemnttofficials for helping the incarceratedgangsters. Each gang has certainauxillary members. They havecriminal records and generallyprovide shelter to the gangsters andact as a depository for weapons.Their premises are used for holdingmeetings and making telephonecalls by the gangsters.

B. Delhi GangsDelhi is the national capital of the

country. It is a bustling metropolis,inhabited by about 10 million people, withhigh industrial and business activity.Despite heavy commitments, the policehave hit organised criminal gangs hard,due to which they have not been able todevelop such deep roots as in Bombay. Evenso, there is large criminogenic populationinhabiting the neighbouring Stateseffecting Delhi.

As it is the home of rich industrialists,b u s i n e s s m e n a n d p r o f e s s i o n a l s ,kidnapping for ransom is a lucrativebusiness here. The going rate of ransomranges from Rs. 1.00 crore to Rs. 5.00crores. Fortunately, most of the cases havebeen solved by the Delhi Police. Somevictims paid huge ransoms to secure theirrelease. Om Prakash Srivastava Bablooand other U.P gangs have been responsiblefor several kidnappings. Table 14 showskidnappings for ransom in Delhi and thelaw enforcement action.

From the Table it is apparent that somefake cases were also registered. Theproportion of cases worked out by policeranges between 80 and 90%. Most of thevictims are rescued. Four gangs, namely,Tyagi gang, Dinesh Gang, Rajesh Dhahiyagang and O.P. Srivastava Babloo gang aremost active in the city.

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1. Veerappan Gang of Karnataka23

Veerappan is the most notoriouscriminal in the country today. The criminal‘empire’ of Veerappan spreads over 6,000sq. kms of thick tropical rain forests in theNilgiri hills, stradling the trijunction ofKarnataka, Tamil Nadu and Kerala. Hestarted his criminal career as elephantpoucher in 1965 and emerged as a realmenace in 1986, when his gang startedcommitting extortions, murders andkidnappings for ransom. According to oneestimate, he has killed about 2000elephants for their tusk and committedtheft of 40,000 Kgs of ivory worth aboutRs.12.00 crores. His gang has also indulgedin large scale illegal felling of sandal woodtrees which is used for cosmetics purposesin India and abroad. The gang has acquiredexpertise in laying land mines due to whicha large number of police personnel werekilled. At its peak, the gang had 150members.

In view of the serious threat posed byVeerappan gang to wild life and forests, aSpecial Task Force was set up by the Statesof Tamil Nadu and Karnataka in 1993. Dueto the relentless action of the Task Force,the gang has now been reduced to about

25 members, with only four originalmembers of the gang surviving. 133recorded cases of murder and attemptedmurder exist in the police records againstthis gang. Besides this, hundreds of gravecrimes against innocent citizens remainun-reported to the police. Veerappan’s gangis responsible for the killing of 119 personsand 60 police/forest officials. The policehave recovered 125 firearms amd 5 tons ofexplosives from the gang. Veerappan is anintrepid criminal who often expresses hiswish to surrender to the authorities, butalways backs out. Last month, heannounced his surrender but it was turneddown by the Government due to unrealisticconditions imposed by him. Interestingly,he demanded CBI inquiry into the deathof his brother Arjunan in police custody. Heis one of the longest surviving notoriouscriminals and has succeeded in escapingthe law so far.

2. Om Prakash Srivastava@Babloo,Gangof Uttar Pradesh

Om Prakash Srivastava was born to aneducated family in Uttar Pradesh. He tookto street crime during his student days in1983. He is a law graduate and is fond of

TABLE VII

KIDNAPPINGS FOR RANSOM IN DELHI - 1993-1997

1993 1994 1995 1996 1997(upto

15.12.1997)1.CASES REGISTERED 28 40 43 23 172.CASES CANCELLED 2 9 6 1 13.CASES ADMITTED 26 31 37 22 164.CASES WORKED OUT 26 27 29 20 135.CASES NOT WORKED OUT - 4 8 2 36.VICTIMS KIDNAPPED/ ABDUCTED 30 41 44 23 177.VICTIMS RECOVERED 29 37 42 21 168.VICTIMS NOT RECOVERED 1 4 2 2 19.PERSONS ARRESTED 76 86 81 59 45

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good living. To date, 41 cases of murder,attempted murder and kidnappings forransom stand registered against him andhis associates. Several cases remainunreported due to fear. His area ofoperation is Uttar Pradesh, Delhi andMaharashtra. He is responsible fororganizing kidnappings in Delhi andBombay in which ransom amounts werepaid in foreign countries through ‘hawala’.At its peak, his gang consisted of about 50criminals, mostly from Uttar Pradesh andDelhi. He is presently in jail and half ofhis gang has been booked by the police. Thegang, though still active, appears to havelost much of its power.

He was responsible for the killing of asenior Central Government Customsofficer, L.D. Arora in 1993. Om PrakashSrivastava had organized this killing froma foreign country through his shooters. Hewas arrested in Singapore in April,1995on the basis of a Red Corner Notice issuedby Interpol. He was extradited to India inAugust 1995 for four cases, including theL.D.Arora murder case. It was reportedthat he succeeded in organising somekidnappings from within the within the jailpremises through his associates. Theransom amounts were paid abroad to hisassociates through hawala.

There are 744 powerful mafia gangsoperating in Uttar Pradesh, according tothe State Government sources. They holdnearly every sector of the economy in a vicelike grip, running a parallel economywhich runs into thousands of crores ofrupees. The reach and power of these donsis evident from the fact that so far only 81gangsters, only middle level members, havebeen arrested under the NSA and theGangsters Act. These gangs have the widesupport of politicians and policeman alike.

3. Latif Gang of AhmedabadAhmedabad is the capital of Gujarat

state and is situated in the western part ofIndia. The Ahmedabad underworld is

synonymous with Latif who started hiscriminal career with a small time boot-legger in the mid 1970s and soon graduatedto hving his own illicit liquor and gamblingdens in the city. The Latif gang, which isbelieved to consist of 200 persons, owes itsgenesis and growth to the prohibition policyadopted by the Government of Gjarat. Asthe adjoining State of Rajasthan is wet, itis a lucrative and low risk to transporttruck loads of liquor into the Gujarat state.Latif set up an elaborate network of illicitshops in Ahmedabad city and made afabulous amount of money. With affluencecame political clout and his gang thereafterused the tactics of intimidation, extortions,kidnappings and even murder against rivalboot leggers and, thus, established a totalmonopoly over the liquor business. Thecommunal riots, a recurrent phenomenonin the Ahmedabad city, gave him a chanceto promote a Robin-hood image in thecommunity by helping the riot victims. Theresult was that even when he was jailed,he won municipal elections from fivedifferent cities in 1987.

Latif and his gang become moreaudacious and were responsible for day-light murders in the city. The high-profilemurder of an ex-member of Parliament wasorganised through his gang from Dubai,where he joined with Dawood Ibrahim.

He is responsible for landing explosiveson the Western coast, some of which wereused in the Bombay blasts. The gang is nowdeeply involved in contract killings, drugtrafficking and gun running. A part of thegang is also involved in settling businessand land disputes. The gang uses ‘hawala’channels for collecting ransom abroad. Ithas linkages in several States in thecountry.

In 1995 he was arested. 243 criminalcases including 64 cases of murder, 14 ofkindnapping and 21 offences against theArms Act have been registered against hisgang. The details of the offences registeredagainst the Latif gang and organisational

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chart thereof is enclosed as Annexure II.

4. Rashid Gang of CalcuttaCalcuta, a port town and one of the most

populous cities in the country, is situatedin the Eastern part of the country and ispart of West Bengal. Several organisedcriminal gangs operate in this city and itssurrounding areas. Examination of historysheets of 1,000 criminals involved in crimesof violence, insurgency and terroristactivities, between 1975 and 1985 revealedthat the age group is between 21 and 25years at the peak of crime. The criminalsstarted their career rather early at the ageof 16-18. More than 90% of them wereunemployed and earned their living bysmuggling and extortion. Most were fromlower income group families and lived inslums. They were addicted to narcotics andalcohol. Most of them were without thebenefit of education, though not illiterate.The study also revealed that the gangleaders (known as Dada or Nastan),generally, come from middle class strata ofsociety. The gang leader is either semi-literate or an educated person with highorganisational ability. The average agegroup of the gang leader is 40 to 50 years.

In Calcutta the most well known gangis that of Rashid Khan who started hiscareer as a bookie in the ‘satta’ business,and developed a vast network of gamblingbusiness in the city. Due to his moneypower, he also became close to the rulingpolitical party. Even though his activitieswere well within the knowledge of police,no serious effort was made to smash hisnetwork. However, his luck ran out whenin March, 1993, a huge bomb explosion tookplace in a building under his controlresulting in the death of 69 person andinjuries to 46 others. The adjoiningbuildings also collapsed. Rashid Khan andhis associates were arrested. Investigationdisclosed that he had engaged his gangmembers in manufacturing bombs and wasstock-piling them for use in communal riots

and against rival gangs. Due to the gravityof crime, his political connections or moneypower did not help and he is now in jail.

VII. TYPES OF ORGANISED CRIME

A. Drug Abuse and Drug TraffickingIt is perhaps the most serious organised

crime affecting the country and is trulytransnational in character. India isgeographically situated between thecountries of Golden Triangle and GoldenCrescent and is a transit point for narcoticdrugs produced in these regions to theWest. India also produces a considerableamount of licit opium, part of which alsofinds place in the illicit market in differentforms. Illicit drug trade in India centresaround five major substances, namely,heroin, hashish, opium, cannibas andmethaqualone. Seizures of cocaine,amphetamine, and LSD are not unknownbut are insignificant and rare.

Our borders have traditionally beenmost vulnerable to drug trafficking. In1996, out of the total quantity of heroinseized in the country, 64% was sourced fromthe ‘Golden Crescent’. The Indo-Mynamarborder is also quite sensitive but thepercentage of seizures is much smaller.Indo-Sri Lanka border has also startedcontributing considerably to the drug trade.The seizure of narcotic drugs from 1991 to1995 and persons involved is shown inTable VII.

In 1996, 13,554 Persons were arrestedu n d e r t h e N a r c o t i c s D r u g s a n dPsychotropic Substances Act. Out of them130 were foreign nationals. Besides, 80persons were detained under PIT NDPSAct, in 1991; 80 each in 1992 and 1993; 123in 1994 and 89 in 1995.

India has a draconian anti drug law, theNarcotics Drugs and PsychotropicSubstance Act 1985, which providesminimum punishment of 10 years foroffences under this Act. The conviction ratein drug offences is rather low. It was 48.8%

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in 1995. The acquittals mainly result dueto nonobservance of statutory andprocedural safeguards viz, the enforcementofficer failing to volunteer himself forpersonal search before conducting thepersonal or house search of the accused orfailure in offering to have the accusedsearched by a gazetted officer or aMagistrate. It is being contemplated toamend the Act to plug the proceduralloopholes and to calibrate punishments bygrouping the offences.

Investigative skills need to be honed andtrials expedited. Inter-agency exchange ofinformation amongst the countries by thequickest possible means, coupled withexpeditious extradition proceedings, wouldprove helpful in curbing the drugmeance.India signed bilateral agreementswith USA, UK, Myanmar, Afghanistan,UAE, Mauritius, Zambia, and the RussianFederation for ‘drug control’.

B. SmugglingS m u g g l i n g , w h i c h c o n s i s t s o f

clandenstine operations leading to un-recorded trade, is another major economicoffence. The volume of smuggling dependson the nature of fiscal policies pursued bythe Government. The nature of smuggleditems and the quantum thereof is alsodetermined by the prevailing fiscal policies.

India has a vast coast line of about 7,500kms and open borders with Nepal andBhutan and is prone to large scalesmuggling of contraband and otherconsumable items. Though it is not possibleto quantify the value of contraband goodssmuggled into this country, it is possible tohave some idea of the extent of smugglingfrom the value of contraband seized, eventhough they may constitute a very smallproportion of the actual smuggling.

Table IX shows the value of goods seized.The high point of smuggling was in 1990when contrabands worth Rs. 760 croreswere seized. Introduction of variousliberalisation measures, such as the goldand silver import policies in 1992-93, havehad their impact on customs seizures. Thetotal value of seizures came down by 30%(Rs. 536 crores in 1992) and subsequentlyto Rs.389 in 1993.

The value of seizures of importantcommodities from 1991 to 1996 is shownin Table IX. The value of seizures of goldand silver accounted for about 44% of thetotal seizures anually prior to theliberalised import policies. It came downto 21% after the invocation of the newpolicies. This value has been furtherfalling. On the other hand, the seizures ofcommodities like electronic goods,narcotics, synthetic fabrics, wrist watches,

TABLE VIII27

SEIZURE OF NARCOTIC DRUGS & NO.OF PERSONS INVOLVED1991-1995

(in Kgs.)Drug Type 1991 1992 1993 1994 19951.Opium 2145 1918 3011 2256 11832.Ganja 52633 64341 98867 187896 575843.Hashish 4413 6621 8238 6992 30734.Heroin 622 1153 1088 1011 12515.Mandrax 4415 7475 15004 45319 168386.Persons Arrested(No.) 5300 12850 13723 15452 146737.Persons Prosecuted(No.) 5546 7172 9964 9154 129188.Persons Convicted(No.) 855 761 1488 1245 2456

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Indian currency, foreign currency etc roseduring 1994-95. The value of seizure ofelectronic items rose from Rs.35 crores in1993 to Rs. 51 crores in 1995. The value ofIndian currency and foreign currencyseized rose from Rs. 5 crores and 20 croresrespectively in 1993 to Rs. 10 crores and43 crores respectively in 1995.

In 1987, gold occupied the top positionamongst smuggled items followed bynarcotics, electronic watches and silver. In1995, however, narcotics occupied numberone position followed by gold, electronics,foreign currency and synthetic fabrics.

Table XI shows the number of personsarrested, prosecuted and convicted underthe Customs Act. In addition, 758 persons

were detained under COFEPOSA in 1991;423 in 1992; 372 in 1993; 363 in 1994 and350 in 1995.

C. Money Laundering & HawalaMoney laundering means conversion of

illegal and ill-gotten money into seeminglylegal money so that it can be integrated intothe legitimate economy. Proceeds of drugrelated crimes are an important source ofmoney laundering world over. Besides, taxevasion and violation of exchangeregulations play an important role inmerging this ill-gotten money with taxevaded income so as to obscure its origin.This aim is generally achieved via theintricate steps of placement, layering andintegration so that the money so integratedin the legitimate economy can be freelyused by the offenders without any fear ofdetection. Money laundering poses aserious threat world over, not only to theonly to the criminal justice systems of thecountries but also to their sovereignty. TheUnited National Convention against IllicitTraffic in Narcotics Drugs and PsychotropicSubstances Act, 1988, (known as theVienna Convention) to which India is aparty, calls for criminalisation oflaundering of the proceeds of drug crimesand other connected activities, and theconfiscation of proceeds derived from suchoffences. There is no knowing how much

TABLE IX28

VALUE OF SMUGGLED GOODSSEIZED 1988-1995

YEAR VALUE OF GOODS SEIZED(in crores)

1988 443.141989 554.951990 760.081991 740.001992 535.711993 388.961994 535.221995 631.25

TABLE X29

VALUE OF SEIZURES OF IMPORTANT COMMODITIES 1991-1996

(in crores)1990-91 1991-92 1994-95 1995-96

Gold 198.8 188.5 55.4 50.8Silver 146.6 147.7 3.6 0.54Narcotics 25.1 21.8 54.3 77.94Electronic Items 55.5 23.1 51.2 38.0Foreign Currency 7.7 10.8 27.4 40.2Indian Currency 6.5 5.6 6.6 5.6Synthetic Fabrics 4.8 2.0 2.4 12.9Watches 3.2 6.2 3.3 3.9

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money is laundered in India but theproblem is quite serious. The taintedmoney is being accumulated and integratedinto the economy by organised racketeers,smugglers, economic offenders and anti-social elements and is adversely affectingthe internal security of the country. Inorder to curb the meance of moneylaundering, the Central Government is inthe process of enacting the Proceeds ofCrime and Money Laundering (Prevention)Act, 1997. In the proposed Act, moneylaundering has been defined as:

(i) engaging directly or in-directly in atransaction which involves propertythat is the proceed of crime; or

(ii) receiving, possessing, concealing,transferring, converting, disposing ofwithin the territories of India,removing from or bringing into theterritory of India the property i.eproceeds of crime.

‘Crime’, as defined in the Act, covers,several Penal Code offences viz., wagingwar against the Government of India,murder, attempted murder, voluntarilycausing hurt, kidnapping for ransom,extortion, robbery, dacoity, criminal breachof trust, cheating, forgery, counterfeitingcurrency etc; certain provisions of thePrevention of Corruption Act, 1988; NDPSAct, 1985; Foreign Exchange RegulationAct, 1973 and the Customs Act,1962. Thus,‘crime’ has been defined comprehensivelyin the Act. The money generated through‘crime’ is liable to be confiscated by theState.

Illegal currency transfers via non-

banking channels are called Hawala. It isan underground banking system. Secretflows of money can take place in freecurrency areas as well as in areas wherecurrency conversion restrictions arepractised due to the shortage of foreignexchange. It operates in the followingmanner. Someone in the USA, for example,deposits $1000 with an under-groundbanker for payment to be made in India.The US under-ground banker contactstheir counter part in India immediately onthe telephone or by wire service and sendsa coded message for payment to the Indianrecipient. The hawala operator in Indiawould contact the recipient and fix ameeting place. The recipient, in themeanwhi le , would have rece ivedinstructions on the telephone about thecode word s/he has to exchange with thehawala operator. Thus, the hawalaoperator in India and the recipient of themoney would exchange code words and thehawala operators would hand over themoney to the recipient. Of course, thehawala operator in USA would charge a feefor the service rendered. There is nophysical transfer of money in hawalaoperations as in the regular bankingchannels. This channel is generally usedby drug traffickers, smugglers andkidnappers.

Basically, the system operates on anethnic network. The network may includemore than 3 or 4 countries. The principaloperators engage agents and sub agents invarious countries for collection anddisbursement of money. Hawala is wide-

TABLE XI 31

NUMBER OF ARRESTED, PROSECUTED AND CONVICTED 1991-1994

YEAR ARRESTED PROSECUTED CONVICTED1991 2358 1669 5741992 1745 1051 3811993 1234 679 3501994 1210 301 352

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spread in India. Families who havemembers earning abroad are clients of thesystem. The dangerous aspect of thehawala system is the nexus betweenhawala and illicit arms smugling, drugtrafficking and terrorist crimes.

Investigations in hawala related crimesare conducted under the Foreign ExchangeRegulation Act. Even through the word‘hawala’ has not been defined in FERA, theessence of the Act is that any person whoretains foreign exchange abroad or sendsforeign exchange abroad, without theReserve Bank’s permission is violatingFERA provisions.

D. Terrorism & Narco-TerrorismTerrorism is a serious problem which

India is facing. Conceptually, terrorismdoes not fall in the category of organisedcrime, as the dominant motive behindterrorism is political and/or ideological andnot the acquisition of money-power. TheIndian experience, however, shows that thecriminals are perpetrating all kinds ofc r imes , such as k i l l ings , rapes ,kidnappings, gun-running and drugtrafficking, under the umbrella of terroristorganisations. The existing criminalnetworks are being utilised by the terroristleaders. India faced serious problems in thePunjab in the 1980s, which has since beencontrolled with the installation of a populargovernment. The North East still continuesto be in turmoil due to the unlawfulactivities of ULFA and NSCN. The terroristgroups there are partly financing theiroperations by kidnappings for ransom oftea garden executives and extortion frombusinessmen. PWG and LTTE, in smallpockets of southern India, continue toindulge in continual acts of violence.

Table XI gives profile of violence inPunjab. Besides, 9 judicial officers, 62media personnel and 34 teachers werekilled during this period. There was also aspill over of Sikh militancy in theneighbouring States.

In view of threat to the national security,the Central Government, enacted an anti-terrorist law, Terrorist and DisruptiveActivities (Prevention) Act, 1985. About60,000 terrorists were charged under thisAct. However, the trials were slow and theconviction rate quite low. This Act wasallowed to lapse in 1995. India at presentdoes not have any anti-terrorist law.

India has become vulnerable to narcoterrorism, bounded as it is by the ‘GoldenCrescent’ on the West and the ‘GoldenTriangle’ on the East. Narco terrorismassumes several forms, namely:

(a) terrorists themselves indulge in drugtra f f i ck ing to suppor t the i rmovements ;

(b) sympathizers of terrorists livingabroad indulge in drug traffickingand send part of their illegal profitsto fund the terrorist movements ;

(c) terrorists join hands with drug lordsto gain access to the powers, in thecountries sympathetic to their cause,in order to utilise their connectionswith political powers ;

(d) terrorists give protection and supportto drug traffickers with fire arms, andthe drug traffickers, being acquaintedwith the routes, assist the terroristsin border crossings to bring arms anddrugs in the target country; and

(e) Smugglers supply fire arms to theterrorists who are also drugtraffickers.

The areas affected by terrorism in Indiaare the border States which also happento be transit roues for narcotics to theirdestinations in the Western world. It is nota concidence that the growth of terroristmovement in Punjab synchronised with theemergence of the Golden Crescent as amajor drug producing area in the early1980s. The emergence of drug mafias in theGolden Crescent countries and theirlinkages with smugglers in the borderStates of India have given impetus to gun-

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running. There is positive evidence ofnarco-terrorism in the border States ofIndia even though the magnitude there ofi s n o t s i g n i f i c a n t . S o m e m i x e dconsignments of narcotic drugs and armswere seized from smugglers in the Punjab.There is also evidence that the moneygenerated abroad by the smugglers wasused for purchase of weapons which weresmuggled into the country for terroristactivities. To illustrate, Dawood Ibrahim,utilised the existing smuggling network inlanding consignments of arms andexplosives on the western coast in early1993, used for causing serial blasts inBombay.

E. Light Arms Proliferation &Trafficking

Light arms proliferation is a globalphenomena. It has extracted a heavy tollin terms of human lives and socio economicdevelopment of entire regions, costs ofwhich can never be adequately computed.In Afghanistan, the death toll has passed1,00,000 and is still rising, while Cambodia,Sri Lanka and some African Statescontinue to see conflict related deaths intheir thousands. India has also suffered

due to trafficking in illicit arms. The twinphenomenon of rising crime as well asarmed conflicts and terrorism are directlylinked to the global proliferation andmovement of weapons. Appendix III showsthe inextricable links between gunrunning, terrorism, narcotics traffickingand crime.34

The Purulia Arms Drop Case is the mostglaring example of illicit arms trafficking.On 17th December, 1996, an Antonov 26aircraft dropped over 300 AK 47/56 riflesand 20,545 rounds of ammunition, dragnovsnipper weapons, rocket launchers andnight vision devices in a Purulia village inWest Bengal State. The aircraft was boughtfrom Latvia for US$ 2 million andchartered by a Hong Kong registeredcompany, Carol Airlines. Payments weremade mostly through foreign bankaccounts. The aircraft was ferried to aforeign country where it was registered.After a dry run over the air drop area, theaircraft moved to Bulgaria from where theconsignment of arms was picked up usinga end-users certificate issued by a foreigncountry.

The aircraft returned to a location in aforeign country and then flew over the air

TABLE XII32

PROFILE OF VIOLENCE IN PUNJAB- 1981-92

Year No.of Persons Killed No.of Policemen Killed1981 13 21982 13 21983 75 201984 359 201985 63 81986 520 421987 910 951988 1949 1101989 1168 1521990 2467 4931991 2586 4931992 1461 252

TOTAL 11,584 1689

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drop area, parashuting the arms and thenflew on to Phuket. On the return journey,the aircraft was forced to land at Bombay,where the crew were arrested. CBIinvestigated this case and 7 persons werecharged, including one British, 5 Latviansand an Indian. Several others absconded.

The seizures reflect only the tip of theiceberg. Similar caches have been seizedin Punjab and the North East. Gun runningin foreign-made and Indian made weaponsis a lucrative business, in militancy affectedand high crime areas. The premium onforeign made weapons is quite high, andrelevant laws need to be made morestringent and speedy trials ensured.

F. Contract KillingsThe offence of murder is punishable

under section 302 IPC by life imprisonmentor death sentence. Conviction rate inmurder cases is about 38%. The chance ofdetection in contract kilings is quite low.The method adopted in contract killings isby engaging a professional gang for amonetary consideration. Part of theprefixed amount will be paid in advancewhich is called ‘supari’. The rest of thepayment will be made after the commissionof the crime. The Bombay gangs specialisein contract killings. The amont they chargeis quite large and varies with the socio-economic status of the targets. DawoodIbrahim gang has been responsible forcontract k i l l ings o f severa l r i chbus inessmen , industr ia l i s t s andpoliticians. Gulshan Kumar, the musicmagnate of Bombay, was the latest victimof this scourge.

G. Kidnapping for RansomKidnapping for ransom is a highly

organised crime in urban conglomerates.There are several local as well as inter-State gangs involved in it as the financialrewards are immense vis-a-vis the labourand risk involved. Generally, no injury iscaused to the kidnapee if the Kidnappers’

conditions are met. Terrorist gangs havealso been occasionally involved inkidnappings for quick money to financetheir operations. In one recent case, thekidnapee was killed even after his familypaid a huge ransom amount to a U.P. gang.The leader of the gang was known to thevictim and he feared the victim woulddisclose the gang’s identity if released.Several arrests have been made in thiscase. Incidentally, the leader of the gang isa Member of the Legislative Assembly ofthe State of North India.

Delhi and Bombay are highly vulnerableto this crime. 43 cases were registered inDelhi in 1995, against 40 of 1994. Theincidence was less in 1996 and 1997, asmost of the cases were detected by thepolice and prominent gangs neutralised.The going rate in Delhi and Bombay rangesfrom Rs. 1.00 to 5.00 crores, dependingupon the paying capacity of the victims.The gang headed by Om Prakas Srivastavais transnational in character and oftenoperates from foreign bases, with paymentsmade abroad through hawala channels.

In view of the aforesaid menace, a newsection (section 364- A) was incorporatedin the Penal Code to speci f ical lycriminalised kidnapping for ransom andprescribes a minimum punishment of 10years.

H. Illegal ImmigrationA large number of Indians are working

abroad, particularly in the Gulf region.Young people want to move to foreigncountries for lucrative jobs. Large scalemigration is fostered by the high rate ofunemployment in the country and higherwage levels in foreign lands. As it is noteasy for the aspirants to obtain valid traveldocuments and jobs abroad, they fall intothe trap of unscrupulous travel agents andemployment agencies. These agenciespromise to give them valid traveldocuments and employment abroad on thepayment of huge amounts. Often the travel

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documents are not valid, and sometimesthey are simply dumped into foreign landswithout giving them the promisedemployment.

A gruesome tragedy occurred in which170 Indians and some others drowned inthe high seas of the Malta-Sicily channelon 24th and 25th December, 1996.Investigation of this case was handled bythe CBI which disclosed that the travelagents in India sent some groups of Indiansto Alexandria (Egypt) and Istanbul(Turkey) by air in September 1996.Thereafter, they were taken in small shipsto the high seas from Alexandria andIstanbul and were transferred to a big ship.There were about 460 people from India,and other countries on board. The shipheaded towards Italy. In the Malta Sicilychannel, they were required to shift to twosmaller ships. While docking, the two shipscollided and water started pouring into thesmall ship which created panic. There wasrush to get back to the big ship and in theprocess 200 people, including 170 Indiansdrowned. Country-wide investigation wasconducted by the CBI and 25 travel agentswere charged with violation of theEmigration Act, 1983.

Emigration of Indians to foreigncountries is regulated by the EmigrationAct 1983, which empowers the CentralGovernment to regulate functioning of thetravel agents and employment agencies.The employment agencies are also requiredto give written undertakings regardingminimum wages and surety of employmentto the emigrants. The loop holes in thesystem are, however, exploited by theunscrupu lous e l ements by f a l serepresentations and fraudulent deals. It isa transnational crime and involvesunfathomable exploitation and humanmisery. International co-operation may paya vital role in curbing illegal migrations.

I. ProstitutionTrading in sex and girl-running is a very

profitable business in which the under-world plays an important part. Flesh tradehas been flourishing in India in variousplaces and in different forms. Theunderworld is closely connected withbrothels and call girl rackets, makingplenty of money through this activity. Theysupply young girls to brothels in differentparts of the country, shuttling them to andfrom the city to minimise the risk of theirbeing rescued.

According to a study conducted by theIndian Health Organisation, there are over1,000,000 prostitutes in Bombay and anequal number in Calcutta. Delhi and Punehave an estimated 40,000 each. Even therelatively small town of Nagpur has about15,000 prostitutes. According to a surveyconducted by Patita Udhar Samiti, it isestimated that the total number ofprostitutes in the country is about25,000,000. About 300,000 enter theprofession each year 36.

There is also evidence to show that it isa transnational crime. About 5,000 girlsfrom Nepal enter the flesh market eachyear in India.

Prostitution is not an offence in India.However, running brothels, inducing girlsfor the sake of prostitution, detaining girlsin brothels or running brothels in thevicinity of public places is a criminaloffence. There is evidence of underworldnetworks running the brothels and theexisting law has not been found strongenough to tackle the menace.

VIII. CASE STUDIES

A. Shankar Guha Neogi MurderCase

Shankar Guha Neogi, a top labour leaderof Central India, was shot dead inSeptember, 1991, while sleeping in hishouse. On the request of the Governmentof Madhya Pradesh, the CBI moved intoaction. Investigation disclosed that he hadgiven a strike call to about 80,000 workers

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of his union in Bhillai-Raipur Belt,demanding remunerative wages andpermanancy of jobs for them. As the strikecontinued for almost nine months, thisnaturally disturbed the functioning ofseveral industrial units, particularly, thatof steel manufacturing units of the Shahfamily. Investigation further disclosed thata member of the Shah famly, alongwiththree others, including two local dons, hadgone abroad to purchase fire arms formurdering Neogi. The clue came in theform of an anynomous inland letter givingthe above information and mentioning thenames of persons who had gone abroad.Suspicion was strengthened due to thedisappearance of a member of the Shahfamily after the incident. Working on thisclue, CBI, with the help of the local police,arrested the perpetrators of this crime. TheShah family had assigned the task ofeliminating Neogi to a local don who hireda professional killer belonging to aneighbouring State. It was a case ofcontract killing and some money was paidbefore the killing by the Shah family andthe balance amount was to be paid afterthe commission of crime. The killerabsconded after the incident and it tookalmost two years to track him down. Therewere three tiers in the conspiracy. In thefirst tier were the motivators i.e the Shahfamily who wanted Neogi killed. In thesecond tier was the local don who organisedthe killing. The third tier consisted of theactual shooter and his associates.

After painstaking investigation, thecharge sheet was filed against nine accusedpersons. The case was decided last year andthe trial Court convicted seven accused.While six persons were given li feimprisonment, the killer was ordered to behanged. The case is now pending HighCourt confirmation of the death sentence.

This is one of the few cases of organisedcrime in which three tiers of criminals,including two members of the Shah fimily,have been convicted.

B. L.D. Arora Murder CaseL.D. Arora, a senior officer of the

Customs Department, was shot dead in1993, at point blank range, while gettingout of his car in front of his residence inthe Allahabad town of Uttar Pradesh. Hehad just returned from his office. Theunknown assailant had been waiting forhim under the stair case of the multi-storeyed building in which Arora lived. TheUttar Pradesh Police could not get abreakthrough. The case ultimately came toCBI. Investigation started from Bombaywhere the deceased was posted for a longtime and had come down heavily on anumber of smuggling gangs, including thatof notorious smugglers Md. Dosa, TigerMemon and Dawood Ibrahim. His generalreputation and family life were also foundto be good, therefore it seemed that thekilling was committed due to professionalreasons. Arora had been threatened by thesmugglers in the past. Even after histransfer from Bombay to Allahabad, he wasrunning his sources and passing oninformation to his counter-parts inBombay, resulting in large scale seizuresof contraband. A suspect telephone numberof a neighbouring country and scrutiny ofthe telephone print out revealed thatseveral calls had been made to severalnumbers in Bombay and Delhi. Subscribersof the called numers were questioned andone in Delhi disclosed that he was beingcalled by notorious criminal Om PrakashSrivastava from abroad. When questionedabout his relationship with Babloo, hedisclosed that Babloo was his neighbour,living in a rented house, about a year backand had absconded after a murder case (notArora murder case). The Delhi Policerecords were checked and it was found thatBabloo was suspected in that murder case.It was also found that Babloo was acontract killer and smuggler. This madehim a strong suspect. Invesigation alsodisclosed that Babloo had repeatedly calleda hotel number in Allahabad, several times

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on the days proceeding Arora’s murder andalso on the day of the murder. The hotelregister disclosed that some of hisassociates had stayed in that hotel andreceived calls from Babloo. Babloo’sassociates had given correct names in thehotel records but wrong addresses.However, on further verification the namesand addresses of the suspects wereconfirned. The shooter was caught in Delhiand his disclosure revealed that Babloo hadorganised this killing on the instructionsof smuggler Md. Dosa from Dubai. He alsodisclosed how the conspiracy was planned,how the transport and arms were providedby Babloo and his associates, and howArora was eliminated. The car involved inthe crime was seized. He got Rs. 1.00 lacfor the killing and Babloo got 15.00 lacsfrom Md. Dosa. Arrest warrants were takenfrom the Court and Interpol alerted.

In 1995, information was received thatBabloo was travellng to Singapore fromDubai on a Nepalese passport. InterpolSingapore, was alerted and they detainedBabloo at the airport. On being informedof this development, Indian officials flewto Singapore and submitted the arrestwarrant and other relevant documents inthe Court. The disconcerting aspect of thiscase was that Babloo was travelling underan assumed name on a genuine Nepalesepassport. During questioning by theSingapore Police, he pretended that he wasnot the person wanted by CBI. It wasnecessary not only to establish a primafacie case in the Extradition Court atSingapore but also to firmly establish hisidentity. Indian officials persuaded hiselder brother to swear an affidavit to provehis identity and fingerprints fromSingapore and India were matched. TheExtradition Magistrate held that there wasa prima facie case against Babloo in all thecourt cases. He was extradited to India inAugust 1995 and is facing trial now. Thiswas the first extradition case in 45 years.

C. Terrorist Funding CaseA militant was arrested by Delhi Police

sometime back along with some foreigncurrency and objectinable documents,including letters written by a top militantleader from abroad to his associates inIndia. His interrogation revealed foreignlinks and remitance of a large amount ofmoney into India from a foreign sourcethrough the ‘hawala’ channel. Due to itsimportance, CBI was asked to take over thecase. One more accused was arrested whosequestioning disclosed that he had goneabroad and entered into a criminalc o n s p i r a c y w i t h s o m e t e r r o r i s tsympathisers to develop a terroristnetwork in India. The money was to comefrom a foreign source via the ‘hawala’channel. The money did come and thepayment was made in Delhi by a low level‘hawala’ operator. The money so receivedwas used for purchasing bank drafts in thename of fictitious persons. This was,perhaps, done to keep the identity of therecipients secret so that this money couldbe used for terrorist funding withoutdetection.

During investigation a number of‘hawala’ operators were arrested whodisclosed the names of their principals.Large scale searches were conducted in thebusiness premises of the main ‘hawala’operators which led to the recovery of Rs.1.5 crores in cash and a personal diaryshowing payment of about Rs. 58.00 croresto various politicians and bureaucrats inIndia. This case is now popularly knownas Jain Hawala Case. The charge-sheetswere filed against several recepients ofhawala money even though the evidencewas not corroborated. While the main case(i.e terrorist funding case) is progressingwell in the Court, the Jain Hawala Case,which was monitored by the SupremeCourt under its writ jurisdiction, ispresently embroiled in litigation in theDelhi High Court.

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D. Advocate ShanmughsundramCase

Mr. Shanmughsundram, a practisinglawyer, was brutally attacked in hisresidence in May 1995, in a southern State.The attack came in full view of his personalstaff. The victim was attacked as he wasabout to file a petition in the High Courtagainst the corrupt activities of a powerfulpolitician. The local police made somearrests but that did not evoke theconfidence of the legal community. The casewas handed over to the CBI by the HighCourt. Investigation disclosed that thevictim, though politically affiliated, wastrying to seek judicial intervention. Thisangered the politician who had the attackorganised through his underlings. The roleof the local police was suspect in that theyorchestrated the surrender of certaincriminals who were actually not involvedin the attack, but agreed to ownresponsibility with a view to shielding apolitically powerful criminal gang. CBIinvestigation established the identity of thereal culprits. They were arrested and sentto trial. Welding Kumar, the don who hadorganised the attack, was himself notpresent but was charged with criminalconspiracy. All the assailants, includingWelding Kumar, have been convicted forlife. However, the investigation could notgo beyond Welding Kumar as adequateevidence could not be built up against themotivators, the third tier. This is a commonproblem faced in investigations oforganised crime.

IX. PROBLEMS IN CONTROLEFFORTS

A. Inadequate Legal StructureThere are several difficulties in

combatting organised crime. First of all,India does not have a special law to control/suppress organised crime. Being acontinuing conspiracy, the incidents oforganised crime are dealt with under the

general conspiracy law and relevant specialActs. The existing law is inadequate as ittargets individuals and not the criminalg r o u p s o r c r i m i n a l e n t e r p r i s e s .Conspiracies are hatched in darkness andproving them in a court of law is aherculean task. Being a member of thegang of dacoits or thieves is punishableunder the Penal Code, but being a memberof any other criminal gang is not. The primepurpose of organised crime is moneythrough muscle power, comprising theofficials operating the criminal justicesystem and the officials and politicians inpower. It is, therefore, imperative that thecriminal group and being its member orassociate, is criminalised, as has been donein many countries.

Similarly, there is need to deprive thecriminal groups of their ill-gotten wealth.India does not have a consolidated law onthe subject.

The procedural laws in India are grosslyinadequate to deal with organised crime.Under section 167 of the Code of CriminalProcedure, the police are mandated to filethe charge sheet within 90 days from thedate of arrest, failing which the accused isliable to be freed on bail. Organised crimeis complicated in nature and has inter-stateand even international ramifications whichmakes it difficult to conduct a thoroughinvestigation within the statutorilypescribed time frame. This often results inthe charge-sheets being filed on the basisof half-baked investigations. Such casesoften result in acquittals. Besides, the bailprovisions are quite liberal (sections 437to 439 CrPC). In the early 1970s, theSupreme Court laid down that ‘bail and notthe jail’ is the rule. This emboldenedcriminal syndicates and they tookadvantage of this judicial dispensation,frustrating efforts of the law-enforcerers incurbing crime. Further, section 438 of theCrPC provides for anticipatory bail evenin heinous offences. This has been misusedby politically influential and rich people.

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Further, a confession made before apolice officer is not admissible undersection 25 of the Evidence Act, but aconfession made before a Customs Officeror a Income Tax Officer is admissible. As itis difficult to get the eye-witness evidencein cases of criminal conspiracy, it makesthe task of the police really very difficult.Furthermore, the investigating agenciesl o o k f o r o r a l , d o c u m e n t a r y a n dc i r c u m s t a n t i a l e v i d e n c e d u r i n ginvestigation. With rapid advances inscience and technology, forensic science hascome to play an important role in criminalinvestigations. However, an accused orsuspect is not legally bound to give hishandwriting, finger prints, blood samples,photographs and intimate and non-intimate body samples viz hair, saliva,semen, blood etc to the InvestigatingOfficer, despite the order of the Court.Thus, valuable pieces of evidence are lostdue to this legal lacunae.

B. Difficulties in Obtaining ProofAs organised criminal groups are

structured in a hierarchical manner, thehigher echelons of leadership are insulatedfrom law enforcement. It may be possibleto have the actual perpetrators of crimeconvicted, but it is difficult to go beyondthem in the hierarchy because of rules ofevidence, particularly, non-admissibility ofconfessions made by criminals before thepolice. The witnesses are not willing todepose for fear of their lives and there isno law to provide protection to thewitnesses against organised gangs. Theinformers are not willing to come forwardas some kind of stigma is attached to beingan ‘informer’. In crimes of violence, thereis hardly any documentary evidence. Ins o m e c r i m e s l i k e g a m b l i n g a n dprostitution, the people in general arewilling participants. Incidents of killing ofwitnesses or their being bribed orthreatened do surface from time to time.Several judges and magistrates were killed

in Punjab. These difficulties hamper thecontrol efforts.

C. Slow Pace of Trials & LowConviction Rate

‘Justice delayed is justice denied’ is a wellknown maxim. The pace of trials in Indiais very slow. Out of 7.12 million casespending in the country, 0.77 million havebeen pending trial for more than 8 years(18.6% of the total). The average time oftrial in grave offences varies from State toState but it is quite substantial and mayrun into years. This, coupled with otherfactors, has resulted in low conviction rates.Only about 38% murder and rape casesresult in conviction in India. Thepercentage of conviction in dacoity cases isstill lower. Hence, people are losing faithin the efficacy of the criminal justice systemand have become cynical, apathetic andnon-cooperative in control efforts.

D. Lack of Resources & TrainingIn our Constitutional frame-work, the

police are the State’s subject. Investigationof cases, their prosecution and the settingup o f the cr iminal courts i s theresponsibility of the State Governmentconcerned. Most of the States face aresources crunch and are not in the positionto spare adequate resources for thecriminal justice system agencies. Thenumber of police personnel posted in policestations is inadequate. Besides, hardly anytraining facilities exist for the investigationof organised crime. Further, there are nospecial cells to handle organised crimeinvestigations. The prosecutors neitherhave any special aptitude nor anyspecialized training for conductingorganised crime cases. Moreover, they arevulnerable to frequent transfers resultingin discontinuity in prosecution efforts.Moreover, the number of courts isinadequate as organised crime case aretried by ordinary courts, there is inordinatedelay in their disposal due to heavy

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backlogs.

E. Lack of Co-ordinationIndia does not have a national level

agency to co-ordinate the efforts of theState/city police organisations as well ascentral enforcement agencies, forcombating organised crime. Further, thereis no agency to collect, collate, analyse,document and function as a centralexchange of information relating tointernational and inter-state gangsoperating in India and abroad. Similarly,there is no system of sustained pursuit ofselected gangs at the national and Statelevel. Apart from lack of institutionalframe-work, there are problems of co-o rd inat i on be tween the Centra lGovernment and the State Governmentsand between one State Government andanother State Government due todifferences in political perceptions. Thisproblem becomes quite acute whendifferent political parties are in power atthe centre and in the States. Thus, thereappears be no sustained effort to combatorganised crime. The information thatcomes into the hands of Central and Stateinvestigating agencies is not exhanged and,if exhanged, not in real time. Thus,valuable clues are lost.

F. Dual CriminalityThe crime syndicates do not respect

national boundaries. Certain crimes,particularly drug trafficking, are plannedin one part of the world and executed inanother. Criminals also move fast from onepart of the globe to another. Differentnations have different legal structures. Acertain act may be ‘crime’ in one countrybut not in another. To illustrate, moneylaundering is crime in USA and severalEuropean countries but not in India.Similarly, some countries have lawsagainst terrorism but others do not.Extradition of criminals from one countryto another is possible only when the

principle of dual criminality is satisfied.India has faced problems in the extraditionof certain fugitive criminals on this count.

G. Criminal, Political &Bureaucratic Nexus

There has been a rapid spread andgrowth of criminal gangs, armed Senas,drug mafias, smuggling gangs, drugpeddlers and economic lobbiests in thecountry which have, over the years,developed an extensive network of contactswith the bureaucrats, governmentfunctionaries, politicians, media personsand democratically elected individuals atthe local level. Some of these syndicatesalso have international linkages, includingwith the foreign intelligence agencies. Incertain States like Bihar, Hryana andUttar Pradesh, these gangs enjoy thepatronage of local level politicians cuttingacross party lines. Some political leadersbecome the leaders of these gangs/armedsenas and over the years get themselveselected to local bodies, State Assembliesand even the National Parliament throughdubious means including rigging andkilling of their political rivals. Some of themcollect large funds from the criminalsyndicates for electioneering. Resultantly,such elements have acquired considerablepolitical clout seriously jeopardising thesmooth functioning of the administrationand the safety of life and property of thecommon man, causing a sense of despairand alienation among the people. Due tothe political influence of these syndicates,the investigating and prosecuting agenciesare finding it extremely difficult to dealeffectively with them.

In view of the gravity of the problem.The Government of India constituted aCommittee under the Chairmanship of theUnion Home Secretary, N.N. Vohara in1993. The Vohra Committee observed:-

“(i)On the basis of extensive experiencegained by our various concernedintelligence, investigative and

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enforcement agencies, it is apparentthat crime syndicates and mafiaorganisations have establishedthemselves in various parts of thecountry.

(ii)The various crime syndicate/mafiaorganisations have developedsignificant muscle and money powerand established linkages withGovernmental functionaries, politicalleaders and others to be able tooperate with impunity (as recentlyexemplified by the activities ofMemon brothers and DawoodIbrahim).”

The law enforcement agencies arefinding it difficult to smash criminalsyndicates in the existing legal frameworkdue to the money power and politicallinkages of the organised criminal gangs.The problem becomes compounded whenthe leaders of the gangs themselves becomeParliamentarians and, sometimes, evenMinisters. A Minister in the CentralGovernment was prosecuted and convicted(later acquitted by the Apex Court) forharbouring members of a criminal gang.Another person who headed a dacoity gang15 years ago and is still facing trial inseveral dacoity cases, rose to be a memberof the National Parliament. Anotherindividual who is facing trial in 12 seriouscr imes , inc luding a murder caseinvestigated by CBI, rose to be a Minister.When the law breakers become law makersor political superiors of the law enforcerers,it is unrealistic to expect the latter to comedown heavily on criminal syndicates.

X. COMBATTING ORGANISEDCRIME

It is the universal experience thatorganised crime is spawned by socialeconomic and political factors and advancesin science and technology have lent it atransnational character. Organised crime,like ordinary crime, cannot be rooted out

completely from any society. It cancertainly be kept within reasonable boundsby a deft mix of legal and administrativemeasures, coupled with social and politicalcommitment. International co-operationcan sound its death bell. I now propose tosuggest some measures for combattingorganised crime, keeping in view theIndian ground realities.

A. Strengthening of Criminal Laws1. Substantive Law

India does not have an special Act tocontrol/supress organised crime. The draftof the Suppression of Organised CrimeAct is on the anvil but it is not known whenit will be passed into law. Organised crimeand money laundering have close nexuswarranting immediate legislativeintervention. The proceeds of Crime andMoney Laundering (Prevention) Act is ata final stage and is likely to be passed intolaw soon. Besides, the ancillary laws suchas the Arms Act, 1959; the Explosives Act,1884; the Explosives Substances Act, 1906;the Immoral Traffic (Prevention) Act, 1956need to be strengthened. Punishmentprovided for public gambling in the existinglaw is grossly inadequate resulting inrecidivism by the same criminal goups.

2. Procedural LawCertain amendments need to be made

in the Code of Criminal Procedure. Themaximum time for police custody remandin section 167(2) of Code of CriminalProcedure is 15 days from the date of arrestof an accused. It is our experience that thistime is inadequate for investigatingorganised crime cases having inter-stateand international ramifications. The policecustody remand should be enhanced from15 to 30 days in cases of grave crime.Further, the police are mandated to file thecharge sheet in 90 days from the date ofarrest of the accused, failing which s/he isliable to be released on bail. This periodneeds to be enhanced to 180 days in grave

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crimes for in-depth investigation.‘Bail and not the jail’ is the rule pursuant

to a Supreme Court order of 1970s.Legislature should intervene to make thebail provisions more stringent. Theprovision for anticipatory bail (sec.438CrPC) in grave crimes (i.e punishable with7 years or more) should be deleted. Further,no exparte bail orders should be passed bya court in grave crimes without hearing thepublic prosecutor.

3. Evidenciary Law(i) Confession made to a police officer : The

Indian police are legally handicappedin collecting fool-proof evidence againstordinary criminals and, more so,against organised criminal gangs dueto certain archaic provisions ofevidenciary law. According to section 25of the Evidence Act, a confession madebefore a police officer is not admissiblein the court. Due to this valuableevidence gathered during questioningof the accused persons is lost. Suchconfessions are admissible in mostcountries of the world. Of course, thisis not to say that the Court should baseconviction only on the un-corroboratedconfession of an accused. What is beingargued is that the Court should takeinto consideration the confession madeby the accused before a police officeralong with other corroborative evidencein formulating its opinion.

(ii) Forensic evidence: Forensic evidenceplays an important role in criminalinvestigations. The police are dutybound to collect forensic evidence whichmay include the following types:-

(i) Hand writing ;(ii) Finger/foot prints ;(iii)Blood samples for DNA profiling;(iv) Photographs ; and(v) Intimate and non-intimate body

samples viz. hair, saliva, semen,blood etc.

There is no law which legally binds an

accused to give specimen hand-writing,blood samples, foot prints or intimateor non-intimate body samples, evenunder the order of the court. The resultis that valuable forensic evidence isbeyond the ambit of the investigatingagency. It is suggested that a provisionshould be incorporated in the CriminalProcedure Code legally binding theaccused to give finger prints, samplesof hand writing, blood samples andintimate and non intimate bodys a m p l e s , i f r e q u i r e d b y t h einvestigating agency. This will go a longway in building up forensic evidenceagainst criminal gangs, particularly inviolence-related crime.

(iii) Monitoring of telephones etc : Thetelephone facility is freely used by thegangs in organising criminal activities.Section 5 of the Indian Telegraph Act,1 8 8 5 , e m p o w e r s t h e C e n t r a lGovernment or the State Governmentto monitor telephones and intercepttelegraphic messages for a period of 60days. However, the evidence thusgathered is not admissible in the trial.In the U.S.A, telephones can bemonitored by law enforcement agenciesunder the orders of Federal Courts andthe evidence so gathered can be usedin the trial. The Indian Telegraphic Actshould be suitably amended to providefor admissibility of evidence gatheredby in tercept i on o f t e l ephon i cconversation or telegraphs. Similarly,the evidence of computer print-out oftelephone calls or fax messages sent orreceived on a particular telephoneterminal should be made admissible asevidence.

(iv) Undercover agents : Law enforcementagencies run under-cover agents inmost countries to gather informationabout criminal gangs, study theirmodus operandi and evaluate theirfuture plans and strategies. Thisinformation is used both for preventive

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and investigative purposes. In the USA,the evidence gathered by under coveragents is admissible as evidence -whether it is in the form of their oraltestimony or recorded in audio or videoform. Indian law does not permit this.The information so gathered can beused only as information but not asevidence. This handicaps the lawenforcement agencies in building upcast-iron cases against organisedgangs. It is suggested that the lawshould be amended to provide foradmissibility of such evidence.

4. Witness Protection ProgrammeIn cases of organised crime and

terrorism, the witnesses are reluctant todepose in the open court for fear of reprisalsat the hands of criminal syndicates/terrorists. The cases of threat or criminalintimidation of potential witnesses are toomany to be recounted. Some witnesses havealso been killed by the criminal gangs/terrorists. As the courts go by evidence onrecord for establishing the guilt of theaccused, it is essential to protect thewitnesses from the wrath of criminalgangs. Hence, legal and physical protectionshould be provided to crucial witnesses insensitive cases so that they can deposefearlessly in the court. After the enactmentof Witness Security Reform Act 1984, theUS authorities could secure the convictionof several notorious mafia leaders. The USWitness Protection Programme, essentiallyinvolves changing the identity of thewitness, relocation, physical protection ifneeded, and financial support till such timeas s/he becomes self-supporting, subject tothe condition that s/he deposes truthly inthe Court. It is extremely necessary toprovide protection to witnesses in Indiaalso, which could cover cases of national/State importance involving criminalsyndicates/terrorists.

5. Mode of TrialThe trial is generally held in the open

court (section 297 CrPC). The court can,however, order in-camera trial if either ofthe two parties asks for it or the Court sodesires (section 237(2) CrPC). Despite theexpress provision of law, the SupremeCourt has discontinued this usage. It wouldbe appropriate to legally mandate in-camera trial in organised/terrorist crimes.

6. Confiscating Proceeds of CrimeThe main object of organised crime is

acquisition of money and through money,power. It is through money power that thegangs corrupt the criminal justice agenciesand the political leadership. A stage comeswhen the criminal gangs put a questionmark on the existence of the State. It hasalready started happening in small pocketsof India. It is, therefore, essential to deprivethe criminal gangs of their ill-gotten wealthvia stringent legislative measures. Thelaws relating to confiscation of proceeds ofcrime are strewn in several statutes. Someof the important Acts relating to this areas follows :

(a) Sections 102 and 452 of CrPC ;(b) Sections 111 to 121 of the Customs

Act, 1962;(c) Sections 68 of the Narcotic Drugs and

Psychotropic Substances Act, 1985;(d) The Criminal Law (Amendment)

Ordinance, 1944 (Ordinance XXXVIIIof 1994);

(e) Foreign Exchange Regulation Act,1973 (Section 63) ;

(f) Smugglers and Foreign ExchangeManipulat ions (For fe i ture o fProperty) Act, 1976 ; and

Notwithstanding the existence of theaforesaid legal provisions, it is commonground that organised criminal gangs haveacquired huge assets. Annual turnover ofDawood Ibrahim gang is estimated to beabout 2000 crores a year. Several Bombaysmugglers have invested hundreds of

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crores in real estate and other frontbusinesses. This clearly shows aninadequacy of law. Hence, consolidationand strengthening of laws regardingseizure/confiscation of proceeds crime isessential. I must, however, add that theprov i s i ons in the Narco t i c s andPsychotropic Substances Act 1985, on thesubject are quite stringent, but this Act isapplicable only to drug related money andnot to the money amassed through othercrimes.

7. Immunity from Criminal ProsecutionAs per section 306 of the CrPC, on the

request of a police officer or a publicprosecutor, a court may tender pardon toan accused at the investigation or trialstage subject to the condition of making fulland true d isc losure o f facts andcircumstances concerning an offence. Thisprovision is applicable in offencespunishable with imprisonment of sevenyears or more. The witnesses are not keento turn approvers (State witnesses) as theyhave to remain in jail till the conclusion ofthe trial. As the trials take years, there islittle incentive for them accept immunityfrom the State. As the evidence inconspiracy cases is rather weak, approvertestimony helps a lot in securingconvictions. It is suggested that the lawshould be amended to the effect that the‘approver’ will be released on bail soon afterthe conclusion of his testimony in theCourt. This may encourage some accusedto turn approvers.

8. Presumptions against the AccusedAn accused is presumed to be innocent

until proved guilty. The entire burden isthus cast on the prosecution to prove theguilt of the accused. Silence of the accusedin a given crime situation or his presenceat the spot of crime at or about the time ofthe commisision of crime is not presumedto be a circumstances against which hemust explain. This casts unfair and un-

reasonable burden on the prosecution. TheBritish Government has updated their lawsby empowering the courts to draw adverseinferences against the accused in certaincircumstances in Criminal Justice andPublic Order Act, 1994. Keeping in viewthe low conviction rates in grave crimes inIndia, and the reluctance of witnesses todepose against organised criminalsyndicates/terrorists, it would be ofimmense help to the prosecution to raisecertain presumptions against the accused,including that the following38:(i) If the arms or explosives are recovered

from the possession of the accused andthere is reason to believe that similararms or explosives were used in thecommission of an offence, the Courtshall presume that the accusedcommitted the offence.

(ii) If the fingerprints of the accused werefound at the site of the offence onanything, including arms and vehicles,used in connection with the commissionof an offence, the Court shall presumethat the accused had committed theoffence.

(iii)If the co-accused has made a confession,the Court shall presume that theaccused had committed the offence.

(iv) If the co-accused has made a confession,the court shall presume that theaccused committed the offence.

(iv) If the accused had made a confessionof the offence to any person other thana police officer, the court shall presumethat the accused committed the offence.

9. Need for Speedy TrialIt is said that justice should not only be

done but should be seen to be done.Punishment should visit the crime withina reasonable time, otherwise the confidenceof the public in the efficacy of criminaljustice institutions will be shattered. Indiahas been enacting and enforcing modernlaws for over a century now and has evolveda fair and equitable jurisprudence.

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Nevertheless, about 0.77 million criminalcases have been pending trial for over 8years. This does not include cases pendingin High Courts all over the country. Theslow pace of trial adversely affects theconviction rate and witnesses suffer frommemory loss or are not available. Evenprosecutors and judges lose interest in oldpending cases. Speedy trial can be achievedby streamlining the procedural laws;improving the quality of judicial man-power ; increasing the number of courts andgiving modern gadgetry to the courts. Co-operative disposition of the prosecutors anddefence counsels is also essential. Besides,judges trying organised crime cases and theprosecutors handling them need to be givenspecialised training, and continuance intheir respective offices ensured for areasonable length of time.

B. Improving Co-ordination andSetting Up Specialised Units

1. Setting Up National LevelCoordinating BodyIndia has a federal structure in which

the States have the exclusive jurisdictionto investigate and prosecute criminal cases.The police forces in the States gatherintelligence about organised criminalactivities within their States and generallydo not share it with other States or thecentral agencies. This insular attitude isequally true of central investigativeagencies. It would, therefore, be advisableto set up a national level co-ordinating bodyoutside the gamut of the presentenforcement agencies. The main functionof this body would be co-ordination betweenthe police forces of different States and theCentral investigative agencies. It wouldalso conduct selective operations jointlywith State Police Forces and Centralenforcement agencies for nabbing themembers of criminal gangs, including thoseliving abroad and for seizure of theirfinancial assets and arms. Further, thisbody would be responsible for collecting,

collating, analysing, documenting andacting as central exchange of informationrelating to international gangs operatingin India, the Indian gangs operating abroadand major gangs operating in the States.It would also be the duty of the nationalbody to keep selected major gangs undersurveillance and collect intelligenceregarding them. It would be expected totake up investigation of specific andimportant organised crime cases havingi n t e r - S t a t e a n d i n t e r n a t i o n a lramifications, unmindful of the views of theSate Government concerned. The bodywould also be responsible for sustainedpursuit of selected gangs having nationaland international dimensions until suchtime as the gangs disintegrate and allimportant members are proceeded againstunder the law.

2. Setting Up of Organised Crime Wingsin City Police OrganisationsExcept for metropol i tan c i t ies ,

awareness about organised crime in thepolice force is very low. There is no systemof collecting intelligence and pursuinginvestigations in a sustained andsystematic manner. It is suggested thateach State/Metropolitan force should havean Organised Crime Wing, the same at theState level as that of the apex body at thenational level. The Chiefs of the Wingwould keep in constant touch with thenational body and their counterparts inother States/Cities.

3. Setting Up Organised Crime Cells at TheDistrict LevelThe district is the basic administrative

unit in India. The work of police stationsis supervised at the district level. However,there is very little awareness aboutorganised crime, its dimensions, and theharmful effect it eventually has on thenational economy and security, at thedistrict level. As districts are the mostfundamental operational units in the police

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hierarchical structure, it would be usefulto set up organised crime cells directlyu n d e r t h e c o n t r o l o f D i s t r i c tSuperintendent of Police. Their main jobwould be investigation of importantorganised crime cases, collection ofintelligence against the criminal gangs andproper documentation about theiract iv i t ies . They would a lso keepsurveillance upon important gangsters.

4. Strengthening of Police StationsPolice station are the pivotal points in

the enforcement machinery. No specialisedbody like the National Co-ordinatory Bodyor organised crime wings at the State levelcan function unless the police stations workeffectively. It is, therefore, imperative tostrengthen the police stations in areasaffected by organised crime. This would bepossible only if they are equipped with well-trained personnel, good systems ofcommunication and means for mobility asalso modern gadgetary necessary forinvestigation.

5. Common Database for Enforcement AgenciesNo mechanism or inst i tut ional

arrangement exists for collection of dataregarding organised crime gangs either atthe Central level or the State level. Thishampers investigative efforts andplanning. It is suggested that a commondata base be built up and stored in acomputer accessible to all enforcementagencies, through networking of thecomputers. National Crime RecordsBureau could take up this job as it has thetechnical wherewithal to do so.

6. Education and TrainingOne of the weakest links in the struggle

against organised crime is education andtraining at the local level. Publicadministrators, who are aware thatorganised crime exists in their community,are not spending sufficient time in

educating and training citizens, lawenforcement officers and other members inthe criminal justice system. Consequently,local persons with interest in curbingorganised crime are left to their ownresources in securing information aboutthose engaged in organised crime. Thereare three modes for transmittinginformation to those concerned withorganised crime control. They are (i)education in academic institutions (ii)specialised training for law enforcementofficers and (iii) greater public co-operation.To implement one mode of learning withoutthe other will not produce the desired levelof information about the criminalconfederations.

It would be desirable to impart intenseand highly select training to the police,probation officers, judges and publicprocecutors about the impact of organisedcrime on the society, the intelligencesystem, the statutes relating to organisedcrime, technology for investigation and thevarious types of organised crime andstrategies for combating it.

7. Defending Honest OfficersThere is strong evidence of a criminal-

political nexus. The officers who have takeninitiative to fight organised crime aresometimes transferred leading to theirdemoralisation. Crime syndicates bythemselves or in concert with politicianssometimes launch a campaign of characterassassination against honest officers,discrediting them. It would, therefore, bedesirable that officers of integrity andprofessional competence be posted inorganised crime prone areas and given areasonable length of tenure, say 3 years.This would immunise them from themachinations of unscrupulous politiciansand organised crime leaders.

C. Enhancing International Co-operation

We are living in an era of “globalisation

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of crime”. Speedy means of communicationenable the transnational criminals to fleefrom one country to another within hoursafter the commission of crime, and toorganise crimes spanning continents viathe telephone. Illicit trafficking in narcoticsdrugs, illicit immigration, proliferation ofillicit arms and smuggling of contrabandsare the main transnational crimes affectingIndia. According to Section 3 and 4 of thePenal Code, any Indian nationalcommitting a crime abroad is liable to betried in India. Similarly, any foreignercommitting a crime in India is also liableto be tried in India. It is not possible tobring the fugitive criminals to justicewithout cooperation of the countries wherethey are living. In fact, internationalcooperation is the key to suppress trans-national crimes. The international cartelscomprising of criminals of various ethnicityregions and religions require response byt h e i n t e r n a t i o n a l c o m m u n i t y .International cooperation may entailvar i ous l ega l and governmenta linterventions.

1. Speedy Extradition of FugitiveCriminals

Speedy extradition can be a veryeffective method of bringing the fugitivecr iminals to just ice . Extradit ionproceedings presuppose the existence of anextradition treaty between the RequestingState and the Requested State. Extraditionrequests must satisfy the principles of dualcriminality and speciality. Besides, theidentity of the fugitive criminal must befirmly established by the Requesting State.

India has signed extradition treatieswith several countries. Such countries fallin three categories. The first categoryconsists of 33 Commonwealth countrieswith which India has extraditionarrangements, even though no formalextradition treaties have been signed. Inthe second category falls countries such asBhutan, Belgium, Nepal, Netherlands,

Canada, Switzerland, United Kingdom andUSA with which extradition treaties havebeen signed. The third category consists ofcountries with which the treaties have beenrenegotiated. USA is one such country. Oldtreaty of 1931 with USA was renegotiatedlast year but is yet to be ratified. ThisTreaty provides for a ‘political offence’clause, excluding some crimes such asmurder of the Head of the State, aircrafthijacking offences, acts of aviation sabotageand crimes against internationallyprotected persons including diplomats,hostage taking and drug related offencesetc. The Treaty also provides for a waiverclause which means that if the extraditeeagrees to be extradited, the RequestedState shall not go through the motionsprescribed in law. India is negotiatingextradition treaties with several countries,including the Russian Federation,Germany and UAE.

The basic problem with the extraditiontreaties is the ‘political offence’ clause. Theworld ‘political ’ is open to variedinterpretations both by the extraditioncourts as well as by the executive authorityof the Requested State. Terrorist violenceis often motivated by some kind of politicalconsiderations. If this logic is accepted,then it would not be possible to seekextradition of any fugitive terrorist fromabroad. It may not be possible to totallyexclude ‘political offence’ clauses from theexisting treaties or the treaties which areunder negotiation, but the scope of thisclause should be narrowed down as muchas possible. Article 1 of the SAARCConvention excludes certain terroristoffences from the ‘political offence’ clauseviz, murder, manslaughter, kidnapping,hostage taking and offences relating to firearms, weapons, explosives and dangeroussubstances. This principle could be adoptedin bilateral and multilateral arrangementsat the international level. This issue shouldbe taken up in the international arena andeffort made to narrow down the scope of

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the ‘political exception’ clause, if noteliminate it all together.

India has succeeded in securingextradition of several notorious criminalsincluding Om Prakash Srivastava fromSingapore in 1995. We also succeeded inthe securing extradition of two topterrorists from the USA last year. However,the case of another two is pending in theUS courts since the last 10 years. Recently,two Karsen executives, namely, TuncayAlankus and Cihan Karanci, involved inRs.133 croses Urea import scam, wereextradited to India from Sweden. India hasalso extraditied certain criminals to theUK, USA and other countries.

As extraditioin is an importantinstrument to bring fugitive criminals tojustice, the laws and procedures prevailingin di f ferent countries need to bestandardised on the basis of the modelextradition treaty drafted by UNO.

2. DeportationIt is our experience that extradition is a

time consuming and lengthy process,where, apart from satisfying the legalrequirements of the Requested State, thejudicial requirements of a foreign courthave also to be satisfied. On the other hand,deportation of an undesirable alien is swiftand speedy. India had sought extraditionof a notorious drug smuggler Iqbal Mirchifrom UK in 1996 but the request wasturned down as the Extradition Magistrateheld that the evidence on record was notsufficient to establish a prima facie case.This often happens in transnational crimeswherein the principal offenders organisecrimes through telephone systems inforeign lands. After the failure of theextradition proceedings, the Governmentof India cancelled his passport and, thus,he became an illegal alien in UK. Somecountries have deported Indians back to thecountry on finding them without validtravel documents and we have alsoreciprocated in equal measure.

As deportation is one of the easiestmethods of getting rid of undesirableelements, standardised and universallyacceptable norms should be evolved in theinternational community in this regard.

3. Agreement on Mutual Legal AssistanceAssistance from foreign countries is

often required for effective investigationand prosecution of transnational crimes.Help is required in the matter of collectinginformation; collecting evidence duringinvestigation; identification and location ofpersons and service of documents on them;access to records of financial institutions;production of foreign witnesses; conductingsearches and seizures; forfeiture ofproceeds of crime (including moneydeposited in banks); transfer of prisonersto give evidence or assist in criminalinvestigations. Help is also sought from aforeign country in the execution of LetterRogatories. India has enabling provisionsin the Criminal Procedure Code (SECTION105) in the above matter (166-A and 166-Bof the Code) .

India’s experience shows that theresponse from foreign countries, with fewexceptions, has generally been positive.India has made Mutal Legal Assistancearrangements with several countries in therecent past. Some of the recently concludedAgreements on Mutal Legal Assistance are- India and UK (1992); India and Russia(1993); India and Bulgaria (1994); Indiaand Canada (1994); India and Egypt(1995); India and China (1996) and Indiaand Oman (1996). We are also in theprocess of signing Mutal Legal AssistanceAgreements with Kazakistan, Poland,Slovak Republic, Italy France, Hong Kong,Greece, and Georgia.

The agreement between India and UKprovides for assistance in investigation andprosecution of crime and tracing, restraintand confiscation of the proceeds andinstruments of crime (including crimesinvolving currency transfers) and terrorists

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funds.

The agreement between India andCanada is quite comprehensive and coversall types of crimes, including crimesrelating to taxation, duties, customs andinternational transfer of capital orpayment. The assistance includes :

(i) measures to locate, restrain, forfeitor confiscate the proceeds of crime ;

(ii) taking of evidence and obtaining ofstatements of persons :

(iii) provision of information documentsand other records including criminaland judicial records ;

(iv) location of persons and objectsincluding their identification ;

(v) search and seizure ;(vi) delivery of property, including

lending of exhibits ;(vii) making detained persons and others

available to give evidence or assistinvestigations ; and

(viii)Service of documents, includingdocuments seeking attendance ofpersons.

Our arrangements with UK and Canadaare working well. Canada has deported aterrorist to India recently. We also assistedthe Canadians in the Kanishka Bomb BlastCase. Such bilateral agreements go a longway in effective investigation andprosecution.

4. SAARC Convention for Suppression ofTerrorism:Multilateral ArrangementsApart from bilateral arrangements,

India has also made multi-lateralarrangements for suppression of terrorismwith its neighbors. India is a signatory tothe South Asia Association for Regional Co-operation (SAARC) Convention forSuppression of Terrorism. SAARCcountries consist of Bangladesh, Bhutan,India, Maldives, Nepal, Pakistan, and SriLanka . Pursuant t o the SAARCConvention, India enacted the SAARCConvention (Suppression of Terrorism) Act,

1993. It is important to mention that inArticle 1 of the SAARC Convention,terrorist activities have ben excluded fromthe ‘political offence’ clause for the purposesof extradition. Extraditable crimes includeunlawful seizure of aircraft; unlawful actsagainst the safety of civil aviation; crimesagainst internationally protected persons,including diplomatic agents; and commonlaw offences like murder, kidnapping,hostage taking and offences relating to firearms, weapons, explosives and dangeroussubstances when used as a means toperpetrate indiscriminate violenceinvolving death or serious bodily injury topersons or serious damage to property.

It would thus appear that SAARCConvention is an improvement on bilateralExtradition Treaties and Agreements onMutal Legal Assistance in that the scopeof ‘political offence’ has been drasticallyreduced.

5. Role of InterpolInterpol has serviced law enforcers all

over the world in their fight against crimein last 75 years of its existence. ‘The RedCorner Notice’ for the arrest of fugitivecriminals are generally executed byInterpol. Sometimes difficulty arises whenthe requested Interpol does not haveenabling provisions in the domestic lawsfor effecting arrests. Section 41 of theIndian Criminal Procedure Code empowersa police officer to arrest on the basis of aRed Corner Notice. Similar provisions needto be incorporated in the criminal laws ofcountries where such provisions do notexist. Secondly, help in investigations issometimes declined by some Interpols onthe perceived ground of the offence being‘political’ in character. This problem isgoing to persist in the forseeable future butits impact can be drastically reduced if theprinciples ennunciated in the SAARCConvention are adopted at the regional andeven international level regarding graveoffences i.e terorism, organised crime etc.

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D. Political CommitmentIncidence of organised crime is

proportional to the will of the people totolerate it. If there is strong politicalcommitment, it can be suppressed bylegislative action, strengthening ofcriminal justice system and building up ofstrong public opinion against it. Organisedcrime thrives when political commitmentis lacking. The Vohra Committee Reporthas exposed the linkages betweenunscrupulous politicians and the criminalsyndicates. A segment of politicians, cuttingacross party lines, are dependent onorganised crime figures for financing theirelections as well as giving them musclepower for rigging elections or overawingtheir political opponents. One of the waysof breaking the nexus between thecriminals and politicians would be to enactstringent laws regarding election funding,with a view to preventing the taintedmoney from whatever source, includingfrom the crime syndicates, seeping into thepolitical system. Once this happens, peopleare likely to be elected to the State andNational Parliament that would have noobligation towards the organised crimefigures and are likely to have higherpolitical commitment to stamp outorganised crime. Another method would beto amend the election laws to prevent,apart from convicts, those against whomcharges have been framed by the court inat least in two grave crimes, from runningfor elective offices. This would impel thepolitical figures to keep themselves at asafe distance from the crime figures andthereby help in cleansing the politicalprocess. It needs to be reiterated thatenforcement action, however efficient, isnot by itself adequate to stamp outorganised crime.

E. Public AwarenessThe surest means of curbing organised

crime is to involve people in its preventionand investigation and to build up public

opinion against it through the print andelectronic media, workshops, seminars,and by socially boycotting organised crimefigures. It is not unusual to see leaders ofcriminal syndicates acquiring Robin Hoodimages and becoming legends in their lifetime. Quite a few have become Membersof the State Assemblies and the NationalParliament. Some have become Ministersin the State Governments and occupy otherelected offices. They can be prevented fromoccupying high political offices byheightened public awareness.

F. Role of Mass MediaMass media-both print and electronic

media-can play an important role inexposing organised crime and help buildpublic opinion against it. Indian massmedia has been doing this job quite welland everyday we read lurid accounts of theactivities of crime syndicates in thenewspapers and magazines. Notablenewspapers and magazines have alsotaken to investigative journalism in thisfield. In this process, some media personshave suffered at the hands of the criminalsbut undaunted by it, they are going aheadwith the exposes. This is a very hearteningtrend and must be encouraged.

XI. CONCLUSION

Organised crime is first of all a domesticproblem and, when unchecked, it assumesa transnational character. Organisedcrime succeeds so long as nations permit itto succeed. The first and foremost step inour control efforts should be to keep‘incident’ or ordinary crime withinreasonable bounds by keeping criminalelements under reentless law-enforcementpressure. If we succeed in this effort, wewould have obviated or at least diminishedthe possibility of unattached criminal net-works and the phenomenon of organisedcrime. Organised crime, depending uponits intensity, spread and dimensions, must

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be combated by a deft mix of strengtheningof criminal laws and criminal justicesystem; institutionalising a national andState level co-ordinating mechanism andinvolving the mass media in control efforts.Law enforcement, however efficient, cannotsucceed by itself without strong politicalcommitment. This pre-supposes exclusionof criminal elements and their politicalsympathisers from elected public offices.As organised crime is for the acquisition ofmoney power, it is imperative that the flowof money to organised criminal groups isdried up through stringent legislative andenforcement action.

A democracy has inherent infirmitieswhich manifest themselves in thefunctioning of criminal justice agencies.Despite best efforts, domestic crime islikely to spill into the international arenaand often does. Hence, the need forinternational co-operation in suppressingit in the form of expeditious extradition offugitive criminals, deportation ofundesirable aliens; mutual legal assistancein investigations and prosecutions andspeedy execution of Red Corner noticesissued by Interpo l . Further, theinternational community must put theirheads together to harmonise extraditionand deportation laws and to narrow thescope of ‘political offences’ in extraditionlaws and the Interpol charter.

T h e f i g h t a g a i n s t o r g a n i s e dtransnational crime is a formidable task,but heightened public consciousness,increasing governmental concern andmutually dependent interests of theinternational community do give us a rayof hope.

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APPENDIX III

COUNTRY Gun Running Militancy/ Narcotics CrimeTerrorism Trafficking

Australia ✓ ✕ ✓ ✓Cambodia ✓ ✓ ✓ ✓Indonesia ✕ ✓ ✓ -India ✓ ✓ ✓ ✓Japan ✓Macau ✓ ✕ ✓ ✓Malaysia ✓ - ✓Myanmar ✓ ✓ ✓ ✓Phillipines ✓ ✓ ✓ -Sri Lanka ✓ ✓ ✓ ✓Taiwan ✓ ✕ ✓ ✓Thailand ✓ ✕ ✓ -Latin America ✓ ✓ ✓ ✓Central America ✓ ✓ ✓ ✓United States ✓ ✓ ✓ ✓Vietnam ✓ ✕ ✓ ✓

(Sources:Patterns of Global Terrorism, US State Department, International NarcoticsControl Strategy Report.)

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REFERENCES

1. Crime in India : National CrimeRecords Bureau, New Delhi (1996).

2. Crime in India : National RecordsBureau, New Delhi (1995).

3. Ibid (1995)4. Ibid (1995)5. Ibid (1995)6. Ibid (1995)7. Criminal Justice : Problems and

Perspectives by S. Venugopal Rao (page131).

8. Task Force Report - The Presidents’Commission on Law EnforcementAdministration of Justice, 1967 (page1).

9. Formation of Criminal Gangs in BigC i t i e s b y V K S a r a f , f o r m e rCommissioner of Police, Bombay(unpublished study sponsored by theGovernment of India).

10. Kefauver Committee concluded that :“(a) There is a nationwide crime

syndicate known as the Mafia,whose tentacles are found in manylarge cities. It has internationalramifications which appear mostclearly in connection with thenarcotics traffic.

(b) Its leaders are usually found incontrol of the most lucrative racketsin their cities.

(c) T h e r e a r e i n d i c a t i o n s o f acentralised direction and control ofthese rackets but leadership appearsto be in a group rather than by asingle individual.

(d) The Mafia is the cement that helpsto bind the Costello-Adonis-Lanskysyndicate of New York and Accardo-Guzik-Fischeddi syndicate ofChicago as well as smaller criminalgangs and individual criminalsthroughout the country. Thesegroups have kept in touch withLuciano since his deportation fromthis country.

(d) The domination of the Mafia is basedfundamentally on ‘muscle’ and‘murder’ . The Mafia is a secretconspiracy against law and orderwhich will ruthlessly eliminateanyone who stands in the way of itssuccess in any criminal enterprisein which it is interested. It willdestroy anyone who betrays itssecrets. It will use any meansavailable-political influence, bribery,intimidation etc. to defeat anyattempt on the part o f lawenforcement to touch its figures orto interfere with its operations”.

11. Op. cit note 8 (page 1)12. The Politics and Economics of Crime

by Herbert E. Alexander and Gerald E.Caiden (page 9). The Task Force listedthe following seven characteristics oforganized crime:

(i) “Organised crime is a conspiratorialcrime.

(ii) Organised crime has profit as itsprimary goal.

(iii) Organised crime is not limited toillegal enterprises or unlawfulservices but includes sophisticatedactivities as well.

(iv) Organised crime is predatory, usingintimidation, violence corruptionand appeals to greed.

(v) Organised crime’s conspiratorialgroups are well disciplined andincorrigible.

(vi) Organised crime is not synonymouswith the Mafia but knows no ethnicbounds.

(vii)Organised crime excludes politicalterror is ts , be ing po l i t i ca l lyconservative, not radical.”

13. Organised Crime : Concept and Controlby Denny F. Pace and Jimmie C. Styles(page 248).

14. Op cit note 12 (page1).15. The Presidents Commission on

Organised Crime, 1986 (pages 26-32).16. Section 2 of the Act defines a gang as :

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“Gang means a group of persons, whoacting either singly or collectively byviolence or threat or show of violenceor intimidation or coercion or otherunlawful means, with the object ofgaining undue political, physical,economic or other advantage forhimself or any other person, indulge inanti-social activities, namely:(i) offences punishable under Chapter

XVI or Chapter XVII or ChapterXXII of the IPC ; or

(ii) distilling, manufacturing, storing,transporting, importing, exporting,selling or distributing any liquoror intoxicating or dangerous drugsor other intoxicants or narcotics orc u l t i v a t i n g a n y p l a n t i ncontravention of any of theprovisions of the UP Excise Act,1910 or the Narcotics, Drugs andPsychotropic Substances Act, 1985or any other law for the time beingin force; or

(iii) occupying or taking possession ofimmovable property otherwisethan in accordance with law, orsetting up false claims for title orpossession of immovable propertywhether in himself or any otherperson; or

(iv) preventing or attempting toprevent any public servant or anywitness from discharging hislawful duties ; or

(v) offences punishable under theSuppression of Immoral Traffic inWoman and Girls Act,1956 (ActNo.104 of 1956) ; or

(vi) offences punishable under section3 of the Public Gambling Act, 1867; or

(vii) preventing or disturbing thesmooth running by any person ofhis lawful business, profession,trade or employment or any otherl a w f u l a c t i v i t y c o n n e c t e dtherewith ; or

(viii)activities enumerated in clause (b)of Section 2 of the Uttar PradeshControl of Goondas Act, 1979 ; or

(ix) offences punishable under section171-E of the Indian Penal Code orin preventing or obstructing anypublic election being lawfully heldby physically preventing the votersfrom exercising electoral rights ; or

(x) inciting others to resort to violenceto disturb communal harmony ; or

(xi) creating panic, alarm or terror inpublic ; or

(xii) t e r r o r i s i n g o r a s s a u l t i n gemployees or owners or occupiersof public or private undertakingsor factories and causing mischiefin respect of their properties ; or

(xiii)inducing or attempting to induceany person to go to foreigncountries on false representationthat any employment, trade orprofession shall be provided to himin such foreign country ; or

(xiv)kidnapping of abducting anyperson with intent to extortransom ; or

(xv) diverting of otherwise preventingany aircraft or public transportvehicles from fol lowing i tsscheduled course.”

A gangster “means a member or leaderor organiser of a gang and includes anyperson who abets or assists in theactivities of a gang enumerated inclause (b), whether before or after thecommission of such activities, orharbours any person who has indulgedin such activities.”

17. The Indian Mafia by S. K. Ghosh.18. Ibid.19. Ibid.20. Formation of Criminal Gangs in Major

cities by VK Saraf (an unpublishedstudy sponsored by the Government ofIndia).

21. Ibid.

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22. Based on the data collected from theOffice of the Commissioner of Police,Delhi.

23. Based on the report of Joint Task Force,Karnataka.

24. Based on a paper prepared by thisauthor (unpublished).

25. Based on a report prepared by theOffice the Commissioner of Police,Ahmedabad.

26. Based on the investigation conductedby CBI.

27. Narcotics Control Bureau Report(1995).

28. Data compiled by the Departmental ofRevenue, Government of India, NewDelhi.

29. Ibid.30. Ibid.31. Ibid.32. Uncivil Wars by Med Marwah (page

390).33. Ibid.34. Paper on ‘Proliferation and Smuggling

of Light Weapons within the Region’ byTara Kartha Reseach Fellow, IDSA,New Delhi.

35. Op cit. note 32.36. Op cit. note 17.37. Based on a paper published by the

author titled ‘Crime Scenario in India: Need to Strengthen Criminal Laws’in CBI Bulletin (1996).

38. Such presumptions could be raisedunder Section 21 of the Terrorist andDisruptive Activities (Prevention) Act,1987, which was allowed to lapse in1995 and has not been substituted byanother anti-terrorism law.

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RESOURCE MATERIAL SERIES No. 54PARTICIPANTS’ PAPERS

GENERAL PICTURE OF ORGANIZED CRIME IN JAPAN:THE ACTIVITIES OF ORGANIZED CRIMINAL GROUPS

BASED IN OR OUTSIDE JAPAN

Yutaka Nagashima*

I. INTRODUCTION

In Japan, the recent process ofinternationalization has brought about anincrease of Japanese going abroad, as wellas an expansion in the number of visitingforeigners who are permitted to stay for alimited period of time, or are stayingillegally in Japan ( hereinafter the “visitingforeigners”). It is quite natural that in linewith such a change of Japanese society,transnational or international crimes andcriminals have been attracting more andmore serious concern, not only from thoseprofessionals in the criminal justice field,but also by the mass media, politicians andcitizens in general.

In Japan, it seems that the traditionalorganized criminal groups, “Bouryokudan”,are mostly involved in internationalizedcrimes. So, this paper will first explain thehistorical background and changingfeatures of the activities of Bouryokudan,referring when appropriate to the speciallaws and ordinances like the Anti-Bouryokudan Law, enacted to prevent andcounteract the organized criminal activitiesand to protect the victims and the peoplein general. The recent phenomena of theinternationalization of Bouryokudan, inparticular, dealing with crimes committedin and outside of Japan among theBouryokudan and the organized criminalgroups of other nations and regions, willalso be considered.

The general trends in crimes committedby visiting foreigners in Japan, with the

intention of providing overall informationon the changing features of their criminalconduct in Japan, will be discuction in thesecond half of this paper.

Information on individual cases in whichvisiting foreigners staying in Japancommitted crimes as part of a criminalgroup, mostly in connection with theJapanese and their native-land criminalsyndicates will be provided. Crimes suchas the mass smuggling of illegal migrants,robbery and burglary of jewelry etc., pick-pocketing, ticket swinding, defraudingpachinko ( a kind of slot-machine ) parlors,theft and transnational trafficking of stolenmotor vehicles etc., will be considered inthis paper (excluding crimes involvingdrugs).

II. TRENDS IN CRIMESBY GANG ORGANIZATIONS

( BOURYOKUDAN ) IN JAPAN

A. Realities of BouryokudanBouryokudan, or gang organization, may

be defined in general terms as “anorganization or group which collectivelyand habitually engages, or is prepared toengage, in criminal activities accompaniedby violence.” A typical gang or gangsterincludes the categories of professionalgamblers, street peddlers, delinquentyouth groups, stevedore gangs andunscrupulous constructors. Their scale andsphere o f act iv i ty vary from oneorganization to another, but there are somecommon characteristics peculiar to them.For example, externally they intervene inthe civic life or business transactions ofcitizens, using the power of their

* Senior Research Official, Reseach and TrainingInstitute of the Ministry of Justice, Japan.

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108TH INTERNATIONAL SEMINARPARTICIPANTS’ PAPERS

organization to obtain funds unlawfully orimproperly, and internally they try tostrengthen the control and solidarity oftheir organization, based on the pseudo-kinship of all members.

Besides Bouryokudan, there existsanother type of organized criminal groupclose to them. They are Sokaiya, who afterobtaining rights as stockholders, demandundue gains from enterprises by throwingthe general meeting of stockholders intoconfusion etc. They also pose as publiccampaigners or political adventurers whopretend or profess to be engaged in somesocial movements or political activities forthe purpose of disrupting commercialenterprise. They meddle in civic life orbusiness activities and gain undue profitsto desist.

Such groups emerged through cracks inthe social structure and under the influenceof the socio-economic conditions of the time.They repeatedly split and merged amongthemselves and have survived persistentlyover the ages as a true antisocial andmalignant element of society. Table 1shows the trend in the number ofBouryokudan members cleared by thepolice for Penal Code offences, and referredfor Special Law violations (1956-1996).

B. Comprehensive View of the PastActivities of Bouryokudan

During the period of post war chaos ( late1940s), a number of new lawless groups,small and large, mushroomed on top of thelong-established gangs of gamblers andstreet peddlers. They advanced intovarious rackets such as street hawking,black markets, gambling, group robberiesand strong-arm protection. The newgroups repeatedly battled with the oldergroups over the command of territories andover the various interests involved.

The number of gang members arraignedon Penal Code offences cleared by the policewas more than 30,000 in 1946 and 1947.This period was marked by frequent

clashes between gangs fighting over theirterritorial rights and interests such as therunning of black markets and otherrackets. The fights were frequently large-scale and bloody, since the gangs werearmed with military weapons and fired oneach other indiscriminately, thus causingmuch public uneasiness. The gangstersbecame the most important target of thepolice at that time. After 1948, the numberof gangster Penal Code offendersdecreased, due primarily to: gradualrecovery from postwar chaos; frequentcrackdowns on gangs; and strong policeefforts to force the gangs to disband,including the mandatory dissolution ofspecific gangs under Cabinet Order. Thesestrict measures against gangster criminalactivities seem to have worked effectivelyto reduce the incidence of crime, for a while.

The early 1950s to the early 1960s iscalled the “Period of Gang Wars”. This wasthe time when new entertainment quartersarose in major c i t ies , and newlyindustrialized areas developed along withthe nation’s rapid social and economicrecovery, thanks to an economic boomfueled by the Korean War procurement.New Gurentai (street gangsters) came intopower, preying on such quarters, andtargeting the interests involved inpachinko (a kind of slot-machine) parlors,public gambling set-ups (bicycle races, etc.),sex-related business (massage parlors,etc.), prostitution, Philopon (a stimulantdrug) and other rackets. The new and oldgangs battled incessantly to stake out theirterritorial claims, and there were repeatedbreakups and mergers to establish thegangs’ ‘division of power’ over the nationduring this period.

From 1955 to 1965 Japan achievedremarkable economic success. During thedecade, the boom stimulated internationaltrade and multiplied the amount of workat ports. The resulting spending spreeproved h ighly pro f i tab le for theentertainment business. This in turn

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produced huge income for the gangs whocontrolled construction and harborworkers, and maintained strong-arm mento ‘protect’ the entertainment quarters.During this period, the so-called seven gangsyndicates (later named as such by theNational Police Agency (NPA)) achievedgreat power. The seven syndicates areYamaguchi-gumi, Honda-kai (laterrenamed Dainihon Heiwa-kai), Sumiyoshi-kai (currently Sumiyoshi Rengo-kai),Kinsei-kai (currently Inagawa-kai), andMatsuba-kai.

The number of gang-associated PenalCode offenders was approximately 2,500 in1952, but increased to approximately11,000 in 1953. It rose to more than 80,000in 1956. The number then decreased, buthovered at the 40,000 to 50,000 level until1965. The total number of gangstersinvolved in crimes of violence, bodily injuryand murder in 1968 constitutes 48.4percent of the total number of gang-associated Penal Code offenders, reflectingthe intense inter-gang confrontation andconflicts during that year. A significantnumber of cases of inter-gang conflict wasshown in the decade beginning in 1955.With this situation as the background, thenumber of gang syndicates and theirmembers drastically increased during theperiod. There were approximately 4,200organizations with approximately 93,000members in 1958. However, in 1963, theorganizations increased to approximately5,200, with a record-breaking membershipof approximately 184,000.

In 1958, in order to properly cope withthe situation, the government proposed inthe Diet, a bill to introduce in the PenalCode a new article on the crime ofintimidation of a witness, and the proposalbecame law. Also amended was the Codeof Criminal Procedure whereby gang-associated inmates were placed under astatus in which bail may only be grantedat the discretion of the court, if the courtdeems it likely that they will retaliate

against witnesses who testify againstgangsters in detention. In addition, theLaw Concerning Compensation forDamage Inflicted on the Witness, waspromulgated to provide protection towitnesses. With a view to forestalling inter-gang conflicts, the crime of unlawfulassembly with dangerous weapons was alsointroduced in the Penal Code. In the sameyear, the Firearms and Swords ControlOrdinance was revised whereby heavierpenalties were provided for the use andpossession of dangerous weapons,including firearms and swords. In 1964,the Law for Punishment of Acts of Violencewas amended to introduce an aggravatedcrime of bodily injury committed withfirearms and swords, as well as to providefor heavier penalties for habitual offendersinvolved in crimes of violence. Fromaround 1952, Local prefectural legislaturespromulgated the Public NuisancePrevention Ordinance to protect residentsfrom the distasteful, annoying conduct ofthe gang members. This legislation pavedthe way for devising nationwide systemsto restrain underworld criminal syndicates.

With the nationwide campaign fors w e e p i n g c r a c k d o w n s o n g a n gorganizations as the background, intensiveand comprehensive attempts to controlgang members were conducted from 1964to 1965. The main focus of the policy wasthe strict control of the illegal activities ofleaders of gang organizations, crimesrelated to revenue sources of the syndicatesand their weapons. These were called‘summit operations’, by which police aimedat keeping the activities of gang syndicatesin check. The operations were continuouslyper formed , la ter j o ined by l oca lgovernments who banned events sponsoredby gangs at public facilities, throughout thenation.

Looking at the total number of gangsterscleared by the police for Penal Codeoffences and Special Law violations,approximately 59,000 gangsters were

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cleared in 1964 and 57,000 in 1965, whichaccounted for one-third of the members ofthe criminal syndicates. The figuredropped to approximately 43,000 in 1966,and further declined to the 38,000 levelbetween 1967 and 1969, which reflected theconcerted ‘summit operation’ and thesubsequent reduction in the overallactivities of criminal organizations.Broken down in terms of offences, heinouscrimes and violent offences markedlydecreased in 1968 compared with those inthe decade from 1955. The effects of thesummit operation were also seen in thedecrease of gang syndicates and theirm e m b e r s h i p . T h e n u m b e r w a sapproximately 5,200 with approximately184,000 membership in 1963. However, itdecreased to 3,500 organizations in 1969,a n d m e m b e r s h i p d e c r e a s e d t oapproximately 139,000.

In the early 1970s, gangs managed torevive themselves through reorganization.Major gangs with extensive areas of thenation under their influence absorbedsmall and medium-sized gangs. A new mapof territories governed by such syndicateswas made as a result. The number of gangsyndicates was approximately 3,000 andthe membership was approximately123,000 in 1972. The number decreasedgradually to approximately 2,500organizations and approximately 107,000membership in 1979. However, during1972 to 1979, the total number oforganizations under the NPA-designatedseven syndicates increased f romapproximately 870 to 1,000, and themembership from approximately 33,000 to34,000.

The power of the gang syndicates, whoseinfluence covered a wide range of areas, didnot necessarily decline but was ratherreinforced during 1970s. The ‘summitoperation’ worked effectively on small andmedium-sized gang syndicates as a resultof a decline in the overall number oforganizations and their membership.

However, major gang syndicates placedsuch damaged small and medium-sizedorganizations under their umbrellas andthus their power was increased in general.Because of the economic slump in theperiod of low economic growth after the oilcrisis in 1974, it became difficult for gangsto maintain their organizations whiledepending only on their traditional moneysources. Some gangs disguised themselvesinto rightist political organizations, whileothers advanced into the field of Sokaiyastock racketeers ( racketeers to blackmaila company at a general meeting ofstockholders ). They even intervened ineconomic transactions and sponsoredoverseas gambling tours. In this way theypromoted multiple business operations,modernization and every possible illegalactivity to survive, while trying to hidethemselves from police crackdowns.

Small and medium sized gangs had onlytraditional illegal money sources, whilemajor syndicates had abundant, diversifiedmoney sources, regardless of whether theywere illegal or legal, and established themanagement system by collecting moneyfrom organizations under their umbrellas.Because the smaller organizations werevulnerable to invasions of largerorganizations and police checks, it was anatural result that smaller organizationswere dissolved or merged under majorsyndicates. Especially notable were theexpansion of the three NPA-designatedmajor syndicates, i.e the Yamaguchi-gumi,Inagawa-kai and Sumiyoshi Rengo-kai,and the progress of ‘oligopoly of the gangworld’ by major syndicates. If the numberof gangs under the umbrella of the threesyndicates and their membership in 1968is set as 100, the indicator increased to153.9 for the number of organizations and140.4 for membership in 1979.

The total number of gangster-relatedoffenders cleared by police on Penal Codeand Special Law violation chargesgradually increased after 1970 and the

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number topped 50,000 from 1973 untilaround 1975. Although the number ofgangsters was decreasing during theperiod, the number of those cleared bypolice remained at a high level. From thestatistics, we can conclude that thecriminal activities by gangsters did notcalm down, but were rather activated inthe new drastic moves, includingreorganization, of the gang world. Lookingin more detail, homicide, bodily injuriesand gambling, and Special Law violationsof the Firearms and Swords Control Law,Stimulant Drug Control Law, ChildWelfare Law and Horse Racing Lawshowed marked increases. This trends u g g e s t s t h e p r o g r e s s o f g a n garmamentation and diversification of theirmoney sources. Among them, increases inviolations of the Stimulant Drug ControlLaw suggest that the sale of stimulantdrugs is the most convenient and, also themost profitable, crime in terms of moneysources for major syndicates ( which werethen rapidly growing during the period,taking advantage of the fact that theirinfluence covered wide areas).

The 1980s was called the ‘Period ofGeneration Exchange and Transition’. Inthe world of gangsters, major generationchanges went on and the ganglandexperienced a major transition over a newhegemony. For instance, the third-generation boss of Yamaguchi-gumi died in1981 and fights over the next boss started.In 1984, those against appointment of thefourth-generation boss spun out from thesyndicate and established anothersyndicate named Ichiwa-kai. In 1985, thefourth-generation boss of Yamaguchi-gumiwas shot and killed by members of Ichiwa-kai, triggering a series of fierce battlesbetween the two major syndicates. Ichiwa-kai dissolved in 1989 and the confrontationwas finally settled. The fifth-generationboss was appointed to head Yamaguchi-gumi . However, those against theappointment of the fifth boss left the

syndicate and declared their independencefrom Yamaguchi-gumi. The similarproblem of succeeding aged bosses was seenin other syndicates which covered majorareas.

Also, s ince the 1980s, criminalsyndicates are expected to face difficultiesin trying to enlist new young members, asituation which they have probably neverexperienced before. In the gangland,gangsters are steadily aging since youngpeople try to stay away from gangs. In thepast it was said that the supply of ganglandmembers would never be cut. However,each organization is now suffering from theshortage of new young members.

On March 1, 1992, the so-called Anti-Bouryokudan Law ( the Law ConcerningPrevention of Unjust Acts by BouryokudanMembers ) came into force as a law toregulate the various activities of gangsters’organizations administratively. Thepurpose of the Law is to secure the safeand peaceful life of citizens and to protectthe freedom and rights of the people. Itauthorizes the Government to exerciseadministrative control over dubiousactivities which, though suspected to becriminal, are difficult to control with onlythe investigative techniques available inthe past. Under this Law, a gangsters’organization which comes under specificconditions prescribed by the Law is a“Designated Bouryokudan”, and themembers of such Bouryokudan are subjectto control. As of the end of 1996, thenumber of designated Bouryokudan is 24.The acts to be controlled are those whichunduly demand money or other things,through demonstrating the strength oftheir organizations. Administrative ordersare issued against these acts. The numberof cases where such orders were issued wasabout 4,700, as of the end of 1996. ThisLaw also provides for: assistance tooperators of businesses to preventBouryokudan from inflicting damage;restriction of the use of Bouryokudan’s

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offices at the time of fighting amongBouryokudans; prohibition of interferencein the sucession of a member from theorganization and so on; which is provingeffective for promoting the measuresagainst Bouryokudan. Since 1992, whenthe Anti-Bouryokudan Law was enacted,the number of struggling incidents betweenrival Bouryokudan organizations hasrapidly decreased.

Looking at the changes in the numberof gangs and their members since the1980s , the number o f gangs wasapproximately 2,500 (organizations) withapproximately 104,000 members in 1980.However, the number of organizationsdecreased to approximately 2,200, withapproximately 94,000 members, in 1985.These figures are about half or more of thecorresponding figures in the beginning of1960s. The number of sub-organizationsunder the three major syndicates decreasedfrom approximately 770 in 1980, toapproximately 720 in 1985. However, theirmembers s l ight ly increased fromapproximately 22,800 in 1980, toapproximately 23,200 in 1985. As at theend o f 1996, a l l the members o fBouryokudan were approximately 46,000,and the members under the three majorsyndicates were approximately 30,900. Asa whole, the number of gangsters has beendecreasing as a recent tendency.

The number of gang members cleared bypolice on Penal Code and Special Lawviolations decreased drastically after 1985.Especially, the number of Penal Codeoffenders has decreased remarkably. Thenumber of Special Law violators has alsodecreased but the number of StimulantDrug Control Law violations is still high,even after 1985. These crimes frequentlytake place because the trafficking ofstimulant drugs are major monetarysources for gang organizations. Thesecriminal offences of gangsters in generalhave, however, become less typical in gangorganizations. One possible reason for this

is that criminal activities of the gangsyndicates have gone further underground.Also, diversification of their revenuesources, such as running companies, havefurther progressed, along with theeconomic expansion during 1980s as abackground.

Although gangs meddling in civildisputes - civil disputes being those arisingfrom the loaning of money, tenancy of realestate and amicable settlements incompensation for traffic accidents - are notnew, gangsters are now living closely withthe general public and have been utilizingcivil troubles positively as major moneysource since the 1980s. This may beregarded as one of the diversified revenuesources of gangs. Also activities such asSokaiya professional shareholders’ meetingracketeers, and involvement in real estateracketeering, and stock speculationoperations, are also regarded as activitiescreating a the diversified money source.Considering this situation, it is safe toconclude that the diversification andmodernization of gangster syndicatesmanagement has been drasticallyprogressing.

The main sources of income forBouryokudan was gambl ing andtransactions in contraband, such as drugs.In recent years however, Bouryokudanhave apparently been engaged in large-scale fund-raising activities such as large-scale fraud and intimidation, to gain hugeamount of funds, in addition to theactivities they have been engaged in up topresent. This trend is clearly demonstratedby the growing number of cases involvingviolent acts against enterprises; aimed atsqueezing undue gains from enterpriseswhich produce enormous profits. Also, asmentioned below, it appears that theactivities of Bouryokudan have tended tobecome international.

Also in recent years, there has beenremarkable changes taking place amongBouryokudan. As mentioned above, one

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such change is the large syndicates’oligopolistic trend. Pursuant to theexpansion of the scope of activities of thecriminal syndicates, large syndicatesabsorb smaller ones in various parts of thecountry. At present, three large syndicatesin Japan enroll two-thirds of all themembers of the syndicates. Also, criminalsyndicates in Japan tended to show off inthe past, flaunting their existence andpower at opportunities such as thesuccession of crime bosses or at the funeralsof seniors, but after the enforcement of theAnti-Bouryokudan Law, there is also thetendency to try to hide their organizationin order to avoid being “designated” underthe Law.

In regard to cases of violence directedtoward enterprises, Bouryokudan, Sokaiyaand political activity interference groupscan expect substancial gains because thevictims are large companies. In recentyears, there has been a tendency amongthese groups to work in closer cooperation.The tendency of Japanese criminalsyndicates to become oligopolistic orborderless in their activities can be said tobe a special feature of organized crime inJapan.

Another point of note is the progressivearmament of gang organizations with gunsand other weapons. Looking at thestatistics concerned, the fluctuation in thenumber of weapons seized from gangsyndicates and members show a markedchange in weapons the gangsters use, fromswords and daggers to guns, in step withthe changing times. In terms of guns, thenumber seized and its percentage againstthe total weapons seized increased since1970. Especially, the numbers increased inthe early 1980s. In recent years, thenumber of guns occupied about one-thirdof the all weapons seized. The progressivearmament of each syndicate is top secretand thus we project a large increase incrimes related to weapons. The armamentnumber must be further progressing, thus,

there is concern that the proliferation ofhigh-powered weapons will increase asgang syndicates have to supplementdeclining strength due to difficulties inrecruiting successors and the aging of thecurrent members.

C. Internationalization ofBouryokudan

Internationalization is one of theimportant trends of gang syndicates inrecent years. Data on internationalizationis not necessarily sufficient, but thefollowing points can be judged from therecent trend in crimes.

Crimes involving drugs and weapons,such as violations of the Stimulant DrugControl Law and the Firearms and SwordsControl Law, are committed on theinternational stage in many cases. Drugsand guns have been smuggled into Japanfor a long time and in recent years suchsmuggling has come to be committed, on alarge scale, by organized groups. Large-scale smuggling cases, unprecedented inthe past, are sometimes detected andcleared. As the smuggling and illicit saleof drugs, among others, bring huge profits,the Bouryokudan actively take part inunlawful drug transactions, and in recentyears, smuggle and illicitly sell drugs inJapan. Considering the frequency thatthese crimes have been taking place, I haveto assume that cooperation betweenJapanese gangs and foreign criminalsyndicates has been considerablyprogressing. Bouryokudan may be linkingwith some overseas criminal groups whichdeal in drugs, in order to smuggle drugsinto Japan. Gambling tours to othercountries, and tours to obtain drivers’licenses, are assumedly done in cooperationbetween Japanese and foreign local gangs.

In recent years, the violation ofregulations on businesses affecting publicmorals and illegal employment of foreignworkers is becoming a social problem.Since the violators are illegal aliens,

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d o m e s t i c a n d f o r e i g n c r i m i n a lorganizations are usually involved inobtaining their entry into the country, andproviding residence and employment. Itis worrisome that Japanese gangs willstrengthen ties with foreign syndicatesthrough these activities.

The overseas activities of Japanesegangs, in addition to the above-mentionedactivities, so far includes: operatingnightclubs, bars and souvenir shops;introduction of gambling spots andprostitutes to Japanese tourists; and thesale of pornographic films. Because oflimitations in their language ability, areasof activity are limited to countries wheremany Japanese travel. However, as theties with foreign syndicates increases andstrengthens at home and abroad, theinternationalization of gang syndicates isexpected to further progress the Japanesegangs.

III. TRENDS IN CRIMES BYVISITING FOREIGNERS IN JAPAN

A. Entering Aliens and ResidentsWho Illegally Overstay

The number of entering aliens startedto show a prominent increase around themid-1980s. It was approximately 1,787,000in 1987, and exceeded 3,000,000 in 1991.It was approximately 3,410,000 in 1996. Asfor the breakdown by nationality( including regions; hereinafter the same )in 1996, those from Asian countriesaccounted for about 60% of the total andKoreans ( 26% ) were the largest in number,followed by Taiwanese ( 20% ), Americans( 16% ) and Chinese ( 4% ), in that order.Regarding the status of residence,“temporary visitor” occupied the majority,accounting for about 93% of the total.

The estimated number of illegalresidents who overstayed in Japan was283,000 as of 1 November 1996. As for thebreakdown by nationality, Koreans ( 18% )were the largest in number, followed by

Philippinos ( 15% ), Thais ( 14% ), Chinese( 13% ) and Peruvians ( 5% ), in that order.

B. General Trends in CrimesCommitted by Foreigners

The number of Penal Code offences(excluding traffic professional negligence )committed by visiting foreigners, whichwere cleared by the police, has greatlyincreased since 1980. It was 867 in 1980.It continued to increase drastically,exceeding 10,000 in 1993. The number in1996 reached approximately 19,500, whichwas 23 times as high as that of 1980 ( referto Figure 2 in Appendix A ).

As for the Special Law violations byforeigners, the numbers of offences(excluding road traffic violations ) clearedby the police have shown a similar trendas those of Penal Code offences committedby visiting foreigners, which started toincrease in 1990. The number of SpecialLaw offenders, who were visiting foreignersand who were referred to the publicprosecutors offices (excluding road trafficv i o l a t o r s ) , h a s i n c r e a s e d f r o mapprox imate ly 2 ,300 in 1980 t oapproximately 5,900 in 1996.

As for the violations of the Immigration-Control and Refugee-Recognition Act, thenumber of received violators (the numberof offenders referred by the police or otherinvestigating organizations and newlyreceived by the public prosecutors offices)has been on the decrease since the early1960s. It was on the 600 mark mostlyduring the period of 1966 to 1985. Since1989, however, it has shown a drasticincrease. It was more than 1,000 in 1990,when the total number of foreignersentering Japan exceeded 3,500,000. Thenumber totaled some 8,000 in 1996.

The number of received violators of theAlien Registration Law had peaksexceeding the 20,000 mark every other yearduring 1952 to 1957 ( namely in 1953, 1955,and 1957 ) and smaller peaks exceeding the15,000 mark every three years since 1957,

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the last of which was of some 18,300 in1972. The number started to decrease in1973. It has decreased remarkably since1989, and has remained on the 300 marksince 1991.

The number of heinous offences(homicide and robbery) committed byvisiting foreigners has still kept a high leveldespite a declining trend after a peak in1993. As for homicide, the number ofoffences and offenders cleared by the policewere 58 cases and 72 offenders in 1993, and36 cases and 41 offenders in 1995. As forrobbery, these numbers were 124 cases and142 offenders in 1993, and 104 cases and135 offenders in 1995. As to the victims ofsuch offences, in 1995 persons of the samenationality were victims in 40% of thehomicides committed by visiting foreigners,but Japanese were the victims in more than80% of the robberies committed by visitingforeigners.

The number of visiting foreigners amongthe Stimulant Drugs Control Law violatorscleared by the police increased greatly since1989, when the number was approximately7 0 . T h e n u m b e r i n 1 9 9 6 w a sapproximately 560.

IV. ACTIVITIES OF SOMEORGANIZED TRANSNATIONAL

CRIME GROUPS IN JAPAN

A. Activities Related to the MassSmuggling of Illegal Migrants

More than 1,000 illegal immigrants hadbeen arrested in Japan in 1997 ( by the endof September ). According to the NationalPolice Agency ( NPA ), 1,070 people, 90 %of whom were Chinese, were arrested in51 separate incidents in the same period.In 1996, there were a total of 670 illegalimmigrants apprehended, compared with350 in 1995. In 1996, 670 arrests weremade in 28 separate cases, almost doublethe 15 cases in 1995. Police sourcesattributed the jump in these figures toincreased activity by the “Shetou,” or

“Snakeheads” organized crime group,based largely in Hong Kong and Taiwan,who organized the smuggling of illegalimmigrants from China.

The extent of organized smugglinginvolving Chinese nationals was revealedin 1997 by the January arrest of 86 Chinesein Okinawa Prefecture. Again in January,31 Chinese were arrested at the Kobe Port.In February, the Maritime Safety Agencyarrested a further 96 Chinese on board avessel off Kochi Prefecture (ShikokuProvince). Again in February, 67 foreignerswere discovered after some of them landedon Hachijo Island, about 250 kilometerssouth of Tokyo. In another case inFebruary, 29 Chinese, whose boat ranaground on a local beach, were arrested inShizuoka Prefecture.

Most of the Chinese arrested in 1997came from the Fujian Province. They wererecruited by the Snakehead group andshipped to Japan where there is asophisticated reception network for them.The illegal immigrants are lured by theprospect of high wages. Although severalmembers of the Snakehead group havebeen arrested, police are still unsure as tothe extent of its activities. The crimesyndicates in Japan also cooperate in thesmuggling racket. The following casesshowed that the activities of the Japanesecrime syndicates, in collusion with asyndicate Snakehead, were playing anincreasingly major role in smuggling illegalChinese immigrants into Japan.

In late March 1997, W.Y. ( 33, Chinese )was arrested on suspicion of illegallyobtaining a Japanese passport. He wasalso suspected of helping 99 Chinesenationals attempt to enter Japan illegallyin December 1996. Police believe W.Y.played a key role in bringing illegalimmigrants from China, under instructionfrom the Snakehead smuggling ring, whileresiding in Japan.

In the early hours of a December 1996day, a Maritime Safety Agency patrol boat

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seized a Japanese fishing boat after thewould-be i l legal immigrants weretransferred to it from a Chinese fishingboat off the tip of a peninsula in AichiPrefecture. After arresting the Chinesepassengers and a member of a gangaffiliated with the Yamaguchi-gumi crimesyndicate, police discovered the Chinesesyndicate’s involvement in the smugglingattempt. A Japanese gangster told policethat he had been asked by W.Y. to arrangea ship for the Chinese.

W.Y., who once studied at a Japaneselanguage school in Kobe on a student visa,frequently traveled to Kyushu and theSanin region, where many Chinese havebeen arrested since the summer of 1996 fortrying to enter Japan illegally. He alsotraveled between Japan and China, viaHong Kong in late 1996 allegedly using apassport he had obtained illegally, to meetwith Snakehead members in China.

A failed Snakehead operation to smuggleabout 40 illegal immigrants into Japan in1996 involved 2 Chinese criminal groupsand 2 Japanese crime syndicates. Theillegal immigrants, smuggled in by theSino-Japanese group, were arrested inTokyo in December 1996. The illegalimmigrants, mostly Chinese, werediscovered crammed into a condominiumin Tokyo. The smuggling ring was madeup of criminal groups from the Shanghaiand Fujian Provinces in China and fromcrime syndicates in Tokyo and Kyushu.However, the ring had no fixed membershipor formal structure and was joined by someof the illegal immigrants being smuggled.Six Chinese Snakehead members who areresidents in Japan and 12 Japanese,including gang members, have beenarrested in connection with the incident.

According to police investigations, theunsuccessful smuggling operation waslaunched when L.G. ( 27, Chinese, fromFujian Province ) received instructionsfrom Snakeheads in China. L.G. soughtthe cooperation of Z.L. ( 40, Chinese ),

leader of the Shanghai group, and theFujian and Shanghai groups agreed tojointly conduct the operation. Z.L. askedT.H. ( 28, Japanese ), a member of a gangaffiliated with the Tokyo-based Sumiyoshi-kai crime syndicate, to transport theChinese to Tokyo. T.H. then asked E.T. ( 37,Japanese ), members of the Dojin-kai crimesyndicate in Kyushu, to arrange a fishingboat for the stowaways.

Two Japanese gang leaders, T.H. andE.T., admitted making four attempts, withthe Hong Kong c r ime synd i ca teSnakehead, to smuggle Chinese intoJapan. Police quoted the men as sayingthat two of the attempts were successful,netting Snakeheads an estimated 300million yen. The Tokyo and Kyushu basedgangs each received a cut of 70 million yen.

T.H. told police Snakeheads enlisted hissupport in smuggling operations on fouroccasions in early November andDecember. The first and third attemptswere unsuccessful as the smuggling boatsfailed to appear at a designated place.However, two of the attempts weresuccessful with a total of about 100 Chinesesmuggled into Japan. T.H., accompaniedby 2 Snakehead members, chartered af ishing boat and took the i l legalimmigrants to a fishing port in NagasakiPrefecture ( Kyushu Province ). They weretransported by a large truck to a localexpressway and then transferred to twosmall buses, arriving at the condominiumin Tokyo. When the Chinese secured workthey would call their families and ask themto pay Snakeheads 3 million yen. Policebelieve T.H. received a total of 70 millionyen from Snakeheads, and that afterpaying 10 million yen in truck and fishingboat rental fees, he divided the moneybetween the two gangs.

Previously, Snakeheads had divided theprofits equally between itself and localgangs. Police said the fact that T.H. waspaid only about 20 percent of the profitsindicated that many Japanese gangs were

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vying for Snakehead’s business.The cost of arranging a smuggling

operation of this type varies depending onthe case and the degree of risk involved.In a case cleared in 1997, brokers( Snakehead members ) who help an illegalimmigrant enter Japan could expect toreceive around 80,000 yuan ( 1.18 millionyen ). The sum increases to approximately250,000 yuan ( 3.7 million yen ) if they helpthem to find a job and somewhere to live.

With regard to the techniques of themass smuggling, Kobe maritime policehave established how 31 Chinese, found ina container aboard a freighter, were ableto smuggle themselves into Kobe Port inJanuary 1997. The Chinese stowawayswere arrested and charged with violatingthe Immigration Control and RefugeeRecognition Law after they emerged fromthe container.

According to police, the smugglingattempt was arranged by a Chinese brokerbased in Fujian Province. The 31 Chinese,all from Fujian and Guangdong provinces,in groups crossed the Chinese border intoHong Kong in late 1996 in cars providedby brokers. After staying at an apartmentfor one month, they were collected one dayby a big refrigerator truck, which took themto the port. After spending five days in thetruck, they finally transferred to acontainer that was connected to therefrigerator truck. Food and plastic bottlesof water had been left in the 12-meter-longcontainer to sustain the group during theweek long voyage to Japan. They arrivedin Kobe on a January morning, and waitedat the port to be collected by a person sentby the broker. As the person responsiblefor collecting them never arrived, thestowaways emerged from beneath thecanvas cover of the container and werespotted by police and arrested.

B. Activities of Robbery andBurglary Groups

The National Police Agency (NPA)

announced that the number of well-planned robberies committed by organizedcrime groups, some of them foreign,increased in 1996. Gang members werearrested in more than 24,000 theft-relatedcases in 1996, an increase of 1.3 times over1995. More than 25 percent of gang-relatedrobberies were carried out by two or morepeople, a rate that is significantly greaterthan the 15.2 percent for all arrests fortheft.

The growing role played by foreigngangs, like those from Russia, should benoted. Russian Mafias are believed to bethe intended recipients of many of theluxury cars stolen by thieves in this countryand then shipped overseas. Japanesegangsters were arrested in Hokkaido andTottori in car-theft rings that sold theirbooty to Russian gangsters. FukuokaPrefectural Police are also investigatingallegations that a gang member played aleading role in a ring that stole luxury carsfor sale in Russia.

Chinese gangs have also made theirpresence felt in recent years. As mentionedabove, one Chinese triad, the Snakeheads,has been implicated in the smuggling ofillegal immigrants into Japan. Membersof the Snakeheads are also suspected ofhaving used some of those smuggledmigrants to rob clothing and jewelryoutlets.

Of the 38 cases in which arrests weremade in connection with organized heistsat clothing and jewelry outlets 1996, 31involved Chinese nationals. The robberiesnetted about 50 billion yen. MiyagiPrefectural Police arrested 11 Chinese - allof whom were smuggled into the countryby the Snakeheads - in similar theftsinvolving about 380 million yen.

About 20,000 jewelry items and brand-name products, worth a total of about 1.2billion yen, were stolen from 21 stores inTokyo and seven neighboring prefecturesover a one-year period since November1996, by thieves who visited the stores

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during the day and disabled crime-prevention sensors. Posing as customers,the thieves masked the sensors when clerkswere not watching and broke into the storesafter they had closed. The sensors, whichwere switched off during the day, werewired to security company offices. If thesensors are covered they cannot detectmovement and trigger alarms.

In November 1996, about 200 brand-name products worth about 150 millionyen, including Rolex watches and Chanelbags, were stolen from a display case in animported-goods store in Tokyo. The robbersbroke into the store by breaking a windowon the second floor. In February 1997,about 1,700 rings and other pieces ofjewelry worth about 200 million yen werestolen from a jewelry shop in Tokyo. InMay 1997, 1,500 watches and items ofjewelry worth about 65 million yen werestolen from a watch shop in Yamanashi.

According to police, many of the storeswere visited by a group of two or threecustomers, apparently Chinese nationals,who reportedly had acted suspiciously atthe stores several days prior to therobberies. While one of them kept the clerkbusy by asking questions or asking to beshown various products, the othermembers apparently worked on thesensors, they said.

Police suspect a foreign theft ringcapable of selling large amounts of stolenjewelry and brand-name products may bebehind the robberies. Police also believethe thieves are knowledgeable about storesecurity systems.

In some respects, Chinese and Japanesegangs operate along similar lines.Generally, they delegate particular tasks,such as making fake license plates orcarrying out robberies, to individualmembers. However, the Chinese gangsdiffer in that their leaders instruct gangmembers via cellular phones and take amore behind-the-scenes approach torobbery.

C. Activities of the PickpocketRings

An increasing number of gangs ofpickpockets, with Chinese leaders andJapanese subordinates, have beenallegedly stealing wallets from salariedworkers’ jackets at drinking spots andshops in Tokyo. In the majority of cases,Chinese pickpockets, assisted by Japanesehelpers, lift wallets out of jackets hung onthe back of chairs or on hooks on the wallat drinking establishments and otherplaces. The pickpockets call this sort ofcrime ‘swing’.

Such thefts have been on the rise acrossthe country since 1994. In Tokyo, policereceived about 200 reports of swing-typethefts in 1994, about 400 reports in 1995and the same number in 1996. But thefigure in 1997 ( by the end of September )had already reached about 600. Inaddition, police suspect at least 10 timesthe reported number of crimes had actuallyoccurred in 1997, because most of thevictims probably assumed they had losttheir wallets. Most of the thefts took placein bars, barber shops and mah-jong clubsin amusement districts frequented bysalaried workers, such as Shinjuku inTokyo.

A group of 5 pickpockets were arrestedin July 1997 for allegedly trying to lift awallet out of a company employee’s jacketthat was placed on the back of a chair at aJapanese restaurant in Shinjuku. Of thefive, 2 were Japanese. Both were recruitedby the group leader ( 37, Chinese ).

The two Japanese helpers told policethat the Chinese leader recruited them intothe group with promises of lucrative work.The leader promised to pay them 20,000yen a day if they successfully stole walletsand 10,000 yen daily even if they failed todo so. The leader ordered the pair to handlethe risky elements of the crimes, such asactually picking pockets and using thecredit cards they stole. He provided themen with jackets and ties so they could

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pass for salaried workers.The five visited the Japanese restaurant

one night, pretending to be salariedworkers out for a drink. While the group’sChinese members tried to create adiversion by making noise and speakingloudly to restaurant employees, theJapanese pair casually approached a man.The pair allegedly stood on either side ofthe man’s chair, on the back of which hisjacket was hanging. When one of themreached into the pocket of the jacket,plainclothes policemen, who had beenstaking out the restaurant, arrested them.

Police said the five members each playeddifferent roles in carrying out the crime.Some kept a lookout, while others divertedattention by creating a disturbance. TheJapanese helpers were assigned the riskyjob of actually stealing the wallets.

Before their arrest, the Sino-Japanesepickpocket gang had committed similarthefts several times, police said. TheJapanese pair told police that their leadermade them use credit cards found in thewallets they stole to buy luxury goodswithin an hour after stealing the wallets.In most cases, staff and customers at theestablishments targeted by the groupthought the five were just being rowdy andrarely noticed the crimes, according topolice.

In June 1997, C.F. ( 37, believed to be aChinese national ) was arrested onsuspicion of theft after allegedly orderingring members to steal a wallet from a jackethung over the back of a chair at a bar inOsaka. The police suspect that C.F. is theleader of a pickpocket ring, with about 60members, responsible for a string of theftsin Tokyo and Osaka. The group targetsunsuspecting male office workers wholeave their jackets unattended whiledrinking in bars. C.F. usually did notperform any of the thefts. He is suspectedof using stolen cash cards to withdrawmoney from the owners’ accounts, and ofusing stolen credit cards to purchase

jewelry, which is easily pawned in exchangefor cash. Police also speculate C.F. enteredJapan illegally with the help of a ChineseSnakehead smuggling ring.

C.F. told police that he had formed thepickpocket gang, along with Chinesenationals who had entered the countryillegally. He said he became acquaintedwith those individuals at coffee shops andpachinko parlors in Shinjuku, Tokyo. C.F.also lured Japanese who were in need ofcash to the group with the promise of highfinancial rewards. He told police that hedid much of his recruiting of Japanesemembers in the Kabukicho entertainmentdistrict of Shinjuku Ward, Tokyo. Ringmembers were allegedly informed ofmeeting times and places via mobilephones loaned to them by C.F..

The number of similar pickpocket groupsled by Chinese have been increasing. Someof the Chinese leaders enter Japan on atourist visa, recruit Japanese assistants,direct them to steal as many wallets aspossible during their short stay in Japan,then return to China. Police said the hit-and-run nature of the crime makes it verydifficult for them to arrest the Chinesesuspects.

D. Activities of the TicketFraudsters

A total of 15 people ( 6 Japanese, 8 HongKong residents and 1 Australian ) werearrested in June 1997 on suspicion of aseries of thefts of beer tickets and highwaytickets nationwide. The 15 formed a groupthat stole and sold cash-convertible beertickets and highway tickets in sixprefectures, according to police. The gangis believed to have committed more than30 crimes, netting more than 200 millionyen.

The arrested Hong Kong residentsinclude 3 members of a Hong Kong criminalgroup. These three played a central rolein the thefts; allegedly stealing about250,000 yen cash and 8,700 highway

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tickets ( worth 13 million yen ) from a ticketshop in Tokyo, late December 1996. Twounemployed Japanese, T.S. ( 43 ) and K.U.( 51 ) were arrested on suspicion of buyingthe tickets in the knowledge that they hadbeen stolen. T.S. and K.U. exchanged thetickets for cash in ticket shops in Tokyo andOsaka.

The Metropolitan Police Department ( MPD ) began investigations in October1996, when about 23 million yen worth ofhighway tickets were stolen from acompany office in Tokyo. Police laterarrested a woman ( 53, Chinese ) onsuspicion as she exchanged the stolentickets for cash in Tokyo. The woman gavepolice information about the 3 Hong Kongsuspects. The woman’s home was used tostore stolen items. Police searched thehouse and confiscated beer and highwaytickets worth 100 million yen, 2 pistols and16 bullets from the premises.

The arrested Hong Kong residentsemployed a hit-and-run technique;repeatedly entering, departing andreentering Japan to commit crimes. Theyentered the country with short-term visas,committed crimes within short periods andle f t the country t o avo id po l i ceinvestigation.

E. Activities of the Groups toDefraud Pachinko Parlors

Some years ago, counterfeit prepaidpachinko cards were rampant in Japan.Recently, criminals are using high-techknowledge to defraud pachinko ( a kind ofslot-machine ) parlors out of large sums ofmoney. Radio transmitters, for instance,are being used to interfere with the read-only memory system that functions as themachine’s nerve center.

In one case, a construction worker ( 22,Japanese ) was arrested in Osaka inDecember 1996, while trying to stealpachinko balls by using a wireless device.A parlor employee became suspicious of theconstruction worker when he saw the

machine in front of the man in operation,even though the man was not manipulatingthe machine’s handle. The parloremployee’s suspicions were also aroused bythe fact that the man was wearing a coat,despite the relatively high temperatureinside the parlor. The man was equippedwith a radio transmitter, a controller, anantenna, a switch and batteries. He hadhidden the switch inside one of his shoes,the controller inside a money belt, and washolding the mini-antenna in his left hand.The whole system was designed to makethe machine spit out extra balls. Theconstruction worker told police that he hadpurchased the device for 200,000 yen froma Chinese man. Similar devices made theirdebuts in Tokyo and Osaka earlier in thesame year.

Other cases have involved peoplesneaking into parlors late at night andinstalling bogus ROM systems. A partnervisits the parlor the following day, targetsthe machine and cashes in the balls later.

In some cases, customers have even beenkidnapped from pachinko parlors whileplaying on machines that had been secretlyreadjusted to release a large number ofballs. In Yokohama, a man ( 22, Chinese )was abducted from a pachinko parlor inearly May 1997 by a Chinese group. He hadbeen operating a machine whose originalROM had been switched for a doctored onethat radically increased the number of ballsreleased. The kidnappers then demandeda 7 million yen ransom from the man’sfamily. In Sendai, a former restaurantemployee was also kidnapped in February1997 by a group of men who appeared tobe Chinese. The gang demanded a 5million yen ransom, but then freed the manafter he promised not to use the samemachine.

The machine had been loaded with adoctored ROM system to pay out extraballs. The NPA reported that there wereonly two such incidents in 1992, 64 in 1993,103 in 1995, and 53 in 1996. The agency

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said that while the number of cases haddecreased, the crimes had become morevicious. It added that the development ofnew prepaid cards had made crime hardfor counterfeiters.

F. Activities of Groups Engaged inthe Theft and Illicit Trafficking ofMotor Vehicles

Cars and motorbikes stolen in Japan arebeing sent for resale on the black marketin China, Hong Kong, Russia, SoutheastAsia and the Middle East. Police in anumber of prefectures have confirmed thatnon-Japanese and members of more thanone large criminal organization have beeninvolved in at least some of the thefts.There have been many instancesnationwide of vehicles - from luxuryMercedes Benz automobiles to Super Cubmotorbikes - being stolen and sent abroad.Japan has become a supply source for aninternational black market in motorvehicles.

In a case in March 1997 , theMetropolitan Police Department (MPD)arrested 2 Japanese and 2 Chinesestudents on suspicion of stealing expensivescooters. One of the suspects told policethey had stolen more than 300 scooters.More than 100 million yen, identified as apayment for stolen vehicles , wastransferred from Hong Kong to a tradingcompany bank account. The stolen scooterswere transported to Hong Kong by a boguscompany, with the 2 Chinese registered asboard directors. As the scooters were soldat slightly more than 100,000 yen each, thenumber of stolen vehicles was estimatedat more than 1,000. In this case, only 250ccscooter-type motorbikes made by HondaMotor Co. were targeted. It was found thatthe vehicles had been sent via Hong Kongto China, where demand for motorbikes hasmushroomed.

In another case investigated by MPD, aman ( 30, Vietnamese ) man was arrestedon suspicion of stealing motorbikes over a

long period. The bikes he stole were sentto Hong Kong and then on to othercountries according to type. For example,Super Cub models, which are cheap anddurable, ended up in Vietnam, whileHarley-Davidson luxury models were sentto Thailand, where the make is verypopular.

Chiba prefectural police investigatingthe theft of Super Cub motorbikes foundthat a group of Vietnamese refugees hadset up a trading company and were able toexport about 1,000 stolen motorbikes toVietnam without arousing the suspicionsof customs officials. Investigationsrevealed that the stolen bikes were sent tostorage sites in inland prefectures aroundTokyo where transportation and customs-clearance procedures were entrusted to amajor transportation company. The bikeswere loaded into containers at YokohamaPort and sent to Vietnam, via Hong Kong.

Kanagawa prefectural police arrested agroup of non-Japanese, including aPakistani and a Sri Lankan, for theiralleged involvement in the theft of four-wheel-drive cars, such as the Toyota LandCruiser, for the United Arab Emirates andMyanmar markets.

Fukuoka prefectural police wereinvestigating the theft of luxury cars andhave arrested a total of 23 people, includinggang members. About 500 Toyota Crown,Nissan Cedric and Mitsubishi Pajeromodels stolen in Tokyo and surroundingareas were transported to some ports alongthe Sea of Japan, from which they were tobe sent to Russia. Different gangorganizations performed various roles inthe operation, including the theft of thevehicles, transportation and negotiationson sales. Police suspect the involvement ofRussian brokers. One of the suspects inthis case told police that security atcustoms houses was laxer at ports alongthe Sea of Japan.

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V. CONCLUSION

Organized cr imes in Japan, asmentioned above, are characterized by thelong existence of Bouryokudan and theirorganized criminal activities. Undertraditional family-like set-ups these groupsgain illegal profits through the mostsuitable ways and means to meet thechanging social environment of the time.In recent years, the social environment inJapan may be characterized by theprogressing internationalization of itssociety, as well as by the more severewatching of both the police and the citizensover the daily activities and movement ofBouryokudan ( since the enactment of theAnti-Bouryokudan Law ). Of particularmention are the citizens group movementsto erradicate Bouryokudan, in closecooperation with the police, raising publicawareness under the “Three NeverSlogan”campaign; namely “Never Fear!”,“Never Give Money!”, “Never Try toUtilize!”.

It seems that the future activities ofB o u r y o k u d a n w i l l b e c o m e m o r einternationalized as the Bouryokudan tryto conceal their presence in Japan bysupporting and secretly using visitingforeigners to organize themselves ( withJapanese members ) into criminal gangsin Japan, committing most profitablecrimes; including the transnationaltrafficking of goods and people. Thesetypes of crime, are potentially assisted bythe secret cooperation of criminalorganizations of the native lands of thevisiting foreigners. Also, the criminalactivities of Bouryokudan and other newlydeveloping criminal organizations may bestrengthened by the ( rapid developmentof the international communications )furthering the secret cooperation withother criminal syndicates.

To cope with the changing features ofcrime and criminal activities, theeradication or controlling of such criminal

organizations, old and newly developing,in every country seems to be the mosturgent task for all the states of the world.To win the battle against such criminalorganizations, sufficient information oftheir movements, particularly of atransnational nature and of secretinternational group meetings, must be inthe hands of the officers in charge of everycountry concerned.

Needless to say, the law enforcementagencies shall make continuous efforts,availing current information, to acquirekey evidence and to make thoroughinvestigations of such cases under close co-operation with the law enforcementagencies of the other countries concerned.Similar international co-operation isneeded in the process of prosecution, trialand treatment of these criminals. Varioustreaties and agreements codifing such co-operation may well be developed, based onthe model treaties adopted by the UnitedNations Congress.

Lastly, I must highlight that thereferences made in this paper to thecriminal activities of the specific nationalsdoes not intend to disgrace or negate theintegrity of all other visiting foreignersstaying in Japan, and or people of the samenationality.

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TABLE 1

TRENDS IN THE NUMBER OF BORYOKUDAN MEMBERS CLEARED BYTHE POLICE FOR PENAL CODE OFFENCES, AND REFERRED FOR

SPECIAL LAW VIOLATIONS(1956-1996)

01956

(ten thousand persons)

60 65 70 75 80 85 90 95

1

2

3

4

5

6

7

8

9

Penal Code Offenders Cleared by the Police

Special Law Offenders Referred

TABLE 2

TRENDS IN THE NUMBER OF PENAL CODE OFFENCESBY FOREIGNERS AND FOREIGN PENAL CODE

OFFENDERS CLEARED BY THE POLICE(1949-1996)

(thousands offences)

Offences Cleared by the police(Total)

Offences Cleared by the police(Visiting Foreiners)

Offenders Cleared by the police(Total)

Offenders Cleared by the police(Visiting Foreiners)

(thousands offenders)

Sources:Criminal Statistics by National Police Agency

0

5

1954 1970 1990

10

15

20

25

30

35

40

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CURRENT PROBLEMS IN THE COMBAT OFTRANSNATIONAL ORGANIZED CRIME (PAKISTAN

PERSPECTIVE)

Tahir Anwar Pasha*

I. INTRODUCTION

“ O r g a n i z e d C r i m e ” , i n i t i a l l ysynonymous to a certa in I ta l ianphenomena like ‘Mafia’, ‘Camorra’ etc., hasnow extended to cover the whole world andis the most dificult challenge to criminaljustice policies. Criminals no longer livewithin the parameters of nationalboundaries. It facilitates criminals tooperate transnationally, both in terms offinance and their own security. They don’tencounter the difficulties - which the lawenforcers face - when crossing nationalborders for ulterior motives.

The recent decades have seen aninformation explosion which has reducedthe world into a global village. Internetoperations and satellite communicationsare biased in favour of criminals ratherthan the proponents of the criminal justicesystem. Just a delay of hours - which is notunusual in official channels - can create agap of thousands of miles and man hoursin the efforts to bring criminals to justice.

Law enforcers always fall behind inmatching the wealth of crime syndicates.It is these riches which infact persuade thetalented unemployed to keep on joiningshady activities. They obviously get agreater benefit, with less effort than theycould through legitimate sources. Crimeorganizers do not have to pass through thecumbersome procedural requirements ofdemands, budgets, requisitions, sanctions,

spending rules and subsequent audits.Similarly, the proceeds of crime are noteasily accessible to law officers on variousc o u n t s . C r i m i n a l s u s e i n t r i c a t emethodologies to camouflage the proceedsof crime and there are problems ofjurisdiction across national borders. Underthese circumstances it becomes almost animpossible task to prosecute and punishthe offenders who operate transnationally.

The immunity so provided to crimeoperators is fast becoming the vehicle of amulti-fold increase in the transnationalorganized crime. This has been felt by mostof the developed (and developing) countriesand the issue of transnational organizedcrime began to echo in internationalforums. Think tanks remained busy formany million of hours to overcome thedifficulties in combatting transnationalcrime. Discussions, Seminars Workshops,Symposiums, Conventions, Treaties etc.were designed to construct dams on thegushing flow of illicit channels. Some ofthese efforts, though slow, created aninpact and the desired results, but most ofthem remaind ineffective due to technologyadvances (of which the criminals are betteravailers).

It is in this context that the presentpaper has been written, to take stock of theproblems which the world is still facing inthe combat of transnational offenders. Inthis paper, I shall deal with issues from myown country’s point of view on the followingtype of transnational crime:

(a) Illicit drug trafficking.(b) Illicit firearms trafficking.

* Deputy Inspector General of Police, Central PoliceOffice in Lahore, Pakistan.

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(c) Smuggling of illegal migrants.(d) Illicit trafficking in women and

children.(e) Illicit trafficking in stolen motor

vehicles.(f) Money laundering.(g) Transnational economic crimes (e.g.,

large-scale fraud targeted atcorporations or organizations, creditcard fraud, counterfeit currency offinancial cheques, fraud by way ofmanipulating computer systems orother high technology equipment).

As far as Pakistan is concerned, illicitdrug trafficking and resultant moneylaundering are the most relevent issues.The other types of crime mentioned aboveare either not prevalent nationally - likelarge scale frauds targeted at corporationsor organizations, credit card fraud,counterfeit currency or financial cheques,fraud by manipulating computer systemsetc. - or if they are prevailing, they are notof much concern.

There may be sporadic cases of illicitfirearms trafficking in Pakistan, but noorganized gangs dealing in such nefariousactivities have come to notice. However,there was the fallout of the Afghan war,when Afghan refugees sneaked intoPakistan’s tribal area along with theirarms, some of which were lethal and hightech, for barter trade. This issue has cometo a lower level after the war turned intoan internal civil war, and the Pakistanborder side of Afghanistan came under theoccupation of the Talibans.

There was a time when money valueshad changed in Pakistan - like many otherdeveloping nations - and most of the skilled/unskilled workers sought employmentabroad in move affluent countries. Amushrooming growth of gangs dealing inillegal immigrants was noticed. Thesegangs operated transnationally. With

stringent laws and measures taken bothnationally and internationally, thisproblem has almost come to a halt inPakistan. There were periods in theprevious years when zero i l legalimmigration was recorded.

Illicit trafficking in women and childrenis also not much of a problem in Pakistan.There was some illicit traffic from aneighbouring region and one far easterncountry of women for prostitution(disguised at house maids). Similarly therewas some trade of children from thesouthern part of Punjab (the biggestprovince of Pakistan) to some middleeastern countries for the purpose of camelraces. Although the immigration was legaland was with the consent of the parents orguardians, it was still considered illicit onhumanitarian grounds. Both these issueshave since died down due to effectivechecks by the law enforcement agencies ofPakistan and elsewhere.

Transnational trade of stolen vehicles isa recent phenomena as far as Pakistan isconcerned. Our western borders areinhabited by tribal groups on both sides.The area is called, in the local language,“Illaqa Ghair”, meaning, the land of aliens.The tribes traditionally don’t acknowledgethe international boundaries. Their freemovement provides opportunities toestablish safe havens - on the other side ofthe border - for contraband items. Thesehavens have become smuggling rendezvouspoints because of the restrictions or heavyduties imposed on certain items, whichincludes vehicles. The vehicles aretransported to settled areas of Pakistanillegally and plied on roads with fictitiousnumber plates. Similary, vehicles stolenfrom the settled areas of Pakistan - mostlyluxury cars & vans - are transported totribal areas from where they are sold atdirt cheap prices or returned to the actualowner after receiving “handling charges”,

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which often amount to millions of rupees.This problem is almost a localized issuewhich can only technically be termed astransnational.

This leaves us with the actual problemarea for Pakistan i.e. drug trafficking andthe resultant money laundering, whichconsumes most of the energy of lawenforcment in Pakistan.

II. DRUG TRAFFICKING:CURRENT SITUATION

Drugs have remained a social menace,(in some form or other) since the timeimmemorial. We can not overlook theopium addiction in China, which paved wayfor the revolution. The Indian subcontinenttoo, has remained in the spiral of addiction.There is always a growing demand which,as per economic theory, creates theresultant supply. In this regard thesituation in Pakistan is no different.

A. Pakistan a Victim - not a SourceCountry

At the time of independence in 1947,Pakistan was a unable to supply its ownopium addicts, therefore opium wasimported from India until 1956. After 1956,a few areas were allowed to produce‘licensed opium’ under strict controls. Thenumer of opium addicts never reached asignificant mark. The production oflicensed opium continued until 1979, whentwo very important developments tookplace:

(a) The Islamic revolution of Iran inFebruary 1979;

(b) The promulgation of the IslamicHudood laws in Pakistan whichtotally banned opium production.Farmers were therefore left withhuge stockpiles - about 800 tons ofopium - and did not know what to dowith them At this point, someWesterners taught them how to

convert opium into heroin. This ishow heroin - discovered back in 1898- was introduced to this part of theworld in 1980.

As against 800,000 square kilometers ofterritory, opium production is confined toonly a few isolated pockets of Pakistan. Thearea under cultivation has been reducedfrom 32,200 hectares in 1978, to 5215 in1995; and poppy production from anestimated 800 tons in 1978-79, to 109.5tons in 1995. In 1996 opium production wasfurther reduced to only 2.8 metric tons.Pakistan is thus no longer a centralproducer country. It is thus clear that a verynegligible area of Pakistan territory wasconnected with narcotics in the past. Since1996 Pakistan has ceased to be a producercontry.

The war in Afghanistan led to porousborders with the country, resulting inspread of the narco-guncultre. With noheroin addicts in 1979, Pakistan is nowburdened with 1.52 million heroin addicts.Pakistan needs anything between 600 or800 tons of poppy or 60 to 80 tons of heroinper year to feed its own drug addicts. Weare, now therefore, net importers notexporters of heroin.

B. Alarming Domestic ConsumptionOn the consumption side of heroin

Pakistan is badly effected. To know theactual ground situation, a “NationalSurvey on Drug Abuse” was conducted in1993. The survey dawned facts whichcreated panic among sociologists. Thefollowing are the salient features of thesurvey:

(a) There are 3.1 million drug users (0.77million in 1988).

(b) Most popular drug is heroin, whichis used by 1.52 million (51%).

(c) Second most popular drug is hashish,used by 0.89 million (29.5%)

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(d) Proportion of drug users:Urban - 52%Rural - 48%

(e) 71.5% of drug users were under 35years of age with the highestproportion in the 26-30 year agegroup.

(f) Almost 60% were literate and asimilar percentage were employed.

(g) Among occupational categories, thefrequency of drug use was highest(53.3%) for those in skilled andunskilled labour categories, followedby sales (14.1%), students (11.4%)and agriculture (10.9%).

(h)The average monthly personalincome of drug users was Rs. 3054/-(US $ 28).

(i) 97.2% drug users were male. 2.98%were female.

(j) Over time, the drug abuse patternhas changed in favour of heroininstead of hashish and othertraditional drugs.

(k) Sources of introduction to drugs weremostly attributed to friends in 68.6%,and to casual acquaintances or drugpushers in 15%, of the cases. Familymembers made up another 9% of thecases.

No doubt the dark clouds of drug menaceare surrounding Pakistan, but there is athin silver lining also. About 60% of heroinaddicts expressed desire to quit by havingrecourse to treatment centres. Also, theincrease in the number of drug addicts wasonly 7% during the period 1988-93 while itwas 12% during 1983-88.

C. Economic Factors leading toTransnational Traffic

Traditionally poppy cultivation is takenas a cash crop - like other cash cropselsewhere - in the tribal areas and inAfghanistan. This used to be the bread andbutter, of the smaller land holders who, inthe rugged terrains, had nothing else for

subsistence. Cultivantion of poppy was alsoencouraged by the then co lonia lgovernment for export to China. Still thearea constitutes a very small fraction of the“Golden Crescent” of South West Asia. Forcenturies, the tribal area was thelegitimate supplier of opium until theIslamic Hadood Laws were introduced in1979. Evolution of heroin after this (due toreasons already explained ) reduced thevolume of opium but increased its price tentimes. As heroin production took less hidingspace than crops, clandestine operationsbecame easy and resulted in handsomereturns. Profit margins had a cumulativeeffect with the increase of distance fromthe source point. Price differentials skyrocketed when the drug reached theinternational market.

Price difference in the internationalmarket can be well illustrated by the factthat the heroin which costs Rs. 70,000/-to1,00,000 (USD $ 1550 to 2200) per kg inPakistan, is sold for over USD $100,000 inthe streets of some developed westerncountries. The Criminal IntelligenceDirectorate of Royal Canadian MountedPolice have carried out an analysis of theinternational prices of illicit drugs in 1996for comparative reference.

The huge difference in international andlocal market prices resulted in billions ofdollars in illicit export trade. This has notonly created a dearth of drugs inside ourcountry, but also has inflated the domesticspending on drugs. A UNDCP (UnitedNation Drug Control Programme) study in1994 estimated consumer expenditure onheroin in Pakistan to be in the range of Rs.35 billion (US $ 1.2 billion) per year. Thisvolume of drug trade has logically createdand underground parallel economy with itsown supply and demand mechanism, andits own style of corruption.

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Pakistan has also been affected by whatis known as the balloon effect. If drugproduction is reduced in a given area, theimpact of continued demand inevitablyensures that greater production occurs ina neighbouring area. Thus while Pakistanhas been able to reduce its output of opiumconsiderably, increased production inAfghanistan (2300 tons in 1996 - UNDCPestimate) due to the prevalent politicalsituation there has served to effectivelynegate whatever progress we have beenable to achieve. The impact to the ballooneffect has clearly shown that efforts atsolving the narcotics problem must also beinitiated at regional levels; as increasedopium production and heroin laboratoriesacross the borders in Afghanistan havecontributed significantly to the supply ofopium and heroin in Pakistan.

Drug production in Afghanistan is notonly meeting the domestic demand ofPakistan but it is also forming the basis ofan international supply route usingPakistan territory as a conduit. The mostrecent trend of international drug trafficis that Central Asian States are being usedfor the transportation of drugs to Europe/U.S.. This fact is acknowledged by theINCB report for 1995 and 1996, and theConference of 37 countries in Europe inFebruary, 1995. Given the stringentmeasures adopted by the Government ofPakistan, Pakistan may soon cease to be acountry utilized as a major conduit for theexport of drugs.

According to one estimate, about USD$1 trillion is involved in the global narco-business, out of which at least USD $ 200billion is the share of the United States ofAmerica alone. This huge volume of moneydwarfs any thing earned by legitimatemeans, leading the former U.N. SecretaryGeneral to say before the GeneralAssembly, “Drugs are the most profitablecommodity in the world today” affecting the

health of financial markets and even localeconomics. According to various estimates,not more than 5% to 15% of narcotic drugsand psychotropic substances areinterdicted by the law enforcementagencies of the world. It is thus obvious thatthe drug interdiction enforcement strategyhas failed to produce the desired results.It is estimated that 90% of narcotics slipthrough the net of enforcement agencies,and reach the drug market to meet theconsumers demand.

III. INTERNATIONAL AWARENESSAND COMBATTING STRATEGIES

Due to the transnational nature of drugtrafficking, it would be improper to thinkthat it could be fought single handedly byany nation, no matter how developed it is.The international community as a wholehas to embark on a crusade against drugs.The United Nations, being the solereqresentative institution in this respecthas come forward on this issue due to thecontinuing drug menace. Drug trafficking,coupled with the resultant moneylaundering, forms the major portion oforganized crime transnationally. Effortsmade to curb organized crime are,therefore, mainly targeted at these twospecialized crimes. The seventh congresson the Prevention of Crime and theTreatmet of Offenders, held in Milan in1985, adopted the “Milan Plan of Action”.Key statements in that plan of actionincluded:

“Crime is a major problem of nationaland, in some cases, internationaldimensions. Certain forms of crime canhamper the political, economic, social andcultural development of peoples andthreaten human rights, fundamentalfreedoms, and peace, stability and security.In certain cases it demands a concertedresponse from the community of nations inreducing the opportunities to commit crimeand address the relevant socio-economic

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factors, such as poverty, inequality andunemployment. The universal forum of theUnited Nations has a significant role toplay and its contribution to multilateralcooperation in this field should be mademore affective”.

and:“Interested Governments should

cooperate bilaterally and multilaterally, tothe fullest extent possible, with a view tostrengthening crime prevention measuresand the criminal justice process byundertaking action-oriented programmesand projects”.

In furtherance of the objectives of theMilan Plan of Action, in 1990 the eighthcongress adopted four practically-orientedbilateral model treaties designed to assiststates in building the necessary frameworkfor increased co-operation. Those treaties,subsequently adopted by the UnitedNations General Assembly, are: the ModelTreaty on the Transfer of Supervision ofOffenders Who Have Been ConditionallySentenced or Conditionally Released; theModel Treaty on the Transfer o fProceedings in Criminal Matters; theModel Treaty on Extradition; and theModel Treaty on Mutual Assistance inCriminal Matters.

The origins of international co-operationor mutual assistance in the suppression ofcrime date back to the beginnings of formaldiplomacy. In what has been described asthe oldest document in diplomatic history,provision was made for the return ofcriminals in a peace treaty entered into in(Circa 1280 BC) by Rameses II of Egyptand Prince Hattusili III of the Hittites. Theneed for mutual assistance, particularly inthe granting of help in the provision ofevidence to facilitate investigation andprosecution, has been recognazed for sometime by the international community. Forexample, the Single Convention onNarcotic Drugs 1961 imposed a number of

obligations on signatory states (Pakistanincluded as a signatory to it) to ensure thatpersons committing offenses could notescape justice. It required that each partymake conduct proscr ibed by theConvention a criminal offense carrying anadequate penalty, and to try a person forsuch an offence committed outsideterritorial jurisdiction where the offenderis found in that country’s territory andthere is no extradition.

1990 also saw the production of the finalreport of the Financial Action Task Forceon Money Laundering set up by the Headsof State or Governments of the seven majorindustrial nations (the G7), in which 8other nations were invited to participate.Another milestone was the adoption, by aplenipotentiaries conference on 20December 1988, of the United NationsConvention, coming into force on 11November 1990. The convention hasbroken new ground in number of respects.First, it creates an obligation on the partof all signatories (including Pakistan) tocriminalise conduct constituting what maybe loosely referred to as “moneylaundering” in relation to narcotics activity.This facilitates international cooperationwhich, due to the application of the dualcriminality principle, is presentlyhampered by the fact that many countriesdo not at present criminalise such conduct.

Secondly, Article 6 dealing withextradition, imposes obligations oncountries, interalia, to conclude bilateraland mltilateral agreements to carry out orto enhance the effectiveness of extraditionand, in relation to the conduct proscribedby the Convention, to expedite extraditionprocedures and to simplify the attendantevidentiary requirements.

Finally, Article 5 deals comprehensivelywith identifying, tracing freezing andconfiscating proceeds, or instrumentalities,

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of conduct proscribed by the Conventionand obliges countries to adopt suchmeasures as are necessary to enable themto fulfill those obligations, both nationallyand on behalf of other signatory states. Italso adopts mutual assistance provisionsfor requests for action in relation to theproceeds of crime, and obliges countries toseek to conclude bilateral and multilateraltreaties, agreements or arrangements toenhance the effectiveness of internationalco-operation in relation to the tracing,freezing and confiscating of proceeds ofcrime. The Convention also expresslyprohibits a refusal of assistance based onbank secrecy. The principal reason for itsemergence is the recognition that financialprofit is the essential motivation oforganized crime and that an effectivecountermeasure is the interdicting of suchprofits, which would otherwise be re-invested in further criminal enterprises. Soseen, it is a significant deterrent and crimecontrol mechanism. Furthermore, somecountries utilize confiscate proceeds tostrengthen the law enforcement armoryand to finance, for example, rehabilitationprogrammes for drug addicts. Pakistan hasalready established for this purpose, aNational Fund for control of Drug Abusein accordance with the provision of thenewly promulgated Control of NarcoticsSubstances Act, 1997.

IV. LEGISLATIVE MEASURES INPAKISTAN

In line with the recommendations of theConvention against Illicit Trafficking inNarcotic Drugs & Psychotropic Substances1988, Pakistan enacted comprehensivedrug laws. A Control of Narcotic SubstanesOrdinance was promulgated in 1995. Aftersome positive amendment, the ordinancebecome an Act of Parliament in 1997.(Control of Narcotic Substances Act(CNSA), 1997. Similarly through an Anti-Narcot i cs Force Ord inance 1995

(subsequently enacted in 1997, thePakistan Narcotics Control Board and AntiNarcotics Task Force were merged into oneAnti-Narcotics Force for move effectiveoperation.

A. Salient Features of NewLegislation

Before independence Pakistan inheritedthe Opium Act 1878 and Dangerous DrugAct 1930 which covered most of the drugrelated issues relevant to that time.However with the passage of time, theselaws gradually became obsolete because ofthe new dimensions that emerged in drugtrade. With the introduction of the CustomsAct of 1969 and Prevention of SmugglingAct 1977, the unauthorized flow of drugswas somewhat controlled. To enhancepunishment, Islamic laws were enacted bythe Prohibition (Enforcement of Hadd)Order 1979. Enactment of the Control ofNarcotic Substances Act 1997 (CNSA),being a comprehensive law, covered mostof the lacunas which had developed in theexisting laws due to technological andinformation based advances. Very briefly,the following are the salient features of theCNSA:

(a) Progressive punishments from twoyears to death have been prescribed.For the first time, the intensity ofpunishment has been linked with theq u a n t i t y a n d t y p e o f d r u g .Progression is well illustrated withthe help of Table 1.

(b) Money laundering has been declaredas a distinct crime and stringent anti-money laundering provisionsincorporated.

(c) Comprehensive provisions for civiland criminal forfeiture of assetswhich are derived from the proceedsof drug trafficking.

(d) Creation of special courts for speedydisposal of cases.

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(e) Compulsion to include publicwitnesses in narcotics seizuresdispensed with.

(f) No bail for offenses punishable with5 years or more. For other offensesno bail if public prosecutor socertifies.

(g) Controlled delivery operationslegalized.

(h)Comprehensive provis ions toenhance international cooperation.

(i) Provision for the registration of drugaddicts.

(j) First t ime detoxif ication andtreatment made statutory obligationof Government.

(k) National fund for drug abuse controlset up.

In the past, drug laws were notapplicable to Federally Administered TribalA r e a s ( FATA ) a n d P r o v i n c i a l l yAdministered Tribal Areas (PATA) but nowthe Islamic Hudood Laws have beenextended to these areas. Frontier corps (awell organized force) have been empoweredto perform enforcement duties in FATAwhere, previously, there was no suchauthority.

B. Enforcement AgenciesAll of the above measures have resulted

in activities entailing large seizures andinterdictions. It is not out of place tomentioned here that the Anti-NarcoticForce (ANF) is not the only agency whichtakes action against drug pushers. Alongwith all the Provincial Governments, notless than five Federal ministries are, insomeway or other, engaged in anti-narcotics activities. Details of agenciesworking in this respect are outlined inTable 2. The Anti Narcotics Force (ANF),however, is the primary enforcementagency. It coordinates the activities of allenforcement agencies in the field ofinterdiction. Important cases of otheragencies are normally transferred to ANF

for specialized investigation. Assistanceand advice to other enforcement agenciesis also provided by ANF. It liaises with theINCB, UNDCP, DEA and DLOs for latestdevelopments and information exchange.Apart from this, the ANF is renderingcommendable services in reducing thedemand for drugs. The new Master Plangives priority to demand reductionactivities, such as preventive education andmass awareness, besides making drugenforcement more effective. Drug addictswill be treated as psychotropic patientsrather than criminals. Registration of drugaddicts and their first-time treatment hasbeen made a statutory obligation of thegovernment.

C. Enforcement StatisticsThe salient feature of the enforcement

campaign in 1995 has been two deep druginterdiction raids undertaken by theFrontier Corps (FC) in Tribal Areas. TheFrontier Corps in a swift/massive raid inthe Khyber Area on January 27 and 28,1995 seized 480 kgs of heroin, 170 tons ofhashish and arrested 19 drug offenders.The above raid was followed by morestringent action deep in the Choora Valley,where FC/ANF seized 6,300 kgs of heroin,105,000 kgs of opium and 3,705 liters ofAcetic Anhydride in March 1995. Inaddition to the above, 15 heroin processingunits were also destroyed. Similarly raidsin December 1996 led to the destruction of10 heroin laboratories and the seizure of143 kgs heroin, 38 kgs hashish, 757 kgsopium and 1,754 litres of Acetic Anhydride.In March 1997, also the Tribal Lashkardestroyed a non functional heroinlaboratory and siezed 70 kgs of heroin,arresting 5 Afghans. The significance ofthis raid lies in the fact that the Tribalsthemselves took the initiative fordestruction. Their self motivation is adevelopment of monumental proportions.

Apart from these mentionable seizures,

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other agencies have also remained activein drug hauls. The following figuresrecording seizures by all Agencies (in Tons)may be of interest:

1994 1995 1996Opium 14.36 107.233 7.377Heroin 6.02 9.416 5.763Hashish 178.29 294.525 189.136

Agency wise details are provided inTable 3 for the first 10 months of 1997.

A considerable reduction in seizures hasbeen noticed after 1995, which is anindication that Pakistan has ceased to bea producing country. Drugs illegallyimported from Afghanistan for domesticconsumption and export to foreigncountries are, however, interceptedregularly. Due to the stringent measuresof enforcement agencies, Afghan drugtraffickers are now diverting their illicitexports through Central Asian Statesinstead of using Pakistan as transitconduit.

D. Two Recent Interesting CasesThe details of two interesting cases of

drugs seizure are attached at Appendix Aand B.

E. Seizure of Assets of Drug BaronsAfter years of international struggle, it

has been concluded that only way to combatdrugs is to control drug money launderingand to seize drug assets. In Pakistan, theconcept of forfeiture of assets dates backto 1977 and our Prevention of SmugglingAct 1977, deals with it at length. Assetscan be forfeited if acquired through theproceeds of the smuggling of narcotics.These assests could be in the name of thesmuggler or any other person on theirbehalf. The law was also applicable toassets held outside Pakistan. The burdenof proof was not on the prosecution, theonus was on the defendant. The seizure of

assets has become easier after the CNSA1997, through which money laundering hasalso been made a criminal offence.

The Anti-Narcotics Force has frozenassets worth Rs. 3612.92 million (US $ 82.1million) of 60 notorious drug traffickers inthe country. Prominent names among thesedrug traffickers are Mirza Iqbal Baig, HajiAyub Afridi, Anwar Khattak, Ashraf Rana,Dawood Jat, Fahim Babar, Sarder Gujarand Munawar Manj. Out of these, assetsworth $181 million belonging to Haji AyubAfridi have been forfeited under courtdecision. Dawood Jat, a notorious cross-country drugs smuggler, also surrenderedrecently due to relentless ANF pressure,and is now on bail.

F. Extradition of Drug PushersPakistan extradited major drug barons

like Haji Mirza Iqbal Baig, MuhammadAnwar Khattak, Tariq Butt, KhawajaAbdul Majeed, Hafeez-ur-Rehman,Zulqarnain Khan, Misai Khan, KhalidKhan, Taviz Khan, Shahid HafeezKhawaja, Muhammad Saleem Malik andMain Muhammad Azam, while cases ofothers are being judicially scrutinized bythe Interior Ministry. Haji Ayub Afridi alsosurrendered to the USA, in the UAE, dueto ANF pressure.This was made possibleonly because Pakistan already had theeffective Extradition Act 1972, long beforethe need was stressed in the UN conventionagainst Illicit Trafficking in Narcotic Drugs& Psychotropic Substances 1988. Pakistanalso has extradition treaties with 25countries. Moreover extradition ispermissible even to non-treaty states on amutual basis. The present position ofextraditions for drug traffickers is:

Extradited 14Pending in courts 11To be arrested 2Total 27

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G. Mutual Assistance Laws andInitiatives

It is true that the drug menace can notbe tackled - because of its transformationinto a transnational phenomena - withoutthe mutual assistance of the affectedcountries. Simple exchange of informationcan lead to substantial success. Timelyintimation from Drug Enforment Agencies(DEAs) regarding the seizure of 6,660 kgsof hashish at Antwerp, Belgium, led to thefurther seizure of 5,980 kgs of hashish fromIslamabad by the ANF. Details of the caseare Appendix A and B. The UN conventionagainst Illicit Trafficking in Narcotic Drugsand Psychotropic Substances 1988,stressed the need for mutual assistance ona reciprocal basis. A model mutualassistance treaty was also adopted in 1990by the UN General Assembly.

In pursuance of the 1988 Convention,Pakistan added a full chapter on mutualassistance in the Control of NarcoticSubstances Act 1997 (refer to chapter VIIIof the Act). In the presence of thissubstantive law, there is little need fortreaties, however, friendly countries stillenter into protocols for special assistance.

H. Recent International InitiativesUndertaken by Pakistan

(a) UN International Drug ControlProgramme sponsored the PakIranBorder Electronic Monitoring Projectaimed at checking the flow ofnarcotics across the Pak-Iran border.Proposed to be extended to Afghanborder.

(b) Pak-India cooperation inn drugrelated matters.

(c) Memorandum of understanding withKazakhastan.

(d) Agreements to make joint efforts forcontrol of drug trafficking have beensigned with United Arab Emirates,China, Uzbekistan, Kyrghistan andRussia.

(e) Agreements with Saudi Arabia maysoon be signed.

(f) Agreements envisaged with severalother countries.

(g) Two helicopters have been providedfor the ANF by the UK, to augmentdrug interdiction in Baluchistan andthe coastal areas of Sindh.

I. Controlled DeliveriesBesides the US Drug Enforcement

Administration (DEA), the followingGovernments have posted their DrugLiaison Officers in Pakistan: Australia,Britain, Canada, France, Germany, Iran,Italy, Netherlands, Norway, Saudi Arabiaand Turkey. Their main function is toexchange information expeditiously inrespect to narcotics offenses committed byPakistani nationals in their countries,where the narcotics originated fromPakistan or were transmitted throughPakistan. The Anti-Narcotics Force ineither case provides a timely two wayexchange of drug related intelligence andassists them in those investigations. Alsocontrolled deliveries are being arrangedwith the cooperation of these Drug LiaisonOfficers, to eliminate international druggangs operating in Pakistan or in theircountries for the control of drug trafficking.The controlled delivery means thetechnique of allowing illicit or suspectedconsignments of narcotic drugs orpsychotropic substances to pass outthrough or into the territoy of one or morecountries-with the knowledge and underthe supervision of their competentauthorities-with a view to identifyingpersons involved in the commission ofoffenses established in accordance withArticle 3, Paragraph 1 of the UnitedNations Convention against Illicit Trafficin Narcotic Drugs and PsychotropicSubstances 1988. Therefore, in pursuanceof the above, during 1996, 23 requests ofcontrolled delivery operations werereceived from the following countries:

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Australia (1), Canada (2), Germany (1),Kuwait (3), UK (13), & USA (3). A total 62kilograms of heroin was exported throughthese operations. However, the results ofonly 2 controlled deliveries have beenreceived. Those successfully culminatedwere in the United Kingdom, where 9persons have reportedly been arrested.Other operations are under progess.

V. MONEY LAUNDERING

There has always been a paralleleconomy in Pakistan, whatever thefinancial system may be. We can call it a‘black economy’, ‘underground economy’ or‘shadow economy’ which challenges theregular financial channels. Changingvalues have created a lust for easy moneywhich, of course, is often contrary to law.Money earned out of the (legal) systemscannnot be declared as taxable, thereforeit is either kept hidden or it is launderedto appear legitimate. ‘Money laundering’covers all procedures to change the identityof ill-gotten money so that:

(a) it appears to have originated from alegtimate source;

(b) to conceal the true ownership andorigin of the money; and

(c) to put the proceeds beyond the reachof the authorities.

There is no one method of launderingmoney. Methods can range from thepurchase and resale of a luxury item (e.g.a car or jewellery) to passing moneythrough a complex international web oflegi t imate businesses and ‘ shel l ’companies. Initially however, as in the caseof drug trafficking, the proceeds usuallytake the form of cash which needs to enterthe financial system by some means. Streetlevel purchases of drugs are almost alwaysmade with cash. Despite the variety ofmethods employed, the laundering processis accomplished in three stages which may

comprise of numerous transactions by thelaunderers that could alert a financialinstitution to criminal activity:

(a) Placement: The physical disposal ofcash proceeds devived from illegalactivity.

(b) Layering: Separating illicit proceedsfrom their source by creating complexlayers of financial transactionsdesigned to disguise the audit trailand provide anonymity.

(c) Integration : The provision ofapparent legitimacy to criminallyderived wealth. If the layeringprocess has succeeded, integrationschemes place the launderingproceeds back into the economy insuch a way that they re-enter thefinancial system appearing as normalbusiness funds.

These three basic steps may occur asseparate and distinct phases or they mayoccur simultaneously or, more commonly,they may overlap.

Certain points of vulnerability have beenidentified in the laundering process, whichthe money launderer finds difficult toavoid, and where their activities are,therefore, more susceptible to beingrecognised:

(a) entry of cash into the financialsystem;

(b) cross-border flow of cash; and(c) transfers within and from the

financial system.

Thus e f f or ts t o combat moneylaundering largely focus on those points inthe process where the launderer’s activitiesare more susceptible to recognition. Thesehave therefore, concentrated to a largeextent on the deposit taking procedures ofbanks and building societies in theplacement stage.

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A. Combatting the MenaceThe U.S.A. was the first major country

which initiated legislation in 1970 andbegan to plug some of the loopholes in thebanking system. The Bank Secrecy Act of1970 required all banks to report cashtransactions of more than $ 10,000 per dayand demanded that all individuals takingmore than $ 5,000 in cash across borders,submit currency reports. Still, few bankstook little more than passing notice of thesenew regulations, and some bankers weredelighted to break large deposits into lotso f $9 ,900 to avoid the report ingrequirements. It took 16 years for the U.Sgovernment to crack down on suchavoidance. In 1986, Congress made it aseparate federal crime to avoid thereporting requirements of the BankSecrecy Act of 1970. Moving cash in andout of U.S banking institutions became anincreasingly high-risk operation.

The International Convention (theUnited Nations Convention against IllicitTraffic in Narcotic Drugs and PsychotropicSubstances in 1988) seriously addressedthe need to attack the internationalproblem of drug money laundering and theforfeiture of drug assets. The internationalcommunity resolved to deal with theproblem in an effective manner withcollective will and cooperation. A soundfoundation for a viable internationalmechanism to grasp and control theincreasing menace of drug money was laid.It mandated that all signatory Statescriminalize any activities connected withmoney laundering. Since 1990, when thisConvention came into effect, a largenumber of countries have ratified theConvention. Many States have legislatednew laws, or have amended the existingones, and have introduced regulations toimplement money laundering counter-measures. Some countries have gone a stepfurther and adopted the recommendationsmade by the Financial Action Task Force

of the ‘Group of Seven’ which go beyond thescope of the 1988 Convention. Quite a fewcountries have enacted laws and haveentered into treaties stipulating specificprocedures to facilitate and promotemutual legal assistance, in accordance withthe provisions of 1988 ConventionConcerning Drug Trafficking, moneylaunder ing and assets for fe i tureinvestigations. As a result of joint drugassets forfeiture efforts, countries like theU.S, Canada, U.K, Switzerland, Colombia,Venezuela, Paraguay, Guatemala, CostaRica, Cayman Islands, Argentina, Egyptand Bahamas have shared the value offorfeited assets amounting to about USD$87 million up to December 1993.

The United Nations International DrugControl Programme (UNDCP) in its 1997over-view in the World Drug Report hasobserved the following trends/issues inmoney laundering:

(a) The need to legitimize ill-gotten gainshas grown in proportion to both theexpansion of the illicit drug industryand to the propensity of criminals tooperate in the legitimate businessworld.

(b) Two trends have characterized moneylaundering in recent years. The firsto f t h e s e i s t h e i n c r e a s i n gprofessionalization of the industry.The internationalization of moneylaundering is the second major trend,and has been brought about by twofactors: the integration of financialmarkets into a complex, global,entity; and the efforts by traffickersto avoid detection by concentratingoperations in countries whereenforcement is weak and legislationis absent or embryonic.

(c) The above recent developments innational and international areashave created a favourable climate fordrug traffickers, smugglers, tax

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evaders and other corrupt elementsto launder their ill-gotten proceedsincreasingly through domestic formaland informal financial institutions.The magnitude of the problemindicates that the challenge isformidable, and the responsibilitiesimmense, and if needs an all outeffort from all affected fields tocombat this menace. An integratedenforcement programme whichembraces in its fold not only thearrest of traf f ickers and theinterdiction of drugs, but also theconfiscation of assets as well as anarrest of the growth of moneylaundering, thereby establishingintegrity in financial institutions andthe credibility of the economicsystem.

B. Pakistan ExperienceIn the past, some developments have

created conditions which were conducivefor money laundering in Pakistan. Therewas an exodus of a large number ofPakistani workers abroad in the early1970s who, for sending their foreignremittances to their families, often reliedon non-formal banking facilities orunderground bank-like channels. Later,the same channels were used bybusinessmen and industrialists to taketheir capital/payment abroad due to strictforeign currency regulations; thusspawning a reliable, discreet and illegalalternate banking system which remainedthe preferred mode of banking for criminalelements in Pakistan.

As discussed earlier, large scale domesticheroin addiction created a booming marketwithin Pakistan. A UNDCP studyestimated the market volume at Rs. 35billions (USD $ 1.2 billion). Obviously, thisblack economy created a number of drugbarons, who had to resort to moneylaundering for ‘whitening’ their wealth.

This process was further intensified whenthese drug barons joined hands withinternational syndicates and moneylaundering gained a transnational status.A UNDCP’s report titled “The Illicit OpiateIndustry of Pakistan” estimated the turnover of the Pakistan’s heroin industry tobe 5% of the 1992-3GDP and 20-25% of thetotal estimated ‘shadow’ or ‘parallel’economy. The validity of the UNDCP’sreport estimates were later seriouslyquestioned/contested by Pakistanauthorities and economists. However onething is very clear, that Pakistan’s domesticheroin trade generates considerably largeprofits which are presumed to be launderedby criminals through formal and non-formal banking systems. The studyestimates that drug export revenues wereabout USD$ 950 million in 1985, andincreased to USD$ 1.6 billion in 1990. Drugearnings estimated in 1992 at USD$ 1.8billion include a significant amount ofwithdrawals from overseas bank depositsbuilt up in previous years. Drug earningsaveraged USD$ 1.0 billion in the period1985-91.

Is late 1980s, Pakistan (like many otherresource-deficient, developing countries)had to liberalize the economy throughderegulation, to create a conduciveenvironment of savings and investments.In this regard, the government of Pakistanpromulgated the Economic ReformsOrdinance 1992 to attract foreign exchangeheld by its citizens abroad. Although thislaw was designed to attract illegallystashed foreign exchange back to Pakistan,this law provided protection to the sourceof foreign exchange accounts from beingquestioned by the tax authorities inPakistan. However, law enforcementagencies could still investigate the sourceof such accounts in the case of reasonablesuspicion of involvement of the accountholder in drug trafficking.

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C. Principal Sources of IllegalProceeds

In Pakistan, the main sources of illegalproceeds are as follows:-

(a) Drug Traf f i ck ing : As ear l iermentioned, Pakistan has a veryserious drug abuse problem whichhas spawned a large domestic drugmarket, accruing significantly largeprofits to the drug peddlers and drugbarons. Mainly, it is the proceeds fromthe domestic heroin trade whichforms the major part of moneylaundering in Pakistan. In additionto this, a considerable part of the drugproceeds must be coming from abroadto Pakistan, although most of it findsits way to various tax havens aroundthe world.

(b) Smuggling of Contraband : InPakistan, despite its best efforts toroot out the evil of smuggling,c o n s i d e r a b l e s m u g g l i n g o fcontraband still takes place. Thisusually includes luxury goods,electonic appliances, gun runningand gold smuggling. The proceedsfrom smuggling are one of the majorsources of black money in Pakistan.

(c) Organized Crime: Organized Crimelike gambling, counterfeiting,cheating, car theft, bank robber andabduction for ransom are also sourcesof Pakistan’s black economy.

(d) Criminal Malfeasance in Public andPrivate Sector: Proceeds from corruptpract i ces , f raud or c r iminalmisappropriation in the government/public, commercial, banking andcorporate sectors also contribute toblack economy of Pakistan.

(e) Evasion of Taxes and Duties: Theproceeds acquired by dishonestcitizens/entrepreneurs by avoidingtaxes and duties from various sectorsof economy also contribute toward theblack economy.

D. Principal Money LaunderingMethods

The principal money launderingmethods detected or suspected in Pakistanare as follows:

(a) Hawala/Hundi.(b) Bearer Investment Schemes.(c) Investment and Speculation in Real

Estate.(d) Expenditure on Luxury Goods.(e) Over/Under Invoicing of Imports and

Exports.(f) Bogus Imports/Exports.(g) Loan Bank Methods.(h) Prize Bond Racketeering.(i) Smuggling of Currency.(j) Money Shown as Proceeds of

Agriculture or Poultry.

Among these methods, ‘Hawala’ remainste preferred mode of money laundering inPakistan. Users of Hawala services includenon-resident Pakistanis working abroad,sending hard earned money to their familesback home; parties indulging in criminalactivities ranging from smuggling ofcontraband to al l types of moneylaundering; and organizations having anexus to terrorist activities. Obviously theobjectives of these users are different, whilelegitimate in one case, criminal and evenanti-state in others. Some of the reasonsare:

(a) In case of Pakistani expatriatessending money to Pakistan, thereasons include a time testedconfidential system which is efficientand convenient for the parties at bothends. It hardly involves any formaldocumentation unlike the bankingsystem, which becomes cumbersomefor the semi or un-educated person.The “Hawala” dealer, like a goodbusinessman, also offers a better rateof rupee conversion, being thedifference of the official and theprevailing market rate, which may

161


range from 5-10% on account ofhigher demand of hard currencies.Yet another reason is the lack ofbanking facilities in the remote areasfrom where most of the Pakistaniexpatriates hail. Deregulation offoreign exchange controls since 1992(after the introduction of Protectionof Economic Reforms Act in Pakistan)have not affected the preference forthe “Hawala” system on account ofthe aforementioned reasons againstthe formal banking system.

(b) Criminal organizations prefer thissystem for laundering their money, aswell as making payments to theconcerned parties in Pakistan orabroad. Their preference is basicallyon account of the anonymity affordedb y i t d u e t o l i t t l e f o r m a ldocumentation involved, leaving nopaper trail. Obviously the use offormal international bankingsystems for conducting illegaltransactions/trading is fraught withgreat risks of being traced andconnected to unlawful activities, evenat a later stage. The “Hawala” systemtherefore suits the criminal/drugmafia not only for laundering theirdirty money, but also for settlingfinancial claims in connection withtheir illegal trading and smuggling,without running the risk of beingdetected. However, it is pertinent tomention that taking advantage ofbank secrecy provisions, and thea b s e n c e o f s u s p i c i o n / c a s htransactions reporting requirementsin the past, resulted in drugtraffickers also using formal bankingchannels for the transfer of funds.The “Hawala” operators, now, afterthe deregulation of foreign currencyaccounts by Pakistanis and the freemovement of foreign exchange to/outof Pakistan without questioning, aretaking full advantage of the change

in law and policy to promote theirbusiness. Without fear of beingquestioned, they are using foreigncurrency bank accounts opened inlocal banks to receive funds frominterested parties, for payments todesignated parsons in Pakistan.Instances have come to notice wheresome authorized money changers,maintaining foreign currencyaccounts in their own names or someother person, have helped drugtraffickers receive payments of drugmoney from abroad.

(c) An other category of “Hawala” systemusers are the smugglers of consumergoods and arms dealers. On accountof higher tariff rates on importablegoods and restrictions imposed on theimport of arms, the black market ofsmuggled goods keeps the demand forforeign exchange for paymentsabroad constantly at a higher pitch,thus making hard currencies moreexpensive in the currency market, ascompared to the official sources.

E. Relationship Between HawalaSystem & Drug Trafficking/GoldSmuggling.

The Hawala bankers, in addition to largescale money transactions, are alsoindulging in gold smuggling. Reportedly,gold worth billions of dollars was beingsmuggled from UAE, Hong Kong andSingapore into Pakistan and India. Muchof the smuggled gold through this systemcan be linked to narcotics trafficking.Subsequently, liberalization in the goldimportation policy announced by theGovernment of Pakistan in the early 1990swas aimed at reducing the significantcapital affiliated with the Undi or Hawalasystems and to secure foreign exchange.

Presently, Dubai is the main centre forMiddle Eastern and South Asian goldsmuggling networks. Most of the goldimported in Dubai, comes from Swiss

162


Banks and metal dealers in London. TheHawala/Hundi systems facilitate the goldtrade and smuggling activities in theMiddle Eastern and South East AsianRegions. According to one estimate, 99percent of gold purchased in Dubai isobta ined through Hundi /Hawalatransactions. It was also reported in anINTERPOL conference held in 1991, thatif gold and silver smuggling in stopped, 80to 90 percent Hundi/Hawala transactionswould automatically cease. Moreover,Hundi/Hawala systems provide the hardcurrency to broker’s need to finance goldpurchases and smuggling operations.

F. Bearer Investment SchemesThe bearer investment schemes,

introduced by the government in the lasttwo decades, conveniently provided theopportunity for exploitation for moneylaundering purposes. These schemes are:

(a) Bearer National Bond Fund (nolonger operative).

(b) F o r e i g n E x c h a n g e B e a r e rCertificates (FEBC).

(c) NIT Bearer Units.(d) WAPDA Bearer Bonds.(e) Bearer Certificates of Investment/

Growth Certificates.(f) Bearer Certificates of Deposits.(g) Foreign Currency Bearer Certificates

(FCBC).(h)Prize Bonds Schemes of various

denominations for Rs. 50, 100, 500,1000 and recently introduced PrizeBonds of Rs. 10,000 and 25,000.

The government was moping up somerevenue from these beasrer investmentschemes by imposing tax ranging from 1%to 7.5%, which may be described as the costof laundering black money. Bearer bonds/certificates found in the possession of drugtrafficker or their associates are still liableto forfeiture under the law.

G. Government of Pakistan’sMeasures to Control MoneyLaundering.

The Government of Pakistan, due to theworsening drug situation, has takenseveral legal, administrative and policymeasures not only to counter moneylaundering but also to forfeit assetsacquired through drug trafficking and thesmuggling of contraband goods. Inpursuance of the 1988 UN Convention, towhich Pakistan was a signatory, theControl of Narcotics Substance Act (CNSA)1997 (previously an ordinance of 1995) waspromulgated, effectively putting animpediment on freely practiced moneylaundering, particularly for drug proceeds.It is the first time that money launderinghas been declared a crime and the reportingof suspicious transactions by the banks andfinancial institutions has been madeobligatory in this substantive law (refer sec.67-69 of the Act). Section 67 (2) providesimprisonment for up to three (3) years ifthere is a failure to supply information. TheState Bank of Pakistan (the Central Bank)has also issued the ‘Required PrudentialInstructions (1989) and Regulations (1992)to the banking sector. In contrast to USAlaws there is no lower limit for reportingsuspicious transactions, which eliminatesthe loophole of breaking the transactionsin smaller parts. The State Bank has alsoagreed, in principal, to bring all types offinancial institutions/corporate sectors,including money changers/stock markets,within the purview of money launderinglaws and regulations. The State Bank hasalready issued guidelines to non-bankingfinancial institutions for preventing theirinvolvement in the money launderingactivities of other unlawful trades.

Regarding money changers, it is relevantto mention that as part of exchange controlreforms, Pakistani nationals and residents,Pakistani companies/firms have beengranted licences to act as authorised money

163


changers (AMC). These licences are issuedstrictly in accordance with the procedureand conditions laid down by the StateBank. These conditions aim at makingAMC’s business transparent and forhelping in identifying transactions.

Under section 12 and 13 of the CNSA,acquisition and possession of assets derivedfrom narcotic offenses has been madepunishable with up to 14 years ofimprisonment, plus fine and forfeiture ofdrug money.

Although Pakistan is already extendinglegal assistance to requesting countries forcarrying out investigations in the field ofdrug trafficking/money laundering, theGovernment of Pakistan, included in theCNS Act 1997 a separate chapter onmutual legal assistance. At the momentPakistan has not yet entered into mutuallegal assistance treaties with othercountries.

In 1994, the Government of Pakistandiscontinued Dollar Bearer Certificates inEurope and America for the primaryreasons that these certificates could havebeen conveniently used for moneylaundering.

VI. CONCLUSION

From the above discussions it is clearthat transnational organized crime can notbe fought without developing transnationalcombatting strategies. That is why thisissue has been taken up at the UN ori n t e r n a t i o n a l l e v e l . N u m e r o u sdeliberations have resulted in the presentstate of awareness about this everincreasing menace. Still, the community ofthe world is lacking in its efforts to matchthe advancements being made by cross-country outlaws. We have already seen thatthe UN is just an advisory institution andcan not interfere with the sovereignty of

States. Some recommendations made maybe considered as such interference by someStates, because of their own internalpolitical and financial circumstances.However such states must consider that inthe long run they might be the losers.Pakistan, as we have seen in previoussection, has honoured its commitment toall the international conventions to whichit is a signatory. Enactments/actions mayhave been a bit late, but these are still astep ahead of the international response.The following are worth mentioning inregard to Pakistan:

(a) We have reduced poppy cultivation toalmost “zero”.

(b) Due to the non-production of opium,Pakistan has become an importing(illicit) country to fulfil the demandof its 1.52 million addicts.

(c) Effective crack downs by lawenforcement agencies have compelledthe change of route from Pakistan tothe Central Asian States.

(d) Punishments for drugs have beenmade harsher.

(e) Pakistan is liberal in extraditions. Wehave Extradition Treaties with 25countries, and extradition is stillpossible with non-treaty States.

(f) Special emphasis has been placed onmutual assistance and particularprovisions have been made in thesubstantive/procedural laws.

(g) Laws for the forfeiture of ill-gottenassets are more effective then therequired international standards.

(h) Money launder ing has beenconsidered as a distinctive crime andlegal provision and prudentialregulations have been promulgated.

(i) A fund has been established torehabilitate drug addicts.

(j) Anti-narcotics agencies have beenstrengthened, despite financialrestraints.

(k) Constitution of Special Courts forDrug Offences would go a long way

164


for speedy justice.(l) Promulgation of Control of Narcotics

Substances Act 1997 would be alandmark in the control of drugs.

Despite all of the above steps, we stillfeel handicapped in or efforts to combattransnational organised crime. Decreasedpoppy production in Pakistan has beencountered by a reciprocal increase inAfghanistan, which means that there ishardly any difference in supply (except thesource). So we have to concentrate now ondemand reduction. The National Fund forDrug Abuse Control has been set up, butdue to financial restraints, the requiredresu l t s are d i f f i cu l t t o ach ieve .International aid agencies should now takestock of the situation and sufficient fundsshould be provided to augment the Fund.A consortium may be established forcoordinating aid programmes.

A sound foundation has been laid by theVienna Convention of 1998 to build a viableinternational mechanism to control thelarge scale international money launderingof illicit drug traffickers, throughpreventive measures and enforcement bythe forfeiture of drug assets. There ise v i d e n c e t h a t d r u g t r a f f i c k i n gorganizations frequently make use ofterritories of countries:

(a) tha t a re no t par t i e s t o theinternational drug control treaties;

(b) t h a t h a v e f o r m a l l y r a t i f i e dconventions without implementingtheir provisions;

(c) that suffer from civil war, terroristactivities, political instability, ethnicconflict, economic depression or socialtension;

(d) that are not in a position to ensuregovernment control over some partsof their territories; and

(e) that are not able to maintainadequate law enforcement, customs

and pharmaceutical control services.

Drug traffikers also seek out countriesand territories with weak central banks,restrictive bank secrecy practices andlimited control on foreign exchange.

Although there are many extraditiontreaties and mutual assistance agreementsbetween different countries, there are stillpockets where no extradition treaties exist,and the drug pushers make full use of this.Similarly, despite the adoption of modelmutual assistance treaty by the UN, therehas not been a sufficient response from thesignatory countries.

The desired objective of completelystopping money laundering can not beachieved unless a further measure ofrequir ing banking and f inanc ia linstitutions to examine the origin of adeposit , and commercial act iv i tygenerating it, before it is accepted, isuniversally adopted. Illicit funds must bestopped before entering the internationalbanking system.

VII. RECOMMENDATIONS

In the light of the discussion on problemareas, the following recommendations aremade to effectively deal with internationalmoney laundering and the enforcement offorfeiture of drug assets:

(a) There is need to educate and sensitizenational governments to the evileffects of drug money and theuniversal need to combat it by theadoption of stringent countermeasures through domestic policy onmoney laundering, as well as offeringmeaning fu l cooperat i on andassistance to a regulatory body (to beestablished, if not existing) and lawenforcement agencies.

(b) The issue of the lack of universal

165


adoption and enforcement of viableanti-money laundering provisions,contained in the UN Convention of1988 and supplemented by therecommendations of Financial ActionTask Force (FATF), must be seriouslyaddressed by all affected nations oft h e w o r l d . A m e c h a n i s m o fpressurizing the non-signatory, aswell as signatory but non conforming,countries through economic andfinancial sanctions should bedeveloped and adhered to as a matterof policy under the umbrella of theUnited Nations. One such actioncould be black listing the defaultingnations/banks and withholdinginternational loans/aid to them; inaddition to stopping the handling ofany transactions originating orpassing through black listed nationswhose banks are prepared to handleillegally accumulated funds. Thesepressures could be applied by the loangiving countries, with the blessing ofthe United Nations.

(c) In order to ensure uniform andregular enforcement of various anti-money laundering provisions in thebanking, financial and commercialsectors, there is need to create a truemulti-national banking, financial andcommercial regulatory body. Thisbody should be empowered to inspectand ensure compliance of the variousc o u n t e r - m o n e y l a u n d e r i n gprovisions. Within each country alsoan effective central body comprisingof banking experts, charteredaccountants and law enforcementpersonnel should be charged with theresponsibility of inspecting andensuring the implementation of thevarious anti-money launderingprovisions adopted under the localstate laws.

(d) Equally important is the pressurefrom the client countries and

important depositors in internationalbanks, who must insist that they willnot do business with instututionsthat fail to adhere to the new toughinternational reforms on examiningmoney sources.

(e) Law enforcement agencies operatingin countries who are just beginningto in i t ia te asse ts f o r fe i tureinvestigation, under newly enactedlegislation, lack the necessaryexpertise. Extensive trainingprogrammes covering intelligencegathering, financial investigationtechniques involving local and foreignjurisdictions, and prosectutionaspects must be init iated incooperation with the UNDCP ando t h e r s u c h i n t e r n a t i o n a lorganizations. The launching of jointfinancial drug assets investigationsby various national law enforcementagencies, for better cooperation andco-ordination to trace drug assets forforfeiture, could prove to be veryrewarding, especially for the lessexperienced enforcement agencies.

(f) Regular exchange of intelligencereports/data on transnational drugcartels, their modus operandi andtheir money laundering networksshould be ensured.

(g) An international fund of forfeiteddrug assets may be set up, which mayreceive fixed percentage of allforfeited assets from all concernedcountries. This fund should beutilized to:

• d e v e l o p w e l l r e s e a r c h e di n t e l l i g e n c e d a t a b a s e o ninternational drug trafficking andmoney laundering organizations,their assets, bank accounts andother relevant information ontheir criminal activities;

• t o s e t u p a n e f f i c i e n tcommunications network between

166


drug enforcement agencies in allcountries, to enable them to makeuse of this database in their dayto day operational work;

• to design and conduct variouscourses at the regional level forimproving the professional skillsof the intelligence, investigativeand prosecution personnel of thelaw enforcement agencies.

APPENDIX A

CASE NO. 1 - RECOVERY OF6660 KG HASHISH AT ANTWERP,

BELGIUM (AUGUST, 1996)5980 KG HASHISH AT ISLAMABAD

(AUGUST, 1997)

In August 1996, customs officials ofBelgium confiscated a container sent fromKarachi containing household effects fromwhich 6660 Kg hashish was recovered. Thehashish was hidden in the personal luggageof an Egyptian diplomat, MuhammadSalah Sadiq, who was transferred fromIslamabad. The luggage was being shiftedto Switzerland, where the daughter of thediplomat was residing. The informationwas received by the Government ofPakistan through the Drug EnforcementAgency of USA. The Anti-Narcotics Forcestarted the enquiry discreetly. It came tonotice that the consignment was sent byone Kamran Gul, Managing Director ofTotal Cargo Company, Islamabad. Onreceiving the information of the hashishcapture in Belgium, Kamran Gulregistered a report in a Islamabad policestation stating that the documents relatingto the container were stolen and some otherperson, misusing those documents, shippedthe container. Infact the report wasregistered by Kamran Gul to save himself.Kamran Gul had actually sent the hashish,after proper plannning, taking advantageof diplomatic immunity. His gang wasoperating transnationally and the followingpersons were the members of his gang:

i) Mehmat: He is a resident of Turkey andalso holds citizenship of Holland. Hewas the financier of the gang. He cameto Islamabad and stayed at the HolidayInn Hotel where he settled thesmuggling details.

ii) Kamran Gul: He was the ManagingDirector of Total Cargo Company who,along with his two workers Gul AfsarKhan and Mohsin Khalid, arranged thepacking and subsequent despatchthrough the company.

iii) Muhammad Javed Baig: He belongs toPeshawar and procured the hashishfrom Afghanistan. He also arranged itssafe transit from Afghanistan toIslamabad.

iv) Arshad: He is a Pakistani and wasliving in Holland. He was the organizerof this narco-gang.

The Anti-Narcotics Force of Islamabadkept close watch on the activity of KamranGul secretly. It came to notice that KamranGul was again trying to despatch a largequantity of hashish in the personal effectsof some diplomat. After 7 to 8 months ofsurveillance, 5980 kg hashish wasrecovered from his wharehouse inIslamabad which was kept in 46 bluecoloured plastic drums. The Anti-NarcoticsForce registered the case and Kamran Gul,Gul Afsar and Mohsin Khalid werearrested. The case has been sent to courtfor prosecution, where it is still pending.Muhammad Javed Baig absconded, whilerequests have been made to Turkish andDutch Governments for the arrest ofMehmat and Arshad. After the arrest ofKamran Gul it was disclosed that thehashish was brought from Afghanistan inthe “Ilaqa Ghair” (Tribal Area), from whereit was transported to Islamabad through aspecially made oil-tanker. The hashish waskept in a warehouse for three months. Thewarehouse was obtained at a monthly rentof USD$ 1000. The consignment was again

167


shifted to another (lower rent) premisesfrom where it was recovered.

APPENDIX B

CASE NO.2 - RECOVERY OF 26 KGHEROIN FROM ISLAMABAD

INTERNATIONAL AIRPORT ANDHOLIDAY CROWN PLAZA HOTEL,

KARACHI

The proverb “where there is will, thereis a way” was proved right by the Anti-Narcotics Force when, in November 1996,26 Kgs of heroin was seized from IslamabadInternational Airport and the HolidayCrown Plaza Hotel, Karachi. As a result ofthe seizure, three African nationals,belonging to the Sudan and Zaire, werearrested. The ring leader was a Sudanesenational, based in Nairobi, by the name ofTariq Hji Idris. The others, a woman, HulluKyamuno and a man, Ali Kaita, were justcarriers who were promised USD $ 2000for the successful trip, excluding hotel stayand air tickets. Mr Ali Kaita was travelingon a forged Zairian diplomatic passport andan interesting aspect was that the passportwas in the name of a lady, Isankunya Fitila,which was written in French and theImmigration Officials at the Airport werenot able to discern that it was a femalename. Once Mr Ali Kaita arrived atIslamabad International Airport to fly toKarachi, he was accompanied by Tariq HajiIdris. When Tariq Hji Idris sensed danger,he left Ali Kaita and boarded the flight forKarachi. Later 13 Kgs of Heroin wasrecovered from the suitcase of Ali Kaita.Ms Hullu who had come to airport earlier,successfully boarded the aircraft along withthe drugs. Ali Kaita was interrogated onthe spot and he disclosed that Tariq HajiIdris had given him two suitcases and hedid not know what was in it. One thisinformation, the ANF and ASF (Karachi)were alerted. The moment Tariq Hajilanded at Karachi Airport he was taken

into custody by ASF and handed over toANF Karach. Search of his person led tothe recovery of USD$ 22,000. By then, ANFKarachi and ANF Islamabad had noknowledge of Ms Hullu being third memberof the gang. Mr Tariq Haji was laterb r o u g h t t o A N F I s l a m a b a d f o rinterrogation. It was during the course ofinterrogation that Ali Kaita and Tariq Hajidisclosed information about Ms Hullubeing their third partner. It was too late toarrest Ms Hullu as quite some time hadlapsed in the interrogation process, and itwas expected that Ms Hullu, along with thedrugs, must have left the country. Anyway,an effort was made by ANF to trace herand an officer was sent to karachi to findMs Hullu. While going through the FIAimmigration record, it was learnt that MsHullu had left the country a few days prior.The investigating officers traced the lastaddress of Ms Hullu in Pakistan, whichwas the Holiday Crown Plaza Hotel,Karachi. On reaching the Hotel it wasfound that the woman left behind two largesuitcases and had told the HotelAdministration that she would bereturning to collect them later. The twosuitcases were taken into custody andbroke open by ANF officers in the presenceof the Hotel staff, and another 13 Kgs ofHeroin was found. The hotel staff wereinstructed to inform ANF wheneversomeone came and asked for the suitcases.Suddenly, after a few weeks, the Hotel stafffound Ms Hullu asking for suitcases. Shehad come back from Nairobi, along withher boyfriend, to get them. She wasarrested and sent to jail. The boyfriendhowever, was not found to be involved inthe drugs business and was thereforereleased.

168


Heroin�Cocaine�Opium derivative�Coca derivative

Drug�Type

0

0-2 Years with fine

10g

100g

200g

1000g�(1kg)

Quantity�of Drugs�Recovered�(not to scale)

Opium�Coca leaf�Other psychotropic�substances

Any other narcotic�drug or controlled�substance not�otherwise specified

3-7 Years with fineDeath or life term with fine�of Rs.1 million or more

TABLE 1

PROGRESSIVE PUNISHMENTS ACCORDING TO THE CONTROL OFNARCOTICS SUBSTANCES ACT 1997.

169


F.C�N.W.F.P

Coast�Guards

Ministry�of�

Interior

Ministry�of Narcotics�Control

A.N.F

F.I.A

A.S.F

F.C�Balochistan

Ministry�of�

Defence

F.C

Rangers

Ministry�of�

SAFRON

C.B.R

Customs

Ministry�of�

Finance

PROVINCIAL GOVERNMENTS

PoliceExcise &�Taxation

Political Levies�Khasadar Force

A.S.F Airport Security Force

A.N.F Anti Narcotics Force

C.B.R Central Board of Revenue

F.C Frontier Constabulary/Frontier Corps

F.I.A Federal Investigation Agency

N.W.F.P North West Frontier Provance

SAFRON States & Frontier Regions

TABLE 2

GOVERMENT OF PAKISTAN

170

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171


CURRENT SITUATION OFTRANSNATIONAL ORGANIZEDCRIME IN THE PHILIPPINES

Alberto Rama Olario*

I. INTRODUCTION

The maintenance of domestic tranquilityand order is one of the principalresponsibilities of government. To survive,the Philippines must effectively counteractthe corrosive elements that tend to gnawat its foundation, as well as the insidiousforces that seek to undermine it fromoutside. Towards the first objective, thePhilippine National Police, to which Ibelong, is one of the principal arms of thePhilippine government in its campaignagainst lawlessness and criminalitythroughout the archipelago.

For the last four (4) years under theleadership and administration of PresidentFidel V Ramos, the Philippines had beensteadily rising in terms of economicprogress and stability, making it earn thedistinction of being one of the fast-risingeconomic dragons in the Asia-Pacific(through the President’s National StrategicAction Plan dubbed as “Philippines2000”).It has likewise achieved lastingpeace among all Filipinos, as evidened inthe most recent signing of the peaceagreement with our Muslim brothers inMindanao and the subsequent creation ofthe Southern Philippines Council for Peaceand Development (SPCPD),which endedthe decades-old rift.

To sustain the success that we have so

far achieved, the maintenance of peace andorder must be graranteed. Towards thisend, the Philippine National Police (PNP)created a parallel National Strategic ActionPlan dubbed “POLICE 2000” whichenvisions the PNP as a professional,dynamic and highly motivated policeorganization. It is regarded as one of themost credible institutions in the countrytoday and ranked among the best in Asia.

In effectively meeting our mission andvision to serve our country, we in thePhilippine National Police believe that inorder to efficiently subdue all destructivee lements in our soc i e ty, u tmostinternational cooperation with ourneighbors must be made. These elementsinclude international syndicates whooperate in our country as well as yours.There should definitely be a continuing andharmonious coordination among all of usin this endeavor.

II. DRUG TRAFFICKING

Drug trafficking and abuse are seriousissues confronting both developing anddeveloped nations. Production, trade andconsumption of illicit drugs is a threat tothe well being of the global community,undermining legitimate institutions,eroding social values and creating broadereconomic development problems. ThePhilippines is no exception in this regard.

For many years the fight against illegaldrugs and their abuse has been the subjectof numerous discussions at the national aswell international level. Powerful drug

* Deputy Regional Director Administration,Phil ippine National Pol ice-Region XIII ,Department of the Interior and Local Government,Philippines.

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syndicates with their vast resources,modern technology and information havereduced the world into a small communitywhere they bring illegal drugs from oneplace to another in furtherance of theirnefarious activities without regard tonational boundaries or domestic laws.

Countries affected by the problem haveadopted their respective measures, like theenactment of laws and other policies, toinclude appropriate implementation bydifferent governmental agencies andins t rumenta l i t i e s . Reg iona l andinternational coordination and cooperationhas been likewise resorted to in responseto this global problem.

According to a recent survey, drugaddiction is the second most importantcrime problem in the Philippines today. In1992, there were only about 20,000 drugusers, which increased to an estimated 1.7million in 1997. Out of the 17 million,roughly 1.2 million drug users are from theyouth population. Using 5 grams per monthper drug user as an estimate, andtranslating this to money circulated due todrug use and trafficking, we have amonthly consumption of 8.5 million gramsamounting to 17 billion Philippine pesosmonthly or 204 billion Philippine pesosannually.

There are three (3) roles the Philippinesplay in the illegal drug scene. First, as aproducer, exporter and consumer ofcannabis products (marijuana). Second, asa n i m p o r t e r a n d c o n s u m e r o fmethamphetamine hydrochloride (shabu)and other regulated drugs. Third, as atransit point for heroin and cocaine. Thecountry’s penetrable seaports, airports andlong irregular coastline provides idealentry and exit points for drug smugglingand an alternate transshipment area ofinternational drug syndicates.

A. Drug Situation

1. Marijuana ProductionThe Philippines is known as a major

producer of high-grade marijuana. Itcontinues to be one of the main drugs ofabuse in the country due to its availabilityand low cost. Marijuana is grown in ninetyfive (95) drug source barangays located innine (9) regions of the country. These areasare the subject of our continuos eradication.

2. Methamphenamine Hydrochloride(Shabu) Smuggling.

This drug popularly known in thePhilippines as ‘shabu’ is illegally importedby some Filipino-Chinese syndicates fromHong Kong and Taiwan. Large supplies ofmethamphenamine hydrochloride (shabu)c o n t i n u e s t o c o m e f r o m i l l i c i tmanufacturing and processing centerswithin the region, particularly frommainland China (PROC). The PROCcontinues to be a significant source of illicitdrugs intended for the Philippines. HongKong and Taiwan remain as the stagingpoint of Chinese Triad syndicates financingdrug trafficking operations for smugglingmulti-kilos of shabu for the Philippines.There are also reports that these traffickersfacilitate shabu to Pacific States and theUSA. In 1995, the PNP Narcotics Groupseized more than 200 kilograms of shabuon different occasions. For 1996, the groupseized 300 kilograms of shabu worth 600million pesos as a result of major operationslaunched against Chinese syndicates basedin the Philippines. This does not includethe hundreds of kilos seized by PARAC andother PNP territorial units.

3. Trans-shipment Point of Heroin andCocaine

The Philippines, due to its strategiclocation in Asia, is a logical choice for atrans-shipment point for heroin andcocaine. Heroin is usually shipped into thecountry from the Golden Triangle, through

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the various airports and seaports. Africanand Thai couriers with Americanconnections are also utilizing the postalservices in transporting drugs. In 1994, aManila-based Nigerian syndicate wasneutralized for transporting 15 kilogramsof heroin worth almost 400 million pesos,resulting in the busting of an American-Nigerian Connection. Another majorseizure was made in the early part of 1997,with the arrest of a Taiwanese national fortransporting high-grade heroin worth 27million pesos. He was arrested in acontrolled delivery operation participatedin by the PNP Narcotics Group, Bureau ofCustoms, USDEA and Royal Thai Police.

Cocaine trans-shipment is being carried-out either by ship or airplane. It is believedthat the destinations of these expensive,illicit drugs are the rich nations of Asia,more particularly Hong Kong, Japan andTiwan. In 1995, 14 kilograms of cocainewas seized in Central Visayas, presumablyleft in haste by unidentified Chinesetraffickers. Seizure of 14 kilograms ofcocaine was made in 1996 in the QuezonProvince.

B. International Drug Syndicates

1. Chinese TriadsThese ethnic Chinese syndicates are

mainly responsible for the smuggling ofmethamphetamine hydrochloride (shabu)into the country.

2. Nigerian ConnectionThese drug rings are engaged in the

smuggling of heroin from the GoldenTriangle to the USA and Europe, using thePhilippines as a trans-shipment point.

3. A u s t r a l i a n a n d Ya k u z a D r u gsyndicates

These groups are responsible for thesmuggl ing o f Cannabis f rom thePhilippines to Australia, New Zealand and

Japan.

C. Concealment TechniquesInternationally detected modes of

concealment are generally employed bydrug traffickers, such as:

i) Ingestion, leg casts and bodywrap.

ii) Use of false bottoms of luggage,concealment in imported packagesand false cavities of furniture.

iii) Concealment in containers and airfreights.

D. Government Countermeasures

1. LegislationIn 1994, the government enacted the

Republic Act 7659 which imposes the deathpenalty on certain heinous crimes and drugtransactions involving a certain degree oramount of dangerous drugs.

In 1996, the government created theSpecial Dangerous Drug Court which shalltry heinous drug cases against notorious,big-time pushers. This will speed-up thedisposition of drug cases filed in differentcourts.

With the ratification of the 1998 UNVienna Convention, the PhilippineNational Police, particularly the NarcoticsGroup, is pushing for immediate legislationof tough drug laws, i.e. legislation on assetforfeiture, financial management and wire-tapping. These laws will strengthenprosecution and eventually, increase theconviction rate in dangerous drug cases.

2. Law Enforcement MethodsAt present, the law enforcement pillar

of the Criminal Justice System still adoptsthe “Multi-Agency Approach” in its fightagainst the unabated drug abuse problemin our country. The PNP, through theNarcotics Group, contributes a major effortin the fight against the proliferation of

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illegal drugs, working hand in hand withother law enforcement agencies like theNBI, EIIB, Bureau of Customs, the AFP,other Task Forces like the PARAC andPACC. Their respective anti-drugoperations are designed primarily toprevent and control trafficking of illegaldrugs, with an operational strategy ofsupply and demand reduction andinternational/regional cooperation andcoordination.

III. FIREARMS SMUGGLING

This particular activity is carried out bytransnational crime syndicates smugglingUS-made firearms into the country.Philippine locally-made handguns on theother hand are smuggled to Asian countriesparticularly Japan, Taiwan, and otherASEAN countries through the employmentof middlemen tasked to ship out firearms( t r a n s p o r t e d b y v e s s e l s ) , t h emisdeclaration of cargo (usually consignedto fictitious personalities) and theemployment of jettison techniques.

The modus operandi of the Smugglersis the following:

i) Firearms arrive in the Philippinesas undeclared or misdeclareditems and included with othergoods, consigned to fictitiousnames and addresses;

ii) Firearms can also be dismantledinto pieces and included amongmetal items or machinery partslegally imported or exported;

iii) Firearms are sometimes thrownfrom vessels at prearranged areassome distance from the shorewhere they are later picked up bysmall boats and brought toundisclosed places.

Government Countermeasures :

i) Liberalized Policies on FirearmsImportation: The (PNP) nowpermits licensed firearms dealersto purchase all types of firearmsfrom abroad . As a resul t ,smuggling of foreign-madef irearms has considerablydecreased since they are nowavailable in country in commercialquantities.

ii) L e g a l i z a t i o n o f D o m e s t i cManufacturing of Firearms: Thegovernment has legalized localmanufacture in the Province ofCebu in Central Philippines. Thishas resulted in the regulation andbetter monitoring of locally-madefirearms.

iii) S t r i c t e r M o n i t o r i n g o fInternational Gateways: Entrypoints of smuggled firearms arenow under strict monitoring bythe different Philippine lawenforcement agencies. As a result,from 1995 to 1996, a good numberhave been arrested in the countryfor gun-running and firearmssmuggling. Confiscated from themwere around 256 firearms ofdifferent calibers, ranging fromcaliber 38 to M-16 rifles, 1,600rounds of assorted ammunitionand 25 seacrafts. In the SouthernPhilippines, for the past year, atotal of ten (10) major armsshipments form Sabah, Malaysiawere reportedly made, three ofwhich were for the Moro NationalLiberation Front (MNLF) andseven for the Moro IslamicLiberation Front (MLF).

iv) International Cooperation/Networking : The PNP hasdeveloped increased internationalpolice and USA authorities toidentify and monitor the activitiesof gun traffickers, to pre-empt orneutralize their gun-running

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activit ies and to exchangeinformation related to syndicatedgroups. This has resulted in apositive tone.

v) Heightened Cooperation amongPhilippine Law EnforcementAgencies and Military Units: TheArmed Forces of the Philippines(AFP), the PNP and other lawenforcement agencies havei n t e n s i f i e d i n t e l l i g e n c ecoordination to determine big-time as well as small-timesmugglers and i l legal gunmanufacturers.

vi) Firearms Amnesty: Simultaneouswith the implementation ofOPLAN PAGLALANSAG (orOPLAN “DISMANTLE”), thegovernment offers amnesty to allholders of loose or unlicensedfirearms.

IV. SMUGGLING OF ILLEGALMIGRANTS

In the Philippines, the Bureau ofImmigration and Deportation has primaryresponsibility for the administration andenforcement of immigration, citizenshipand alien admission and registration laws.Recent incidents involing illegal migrantsincluded seventeen (17) Iranian nationalswho were excluded from entering thecountry and immediately deported afterthey were found to be carrying fakepassports. Incidents of Filipino illegalentrants to other countries like the US,Canada and other Asian countries alsoabound and are causing grave concern tothe immigration authorities of the affectedcountries.

In the Philippines, the Bureau ofimmigration authorities have sought thePhilippine Congress to enact a billincreasing the penalty on persons convictedof smuggling illegal and undesirable aliens

into the country. The immigration Bureauhas gathered intelligence informationwhich revealed that members of foreign-based human smuggling syndicates havebeen using the Philippines as a primedestination for illegal aliens who want totake advantage of the growing economicopportunities in the country. The Bureauof Immigration admitted that thetechnology used by these syndicates rivalsthe governments in the processing ofspurious passports, visas and immigrationstamps. It was also revealed that humansmuggling syndicates were not onlyengaged in bringing undocumented aliensinto Philippines, but also foreign terrorists,fugitives from justice and drug lords.

V. ILLICIT TRAFFICKING OFWOMEN AND CHILDREN

This crime activity has a direct bearingon foreign countries. The modus operandiemployed by the syndicates are either torecruit Phil ippine prostitutes foremployment in Japan, Brunei and otherASEAN countries or recruit foreignprostitutes from Colombia, Taiwan andRussia to enter the sex trade in thePhilippines. Arrests of these foreignerswere made on separate occasionsthroughout 1995,1996 and 1997.

Likewise, as recorded by our SocialWelfare Department, there were fifteen(15) reported cases of pedophilia and childprostitution, with sixteen (16) foreignersarrested in 1995 alone. It is sad to note thatthis is the adverse result, as reported bythe Defense for Children International, ofyoung Filipino girls being recruited byinternational prostitution syndicates andadvertised as virgins in SpartacusM a g a z i n e , a w i d e l y c i r c u l a t e dpornographic magazine, which thesyndicate uses as an information networkfor European pedophiles looking for cheapsex in Asia. It is for this reason that

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concerned government agencies havejoined hands to arrest the worseningsituation. The Bureau of Immigration, forexample, has revived its crusade againstprobable foreign prostitutes.

VI. ILLICIT TRAFFICKING OFMOTOR VEHICLES

Most of the apprehension in the countryof illegally transported motor vehiclesinvolves luxury vehicles from the US,Japan and Hong Kong. These vehicles,which are actually luxury vehicles, areentered through the ports but are declaredas utility vehicles to avoid payment of advalorem tax. Some other luxury vehiclesentered through the ports are simplyundeclared or misclassified. Other vehiclesare disassembled and declared as parts,availing lower tariff duties, and then areassembled after release from the customsarea. They are commonly known in thePhilippines as “chop-chop”.

Practically, the bulk of smuggled motorvehicles apprehended are motorbikeslanded outside of customs entry points.They are unloaded shipside, often ininternational waters, into local small boatsand landed at the shorelines. Most of theselandings occur in Northwest Luzon,Eastern Visayas and Northern Midanao.

VII. MONEY LAUNDERING

Money laundering is another type ofcommercial crime. It is defined as a processof making or turning bad money/fundsraised and earned through crime (forexample drug money), into good. ThePhillipines has no money laundering lawsthat will guide law enforcers in preventingthis crime.

VIII. TRANSNATIONAL ECONOMICCRIMES

Technological advancement has greatly

affected the relationship among policeforces in the region. The introduction andcreation of internet and electronic mail (e-mail) in the computer realm has broughtmembers of foreign nations closer to eachother. Communication is now at the touchof a finger. However, this has also led tosophistication and a rise in commercialcrimes. Syndicates, who have knowledgeand skill about computers, known to be“computer hackers”, can access banktransactions, imitate certain products andperfectly forge signatures through the useof computers.

Recently, the Philippines scored asignificant breakthrough in credit cardfraud through the arrest of five (5)suspected members involved in themanufacture and worldwide sale anddistribution of falsified payment cards, last29 November 1997. The arrest resultedfrom simultaneous raids conducted by thePNP Intelligence Group in cooperationwith the US Secret Service and Interpol.Arrested during the operations were thefollowing suspects who claimed/identifiedthemselves to be:

(a) Raymond JACKSON a .ka .ALLEN MILLER

(b) Peter HORNE(c) Otto URBAN(d) Helen HORNE(e) Jaime BUETA

Another suspect, a certain Horst SELIG,who was ident i f ied as be ing themastermind of the syndicate, was able toelude arrest. Reportedly, SELIG is wantedby the police authorities in Germany.

INTERPOL and the US Secret Servicedisclosed that this syndicate hassuccessfully operated and eluded arrest inthe US, United Kingdom and other partsof Europe, Hong Kong and Thailand. It isbelieved that they transferred their base

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of operation to the Philippines because ofthe absence of a specific law dealing withfraudulent payment cards. Apparently,they also underestimated the ability of ourlaw enforcement agencies.

The initial investigation conducteddisclosed that the local payment cardindustry l isted to this syndicateapproximately USD$15 million as a resultof the flooding of counterfeit/clonedpayment cards manufactured by above-cited suspects. Payment cards issued by atleast fifty-two (52) local and internationalbanks and credit companies have beencloned/falsified. These include AmericanExpress, Citibank, Bank Americard/Deutsche Bank, Equitable Bank,MasterCard, VISA and others. Other firmscould have been similarly compromised.The extent of the damage on the credit cardindustry and concerned bankinginstitutions in particular, and the impacton the national economy and on globalindustry in general, can not be determineduntil a thorough review and analysis of thesoftware and documents seized from thesyndicate have been made.

The syndicate employs the following four(4) basic modus operandi:

1. Skimming MethodA member of the syndicate will go to a

business establishment and introducehimself as a representative of a paymentcard issuing bank. They will then ask toexamine the skimming device. Oncepermitted, they attache the skimmingdevice to their computer, which then grabsand stores the data from the skimmingdevice. The surreptitiously obtained datais then used to manufacture the clonedpayment cards.

2. Courier-Intercept MethodIssuing banks, instead of directly

releasing payment cards to clients, employ

courier companies to deliver the cards. Inthis method, the syndicates bribe couriersto lend them the card in transient, the dataof which is extracted. Once done, thecloned/compromise card is returned to thecourier for delivery, a courier is bribed anaverage of P2,500-P5,000 per card.

3. Cardholder and SyndicatesIn this method, the cardholder themself

is approached by the syndicate for thecloning of their card in exchange for acertain amount. The syndicate can portrayto the cardholder the advantages of havingtheir card cloned.

4. Merchant-SyndicateThis method is done by bribing personnel

with access to the account numbers ofclients of a business establishment intorevealing information about the accountnumber of payment cards of said clients.The syndicate then creates multiple clonesout of each account number elicited fromthe business establishment. As a supportto the payment card cloning schemes, fakeidentification cards such as passports,driver’s licenses and similar identificationdocuments are manufactured. These areu s u a l l y p r e s e n t e d a s i s s u e d b yinternational banking institutions.

Given its enormous impact in thebooming payment card industry in thecountry and business sector as a whole, thePNP appealed to Philippine legislators toexpedite the passage of law that willspecifically address Payment Card Fraud.

IX. ASSESSMENT

Through the foregoing discussion, wehave come up with the fo l lowingassessment:

i) Crime groups in the Philippinesare still loosely organized andstructured. These groups are still

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in their infancy stages comparedto their foreign counterparts whohave systematically establishedbroad soc ia l spectrums o finfluence essential to theiroperation.

ii) The illegal activities of crimegroups in the country are largelydomestic in implication and effect.Except for firearms smuggling,prostitution and illegal drugtrafficking, all other crimeactivities in the Philippines has nodirect bearing or relationship toother nations.

iii) As the Philippines progresseseconomically with its MediumT e r m D e v e l o p m e n tPlan(MTDP),it is expected thattransnational crimes sponsored byinternational crime groups willproliferate in the country. This willfurther be hastened by thedisplacement of Hong Kong basedsyndicates after its return toChina in 1997.

iv) The Philippines needs to enactAnti-Racketeering and Anti-Money Laundering statutes tocope with organized crime. Thesestatutes will no doubt arm our lawenforcement agencies witheffective measures to denyorganized crime their substantialeconomic base of support.

v) With the ex is tence o f theextradition treaty between thePhilippines and the United States,neutralization of crime groupsseeking sanctuary in bothcountries will be accelerated. ThePhilippines needs also to expandand negotiate with other countrieson the forging of extraditiontreaties and re-negotiation ofex is t ing treat ies that arehampered by technicalities inenforcement.

X. RECOMMENDATIONS

The following measures involvinginternational cooperation are suggested toeffectively curb transnational crimegroups:

i) Strengthening of diplomaticre lat ions , networking andvigorous exchange of informationa n d t e c h n o l o g y t h r o u g hINTERPOL, ASEANAPOL andother concerned internationalbodies. The establishment ofdirect l inkages with otherINTERPOL member countriesshould be pursued to expeditiouslyfacilitate intelligence exchangeand enable immediate action onal l cases , part icularly theactivities of transnational crimesyndicates. This could further beenhanced through the mutualsharing of technology, either byexchanging training or by othermeans.

ii) Forging extradition treatiesamong concerned nat ions .Extradition treaties with the othercountries are of utmost necessityin suppressing internationalsyndicates and containing theupsurge of transnational crimes.This is particularly true whenoffenders escape from theircountry and seek sanctuary inanother, thereby evading the fullforce of the law. We need to re-negotiate existing extraditiontreaties that are hampered bytechnicalities in enforcement.

iv) Conduct of joint and coordinatedpatrols on common borders as acooperative effort in thwartingorganized crime.

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TABLE 1

RESULT OF ANTI-NARCOTICS OPERATIONS CONDUCTED

1995 and 1996 statistical data of arrest and confiscation for dangerous drugs

ARREST 19951996

(January to December)No. of Persons Arrested 1,425 1,311No. of Foreigners Arrested 15 (2 killed) 27 (1 killed)CONFISCATIONS/SEIZURESHeroin 0 1,534gmsCocaine 14,424gms 1,392gmsMethamphetamine(Shabu) 207,593gms 280,699.24gmsMarijuana Leaves 1,754,956gms 964,062.10gmsMarijuana Plants 6,808,473pcs 9,164,052pcsMarijuana Seedlings 22,847,193pcs 2,997,065pcsTOTAL MARKET VALUE P1.76 BILLION P2.044 BILLION

TABLE 2

GOVERNMENT COUNTERMEASURES

Kinds of Drugs QuantityMorphine, Heroin, Cocaine 40 grams or moreShabu (Methamphetamine) 200 grams or moreMarijuana(Cannabis) 750 grams or moreMarijuana resin or MJ hashish 50 grams or more

TABLE 3

RESULTS OF PHILIPPINE NATIONAL POLICE OPERATIONS

(1993 to 30 SEPT 1997)

1992 1993 1994 1995 1996 1997 TOTALNo of Narcotics Operations 4965 5068 4763 6126 21677 18,632 61,231Buy-Bust 1977 1844 1516 2355 6246 6439 20,377Service of Warrants 2811 2980 3093 3602 15231 11,184 38901Marijuana Eradication 177 244 454 169 200 352 1,296No. of Arrested Persons 6030 6537 5358 7273 12040 11,325 48,590No. of Cases Filed In Court 876 345 3558 4374 7505 7,287 23,954No. of Syndicates Busted 59 20 69 58 65 24 295Total Amount of Drugs Seized P1.198 P.828 P1.185 P2.089 P4.428 P1.283 P11.011

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TABLE 4

DISPOSITION OF DRUG CASES FROM 1993-SEPT 1997

(PNP NARCOTICS GROUP STATISTICS)

1993 1994 1995 1996 1997 TotalNo. of Narcotics Operations 945 875 1,425 1,000 668 4913No. of Arrested Persons 1,211 1,006 10,563 1,311 1103 6194No. of Cases Filed in Court 345 948 854 941 736 3824No. of Convicted Persons 156 131 50 30 16 383No. of Cases Dismissed 137 48 6 2 1 197No. of Pending Cases 52 769 795 909 719 3244

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AN OVERALL ASSESSMENT OF TRANSNATIONALORGANIZED CRIME

Muammer Yasar Özgül*

I. INTRODUCTION

Some factors such as technologicalprogress, easiness of crossing frontiers andtransition of the economic policies incountries have encouraged criminalorganization and added an internationaldimension to such crime. For instance,while an illicit drug organization usescounterfeit passport and identity cards tohide its members’ identity results in fraud ;to legalize the proceeds derived from suchcrime (by founding screen companies), withproceedings going to banks and foreignexchanges results in the crime of moneylaundering. Spending money to purchaseweapon leads to gun smuggling and thatalso engenders terrorism. This causes morefamiliarity and cooperation among crimegroups.

A. Definition of Organized CrimeOrganized cr ime i s , wi th in an

organization which could be in any form,to use violence or at least put pressure toprovide benefits. Therefore, the term of“organized crime” consists of someelements below:

i) Existence of an association ( 2 ormore persons)

ii) The aim of providing benefit(money or power)

iii)Violence or pressure.

i) Existence of an association: The maincomponent that distinguishes organizedcrime from other crimes is that two or morepeople are participating in the crime andputting the desire directed towards the

same goal.

ii) The aim of providing benefit:Organized crime groups expect materialand social benefit as a result of their illegalactivities.

iii) Violence or pressure: An organizedcrime group beats, wounds and kills as aviolence element and uses threat andblackmail as a pressure element, aimed atproviding benefit for itself or a third person.

B. Differences between “Mafia” and“Organized Crime”

Is the organization which is called“Mafia” in the press and public outside oforganized crime? To most people the termorganized crime and Mafia are the same.This unfortunate mistake arose because somany cr iminals who made greatreputations in the 1920’s came from Italyand, in particular, Sicily. The Mafia has forcenturies been a notorious Sicilianorganization. But it is difficult to hold theMafia outside of the terms organized crime.Because the Mafia also contains each ofthe three components mentioned above, ithas some characteristics comparable toother crime organizations. For example theMafia:

• Infiltrates economic and socialstructures.

• Gets the management of publicservices and contracts, economicact iv i t ies , pr iv i leges , andauthorizations; or takes control atleast.

• Gets into, directly or indirectly,the management of commercialand industrial organizations, orcompanies.

* Deputy General Director of Personnel, Ministry ofInterior, Turkey.

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• Prevents the carrying out of theadministration freely.

• Unbalances social and economic lifeas related to the aforementioned.

In addition the Mafia has;• A hierarchical structure that

performs in solid manner.• Organization membership tied to

defined rules.• A monopoly on their activities.• The punishment of the treachery

to the organization as death.

As shown, the Mafia influenceseconomical and administrative decisionprocesses. As a result, the Mafia is anorganized crime group which threatenspublic security and affects the generaleconomy and public administration.

II. CURRENT SITUATION OFTRANSNATIONAL ORGANIZED

CRIME

A. General Situation Of Illicit DrugTrafficking

The illicit drugs phonemenon has threeelements which are different in essence,but somehow intertwined. Therefore, theillicit drugs problem may well be regardedas a tri-fold menace which could beconsidered under the topics of illicitproduction, trafficking and consumption.It is not possible however to deny theexistence of some organic linkage whichenables us to move from one topic ontoanother between these essentially separateelements. Essentially, if there was no illicitproduction, there would be no illicittrafficking, and if there was no traffickingthen there would naturally be no demandfor illicit drugs. Therefore, non-existenceof the demand would not give rise to thesupply.

B o t h s u p p l y a n d d e m a n d a r emaintaining their very presence to somegreat extent. The distance between the

supplier countries and the demanding onescauses illicit traffic in drugs. This featureof drug criminality necessitates that drugenforcement focus basically on the supplyand demand aspect of the phonemenon.Supply control should include reducingopium poppy and cannabis quantities usedto manufacture illicit narcotics; preventionof traffic in synthetic drugs and carryingout the related combat. Demand control onthe other hand should include eliminationof the possible means leading to drugabuse, carrying out the related combat andthe treatment rehabilitation of abusers aswell as addicts. Meanwhile, control of bothsupply and demand should be carried outat operational, political, diplomatic andsocio-economic levels.

Any fight against drugs based solely onan individual nation’s effort will not leadto absolute success because illicit drugcriminality is linked to organized crime andterrorism. Effective internationalcooperation is necessary in this regard. Theever increasing work of nations on thisissue and the direct actions they are takingto combat drugs are well commended.Turkey too is committed to the combat ofdrugs, both with national efforts andinitiatives taken internationality.

B. Production Areas of the WorldDrugs and the various materials that are

used in drug production are produced inlarge amounts in each continent.

Cannabis is cultivated in a significantamount of the major countries in Africa.According to Interpol reports, South Africais becoming a main source of the illegalcultivation of more than 175.000 tons ofcannabis. The enterprises founding theclandestine laboratories for the productionmethaqualone or other psycotrophicmaterials have been detected in someeastern and southern African Countries(South Africa, Mozambique).

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In 1996, as in the past, hashish wasraised for domestic consumption in MiddleAmerica and the Caribbean. Jamaicacontinued to be an important source ofhashish for consumption in Europe andNorthern America. Hashish is alsocultivated and produced in Mexico (Brasiland Colombia) for the USA. The illegalproduction of metamphethamin and LSDincreased in the USA. In Colombia, poppyand opium poppy is also raised. Peru andBolivia has remained the biggest producerof coca. The coca that is the raw materialof cocaine is smuggled from Peru andBolivia into Colombia, where it istransformed into cocaine and enters theworld market 3. The production of syntheticdrugs and acetic anhydride that is used inthe production of heroin is realized in theUSA.

Cannabis grows naturally in a numberof the countries in south-east Asia, such asThailand. The illicit production of poppyand heroin and the cultivation of opiumpoppy have continued to increase inBurma. Acetic anhydride is produced inChina, India and South Korea4. Animportant amount of ephedrine has beenproduced in the Russian Federation. Inaddition, cannabis has been grown in theRussian Federation, especially poppy inKhazakistan. Pakistan also has animportant place in the production of resinhashish5. Opium poppy has been cultivatedin legal ways in India, Japan, China andTurkey. Heroin that is significant part ofdrug trafficking, is produced from poppywhich has been grown in the GoldenTriangle (Burma, Laos, Thailand) and theGolden Crescent (Pakistan, Iran,Afghanistan) . Poppy has been grown inlegal ways in France, Spain, Hungry.Holland has become a producer of cannabis

in closed areas. Amphetamine has alsobeen produced in Holland. A major numberof LSD seized in Europe was welded in theUSA. In Australia and Oceania, illegalcannabis and legal poppy has been grownand methamphetamyn has been produced.

As shown above, drug materials arisenaturally or are grown on purpose for thereason of high profit, to finance terrorismor cold wars between countries. Drugtrafficking has followed many variousroutes in countries throughout the Worldfrom east to west and south to north.

C. Illicit Drugs Problem In Turkeyand Related Policies and FightAgainst Drugs

We have tried to cover drug problemsand the global fight so far. In this context,Turkey is a transit point because of featuressuch as an adjacent geographical locationwhich is in intersection with the continentsof Asia and Europe. Having thoseproducing regions in the east while theconsuming regions are in the west-coupledwith the passing of the Balkan Routethrough her-Turkey has, as the mostimportant problem, the illicit trade ofnarcotics.

Fluctuations in this region have caused,as mentioned above, the emergence of newroutes. Enhanced criminal capabilities forthose drug syndicates which were new tothe republics which gained independenceupon dissolution of the former Soviet,coupled with crises caused by sucheconomical transition, have led to theemergence of new criminal groups witheither involvement in or cooperation withdrug trafficking groups.

Turkey is facing traffic from east to westwith the trafficking of synthetic tablets,such as Captagon and Ecstasy (and facingwest-to-east traffic) of cocaine and it’sprecursors, mainly acetic anhydride, which

(3) INCB Report for Precursors 1995(4) INCB Report for 1995(5) INCB Report for 1995

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is used in heroin production. In thiscontext, Turkey is also an intersection fornarcotics and their precursors in additionto her transit position for other drugs.

The majority of the narcotics moved intoTurkey from the east and/or southeast,belong to the PKK terrorist organization.The same organization traffics some otherparts of the narcotics across the border fordrug trafficking organizations for a certainc o m m i s s i o n . D r u g t r a f f i c k i n gorganizations, mainly the PKK, act as anintermediary for transporting their illicit‘cargoes’ supplied from producing countriesto consuming areas and markets.

In some other cases, as will be mentionedunder the head ing “C landest ineLaboratories,” it has been detected that thePKK terrorist organization and other drugnetworks are attempting to supplymorphine base at a lower cost, convertingamounts of the substance into heroin inclandestine heroin laboratories, and finallymoving end-products at a higher price toconsumption locales in Europe. Turkey’slocation as an intersection plays a majorrole in such undesired formation.

Metaphorically speaking, it is impossiblefor Turkey to avoid the drug menace, giventhat she is already surrounded by suchpervasive drug movement. Dangerousindications suggesting the emergence ofaddiction have recently begun to surface.However, more important for Turkey arethe facts that drugs constitute the majorfinancial support for the PKK terroristorganization, and that drug funding isknown to benefit from this organization.

Subordinated to the Ministry of Interior,the General Directorate of Security,General Command of Gendarmerie andCoast Guard Command, Genera lDirectorate of Pharmaceuticals of theMinistry of Health, AMATEM (Treatment

Center For Alcohol and Substance Addicts),Turkish Grains Board of the Ministry ofAgriculture and Village Affairs, theGeneral Directorate of Customs and theGeneral Directorate of Customs Guard ofthe Undersecretaries of Customs are onduty to combat illicit drug trafficking inTurkey.

The General Directorate of Security isthe main operational body for drugenforcement in Turkey. The GeneralCommand of Gendarmerie carries out druginterception efforts through its narcoticteams employed in rural and borderregions. The Coast Guard Commandcarries out, with assistance from theTurkish Navy when necessary, the drugfight at sea.

T h e G e n e r a l D i r e c t o r a t e o fPharmaceuticals of the Ministry of Healthdefines the procedure for drugs andpsychotropic substances used for medicalpurposes, arranges licenses for legallyimported chemicals and psychotropicsubstances control, and provides for theprocedures for treatment of addicts.

The only treatment center for drugaddicts, AMATEM (Treatment Center ForAlcohol and Substance Addicts) has beenestablished within the premises of theBAKIRKÖY MENTAL STATE HOSPITALin Istanbul. This mental hospital, underthe Ministry of Health, is the largest of itskind in Turkey. Plans exist to set up similarcenters in five (5) other regions.

The Turkish Grains Board of theMinistry of Agriculture and Village Affairsis charged with overseeing licit cultivation;issuing licenses; making policies for thepurchase of cultivated products, operatingthe Afyon Alkaloid Plant, and carrying outexport transactions.

Subordinated to the Undersecretaries of

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Customs, two Directorates are chargedwith the interception, investigation, andprosecution of any acts of smuggling,including drugs, within Turkish Customsareas.

D. Licit and Illicit Drug Productioni) Licit Poppy and Cannabis Growing

Turkey is a traditional licit grower ofopium poppies and controlled and unlancedpoppy growing is taking place in 13provinces. The harvested crops are beingprocessed at the Afyon Alkaloid Plant formedical use. Checks on licit poppycultivation from poppy cultivation till theend of harvest are being rigidly carried out.This practice which was begun in 1994, andto date, no seizures of opium derived fromTurkish poppies have been sighted eitherat home or abroad.

ii) Precursors Used to Manufacture HeroinForerunning among the precursors in

illicit drug production, acetic acid is notproduced in Turkey but mention can bemade of its licit import as it has variousdomestic industrial uses. Both licit importand distribution of the substance has beenunder rigid control through the relevantLegislation. No diversion from the legallyimported products has been sighted untilnow.

Turkey is seeing reverse precursor trafficfrom west-to-east, contrary to what is seenin regard to heroin or morphine base. Thismeans that, Turkey is also an intersectionin terms of the trafficking of suchsubstances in addition to being a transitfor illicit drug trafficking.

The successful seizure of fifty-three (53)tons of acetic anhydride thanks toconscientious efforts in 1995, has beenconsiderably influential on the 1996seizures record. Acetic anhydride seizure(25.2 tons) for 1996 has dropped accordingto the previous year by 49.1% .

iii) Clandestine Heroin LaboratoriesAs emphasized earlier, it is no longer a

secret that some trafficking organizationshave turned, in an attempt to magnify theirprofits, to derive heroin in Turkey throughutilizing primitive methods from eitheracetic anhydride and morphine basesupplied from producing countries, thusgiving up the practice of carrying the ready-to-use heroin from the production sites toconsuming communities. That trend isenhanced by the strategic location ofTurkey in terms of illicit drug trafficking.Four clandestine heroin laboratories weredetected in Turkey in 1996.

E. Drug Trafficking Passing throughTurkey

In this part, the trafficking dimensionof the drug problem will be considered firstin the context of drug routes passingthrough Turkey, then an evaluation of drugseizures and the offenders.

i) RoutesThe presence of the Northern Black Sea

Route, the Balkan Route, and the EasternMediterranean Route in the east-to-west,against precursor routes from west-to-east,have already been mentioned. Being atransit point in that regard, Turkey is anintersection where there is some reversetraffic in terms of drug trafficking routes.Situated in the midst of such traffic, Turkeyhas many drug routes passing through her.Trailing along a west-to-east line, theprecursors traffic is carried out with suchsubstances originating in their productionzones (the European countries) beingmoved to drug producing regions,particularly the Golden Crescent region.

ii) SeizuresIn general, there is an increase as to the

amounts of heroin, morphine base andsynthetics, as against some decrease inhashish and cocaine quantities, in drugseizures in 1996. Factors like consuming

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preferences, drug prices, etc. play a majorrole in such changes.

iii) HeroinEver increasing demand is the primary

element to explain the increase both inheroin cases and related seizures.Destination of the heroin trail passingthrough Turkey, Europe, has long hadconsuming masses. Growing numbers ofmembers are being added to those masseseach and everyday. During 1996, casenumbers increased by 31% while seizedamounts increased by 28%, which is alsoan indication of the priority accorded to thecombat of drugs.

iv) HashishHashish amounts for 1996, when

compared to the year 1995, show aconsiderable decline. Underlying reasonsfor that might be less lucrative profits fromhashish and promotion of the morelucrative drug types preferred bytraffickers.

The leading drug production sites are inLebanon, although there has been a majordecline due to the establishment andorganization of a security system which isunder way in Lebanon, and the substitutiveagro-policies carried out by the U.S. andI.N.C.B.. Hashish seizures also declinedlast year, as in 1995, due to the Africanproduction which took route in Europeanmarkets; the heroin preferred by traffickersand the ecstasy apreferred by consumers.The growing number of case discoveries aremostly due to the street teams set up.

v) CocaineTurkey is not in the mainstream of

cocaine routes, which is keeping seizureslow. Both the cocaine amounts and theseizures were in considerable inclineduring 1995, against a major decline in1996.

Major decline in the cases and amountsof cocaine is mostly due to the increasedgeneral use of disco drugs, namely thestimulating ecstasy tablets, use of whichsaw in recent years a higher frequency inTurkey. It is considered that cocaine usersin search of a new drug have now turnedt o e c s t a s y a n d t h a t t r a f f i c k i n gorganizations are attempting to create afresh avenue to push this drug widelyabused, in almost the entire of Europe, tothe Turkish market. Great amounts ofecstasy seizures in 1996 have supportedsuch an assertion.

TABLE 1Ecstasy Seizures

Year Case Quantity ( unit )1995 3 91996 4 3473

Note: The statistics of all tables are taken from policeregistrations in the Ministry of Interior.Theamounts include the registration of police, GeneralCommand of Gendarmerie and Coast GuardCommand.

vi) Morphine BaseMorphine base seizures were generally

made at the clandestine heroin laboratoriesdiscovered. Seizure ratios, compared to lastyear’s statistics, indicate a major declinefrom past years cases in number but alsosome partial incline in confiscatedamounts, which suggests there is morphinebase trafficking taking place in big lots.

vii) Synthetic DrugsThe basic synthetic drug of traffic is

captagon. Captagon is not consumed inTurkey but mostly in the Middle-Eastcountries. Illicit captagon production isconcentrated in certain Europeancountries. Manufactured tablets illicitlyenter Turkey in the west and aretransported to the Middle-East by certainorganizations in the south and southeast

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of Turkey. To that effect, land transport isutilized, making use of the existingcommercial contacts with Middle-Easterncountries.

Another route in the illicit traffic is theone leading from European countries, viamaritime lines, to the countries indownward location to Turkey. The relativedecrease in seizures merits attention,despite a clear decrease during 1995 inTurkey.

F. Drug Trafficking OrganizationsWhile illicit drug trafficking used to be

run before the 1990’s by people or groups,more recent times saw traffickersincredibly intensify their activity byforming large family organizations and/orestablishing twopartite or threepartitefamily organizations to get higher profitsand run their activities on a larger scale.

ASENA was initiated to make a generalanalysis and to further enlarge, based oninformation developed, the scope of existingmeasures by establishing matters such asgeneral structures, modus operandi,targets, roles in the traffic of the mentionedorganizations and what contacts are madewith who.

With ASENA taking effect, informationwas established that:

• Drug trafficking organizationswere running their illicit businessintertwinedly.

• Activities conducted were limitedto a main focus, based on sharedfields of duty among them.

• Traffickers preferred to establishkinships, or reinforce existinginternal relations, throughmarriages to unite their powerand enhance trust in each other.

• Traffickers had become sectors ofthe production, transport, storageand distribution of illicit narcotics,and of the transfer of illicit profitsderived from such criminalactivities.

It is clear from the above the inter-organizational division of duties. Below area few examples of the above mentionedpoints:

• The HAN organization wasmeeting the morphine base needsof such organizations. HurshitHAN, leader of the organizationwas arrested in Istanbul on 9th,September 1996 in connectionwith some 750 kgs of morphine

TABLE 2Drug Seizure Figures for Turkey in 1996 by Drug Type

TYPE CASES ACCUSED QUANTITY(kg)Hashish 1618 3287 12294Heroin 519 1650 4422Morphine base 5 24 1157Opium 26 58 233Cocaine 40 122 13Acetic anhydride 7 29 42450Synthetic drugs* 74 160 259097TOTAL 2289 5330 319666

* Per unit

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base seizure.

• Suppliers of morphine base, theAY and KONUKLU organizationswere converting, in their ownclandestine laboratories, volumesof morphine base into heroin.Located in Saray town, Tekirdag,the laboratories owned by theseorganizations were seized on 8th,March 1995.

• Heroin quantities produced werebe ing t ranspor ted by theK U Y U C U a n d K A S A Rorganizations, into Europe.Mehmet KASAR, leader of theorganization, was arrested duringan operation in Istanbul on 7th,April 1996 where some 158 kgs ofheroin was confiscated.

• Illicit drug quantities moved intoEurope are being stashed inRomania by the SITOCHIOrganization, and pushed invarious European local marketsby the SITOCHI, POLAT andother organizations.

• With ASENA, twenty-five (25)illicit organizations have beenschematized to present time. Ofthese, four (4) were smashed andf ina l ly d i s rupted throughdetermined action taken.

G. Drug Trafficking and RelatedCriminality

While numerous drug traffickingorganizations and cartels initially used tobe small and established with individualleadings, drug trafficking organizationshave increasingly sought partners in crimefor individually conducted activities. Thesewere easily found due to impressing peoplewith the belief of becoming rich; and it iswithin such turn that they become

organizations with rules, penalties,techniques and intimacies.

Many other forms of criminality followthe organization of drug related crimes.While illicit drug crimes are considered atearly level stages such as illicit narcoticsplanting, dealings and abuse, many othercrimes like the smuggling of precursors(including the smuggling of controlledprecursors placed under internationaltreaties), laundering drug money, violence,murder, fraud, theft, human trafficking,arms smuggling, and terrorism are gainingincreased momentum largely due to illicitgains being shifted into other criminalchannels.

III. CURRENT SITUATION OFTRANSNATIONAL ORGANIZEDCRIME EXCEPT ILLICIT DRUG

TRAFFICKING

The general situation of illicit drugtrafficking has been clarified. The followingwi l l t ry to br ie f ly expla in othertransnational organized crime, withstatistics.

A. Illicit Firearms TraffickingIn 1995 and 1996, illicit firearms

trafficking occurred in Turkey. Thestatistics of individual and organized illicitfirearms trafficking are given below.

TABLE 3Recent Firearms Trafficking

Year Incident Arrested Offenders Fugitives1995 145 603 461996 171 918 731997* 145 683 56

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Confiscated Firearms and OtherMaterials

Year Firearms Bombs Bullets 1995 1.006 132 37.479

1996 1.054 1 91.275 1997 1.316 - 61.571

The PKK play an important role in illicitfire arms trafficking in addition to drugtrafficking.

B. Smuggling of Illegal MigrantsBecause of the political instability in

Northern Iraq, Turkey is having someproblems in this regard. This problem hasemerged recently and no certain statisticsare available. Some organized groups aretransferring the people of north Iraq viaTurkey, Greece, Bulgaria to EuropeanCountries. These organized groups areproviding false passports to Iraqi peopleand are manipulating them to apply aspolitical refugees in European Countries.Besides this, some people who areunemployed are cheated by organizedcrime groups with the promise of work. Thetable below indicates the situation of illegalmigrants cases by year.

TABLE 4Illegal Migrant Cases

Year Incident Accused1994 35 1221995 49 1731996 47 1881997 35 171

C. Illicit Trafficking in Women andChildren

In Turkey there may be illicit traffickingin women, but there is no such problem forchildren. This might stem from the cultural

structure of Turkish society. After thecollapse of the Soviet Union, considerableamounts of women, who are engaged inprostitution, entered Turkey from Russiaand some Balkan countries. This incidentis not generally a result of the activities oforganized groups, but the individualpreferences of the women from the abovementioned countries in which poverty hasbecome one of the major problems.

D. Stealing Motor Vehicles and theirIllicit Ttrafficking

The number of foreign stolen motorvehicles sold in Turkey is so limited that itis not worth mentioning. However, Turkishworkers employed in various Europeancountries are bringing their own cars of ahigh quality, which are comparativelycheap in Europe but expensive in Turkey,and selling them through various methodswithout paying customs tax.

TABLE 5Stolen Motor Vehicles

Year Confiscated Cars Cars Searched 1994 275 413 1995 197 200 1996 171 165

E. Money LaunderingPredominantly, money laundering

activities are performed at casinos. Theowners of casinos are receiving a certainpercentage of the illicit money from ownersof this money for money laundering.Besides casinos, money launderingactivities have been found in paravanecompanies, travel agencies, hotels andbanks. These types of activities areperformed both by organized groups andindividuals. In order to camouflage theseillicit activities, some fictious companieshave been established and employed.

*The numbers of 1997 in the whole tables are takenfrom police registrations and do not include othersecurity forces registrations.

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F. Transnational Economic Crimes(Others)

In regard to transnational economiccrimes, counterfeiting can be mentioned inTurkey. Counterfeiting is committed byorganized groups or persons who haveinternational relations. These groups orpersons have the technical capability ofimitating foreign or national currency byusing press equipment or photocopymachines.

TABLE 6False Banknotes Obtained

Year $ DM TL1994 10482510- 717000- 24522500-1995 873470- 607400- 35960000-1996 1122020- 417850- 21904000-

IV. LEGAL FRAMEWORK AGAINSTTRANSNATIONAL ORGANIZED

CRIME BY THE CRIMINALJUSTICE SYSTEM IN TURKEY

There is no specific act to penalize crimescommitted by transnational organizedcrime groups. However, there are manyprovisions in the Turkish Penal Code tocountermeasure such crimes. Also if thecrime is committed by a group of people,the penalty is increased proportionally. Yetthe Turkish Penal Code defined organizedcrime as below:

“ They who become organized tocommit crime ”. Article 313- “They whoform an organization to commit crimein any form, are punished with prisonsentence from 1 to 2 years.”

According to Turkish Penal Code Article36:

“ a-If some special tools are prepared forthe purpose of community crime, thesetools and equipment are confiscatedby the state.

b-I f some materials which are

prohibited of using, selling or owningby law, are produced, these materialsare also confiscated.

c-If firearms are carried without thepermission of the authorities, thesefirearms are confiscated. ”

Beside this, The Prevention andControlling of Smuggling Act also hasarticles to confiscate goods, tools andproceeds derived from crime. These articlesare applicable to specific transnationalorganized crimes. Additionally The DrugControl Act contains provisions for theconfiscation and destroying of drugs.Finally, firearms either obtained bysecurity forces or confiscated by the courtsare submitted to the defense secretary (theAct About Firearms and Other CrimeTools).

Moreover, the Prevention of MoneyLaundering Act has adjusted for theconfiscation of ‘black’ money. According tothe Act, offenders who money launder canbe punished with imprisonment. The,‘black’ money is confiscated and theoffender has to pay twice that quantity ofmoney back as a penalty. If the offenderdoes not have enough money, their propertyis correspondingly distrained.

There are not any specific laws tocriminalize organized crime groups inTurkey at present. However both theMinistry of Justice and the Ministry ofInterior have prepared a Bill to regulateorganized crimes which is expected to passin Turkish Parliament in 1998.

Controlled delivery is regulated by anAct to prevent money laundering. There aresome regulations about immunity in thePolice Duty and Authority Act. Securityforces can search private places with awarrant issued by a judge. Yet with thejudgment of a court, the police can wiretapaccording to The Criminal Judicial

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Procedure Act. The members of parliamenthave immunity in the sense that they cannot be taken to court without thepermission of the parliament.

There are provisions for the protectionof witnesses for terror related crimes inTurkish legislation. We have a special Actwith regard to criminal punishment insentencing policy. The Turkish Penal Codeand The Criminal Judicial Procedure Actregulates criminal law. As known, there areinternational treaties to facilitateinternational cooperation such asextradition and mutual legal assistance incriminal matters. All of these treaties havebeen accepted by parliament.

V. CURRENT SITUATION OFDETECTION AND INVESTIGATION

IN TURKEY

In the Constitution of the GeneralDirectorate of Security, the Department ofAnti-Smuggling and Organized Crime isestablished. In the structure of thatdepartment, seven (7) branch offices areformed as follows:

i) The section of economic crimes.ii) The section of narcotic crimes.iii)The section of illicit firearms.iv) The section of organized crimes.v) The search section.vi) Technical services section.vii)The bureau of official documents,

statistics and computer systems.

Besides, the specific section, eachrespective section engages organized crimewhich is related to their own matters. TheDepartment of Anti-Smuggling andOrganized Crime is sufficiently organizedand equipped to deal with crime all overthe country.

In every province (there are eighty (80)provinces in Turkey) that anti-smugglingand organized crime units are constituted,

they are subordinated to The GeneralDirectorate of Security via the Directoratesof Security. In addition, Anti-smugglingBureaus have been established and madeoperational in some fourteen (14) citieswith strategic importance in terms of drugtrafficking (such as Yüksekova, Hopa,Çesme and Iskenderun).

The Department is responsible for thecollection, analyzing and dissemination ofall information related to drug smugglingand organized crime, as well as theprovision of instruction and guidance tolocal units. It also carries out the allocationof personnel, financial and logisticalresources to local units. They also use ate le -drug system which providescomputerized information exchangebetween other countries and Turkey.

The equipment which is cal led“Smuggling Network Project” has beenrecently procured for a more efficientcombat of smuggling and organized crimenation wide; providing audio-visualcommunication between the center and itsunits. In this way it is possible to transfersuspect’s pictures and crime evidence toform archives. This project will beoperational in 1998.

During wiretapping (possible with acourt order) tape recorders of out datedtechnology are used. Therefore it becomesimpossible to transfer records into a digitalenvironment and so cross-examine. But adigital record system was purchased for theCenter and fifteen (15) provinces in 1997,thus the above-mentioned problem willcease. Turkey does not have any importantproblems regarding equipment and devicesdue to progress made.

In Turkey, as city-based investigators oforganized crimes have sufficient ability andexpertise, regional seminars have beenarranged on the current legal and

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administrative situation of smuggling andorganized crime, new methods, technicaland personnel possibilities, problemsencountered for the managers of smugglingand organized crime units. The first ofthese seminars has been held in Diyarbak,the second in G.Antep, the third inErzurum, the fourth in Samsun and thefi fth in Ankara. Furthermore thespecial ized training program (forinvestigators in regional bases) has beencarried out with the aim of more effectivecombat of such crimes that have increasedlately.

In detection and investigation, gatheringinformation is very important. In Turkey,the measures written below are taken togather information;

• Wiretapping of conversations ofsuspects (people known to berelated to such crimes), paravanecompanies and paravane financialconstitutions.

• The accounts of suspects andcompanies, banks mentionedabove are taken under control.

• The connection between ordinarycrime groups and political crimegroups such as the P.K.K. iswatched closely.

• Suspected hotels and travela g e n c i e s a r e k e p t u n d e rsurveillance.

There are a lot of difficulties inidentifying transnational organized crimegroups and gathering information aboutthem. Some of those are;

• Such crime groups obtain and uses o m e p o l i t i c i a n s , p u b l i cadministrators, journalists.

• Such groups look out for anyweakness of police chiefs, judges,public prosecutors, politicians andpublic administrators and thenblackmail them.

(Note : The two issues mentioned aboveare speculative, as no such cases have beendetected yet in Turkey.)

• Sufficient information is not givenby opponent countries andinternational investigationo r g a n i z a t i o n s , s u c h a sINTERPOL. The intelligenceservices of some foreign countriesare behind such crime groups.

Yet the detection of such crimes has beenquite successful so far. Besides, the personswho play major roles or who are in thehighest position in such organized crimegroups have been successfully arrested.(For instance the chief of crime group ofSÖYLEMEZLER, Sena SÖYLEMEZ ; thechief of Hursit Han’s group, Hursit Han;the chief of Havar Family, Halil Havar haveall been arrested and jailed).

Some difficulties, encountered withregard to international cooperation, suchas extradition and mutual legal assistancein criminal matters, are listed below:

• Opponent countries do not assistin the matters above mentioned.

• Controlled delivery can not beperformed as required.

• There i s no internat ionaldatabank concerning such crimes.

VI. CURRENT PROBLEMS IN THECOMBAT OF TRANSNATIONALORGANIZED CRIME AND SOME

PROPOSALS

i) Some governments, intelligenceservices, companies and banks are at thebottom of such crime groups world wideand therefore an International CriminalCourt must be founded.

ii) There are some deficiencies andconflicts in the law related to such crimesin some countries. For this reason, the laws

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of countries must be united and anInternational Penal Code should beprepared to deal with such crimes.

iii) Cooperation among transnationalorganized crime groups is more intensivet h e n i n t e r n a t i o n a l c o o p e r a t i o n .International cooperation should befacilitated including extradition andmutual legal assistance in criminalmatters.

iv) Gathering information is the mostimportant factor in the combat of suchcrimes. So cooperation among intelligenceservices and national polices must beprovided.

v) Special programs should prepared toprotect witnesses in the course ofinvestigations and trial proceedings.

vi) Confiscated illicit proceeds derivedfrom specific transnational organizedcrimes must be expended for the combat ofsuch crimes.

vii) Controlled delivery is veryimportant to detect such crime groups.National police forces should be operativein foreign countries or international policeauthorized to operate in each country.

viii) International databank connectedwith all countries should be established.

VII. CONCLUSION

Organized transnational crime is one ofthe worst problems for all countries.Organized crime first disturbs publicsecurity and the balance of economy. Itmenaces public health because of drugaddiction, reduces reliance on governmentand in this manner causes anarchy, andresults in the judicial system becoming outof order.

It may be impossible to eliminateorganized crime, but it can be reduced to aminimum level. It is impossible to preventsuch crime with measures based solely onnation wide efforts. In this regard, it isnecessary to combat crime on aninternational level. Therefore internationalcooperation is inevitable. Importance mustbe attached to international cooperationand organized crime must be takenseriously by governments. They must doeverything they can to combat crime on anational and an international scope.

APPENDIX A

THE MODUS OPERANDI BEHINDTHE SEIZURE OF SOME 22.440

KILOGRAMS OF ACETICANHYDRIDE

On 13th Feburary, 1996 a joint operationat the Alsancak Marine Bordergate wasundertaken by the Izmir Narcotic Policeand the Custom Directorate’s officers andsome 22,440 kg’s of acetic anhydride,concealed in 379 barrels on TIR truckdriven by a Belgian national, Willy DEDECKER, were confiscated aboard theferry ‘SAMSUN’ on a cruise from Italy. Theoffenders, Ayhan YUMRUTAS, AliKAZAKOGLU, Ridvan SERINKAN, TolgaTASDEMIR and Kemal ÖZ were arrestedin connection with the case. The truckdriver said, during the interrogation, thathe had taken the ‘cargo’ from Belgium’sMichelin city at the ‘S.T.O.P.’ hangar in theindustry zone of Dender MONDA city, bymeans of the owner of ‘GP CARGO’, aBelgian, Paul GIDIER.

On 14th March, 1996 some 20kg’s ofheroin was seized in Izmir. The offender,Abu Bekir SIDDIK OKTAY, said during theinterrogation that 11 tons of the 22,440 kg’sof the acetic anhydride were going toYüksekova; and 5 tons of the substancewould be moved by the traffickers to thePKK camps in the village Cermi, Urumiye

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of Iran. He also said that the PKK had theTebriz of Iran as its illicit drug center.

APPENDIX B

THE MODUS OPERANDI OF THE‘HURSIT HAN’ CASE

Acting on a tip, Istanbul Narcotic Policestopped and searched a TIR truck withentry from Iran to Turkey through theGurbulak border crossing. The search ledto discovery of some 750 kg’s of morphinebase - each in 1 kg packets - and concealedin a secreted parasitic attachment to thedorse of the vehicle. The offenders, HursitHAN, his brother Sükrü HAN, SevketÇAGIRTEKEN, Hasan YILMAZ, MuhittinARSLAN, Mustafa HANIFIOGLU,Mehmet Sait TURGUT, Halil GÜNES,Nusrettin HAN, Osman ABDULLAH,Mehmet ALAKEL, Mehmet KARABAG,Sükrü ÇAGIRTEKIN, Idris ÇAGIRTEKINand the Iranian nationals, SüleymanFerhadi GHOLANJI, Fardin AMJAD,Ramin GANIZADE, Mohammed AliMAGHSOUDI, Hokmali GhanizadehDIZAH and Ahmet REGIKALES wereapprenended in connection with the case.During the interrogation Hursit HAN saidhe had some acetic anhydride stashed on afarm in nearby Sapanca, Sakarya. Thefarm was stormed on that information andsearched, which resulted in discoveries ofsome 6831 of acetic anhydride along withlab equipment used in heroin productionand a tabulating machine to press themanufactured heroin.

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108TH INTERNATIONAL SEMINARREPORTS OF THE SEMINAR

REPORTS OF THE SEMINAR

TOPIC 1

CURRENT SITUATION OF ILLICIT DRUG TRAFFICKING

Chairperson Mr. Tahir Anwar PASHA (Pakistan)Co. Chairperson Ms Sakiko WATANABE (Japan)Rapporteurs Mr. LAI Yong Heng (Malaysia)Co. Rapporteurs Mr. Maring KATAKA (Papua New Guinea)Key Note Speakers Mr. Abdul Wahhab SARKAR (Bangladesh)

Mr. Armogam GOUNDER (Fiji)Mr. Yim-Fui CHEUNG (Hong Kong)Mr. Purushottam SHARMA (India)Mr. Bu-Nam YANG (Republic of KOREA)Mr. Udaya Nepali SHRESTHA (Nepal)Mr. Toshio KUSUNOKI (Japan)Mr. Abdallah Ali Mohammed AL-SHIHRY (Saudi Arabia)Mr. Muammer Yasar OZGUL (Turkey)Mr. Boza GUERRERO (Nicaragua)

Advisers Professor Tomoko AKANE (UNAFEI)Professor Hiroyuki YOSHIDA (UNAFEI)Professor Kayo KONAGAI (UNAFEI)

PREFACE

UNAFEI arranged 108th Seminar tovisualize the difficulties in combatingtransnational organized crime, as it hasbecome a major concern due to the latesttechnological advances. Outlaws havebetter access to modern technology then thelaw enforcers. Organized crime groups areconscious of and ready to seize theopportunities presented to them byglobolization and the growing trendstowards trade liberalization to extend theiractivities and operation, inspite of theincreased awareness of the problem on thepart of governments. The subject oftransnational crime was discussed atlength in the seminar but given itsvastness, it was decided to divide it intosub topics for elaborate and comprehensivediscussions. The participants took activepart in the discussion of all the four subtopics mentioned below, but the key notespeakers contributed a lot in completing

the final report on each topic:• Current situation of illicit drugs

trafficking,• Current situation of other organized

transnational crime,• Legal framework against organized

transnational crime by the criminaljustice system, and

• Current situation of detection andinvestigation.

The views of visiting experts have alsobeen incorporated in the reports. Of course,these reports were not possible without theable advice of the two faculty membersattached with each topic.

I. INTRODUCTION

No steps can be taken to fight againstany menace unless we first gatherinformation and intelligence regarding itscurrent situation and past trends. Drugtrafficking figures very prominently intransnational organized crime. The annual

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profits of organized crime are estimated,according to some sources, at one trilliondollars world wide; almost as much as theUS annual federal budget (Ref.8; Vlassis,1998). As per report of UNDCP 1994, outof it not less then 500 billion dollars is theshare of profits coming out of the drugtrade, which is about half of US$ 1,000billion spent world wide on defense in 1991.As per estimates of Financial Action TaskForce on Money Laundering of the G-7, thedrug market in Europe and US aloneamounted to more than US$ 122 billion in1990. In 1995 US c i t izens spentapproximately $ 57 billion on drugsincluding $38 billion to purchase cocaineand $10 billion on heroin from overseassources. In comparison with this high-income society where average per capitaannual income is $20,000, take the exampleof Pakistan where average annual incomeis about $500. As per UNDCP report 1994,estimated consumer expenditure inPakistan on heroin alone was US$ 1.2billion per year.

All the above figures point towards theheinousness of the situation, which isbecoming worse with every day passing.Improved technological and administrativeinfrastructure facilitates both legal andil l ic it trade. Increased trade andliberalization of the market space, spellsmore opportunity for illegal transactions.Evidence for this generalization may befound in the example of the EuropeanUnion. From the mid 1980s onwards, whichis noted for the single European market,seizure of narcotics increased noticeably.Seizure of heroin grew by 7 times in 1985to 1994 while for cocaine it jumped by afactor of 42. These increased seizure figurescan not be attributed to stronger lawenforcement as the annual number ofdeaths from drugs also increased by 5 timesfrom 1982 to 1991. This suggests thatabsolute amount of drugs in Europe alsoincreased (Ref. 7B; Savona, 1998).Increased seizure figures (as we shall see

in the following sections of this report) insource and transit countries are also notan indicator of efficient law enforcement,rather it could be an increased activity ofdrug trafficking as we are still unaware ofthe “Dark Figure” of their successfuloperations.

To embark on the subject, we must firstbe aware of the types of drugs which arehaunting the sociologists in particular andlaw enforcers in general.

II. TYPES OF DRUGS

A drug is any substance that can causea change in body or way of thinking andfeeling. Classification of drugs can be doneby adopting different criteria as to whetherthey are natural, semi-synthetic or basingon their physiological and pharmacologicalaction on the body. Drugs occurring innature are called natural drugs. Plantsmake many drugs and store them in theirroots, bark, leaves, flowers, fruits, seeds,resinous and milky exudations. These arecrude and raw natural drugs. We canprocess these crude drugs to isolate theactive compounds in it and chemicallyconvert them into other compounds tomake them more efficacious or reduce theirill-effects on the body. Such man-madedrugs derived from natural drugs are calledsemi-synthetics.

Drugs which are wholly man-madestarting from elements like carbon,hydrogen, nitrogen, phosphorus, sulphur,etc, or from simple primary chemicals, areknown as synthetic drugs. Synthetic drugs,similar in properties to the natural ones,are produced in factories so as to makethem available in greater quantities formedical use and at cheaper prices. Thesesynthetic drugs make up the shortage, asthe plants producing them are grown onlyin certain parts of the world under certainspecial climatic conditions and that too inlimited areas. Natural and synthetic drugsexist side by side. Apart from classification,

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which varies according to the origin ofdrugs , there can be many o therclassifications. As regards the effect of thedrugs on the human body and mind, thefollowing broad classification may be ofinterest:

A. Narcotic DrugsIn general, narcotics can be defined as

those which, in therapeutic doses, diminishawareness of sensory impulses, especiallypain, by the brain. In large doses it causesstupor (condition of insensibility), coma orconvulsions. This would include:(1) Cannabis preparation including

hashish,(2) Opium and opium alkaloids like

morphine,(3) Coca alkaloids like cocaine, and(4) Synthetic narcotic drugs like pethidine.

B. Psychotropic DrugsThe Greek word ‘psyco’ means ‘soul’ and

‘trope’ means ‘turning’, therefore, any drughaving peculiarity to effect the mind is apsychotropic drug. These include:(i) Hallucinogens: These are both natural

and synthetics drugs like LSD (Lysergica c i d D i a t h y l a m i d e ) a n dTetrahydrocannibinals.

(ii) H y p n o t i c s : S e c o b a r b i t o n e ,Phenobartone.

(iii)Stimulants: These drugs induce ane x c i t e m e n t i n t h e b o d y l i k eamphetamines, cocaine.

(iv) Tranquilizers: Under this class wouldfall drugs which are painkillers,analgesics, sedatives, like barbiturates,opiates.

C. OpiumOpium is obtained from the poppy plant

by making incisions into the unripenedseedpod of the poppy. A milky substanceoozes out and turns reddish brown uponcontact with the air. The substance iscollected and further refined. If it isintended for illegal use, it is mixed with

glycerin and water and boiled down. Thesubstance is processed further by cookingto evaporate the water, with the remainingglycerin keeping the final outcome opium-pliable. The opium is further processed tobecome illegal morphine or heroin.

D. MorphineMorphine is the principal alkaloid of

opium. Since morphine is a condensedextract, it is three times stronger thanopium. There is wide variety of legitimateuses for morphine as a medicinal or pain-relieving agent. In its natural state,morphine is not readily soluble in water.Therefore it is treated with sulfuric acid.The texture is light, very similar to that ofchalk dust.

E. HeroinHeroin is another of the opiates. Public

concern as to the opiates is focusedprimarily on heroin being regarded as thechief drug of addiction globally. Heroin issynthesized from morphine and, grain forgrain is ten times more potent in itspharmacological effects. Heroin acts as adepressant to the spinal cord. The toleranceof this drug builds up faster than any otheropiate. Consequently, the danger of drugdependency is considerably greater. It hascome to known as the most dangerous andenslaving drug.

F. CocaineCocaine is a white crystalline alkaloid

that is a potent, dangerous, and habit-forming drug. It was first used scientificallyas local anesthetic in 1884. Its medical useas an anesthetic is based on its ability tointerrupt conditions in nerves, especiallyin the mucous membranes of the eye, noseand throat. Cocaine is obtained from theleaves of coca, a bush commonly found wildin Peru and Bolivia and cultivated in manyother countries. After the coca crop isharvested, it is processed and, generally,shipped to Columbia for refinement into

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cocaine. Its use is not new; for centuriesIndians of Peru and Bolivia have chewedcoca leaves, often mixed with ashes of plantand with limestone, for pleasure and toenable them to withstand strenuous work,walking, hunger and thirst. The chemicalin the leaves produces local anesthetic ofthe stomach. The fine, white cocainepowder, also called snow or coke, can besniffed and readily absorbed from nasalmucous membranes. Cocaine can also beinjected in solution or smoked in achemically treated from.

G. CannabisCannabis is a plant belonging to the

hemp family. The genus originated fromCentral Asia and is now cultivated widelyin the Northern Temperate Zone. It isprized as the more abundant source ofmildly hallucinogenic drug present in theresin (cannabin) of the flowering tops,leaves, seeds and stems. Cannabis is alsoknown by many other names: hashishcharas, bhang, ganja and marijuana. Thedried crushed product varies in potency,depending on how and where it is grown,prepared, used or stored. It usually issmoked in cigarettes or pipes; it also canbe sniffed, chewed, or added to foods orbeverages. Compared to opiates, cannabishas a shorter history of abuse. Cannabiswas seen as a symbol of the liberal westernsociety in South East Asian countries.

H. Synthetic DrugsSynthetic drugs existed in history since

the development of modern medicalscience. Advances in chemical technologyhave opened vistas to new chemicalsubstances which bring effects similar tomost of the naturally grown drugs. Costdifferentials have paved the way for thedevelopment of synthetic drugs. Onekilogram of heroin costs more than$100,000 in the U.S. while 1/10th of its costmay manufacture the substance of equalpsychotropic results. Narcotic traffickers

have already seen the future in this as itsubstantially curtails the risks in longtransportation. They would not have todepend on, weather effected, two crops ina year. Drug crops are vulnerable todestruction in the hands of law enforcers.Land space and little horizontal mobilityare required in the manufacture ofsynthetic drugs as compared to naturaldrugs.

The world of abusers is embarking on agradual shift to synthetic drugs. The useand trafficking of amphetamines (full namemythylemphetamine or short ‘ICE’) and itsderivatives are now increasing all over inEurope, US and Asia. Clandestinemanufacture of amphetamines is easy andrisk free although one of its precursorchemicals remains the plant basedephedrine. It has thus been inevitable thatwhere easier and less visible method ofdrug production are invented, the illegalsyndicates will turn to them for profit.

III. SOURCE COUNTRIES FORDRUGS

Drugs of some kind or other are producedin some quantity in almost every part ofthe world. But there are countries, whichhave become the source of supply to othercountries. These countries have surplusproduction of drugs, which started theretraditionally or by design of illegalproducers. As per UNDCP database, up to3.25 percent of arable land of somecountries is under illicit cultivation. Bargraph in figure 1 indicates countries withsuch a high ratio. Most of the sourcecountries are those which either had weakpolitical systems or unstable governmentsin the past. While talking about traditionalproducers, China was on top, followed byIndia in the production of opium. After therevolution, production in China has beencurtailed to a large extent and India is nowthe largest producer of opium in the world.As per INCB, 1995 figures legal production

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in India was 807,000 kilograms while inChina it was 20,190 kg. It is presumed thatsome part of the quantity of legalproduction is produced clandestinely, whichfinds its way to become derivatives.

World maps on the following pages showareas which produce different types ofdrugs (and routes also, which we willdiscuss later). We can see a concentrationof producing areas for different drugs, typesof which have been shown with distinctsymbols. The prominent areas are asfollows:

(1) South American concentration:Columbia continues to lead the worldin cocaine production. Cannabis isalso produced there, shared inproduction by Mexico. The cocaineproducing countries in South Americaare Bolivia and Peru which arebasically coca leaves producingcountries; processing is done inColumbia.

(2) Golden Triangle: This is the oldestand most talked about source ofheroin and marijuana in the world.This is a hilly tract lying in betweenMayanmar, Laos and Thailand. It isestimated that 60 percent of theworlds supply of heroin and opiumcomes from this area. Mayanmaralone is sharing 50 percent of theworld’s illicit production of opium andheroin. Laos happens to be a bigproducer of marijuana along withopium.

(3) Golden Crescent: This area is in theshape of crescent stretching from thePakistan-Afghanistan boarder tonorthern part of Iran. This is also ahilly area mainly inhabited by thetribals of the countries mentionedabove. Due to stringent control byPakistan, the production has nowshifted from Pakistan to insideAfghan boarders. Afganistan alone isproducing some 2,300 tons of opium

annually.(4) Synthetic Drugs Producing Regions:

Due to reasons already mentionedthe world is gradually shifting tosynthetic drugs and in theirproduction, China and Russia-twochemical producing giants-areleading. In Europe also, scatteredpockets of the chemical industry canbe found in Holland, Poland and someother eastern European countries.

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FIGURE 1

ILLICIT CULTIVATION IN THE EARLY 1990s

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FIGURE 2

SOURCE COUNTRIES AND ROUTES(COCAINE)

Source: The NNICC Report 1994, published in 1995.

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FIGURE 3

SOURCE COUNTRIES AND ROUTES(HEROIN)


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FIGURE 4

SOURCE COUNTRIES AND ROUTES(MARIJUANA AND HASHISH)


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IV. CONSUMING COUNTRIES

It is a proverb that demand creates itsown supply. The world forums are thinkingalong the lines that instead of putting futileefforts in curtailing the supply, focus shouldalso be on reducing the demand. Abuse ofdrugs remained present since timeimmemorial, but in the recent decades itmultiplied beyond geometrical dimensions.According to the recent survey data, about13 million Americans-6.1 percent of thetotal population-used drugs on a casual,monthly, basis in 1996. The survey dataindicates that in 1995 there wereapproximately 3.3 million chronic users ofcocaine and some 500,000 heroin addicts.It is estimated that nearly 5 millionAmericans have tried methamphetamines,an illicit drug associated with particularlyviolent aberrant behavior, in their lifetime.

There is no doubt that the United Stateshas a serious problem with the degree ofillegal drug use. Unfortunately, othercountries are also experiencing an increasein illegal drug use. In Pakistan the heroinaddict population is estimated to havegrown from virtually none in 1980 to 1.52million in 1995 (as per IndividualPresentation of Pakistan). Likewise, theuse of cocaine and other illicit drugs hassubstantially increased in Russia and othercountries of the former Soviet Bloc sincethe breakup of the Soviet Union.

In European countries, too drugs arehitting hard and more than 20 percent ofpopulation in some way or other is effectedby drugs. Newly disintegrated States offormer Soviet Union are fast developing adrug culture. They are not only consumingdrugs but also rapidly becoming transitcountries who reap huge profits for theirblack economies. Belgium has alreadybecome a big consumer of synthetic drugsand serves as a transit point also. In Francethe situation can be imagined from the factthat in 1991, 45,000 arrests were made ofdrug users which may be only 5 percent of

the actual drug users.Countries which remained known for

their production are switching over todomestic consumption. As per someestimates, five to ten percent of thepopulation of the countries comprisingGolden Crescent, Golden Triangle andGolden Wedge, have become addicts of onetype of drug or another. Countries in theimmediate vicinity of these areas are alsoshowing sign of high drug abuse ratios. Asquoted by the Philippines participant thereare 1.7 million drug abusers, 70 percent ofwhich are located in Manila. There, thetrend is mostly developing for Shabu (localname for mehtamphetamine) among youngschool and college students. Similar is thecase with the transit countries which wereknown previously for their trade only.These countries have become user-dealers.Pakistan’s example can be quoted in thisrespect. Pakistan claims to have eradicatedpoppy production altogether with stringentState measures, however, it still remainsa transit country for Afghan Production.Due to this very reason Pakistan has aheroin addict population of more than 1.5million.

T h e U N D C P ( U n i t e d N a t i o n sInternational Drug Control Program) hasrecently conducted a comparison of someselected countries for estimated heroinabuse and consumption expenditure onillicit drugs. The report has been publishedin 1997 and is an eye opener forsociologists.

In recent years, the most pronouncedincrease in drug abuse has been reportedfor synthetic drugs. This rise includes theabuse of ATS (amphetamine-typestimulants). Some 30 million people (0.5percent of global population), more thanheroin and probably more than cocaine,consume ATS worldwide (Ref. 5; WorldDrug Report).

As per UNDCP estimates more than 440million people world over use some kind ofdrugs. Their classification may be seen in

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Table 1. Their percentage of the total worldpopulation has also been calculated.

TABLE 1

ESTIMATED NUMBER OF WORLD DRUG ABUSERS (ANNUALPREVALENCE) IN 1990s

Countries Estimated Heroin Consumption ExpenditureAbusers (thousands) on Illicit Drugs (US$ Millions)

All drugs Heroin

Australia 285 4,389 1,172Italy 370 13,400 9,000Pakistan 1,520 1,500 1,200Sweden 5 400 100Thailand 214 1,900 820UK 100 n/a 1,330USA 500 48,700 7,100

Estimated total in % of total population(million people)

Heroin and other opiate-type substances* 8.0 0.14%Cocaine* 13.3 0.23%Cannabis* 141.2 2.45%Hallucinogens** 25.5 0.44%ATS** a30.2 0.52%Sedative-type substances** 227.4 3.92%

Sources: UNDCP Annual Reports Questionnaires; UNDCP Mission Reports; UNDCP Country Profiles:UNDCP Country Programme Frameworks; United States Department of State, International NarcoticsControl Strategy Reports: UNDCP estimates.

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V. TRANSIT COUNTRIES ANDDRUG ROUTES

Initially producing countries used tosend drugs directly to consuming countries.But with awareness regarding the sourcecountries in the effected countries, strictmeasures were adopted to block the supply.Effect ive enforcement techniquesconcentrated on the incoming traffic ofpassengers and cargo from producingcountries. This gave birth to thephenomena of transit countries. Traffickerschose non-producing commercial countrieswith heavy out going passenger and cargotraffic as an intermediate point to avoiddestination inspections. Today a vast webof trafficking has been created which, dueto its complicated nature, undermines theefforts of law enforcement agencies.

Since the starting point of any drug isthe source country, therefore we can plotthe transit countries and resultant routeson the production map of the world. In themaps at Figures 2 to 5, we can see thegeneral routes of drug flow with respectivetransit countries and ports.

Colombia being the leading producer ofcocaine, carries extensive drug cartelsusing Mexico and Central America asstaging or trans-shipment area for U.S.-bound cocaine through Southwestern andSoutheastern bordering States. As regardsEuropean countries, Spain and Italy arestill the major entry points for cocaine,along with Portugal. From these countriesit spreads to all of Europe through France.Italian Mafia plays a leading role incontrolling the deliveries. Cocaine is alsoair lifted from South American countriesin small but steady quantities by Nigeriansvia international airline points. Austria hasfurther become a transit point of cocainefor Russia.

The Asia-Pacific region is the location ofthe major opium cultivation sources i.e. theGolden Triangle that includes the areas ofthe northern part of Thailand, thenortheastern part of Laos and Myanmar.

Drugs from the Golden Triangle can betrafficked to the world market throughIndia, China, Myanmar, and Thailand.India is used as a transit point for opiumand heroin produced in Southeast Asia.Narcotics from the Golden Triangle enterIndia through its northeastern borderlinebefore being further transported to Europeand North America. As for China, besidesfacing an upsurge in opium and heroinabuse, the country has now developed as atransit route for heroin from the GoldenTriangle to Hong Kong. Traffickers havesignificantly increased the movement ofheroin through the southern borderprovinces of Yunnan, Guangxi andGuangdong to Hong Kong, takingadvantage of burgeoning commerce in theregion.

At the international level, the Frenchconnection, the heroin smuggling routefrom Turkey to New York by way ofMarseilles, has been replaced by theChinese connection. Heroin from SoutheastAsia begins in the poppy fields of theGolden Triangle and continues throughHong Kong to the United States with theultimate destination as New York City. TheDEA’s reports indicated a substantialincrease in the proportion of SoutheastAsian heroin entering the U.S., and theSoutheast As ian hero in t rade i sincreasingly dominated by the Chinese. 56percent of all heroin seized by U.S.authorities was seized in New York. Of thatheroin, 70 percent was found to be ofSoutheast Asian origin (Ref. 14; Mr.Yodmani, 1993).

In its publication of February 4, 1998,“Sankei Shinbun” a Japanese newspaper,alerted the Japanese nation to a news t i m u l a n t d r u g “ Y a - B a ”(Methamphetamine base) in tablet form.It is already in use in Golden Triangle andwith the courtesy of “Yakuza” it is nowbeing introduced in Japan. The paper hasalso given an elaborate map of drugmovement in the Pacific Rim which isreproduced in Figure 6.

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FIGURE 5

HASHISH TRAFFICKING ROUTES FROM MOROCCO


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FIGURE 6

SMUGGLING ROUTE FROM GOLDEN TRIANGLE

For the Golden Crescent, Pakistanremains the major transit country as theproducing country Afghanistan is a landlocked country. Afghanistan is also usingIran and C.I.S. for this purpose. Iran has,therefore, become both producing andtransit country. Due to easy passage ascompared to Pakistan, Central AsianStates are now being preferred for transitto Europe and the U.S. This is evident fromthe INCB report for 1995; and the findingsof conference of 37 countries in Europe inFebruary1995.

Trans-shipments of heroin, coming fromCentral Asian regions and Middle Eastcountries are also conducted by Nigeriansvia air through the main internationalairline points. Also Turkish crime groupsare involved in heroin trafficking from theproduction points to Germany and theUnited Kingdom, passing through theBalkan routes and Greece.

Due to the consolidated interactionamong Russian, Chinese and Vietnamesegangs, Austria has become a transitcountry for heroin coming from the CentralAsian regions and for cocaine arriving viaCentral Europe and Russia. In the Southof Europe, Albania has replaced thetraditional transit route used throughYugoslavia for drug trafficking. France isa transit route for hashish originating inSouthwest Asia and North Africa.

In the Netherlands local networks arebecoming the main producers of syntheticdrugs in Europe. From here these areexported through new routes leading outof the European Union, utilized also for thetrade in marijuana and hashish which isstill flourishing. Several internal routes aredesigned to transit synthetic drugsproduced in the Netherlands andamphetamines produced in Poland toSweden, Finland, and other Europeancountries by Dutch, Belgian and Polishnetworks. Also, Belgium is a consumer

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market for synthetic drugs and thetrafficking is carried out throughcooperation between rooted networks ofBelgian and Dutch citizens.

VI. MODUS OPERANDI OF DRUGTRAFFICKING

The methods used to transport illicitdrugs are often very ingenious. Traffickersuse a variety of means to transport drugsincluding automobiles equipped withconcealed compartments, planes, buses,trains, legitimate delivery services, boats,fishing trawlers, ocean-going vessels, etc.Drugs are smuggled by couriers usingvarious concealment methods such asconcealment in traveling suitcases, hidingamong personal belongings, body packing,swallowing methods, etc. In addition tomoving large shipments of the drugs, smallquantities are often moved through themail.

The most popular method used isconcealment in traveling suitcases orovernight bags. Swallowing is also popularespecially among African couriers. Some ofthem are able to swallow several hundredgrams of drugs in balloons or condoms. Therecord seizure obtained in the swallowingmethod was 158 condoms with anestimated gross weight of 1,060 grams ofheroin. Other methods used, includeconcealment in a carton of soap by pressingheroin into the form of soap bars;concealment in the case of an electricalcord, in the core of lace’s roll; concealmentin post-cards, envelopes, books, postalparcels, etc.

With the invention of latest techniquesin the field of detection, like electronicscreening, dog sniffing, etc., the traffickersare resorting to new methods every day.Bulk exporting materials are stuffed withsmall quantities of drugs. Double walledhollow export containers which look likenormal containers are also used which canpass the screening test easily. Countries

having vast international coastlines areoften seen having influx through smallvessels and boats. Air dropping is anothermethod used in the U.S. and Australia forcocaine and heroin respectively. A verynovel method is in vogue in Saudi Arabia,where camels are being used. Trainedcamels are taken out of Saudi Arabia toIraq and Jordan and after loading themwith drugs they are set stray without anydriver. Since the camels know theirdestination, they reach safely home withthe merchandise. In this way there is norisk of human arrest.

VII. DRUG TRAFFICKING MAFIA

Huge margins of profit in drug trade,paved the way for the emergence of bigdrug syndicates and cartels. Formulationof syndicates and cartels was alsonecessary to organize the criminal activitybecause of a continuous exposure to lawenforcement agencies. It was first felt bySicilian Mafia that crime could be bettermanaged viz a viz the criminal justicesystem, if they were themselves properlyorganized. Mushroom growth of organizedcrime groups to reap the profits of drugtrade necessitated the need of mutualinteraction hence transnational groups,syndicates and cartels.

Existence of La Cosa Nostra (LCN) inthe United States is no hidden truth. Largenetworks of LCN families, which arenamed for famous leaders i.e. Genovese,Gambino, Colombo, etc; is involved in allthe narcotics imported and consumed inU.S. The LCN, particularly familiesoperating in the Miami area, havenumerous criminal contact with theColombian cocaine cartels. The LCN alsoworks closely with the Sicilian Mafia in thedistribution of drugs.

Although more than 500 Colombian drugtrafficking organizations have connectionswith Colombian cartels, the two largest arethe Medellin and Cali cartels, named after

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the cities near which their operations arecentered. The cocaine cartels alignthemselves with various paramilitary andguerrilla organizations to protect theirdrug d is tr ibut ion networks . Theparticipant from Colombia mentioned thataction against these cartels has been takenand most of them are behind bars now. Anaction in the past was taken also when withthe help of the Colombian Government, in1992, FBI under cover operation “GreenIce” which resulted into 152 arrests. Thosewere the members of Colombian Cartelsand were arrested from Italy (29), UK (3),Spain (4) and USA (112). In this operationseven of the top ranking financialmanagers of the Cali Cartel were alsohauled up with US$ 44 million worth ofassets (Ref.5; World Drug Report).

The cartels smuggle cocaine into theUnited States through a variety ofgeographic areas. In the mid-1980s, as lawenforcement pressure on drug traffickingin Florida grew, the cartels began to shifttheir emphasis to Mexico. From Mexicodrugs are easily being shipped intoCalifornia. Currently, large shipments ofcocaine enters the United States throughLos Angeles, San Diego and Miami.

Besides the LCN there are othercriminal organizations that originated inItaly and have operations in the UnitedStates. These organizations are: theSicilian Mafia, the ‘Ndrangheta, and theCamorra. Although these are still primarilylocated in Italy, all three organizations areinvolved in international drug traffickingand have various operations in the UnitedStates and Europe.

Galicians in Spain and the Mafia in Italyhave specialized as cocaine importers andmain suppliers for Europe. Local criminalgroups in the Netherlands and Belgiumhave specialized in production and exportof synthetic drugs in and outside theEuropean Union. Nigerians and EasternEuropean criminal networks (headed bythe Russian Mafia) have developed their

activity of delivery service for a wide rangeof products and customers. The formerhave started importing cocaine for theColombian cartels, extending further toheroin from Southeast Asia. The latter, dueto the geographic position and theextension of the territory available, havediversified the products from drugs (bothheroin and cocaine) to arms, alien andprostitutes smuggling, and in returnexporting cars and synthetic drugs fromEurope.

“Russian Organized Crime” refers notonly to organized crime groups operatingin Russia, but rather more broadlyencompasses two general components.First, Russian organized crime refers toorganized crime groups operating in orheadquartered in countries in EasternEurope and Asia that were formerly partof the Soviet Union and the Soviet Bloc,which for example would include Russia,Poland, Hungary, Georgia, Armenia,Kazakhistan, Ukraine and others.Secondly, Russian organized crime refersto organized crime groups operating in over50 countries outside Russia. They arefirmly entrenched in the Former SovietUnion and Soviet Bloc countries, and areexpanding to the United States, theCaribbean, South America, Israel and theMiddle East. In the 1990’s narcoticsconsumption has increased in Russian andother former Soviet Bloc countries. Thereis evidence that Russian organized crimegroups are responsible for much of the drugtrafficking and have formed alliances withSouth American drug traf f i ckingorganizations and Italian organized crimegroups to handle distribution of narcoticsin the former Soviet Bloc countries.

Triads are relatively large criminalorganized groups operating in Hong Kong(in collaboration with snakeheads) thePeople’s Republic of China and Taiwan.Like other organized crime groups theiractivities include, but not limited to drugtraff icking. They have l inks with

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European, American and other Asiangroups. Most of the Pacific Rim drug tradeis conducted by them or their links. Anestimated 70 percent of the GoldenTriangle trafficking is in their hands.

Japanese Boryokudan are notorious fortheir influence and well-integratedorganization, but their activities are mostlyrestricted to domestic distributionnetworks. However, now they areembarking upon this lucrative businessand have started developing links withother international crime syndicates.

All other countries have local organizedgroups which operate in very secretiveways to hide their hierarchy andmembership to avoid the risk of exposureto law. They, however, maintain links withbig syndicates internationally for thedisposal of merchandize. Iqbal Mirchi andDawood groups in India; Ayub Afridi andIqbal Beg groups in Pakistan are suchexamples (as quoted by respectiveparticipants). These small groups normallymaintain their base outside the homecountry preferably where there is noextradition treaty.

VIII. CONFISCATION ANDPROSECUTION SITUATION

During the course of group discussionsand individual presentations, participantsgave statistics on their countries in respectto drugs. Since each country has a differentsystem of maintaining the statistics, it wasnot possible to compare those figures in oneanalysis table. Moreover, in every region,different types of drugs, with different andlocal names, are confiscated. There aredifferent criminal justice systems whichdepict prosecution figures in their ownstyles. It was, therefore, thought proper todiscuss the statistics separately for eachcountry.

In Pakistan, seizure figures remainedstaggering over the years. A determinedGovernment and efficient Anti-NarcoticForce rooted out opium production in itsproducing areas in 1995, therefore, thefigures for that year are large because ofthe extensive operations. After that theseizures figures are mainly of interceptionof drugs coming from Afghanistan fordomestic use, as well as for further transit.The following table shows the confiscationof drugs for last three years and for 1997(Jan. to Oct.) in Pakistan.

1994 1995 1996 1997(Jan-Oct)Opium (tons) 14.360 107.233 7.377 6.448Heroin (tons) 6.020 9.416 5.763 3.443Hashish (tons) 178.290 294.525 189.136 92.322

For the same period the arrests of defenders are as follows:

1994 1995 1996 1997(Jan-Oct)Opium 3,157 3,366 2,736 1,998Heroin 23,696 24,920 21,510 11,942Hashish 27,281 31,399 29,210 22,133

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Indian Statistics are available for 1992 to 1996 regarding the seizure of narcoticsthrough the courtesy of that participant:

1992 1993 1994 1995 1996Opium (kg) 1,918 3,011 2,256 1,339 2,875Heroin (kg) 1,153 1,088 1,011 1,678 1,257Hashish (kg) 6,621 8,238 6,992 3,073 n/aArrests 12,850 13,723 15,452 14,673 13,554

The following are the figures for Saudi Arabia from 1992 to 1996 which were presentedby the participant from that country:

1992 1993 1994 1995 1996Opium (kg) 28 12 17 30 155Heroin (kg) 89 157 206 112 324Hashish (kg) 3,723 1,949 2,472 1,972 1,809Arrests 5,515 5,628 6,589 8,278 10,328

The participant from Nicaragua mentioned that drugs were not much of a problem inhis country, but still there were 989 cases in 1996 (716 in 1995) and 2,757 kgs of cocainewas seized in 1997. Seizure of cocaine in 1996 and 1995 was 398 kgs and 1,512 kgsrespectively. Recently there were some cases of heroin too, resulting into the seizure of2 kgs.

Figures for Nepal regarding drugs seizure and persons arrested as quoted by theparticipant are as follows:

1993 1994 1995 1996 1997Cannabis (kg) 2,448.2 2,482.5 5,521.2 2,271.3 1,898.3Hashish (kg) 517.9 1,273.6 2,133.4 1,917.3 790.5Heroin (kg) 18.1 17.1 7.3 10.0 10.4Opium (kg) 0.4 4.4 0.2 0.4 0.7Arrests 687 785 810 788 452

Amount of seized drugs in Japan as supplied by the Japanese participants is depictedin the following table, while the numbers of suspects in Japan are at Table 2:

1992 1993 1994 1995 1996Stimulant 166 kg 97 314 88 652Heroin 12 15 10 8 4Cocaine 33 26 36 36 37Cannabis resin 11 30 95 131 145Cannabis (leaf) 232 607 94 208 173LSD 0.6 (*1000t) 0.6 1 2,261 4

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Statistics provided by other participantsare placed in the Appendix A. Somecountries such as Fiji, Madagascar,Mongolia and Tonga have only a few drugsrelated cases.

The United Nations have compiled acomparative list of countries regardingseizure figures along with the top ranking30 countries in respect of different drugs.The lists are placed in the Appendix A. TheUNDCP in its latest report published in1997 (Ref.5; World Drug Report) have madea comparison of selected countriesregarding persons arrested on drugcharges. To make the figures comparable,the number of arrests have been convertedinto a per 100,000 population basis.

Persons Arrested on Drug Charges on per 100,000 people basis (1994)Australia 313.0Colombia 3.1Italy 450.0Pakistan 49.2Sweden 103.0Thailand 205.0UK 150.0USA 539.0

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TABLE 2

NUMBER OF DRUG SUSPECTS IN JAPAN

1992 1993 1994 1995 1996

STIMULANT

total 15,062 15,252 14,655 17,101 19,420

smuggling 65 43 33 17 22

production 0 1 0 6 1

possession 4,749 4,814 4,504 5,824 6,797

transferring 2,495 2,499 2,256 2,242 2,398

use 7,752 7,884 7,850 9,001 10,191

others 1 11 12 10 11

NARCOTICS

total 331 363 343 334 275

smuggling 77 75 55 52 42

production 1 0 0 13 0

possession 145 181 193 179 147

transferring 68 75 67 61 64

use 33 20 20 26 17

others 8 2 8 1 5

CANNABIS

total 1,635 2,051 2,103 1,555 1,306

cultivation 19 25 21 16 40

possession 1,094 1,452 1,571 1,154 1,010

transferring 421 478 380 277 174

others 6 2 0 4

OPIUM

total 90 131 222 172 141

cultivation 69 62 128 111 102

smuggling 15 20 45 14 14

possession 6 49 38 34 24

transferring 0 0 7 6 0

others 0 0 4 7 1

215


FIGURE 7

DRUG SEIZURES BY REGION, 1985-1995.

Source: World Drug Report, a UNDCP publication, 1997.

216


IX. AMOUNT OF GAINS FROMDRUGS

For the major producers like Bolivia,Peru, Afghanistan and Myanmar, illicitdrug exports make up a large percentageof export revenues. For example, since1986, Bolivian coca-cocaine exports arebelieved to have represented between 28and 53 percent of the value of total exportsthat include the value of coca-cocaineexports, or between 39 and 112 percent ofthose that exclude them. In Afghanistanand Myanmar, it is highly likely that thepercentages are higher since neithercountry has important legitimate exports.Pakistan has a larger economy, still illicitdrug exports in 1992 are thought to haveamounted to US$1.5 billion; a sum equalto one-fifth of the US$7.2 billion of exports.Countries such as Mexico and Thailandhave fairly diversified economies withmany sources of foreign exchange; thus,while the illicit drug industry certainlyaffects their economies, the impact is likelyto be less prominent than for the countriesmentioned previously.

Sale of drugs, and laundering profitsfrom these sales, undoubtedly contributesto the size of an underground economy. Inmany countries illegal drug expendituresare thought to account for the largest shareof the illegal markets. Total illicit drugexpenditures at the retail level in theU.S.A. alone were estimated at US$50billion per annum in the mid-1990s. If theworld drug trade were taken intoconsideration, the estimated amount oflaundered money would range fromUS$300 billion to US$500 billion (Ref.6;Marine, 1998). The extent of money in drugbusiness can be well visualized from thefact that one time US cover operationagainst Cali Cartel resulted in the seizureof US$ 44 million worth of assets (Ref.12;Mr. Proctor, 1993).

Hong Kong has seized HK$53 millionworth of assets during the period 1989-97.

In Pakistan also the Anti-Narcotics Forcehas up to now frozen assets worth Rs 3,612million (US$82 million) from 60 notoriousdrug traffickers in the country. In 1995India also confiscated local and foreigncurrency worth Rs 200 million (US$5million) which was considered illgotten,irrespective of its source. Income taxauthorities in India also seized assetsworth Rs 4,580 million (US$115 million)due to unexplained source of income. InJapan, property worth 99.2 million yen hasso far been confiscated (from July 1992 toSeptember 30 1997) as the proceeds of drugtrafficking and the like, while another 23.3million yen has been frozen for confiscation.

X. CONCLUSION

From the foregoing analysis of the drugsituation, we can feel the magnitude of theproblem. No wonder that the issue findsits place at the top, whenever crime isdiscussed. International forums are verymuch concerned and millions of dollars arebeing spent in gathering the statisticsregarding the drug situation prevailing inthe world. It is only after knowing thegravity of the problem that steps can betaken with the proportionate intensity.Effective measures and recommendationsfor eradication of the drug menace couldhave been suggested here, but in theopinion of the members, it was not in thepurview of Topic 1. This collection ofinformation may, therefore, be taken as afood for thought to formulate future drugfighting strategies.

REFERENCES

1. A l l t h e p a p e r s o f I n d i v i d u a lpresentations by the participants ofUNAFEI’s 108th InternationalSeminar.

2. All the presentations of speakersduring the General Discussion Sessionsof the Seminar.

3. Report of International Narcotics

217


Control Board for 1996; a U.N.publication, 1997.

4. The National Narcotics IntelligenceConsumers Committee Report for 1994,on the Supply of Illicit Drugs to theUnited States; a DEA publication,1995.

5. World Drug Report, United NationsInternational Drug Control Program,a United Nations publication, 1997.

6. “The Threats Posed by TransnationalCrimes and Organized Crime Groupsand United States Responses” by Mr.Frank Marine from the United States,a visiting expert for the 108thInternational Seminar, 1998.

7. “Recent Trends of Organized Crime inEurope: Actors, Activities and Policiesa g a i n s t T h e m ” a n d “ T h eOrganizat iona l Framework o fEuropean Crime in the GlobalizationProcess” by Dr. Ernesto Ugo Savonafrom Italy, a visiting expert for the108th International Seminar, 1998.

8. “Current Problems in the Combat ofOrganized Transnational Crime” byMr. Dimitri Vlassis from the UnitedNations, a visiting expert for the 108thInternational Seminar, 1998.

9. “The Evolution of Drug Trafficking inthe Pacific Rim” by Mr. Lau Yuk-kuenfrom Hong Kong, a visiting expert forthe 108th International Seminar, 1998.

10. “Drug Trafficking, Illegal Trafficking ofwomen and Children, Fire ArmsS m u g g l i n g a n d C u r r e n c yCounterfeiting (Philippines)” by Mr.Severino H. Gana Jr., InternationalDirector of the Asia Crime PreventionFoundation, 1998.

11. “Organized Crime in India, Problemsand Perspectives” by Mr. Madan LalSharma from India, a visiting expertfor the 108th International Seminar.

12. “Organized Crime in the United Statesand the Legal Tools Used to Fight it”by Mr. George W. Proctor from theUnited States, a visiting expert for

92nd International Training Course,Resource Material Series number 43,a UNAFEI publication, 1993.

13. “Narcotics and Laundering in France”by Mr. Pierre Dillange from France, avisiting expert for 92nd InternationalTraining Course, Resource MaterialSer ies number 43 , a UNAFEIpublication, 1993.

14. “Quest for Effective Methods ofOrganized Crime Control” by Mr.Chavalit Yodmani from Thailand, avisiting expert for 92nd InternationalTraining Course, Resource MaterialSer ies number 43 , a UNAFEIpublication, 1993.

218


APPENDIX A

[BANGLADESH]

STATISTICS ON CASES, ACCUSED AND SEIZURE FROM 1990 TO 1997 ASDETECTED BY THE DEPARTMENT OF NARCOTICS CONTROL

Drugs Unit Cases Accused SeizuresHeroin Kg 1467 1875 81.94Cocaine Kg 12 19 7.46Charash Kg 76 78 43.88Opium Kg 40 34 21.84Marijuana Kg 6448 5947 12099.69Marijuana plants No. 190 191 349170.00Marijuana Cigarette No. 02 02 53715.00Illicit Distillation Litres 6590 5910 106685.90Country Liquor Litres 195 191 2683.03Foreign Liquor Litres 252 294 1742.18Foreign Liquor Quarts 519 492 4601.47Foreign Liquor Bottles 119 100 2749.00Foreign Liq.(Beer) Can 39 36 24710.00Indian C.S Bottles 42 14 869.50Indian F.L. Litres 26 09 465.55Rect.Sprit Litres 777 757 33548.81Den.Sprit Litres 129 126 1502.46Hilly Liquor Litres 12 08 127.00Phensidyl Bottles 2159 1400 223013.50Phensidyl Litres 52 24 8215.25Mretosanjibini Bottles 23 14 1360.37Tari(Todi) Litres 541 490 24338.14Pachwai Litres 102 101 1595.00Pethidine Ampules 54 57 22865.00Tidi Zeshic Ampules 133 135 23500.00Bhang Kg. 21 10 1031.77Bhang plant No. 03 02 96.00Beladona Litres 01 01 23.00Zauwa Litres 100 90 229406.60Bakhar Kg. 19 17 122.60Baklar Can. 02 03 108755.00Sp.Medicine Bottles 08 10 2574.00Maddak Kg. 09 13 9.26Alcholist No. 75 75 30.00Nishadal Kg. 01 01 360.00Alcohol Litres 09 09 179.11Others Kg. 01 00 20.75Total 20248 18535

219


[FIJI]

CASES UNDER 1992 1993 1994 1995 1996 1997(Jan-Jun)

Drug Ordinance Act 236 326 396 352 352 218

[INDIA]

Year 1990 1991 1992 1993 1994 1995 1996

OPIUMQty(kg) 2114 2145 1918 3011 2256 1339 2875CASES 506 566 1286 1679 1171 871 977

HEROINQty(kg) 2193 622 1153 1088 1011 1678 1257CASES 764 1158 2779 3303 3331 3236 3043

HASHISHQty(kg) 6388 4413 6621 8238 6992 3629 6520CASES 753 335 2516 2827 2672 2691 2593

[MADAGASCAR]

No. of Cases 1995 1996 1997About Drugs 66 91 33

[MALAYSIA]

ARREST

CASES UNDER 1996 1997Sec.39B 1,284 (800) 1,753 (1,045)Sec.39A(2) 992 (753) 1,081 (831)Sec.39A(1) 1,220 (987) 1,606 (1,305)Other Sec. 8,705 (7,352) 7,806 (6,570)

SEIZURE

DRUG TYPE 1996 1997Raw Opium 100 kg 138.72 kgOpium 164 kg 159 kgMorpine 0.002 -Heroin Base 42.97 kg 76.85 kgHeroin No.3 210.22 kg 191.99 kgCannabis 1,423.58 kg 3,737.03 kgPsycitropic Pill 692,886 tablets 1,291,338 tabletsEcstacy Pill 20,276 tablets 38,289 tabletsShabu 1.21 kg 2.00 kgCocaine 2.80 -

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[NICARAGUA]

ILLEGAL DRUG TRAFFICKING CASES

YEARS CASES CLEARED CASES1990 2451991 485 4801992 500 4951993 965 9631994 986 9861995 716 7161996 989 9881997 730 728

SEIZURE OF DRUGS

YEARS COCAINE CRACKMARIJUANA

HEROINLb PLANT SEED

1990 535.936 kg – g – 20c. – – kg1991 762.642 – 1,052 – – –1992 456.447 – 1,124 31,068 – –1993 96.209 – 519 9,808 – –1994 1,337.754 455 882 92,534 – –1995 1,512 1,069 765 53,776 –1996 398.444 3,531 1,884 53,528 15.5 11997 2,757.926 6,406 553 20,700 17 2

[PAPUA NEW GUINEA]

YEAR No of Incidents1985 451986 671987 531988 1161989 2551990 2421991 3201992 3331993 11131994 9491995 8491996 1444

222


[PHILIPPINES]

ARREST 1995 1996No of Persons Arrested 1,425 1,311No of Foreigners Arrested 15 (2 killed) 27 (1 killed)

CONFISCATIONS/SEIZURES 1995 1996Heroin 0 2,534 gmsCocaine 14,424 gms 1,392 gmsMethamphetamine (Shabu) 207,593 gms 280,699.24 gmsMarijuana Leaves 1,754,956 gms 964,062.10 gmsMarijuana Plants 6,808,473 pcs 9,164,052 pcsMarijuana Seedings 22,847,193 pcs 2,997,065 pcsTOTAL MARKET VALUE P1.76 BILLION P2.044BILLION

[KOREA]

Breakdown by the Type of Violations and Drug-Related Laws(1994-1996)

Narcotics Cannabis Psychotropic drugsType of violation 1994 1995 1996 1994 1995 1996 1994 1995 1996Manufacturing 0 0 0 0 0 0 4 9 10Smuggling 17 9 9 3 1 6 52 73 77Trafficking 18 12 19 33 22 11 424 733 755Cultivation 1,121 1,029 1,098 123 105 76 - - -Consumption 20 18 9 885 951 804 1,021 1,682 2,400Possession 24 17 17 349 264 169 99 102 239Not specified 114 50 83 106 173 206 142 168 201Total 1,314 1,135 1,235 1,499 1,516 1,272 1,742 2,767 3,682

Seizure of Drugs from Abroad (1993-1996)

1993 1994 1995 1996number seized number seized number seized number seizedof cases quantity of cases quantity of cases quantity of cases quantity

metham-phetamine 11 1.6 kg 13 3.9 kg 24 7.6 kg 30 13.9 kgcocaine 4 23.0 kg 2 37 g 1 0 5 766.8 gheroin 2 22.4 kg 3 1.0 kg 3 3.5 kg 4 1.8 kg

raw opium 6 3.2 kg 5 2.9 kg 3 2.1 kg 2 0.47 kgmarijuana 1 5.4 g 3 143 g 1 0.5 g 6 3,155.8 g

Drugs

Year

Drugs

223


Breakdown of Seizures of Drugs from Abroad by Source (1996)

Source/TransitDrugs

number smuggled seizedcountry of cases quantity quantity

methamphetamine 19 18.0 kg 12.7 kgChina ephedrine HCI 2 70 kg 47 kg

raw opium 1 397 g 397 gJapan methamphetamine 5 5 kg 0.79 kgTaiwan methamphetamine 2 80 g 31.05 gHong Kong methamphetamine 1 486 g 300 g

Pakistanheroin 1 765 g 696.3 g

raw opium 3 70 g 70 g

United Statescocaine 1 50 g 46.3 g

marijuana 3 46.8 g 19.8 gPhilippines methamphetamine 2 118.5 g 93.4 gThailand heroin 1 160 g 95 gKazakstan heroin 1 1 kg 1 kgNigeria marijuana 1 3.1 kg 3.1 kgNew Zealand marijuana 1 75 g 36 gColombia cocaine 1 980 g 300 gArgentina cocaine 1 25 g 17 gBrazil cocaine 1 400 g 400 g

[THAILAND]

COMPARATIVE DRUGS SEIZURE STATISTICSROYAL THAI POLICE 1995-1997

TYPE OF DRUGS NUMBER OF CASES DRUGS SEIZED (KGS)1995 1996 1997 1995 1996 1997

HEROIN 35,741 18,123 14,854 362,32 226,29 259,23MORPHINE 14 0 3 0.02 0.00 1.84OPIUM 2,778 2,200 3,405 1,366.51 640.65 1,422.16CANNABIS 49,590 31,167 29,384 42,276.5 42,597.42 58,696.30KRATOM 873 1,006 1,932 774.57 249.88 2,957.13AMPHETAMINE 20,064 29,909 65,944 776.01 939.42 2,432.85PRECURSORS 8 10 369 4,900.36 449.44 184.36VOLATILE SUBS 37,142 24,317 28,002 1,148.90 719.40 1,053.47ECSTASY 10 47 94 1.93 0.06 0.40COCAINE 2 1 3 0.10 0.30 1.81OTHERS 74 82 232 394.70 68.26 75.25

TOTAL 146,296 106,862 144,222 52,001.92 45,891.12 67,084.78

224


[TONGA]

Offences in 1997Offence

Rejected Convict Acquitted UndetectedUnder In- Pending

Report vestigation TrialGrowing of

7 – 1 – – 3 3Indian HempPossession of

17 1 4 – – 6 6Indian Hemp

[TURKEY]in 1996

TYPE CASE ACCUSED QUANTITYHashish 1,618 3,287 12,294 kgHeroin 519 1,650 4,422Morphine base 5 24 1,157Opium 26 58 233Cocaine 40 122 13Acetic anhydride 7 29 42,450Synthetic drugs 74 160 259,097 unitTOTAL 2,289 5,330 319,666

[VIETNAM]1993-1997

Discoverd 15,176 cases 24,453 personstrial 8,015 10,414 death penalty 46

life imprisonment 5310-20 years 4507-10 years 389less than 7 years 8,629

confiscated heroin 170 kgopium 7,108 kghashish 10,718 kgmethamphetamine 234 kg

225


Amount of Seized Cocaine (top 30 ranking country/area) by UNkg

1993 1994 1995U.S.A. 110,963 100,845 100,001Colombia 32,200 72,244 31,035Mexico 45,835 22,113 22,708Peru 8,872 10,634 22,661Bolivia 9,055 10,021 8,497Panama 2,870 5,177 7,169Spain 5,351 4,016 6,897Venezuela 2,866 6,035 6,650Brazil 6,608 12,028 5,815Netherlands 3,720 8,200 4,896Dominica 905 2,898 4,391Ecuador 1,195 1,790 4,284Canada 4,469 8,357 3,598Argentina 2,042 2,236 3,146Chile 997 1,226 2,900Italy 1,101 6,657 2,557Portugal 219 1,719 2,116Germany 1,052 767 1,846Nicaragua 458 1,338 1,507Virgin Islands NO REPORT NO REPORT 1,194U.K. 709 2,262 970France 1,721 4,743 874Belgium 2,892 479 576Jamaica 83 125 570Honduras 48 930 409Poland 107 526 383Russia 1,038 1 372Cuba 3,364 238 372Costa Rica 460 1,411 361Switzerland 334 295 262Total 268,643 294,001 251,119

226


Amount of Seized Cannabis (top 30 ranking country) by UNkg

1993 1994 1995Paraguay 11,541 12,756 2,203,691South Africa 1,707,807 7,451,558 1,426,831India 94,584 1,261,230 816,490Mexico 494,665 528,425 780170U.S.A. 392,850 373,982 479,722Netherlands 110,049 290,477 275,035Azerbaijan NO REPORT 77,214 255,203Ghana 1,018 28 209,507Colombia 548,780 207,712 206,260Canada 93,365 95,631 149,265Laos 405,115 9,517 91,621Senegal 1,939 1,392 79,775Malawi 4,785 4,864 71,275Sri Lanka 487,896 51,538 59,449Jamaica 51,454 33,565 54,698Thailand 85,986 85,446 45,205Belgium 3,010 34,760 38,104Morocco 265,375 40,516 35,808Norway NO REPORT 6,711 19,456Nigeria 7,462 19,733 15,258Armenia NO REPORT 132 15,033U.K. 11,976 11,582 14,159Ecuador 110 161 13,946Venezuela 526 9,989 13,685Brazil NO REPORT 18,837 11,731Germany 8,524 21,660 10,436Poland 2,966 164 10,087Kazakhstan 288 3,504 8,329Peru 424 404 6,443Nepal 2,448 2,482 5,521Total 5,282,124 10,620,042 7,507,621

227


Amount of Seized Cannabis resin (top 30 ranking country) by UNkg

1993 1994 1995Pakistan 189,000 189,252 357,691Spain 160,169 219,176 197,024Morocco 106,289 97,048 110,245Netherlands 28,173 43,229 79,985U.K. 41,531 51,513 45,678Canada 57,308 36,369 40,359France 44,840 55,890 39,203Belgium 32,207 25,166 32,582Turkey 34,367 31,218 17,360Iran 4,512 7,618 15,854Ireland 4,200 1,461 15,529Italy 10,661 18,128 14,922U. S.A. 11,400 72,151 13,623Mexico 5,427 - 13,477Colombia - 73 12,510Poland 6,595 17 10,001Portugal 52,655 40,393 6,334Kenya NO REPORT - 5,707Germany 4,245 4,033 3,809Lebanon 18,287 39,872 3,760India 7,979 - 3,629Lesotho NO REPORT - 2,979Jordan 4,332 1,726 2,911Denmark 1,278 9,433 2,414Nepal 518 501 2,133Algeria 1,028 1,169 1,921Kazakhstan NO REPORT - 1,522Barbados NO REPORT NO REPORT 922Malaysia NO REPORT NO REPORT 965Kuwait 158 125 632Total 848,420 979,025 1,059,859

228


Amount of Seized Heroin (top 30 ranking country) by UNkg

1993 1994 1995Pakistan 4,000 6,444 10,760Turkey 2,342 2,172 3,456China 4,459 4,086 2,380Iran 1,984 865 2,075India 1,074 1,011 1,678U. K. 655 745 1,336U.S.A. 1,423 2,089 1,146Italy 630 1,151 940Germany 1,095 1,590 933Hungary 413 812 568Spain 604 824 546Thailand 2,538 1,295 518France 386 499 499Hong Kong 128 446 411Netherland 916 246 351Saudi Arabia 206 112 324Switzerland 179 225 213Mexico 62 297 203Bulgaria 557 474 198Greece 153 285 173Zambia 18 NO REPORT 153Colombia 44 95 145Belgium 76 137 129Slovak 4 4 121Malaysia 216 212 119Macedonia 78 NO REPORT 111Canada 154 62 106Israel 87 118 94Venezuela 13 15 81Cambodia NO REPORT 6 80Total 26,692 29,129 31,107

229


Amount of Seized Opium (top 30 ranking country) by UNkg

1993 1994 1995Iran 63,941 117,095 126,554Pakistan 4,500 14,663 109,420Thailand 2,530 606 18,124India 2,908 2,256 1,339China 3,354 1,776 1,110Myanmar 2,416 1,689 1,061Uzbekistan 241 226 835Kyrgyz NO REPORT NO REPORT 727Laos 369 293 696Azerbaidjan NO REPORT 12 255Kazakhstan NO REPORT 435 245Mexico 129 149 223Saudi Arabia 17 74 156Malaysia 11 69 155Colombia 281 128 144Turkey 50 91 122Belarus 10 882 89Singapore 7 2 80U. A.E. 43 161 62U.S.A. 1,551 Å| 42Japan 13 34 33Kuwait 17 25 30Russia 14 784 27Peru NO REPORT 581 24Ukraine 120 NO REPORT 23Cambodia NO REPORT 1 19Egypt 95 49 17Germany 232 36 15Macedonia 2 NO REPORT 14Tunisia NO REPORT 0.03 13Total 85,270 144,517 261,723

230


TOPIC 2

CURRENT SITUATION OF ORGANIZED CRIMES (EXCEPT DRUG TRAFFICKING)

Chairperson Mr. Abdul Wahhab Sarkar (Bangladesh)Co- Chairperson Mr. Yutaka Nagashima (Japan)Rapporteurs Mr. Alberto Rama Olario (Philippines)

Mr. Surasakdi Chungsanga (Thailand)Assistant Members Mr. Pham Ba Khiem (Vietnam)

Ms. Kuniko Hokin (Japan)Mr. Ken Umemura (Japan)

Advisers Mr. Masahiro Tauchi (Deputy Director, UNAFEI)Mr. Ryosuke Kurosawa (Professor, UNAFEI)

I. PREFACE

Topic two is the discussion of “theC u r r e n t S i t u a t i o n o f O r g a n i s e dTransnational Crime (except illicit drugtrafficking)” happening in the respectiveparticipating countries. Transnationalcrimes to be discussed and analysedinclude 1) illicit firearms trafficking, 2)smuggling of illegal migrants, 3) illicittrafficking of women and children, 4) illicittrafficking of stolen motor vehicles, 5)money laundering, 6) transnationaleconomic crimes. We also aim to look intothe current trends and manifestations ofsuch crimes, the types and names of groupsinvolved, and the size and extent of theirorganisations.

II. CURRENT SITUATION

A. Illicit Firearms TraffickingAmong the participating countries,

Japan and the Philippines manifested themost apparent problem. Japan is adestination of illicit firearms, mostlyhandguns, from several countries. In thelast five (5) years, from 1992 to 1996 a totalof 7,261 firearms were seized by theJapanese Police, 2,392 of which came fromthe U.S.A. (accounting for 32.9%), 1,352

from China (18.6%), 657 from thePhilippines (9.5%), while the rest camefrom several other countries.

A total of 1,702 authentic handguns wereseized in 1995, and over 90% of this numberwere of foreign manufacture. This showsthe importance of stopping the smugglingat the country borders. Smuggling routeshave increased to include Russia, China,South Africa and Peru in addition to theUnited States and the Philippines.Smuggling is also being done by fishingboats entering small unopen ports. Thesmuggling methods have become clever,and include use of foreign mail.

In 1997, from January to November 708handguns were also confiscated by theJapanese police from Boryokudanmembers (an organised crime group inJapan) accounting for most of the firearmsillegally shipped to Japan. This seizurehowever was a decrease of 28.3% fromprevious years conf iscat ion fromBoryokudan groups, indicating that thegroups have managed to skillfully handletheir illicit firearms trafficking.

Firearms trafficking in the Philippineson the other hand, is a two-way activity.

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TABLE 1

SEIZED HANDGUNS FOR THE LAST FIVE YEARS FROM PRODUCINGCOUNTRIES IN JAPAN

Year 1992 1993 1994 1995 1996 Total Ratio(%)USA 407 469 489 591 436 2,392 32.9China 233 297 311 304 207 1,352 18.6Philippines 86 103 140 169 159 657 9.1Brazil 73 56 71 91 79 370 5.1Italy 66 91 82 81 22 342 4.7Belgium 41 33 54 75 56 259 3.6Germany 38 37 46 48 45 214 3.0Spain 33 23 67 50 40 213 2.9Others 313 247 253 293 356 1,462 20.1Total 1,290 1,356 1,513 1,702 1,400 7,261 100.0

FIGURE 1

COUNTRIES OF PRODUCTION OF SEIZEDHANDGUNS IN JAPAN

USA�2,392�(32.9%)

China�1,352�(18.6%)

Philippins�657�(9.1%)

Brazil�370�(5.1%)

Italy�342�(4.7%)

Belgium�259�(3.9%)

Germany�214�(3.0%)

Spain�213�(2.9%)

Others�1,462�(20.1%)

1992～1996�7,261�(100%)

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Crime groups and even ordinaryindividuals smuggle illegal firearms mostlyfrom the U.S.A. to the Philippines throughairports and seaports of the country. Thisis done by simply misdeclaring or non-declaring, and mixing or hiding firearmsin cargo consigned to fictitious names andaddresses. They also dismantle the gunparts and hide them among metal items ormachinery legally shipped into the country.Clandestine shipments of high powered

FIGURE 2

HANDGUNS SEIZED BY THE JAPANESE POLICE

19920

300

600

900

1,200

Tota

l Num

ber

1,500

1,800

2,100

1993 1994 1995 1996

From Boryokudan From Others

TABLE 2

COUNTRIES OF SHIPMENT OFSMUGGLED HANDGUNS IN JAPAN

Year 1992 1993 1994 1995 1996 TotalTotal 27 60 64 9 14 174USA 15 43 2 2 8 70Thailand 61 61Philippines 1 9 6 16Argentina 7 7South Africa 1 2 4 7Russia 2 1 3Others 1 5 1 3 10

Note: 174 handguns seized on the charge ofsmuggling during last five year.

TABLE 3

SEIZED HANDGUNS FROMDIFFERENT GROUPS IN JAPAN

Year 1992 1993 1994 1995 1996Total Number 1,450 1,672 1,747 1,880 1,549From Boryokudan 1,072 1,196 1,242 1,396 1,035Ratio(%) (73.9%) (71.5%) (71.1%) (74.3%) (66.8%)From Others 378 476 505 484 514Ratio(%) (26.1%) (28.5%) (28.9%) (25.7%) (33.2%)

firearms, intended for rebel groups fightingthe Philippines Government, is also donethrough the long coastline of the countryfrom the north to the south. The otheractivity is the shipment of locally madefirearms in the Philippines intended forsome Asian countries particularly Japan,Taiwan and Hong Kong. The illicittrafficking is done aboard ocean-goingvessels plying the Philippines and thesecountries.

Illicit firearms trafficking in the otherparticipating countries of the Asia-Pacificregion is also apparent in Korea, whereorganised groups bring in firearms

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intended for local crime syndicates. Themodus operandi of smugglers includesdisassembling of the parts of the firearmsand contraband and hiding them in othermaterials such as VCR’s, vacuum cleanersand irons. Aluminium containers are usedto evade X-ray detection at the airports.

In India, the problem is manifested bythe on-going strife in the Kashmir Region,where illicit firearms are coming in via theland borders between India and Pakistan,and from sea and air routes inside India.The most recent and brazen illicit firearmstrafficking in India was the Purulia armsdrops case, where a Russian made Antonov26 aircraft air-dropped 300 AK 47/56 riflesand 20,545 rounds of ammunition, dragnovsniper weapons, rocket launchers and nightvision devices in the Purulia Village in WestBengal State. The aircraft was bought inLatvia for US$2 million and chartered bya Hong Kong registered company namedCAROL Travel Company. The firearmswere picked-up in Bulgaria by a syndicatecomposed of one (1) British, five (5)Latvians and an India national. Similarcases also happened in the Punjab andNorth East States of India.

In Pakistan, the country is a destinationfor illicit firearms coming from war-tornAfghanistan. Bangladesh and Malaysialikewise has problems of illicit firearmssmuggling facilitated by crime groupsengaged in drug-trafficking and gun-running for local crime syndicates.Thailand particularly is being used as atranshipment point for firearms intendedfor Tribal Warlords in the Golden Trianglearea bordering Myanmar and Laos, forwarring factions in Cambodia.

The other countries of Nepal, Fiji, Tonga,Papua New Guinea, Madagascar, Mongoliaand Vietnam have little or no reportedincidents of illicit firearms traffickinginvolving transnational crimes.

However in Turkey and Saudi Arabia,incidents of illegal firearms trafficking isvery much apparent due to its proximityto strife torn areas of the Middle East.Turkey particularly has problems of thisnature because of the on-going problemswith the PPK, an organised crime groupin Turkey, engaged in drug-trafficking.They are also very active in illicit firearmstrafficking to protect their illegal drugbusiness. While in Saudi Arabia, firearmsarms entered the Kingdom through itsboundaries carried by illegal immigrants.Most of the weapons are pistols, machineguns, shot guns and TNT. Some of thesefirearms fell into the hands of terrorist andcriminal elements who uses them for bankrobberies.

In the Latin America Countries ofColombia, Venezuela, Mexico andNicaragua, firearm trafficking is also veryapparent mainly due to the high profiledrug production and drug trafficking inthese countries, particularly Colombia andMexico. Nicaragua was once a strife-torncountry due to its internal civil war andillicit firearms poured into the country. Inaddition, Mexico and Colombia are facingan internal insurgency problem. Mexico inthe Chiapas Region and Colombia by leftistand rightist rebel groups. Only Venezuelahas manifested slight problems in firearmstrafficking due to its relatively stableeconomy and peace and order conditions.

B. Smuggling of Illegal MigrantsAmong the participating countries of the

108th seminar, serious cases of illicittrafficking of migrants were reported bypresentors from the Asia-Pacific region likethe Philippines, Malaysia, Thailand,Nepal, Bangladesh, India and Pakistantowards developed countries or regions likeJapan, the U.S.A. and the Middle East. TheLatin America countries of Mexico,Colombia, Nicaragua and Venezuela alsoreported illegal migrant trafficking

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towards developed countries and regionslike the U.S.A. and Europe.

Economic adventurism is the commonmotive for these illegal migrants to ventureout of their native countries. They are theso-called “economic aliens” who seek betterlives away from their impoverishedhomelands. The other type of illegalmigrants are the so-called “political aliens.”They flee from their native countries dueto persecution because of their differentpolitical, religious, cultural views orbecause of war. These unfortunate peopleare easy prey of transnational crime groupswho provide the incentive to travel abroadby fac i l i ta t ing the i r papers andtransportation. It has been reported thatthe price for moving an alien from SouthernChina, particularly the Fujian Province toJapan is US$20,000 and to the U.S.A.,US$33,000. To find these fees, illegalmigrants borrow money from relatives orfriends but more usually from thesmuggling syndicates at extraordinaryrates set by them. As a result, both theimmigrants and their family members maybecome indentured workers or forced toturn to crime to repay debts.

In Japan, Boryokudan crime groupsfacilitate the entry of illegal migrants incollaboration with Chinese crime groupssuch as “Snakeheads.” The number ofarrested illegal immigrants and thenumber of incidents (cases) from 1995 to1997 in Japan is as follows. In 1997, 90%of the arrested were Chinese and most ofthem came from the Fujian Province ofMainland Chaina.

TABLE 4

NUMBER OF ARRESTED ILLEGALIMMIGRANTS

1995 1996 1997(Jan.-Sep.)Arrested Illegal Immigrants 350 670 1,070Cleared Cases 15 28 51

Cases of illegal migrants from thePhilippines, Malaysia, Thailand andVietnam were reported to have been luredto Japan, Hong Kong, Europe and theMiddle East hoping to find high paying jobsand better lives. In the transport of theseillegal migrants, transnational crimegroups collaborate with their counterpartsin the countries of destination and alongthe routes to facilitate the transport ofthese illegal migrants. Some haplessvictims have been said to suffer enormousdifficulties and some have died in mishapswhile being transported by the syndicates.One such incident happened in the MaltaSicily Channel (Italy) when 200 people,including 170 illegal migrants from India,drowned while crossing the channel insmall boats. Many were also reported tohave died while being transported acrossmountains and the Swiss Alps just to reachtheir destination in the Western Europeancountries.

In the Republic of Korea, illegalimmigration comes mainly from China. In1994 through 1997, 2,667 Chinese enteredthe Republic of Korea illegally through searoutes. It is estimated that there are 40groups engaged in facilitation of illegalimmigrants who pay 40,000 to 50,000Chinese yuan per head to the syndicates.Another modus operandi employed in theRepublic of Korea by the syndicates is toarrange marriage of Chinese illegalentrants to Korean nationals to obtainresidential registration cards.

In the Latin America countries, Mexicocomes out as the most prominent, asexemplified by the never ending influx ofillegal Mexican migrants to the U.S..Colombia, Nicaragua and Venezuela alsothis problem where citizens leave theircountry to look for more economicopportunities in the U.S. and Europe.

The countries of Mongolia, Fiji, Papua

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New Guinea and Madagascar havereported fewer cases of problems of illegalmigration, at least in the context oforganised migration facilitated byInternational Syndicates.

In Saudi Arabia and Turkey however,these two countries are destination pointsof illegal migrants from neighbouring war-torn countries. In the case of Saudi Arabia,illegal migrants from Iraq and some poorercountries from Asia and Africa find havensin the desert Kingdom. It is estimated thatthere are about 100,000 illegal immigrantsstaying in the country from Yemen,Ethiopia, Erithria and Somalia. Turkeylikewise has a great number of illegalmigrants or refugees from Northern Iraqand some neighbouring countries.

C. Illicit Trafficking of Women andChildren

In the Asia-Pacific region, illicittrafficking of women and children aremostly apparent in developing countrieslike Bangladesh, Nepal, Philippines,Thailand, Malaysia, and Vietnam. Womenvictims in these countries fall prey to crimegroups offering them high paying jobs inother countries like India, Japan, HongKong or some Middle East Countries andeven Europe. However, some of the womenwho come under the control of thesyndicates are sold to other crime groupsand forced into prostitution. Some victimsare somewhat fortunate enough to be soldonly as maidservants in such countries asthe Middle East and Europe . InBangladesh, fifty-five women wereconfirmed to have been victimised duringthe period from January to September1997.

In the Philippines, syndicates recruitwould be victims as cultural dancers ordomestic helpers but end up as prostitutesonce they reach their country ofdestination. Others fall prey to “mail order

brides” schemes prevalent in Europeancountries and Australia, featuring 30-daytrial marriages. When the trial marriagefails, these girls resort to prostitution tomake ends meet and survive.

In the other participating countries likeMongolia, Fiji, Madagascar, Saudi Arabiaand Turkey, the participating presentersreported no significant incidences.

However, in the Latin America countriesof Colombia, Mexico, Nicaragua andVenezuela, incidents of illicit trafficking ofwomen were very apparent, mostly forprostitution activities. Colombian womenare favorite objects of organised crimegroups and many arrests were registeredin such countries as Japan, Hong Kong andthe Philippines.

Trafficking of children cases were alsoreported in Bangladesh where seventy (70)children were victimised during the periodof January to September 1997. InBangladesh and Pakistan, children whowere illegally shipped to some MiddleEastern countries, were reported to beutilised as camel boys.

In the Philippines and Thailand, youngboys are the object of European andAustralian Paedophiles who visit who visitthese countries looking for chi ldprostitutes. International syndicatesadvert ise these countr ies in the“Spartacus” magazine as locations forcheap, perverted sex.

D. Illicit Trafficking of Stolen MotorVehicles

This crime activity is prevalent is suchcountries as Japan and U.S.A. wherevehicles are stolen and shipped to countrieslike China, Philippines, Russia, Thailandand Vietnam. Hong Kong has incidents ofvehicles being stolen and shipped to Chinaaboard fast crafts called “Dai Fei”. Russian

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Mafia Groups facilitate this illegal tradein Japan and Europe for shipment toRussia and former Soviet Union countries,while the Chinese Triads facilitate thisbusiness in Hong Kong and Japan forshipment to China. Japanese crime groupscollaborate with Russian Mafia in theseactivities. In the Philippines, stolenvehicles from Hong Kong, Japan, Taiwanand the U.S. found their way into thecountry through ocean-going vessels andwere smuggled to Philippines seaports ordropped at the high seas to be picked-uplater by smaller boats.

In Pakistan, cases of stolen vehiclesoccur in the cities and urban areas, to bebrought to tribal areas by local tribal crimegroups demanding redemption of thevehicles in exchange for cash. Unredeemedvehicles are transported across thePakistan borders to be sold to otherneighbouring countries.

Stolen motorcycles from Japan aremostly shipped to China, Hong Kong, theMiddle East, the Philippines, Russia,Thailand, and Vietnam.

E. Money LaunderingAmong the participating countries,

money laundering is most apparent in thedeveloped countries where transnationalcrime groups are actively operating. HongKong rates high in this category due to thehigh profile activity of the Hong KongGroups. Mexico, Colombia, Pakistan,Turkey, Thailand, the Philippines andIndia come close due also to organisedcrime group activities engaged in highlylucrative illicit businesses such as drugtrafficking, illegal gambling, trafficking offirearms, stolen vehicles and othereconomic crimes like credit card fraud,bank frauds and money counterfeiting.

Other participating countries, whereeconomic stability and progress is still

wanting, like Vietnam, Nepal, Bangladesh,Mongolia, Fiji, Tonga, Papua New Guineaand Madagascar, have little or nosignificant reports of money launderingcases. Nicaragua and Venezuela havereported some incidents mainly comingfrom organised crime groups engaged indrug trafficking in these countries.

Of the countries mentioned, only Japan,Colombia, Hong Kong, Madagascar, Mexicoand Pakistan have anti-money launderinglaws, while the others are still drafting ordeliberating on their respective lawsgoverning money laundering.

In Pakistan, money laundering comes inthe form of placement, where physicaldisposal of each illegal proceed is made.Layering is another form where separationof illicit proceeds from their source iscreated by complex layers of financialtransaction designed to disguise the audittrail and provide anonymity. Integration onthe other hand is the provision of apparentlegitimacy to criminally derived wealth.There is also the so-called “Hawala” schemein India and Pakistan where money isgiven to a person in one country, andintended for a beneficially in anothercountry. His associates in the other countrydisburses the money to the recipient, ofcourse with a fee or percentage.

In many countries, laundered moneyfinds its way to business investments likehotels, night-clubs, travel agencies,construction businesses and other bigbusiness activities.

F. Transnational Economic CrimesAgain, these types of crimes are

prevalent in the more developed countrieslike Hong Kong, India, Japan, Mexico, theRepublic of Korea, Saudi Arabia, andTurkey. It is also prevalent in developingcountries like the Philippines, Thailand,M a l a y s i a a n d C o l o m b i a , w h e r e

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transnational crimes groups operate.

Among this type of crimes, credit cardfraud is mentioned as the most popularcrime among participating countries. In thePhilippines, an international syndicate wasrecently busted engaging in credit cardfraud. Their modus operandi involved suchschemes as skimming methods, courier-intercept methods, cardholder andsyndicates and the merchant-syndicatemethod. In Japan, foreign organised crimegroups are engaging in credit card fraudand counterfeiting pre-paid cards forpachinko, telephones and cheques.Incidents of credit card fraud have becomeprevalent and surfacing even in suchcountries as Tonga and Vietnam.

In Japan, transnational economic crimeis not only perpetrated by the Boryokodanbut also by another Japanese organisedcrime group known as “Sokaiya”. The latteroperates in the stock market businesswhere , a f ter obta ining r ights asstockholders, they demand undue gainsfrom enterprises by throwing the generalmeeting of stockholders into confusion.However, the activities of Sokaiya ispresently domestic nature, but it is possiblein the future it will become transnational.

In Thailand, Malaysia, the Philippinesand Turkey, currency counterfeiting is alsoprevalent with many arrests registered. Itis however, observed that present trendsindicate a downward activity of currencycounterfeiting, while activities in othereconomic crimes such as credit card fraud,bank frauds and other sophisticatedcomputer-technology frauds are on theupswing.

G. Other CrimesPeculiar crimes being perpertrated by

transnational crime groups as reported bythe participating countries include thefollowing:

(1) Maritime fraud or phantom ship fraud.The Philippines and Thailand haveexperienced these types of fraud whereships loaded with goods mysteriouslydisappear in transit, and consigneesturn out to be ficitious.

(2) Illegal Transport of internal organs.International syndicates kidnappedchildren and used their internal organsfor sale in big hospitals in Europe andthe U.S.A.

(3) Smuggling of rare and endangeredanimals. India, Vietnam, Madagascarand Thailand have cases reported onthese activities. Tigers in India andThailand are being killed for theirbones and hides, and smuggled toChina and Hong Kong. Elephant tusksin India are likewise the object ofinternational smugglers. In Vietnam,smuggling of animals includes raresnakes, pangolins, monitions, wildducks and turtles.

(4) Smuggling of cultural assets, religiousartefacts, antiques, precious metals.international syndicates induce thetheft of valuable cultural assets of suchcountr i e s a s Ind ia , Vi e tnam,Philippines and Thailand. In thePhilippines, religious artefacts fromchurches, mummies from tribal graveyards, antiques from museums andprivate homes are being stolen and soldto foreign buyers for resale to bigmuseums in the U.S. and Europe.Thailand also has cases of Buddhaimages being stolen and sold to foreignsmugglers.

III. ORGANISATION OF MAJORTRANSNATIONAL CRIME GROUPS

A. JapanBoryokudan is estimated to have 80,100

members including associates, with 44,700

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official members. There are three (3) majorgroups, Yamaguchi-Gumi, Inagawa-kaiand Sumiyoshi-kai. Each group has adistict territory or “Nawabari” andpractices the “Jonokin” or tribute system.Members are governed by the quasi-bloodrelationship or “Oyabun” and “Kobun” andentry into the organisation is made afteran initiation ceremony or “Sakazukigoto”.The group is characterised by highcriminality and violence, often engaging in“Turf-War” to settle disputes.

Its traditional sources of income arethe following:

(1) location fee (protection money)(2) drug trafficking(3) gambling(4) bookmaking

A new source of income is derived fromintervention in civil affairs, corporateracketeering and “Sokaiya”. They recentlyhave ventured into legitimate business byinvesting their illict proceeds intolegitimate businesses.

B. Hong KongThe Chinese Triad, 14K, Bamboo Gang,

SUN YEE ON, WO GROUPS engages indrug trafficking, firearms smuggling,smuggling of illegal migrants, stolenvehicles, and economic crimes. Theyoperate in mainland China, Hong KongTaiwan, Japan, Philippines, Thailand andMalaysia.

C. India(1) DAWOOD Gang: operates in the

Bombay area. Has a membership of4,000 to 5,000. Engages in extortion,contract killing, film financing, drugtrafficking, smuggling in computerparts and firearms.

(2) Arun Gawli Gang: Has 200 to 300 gangmembers engaged in protection moneyand contract killings. Leader is an activepolitician in Maharashta province.

(3) Aman Nail Gang: Operates in the Dadararea of Bombay. Has a strength of 200

criminal gang members.(4) Chota Rajan Gang: Operates in the

Maharashta, Karnataka, Uttar pradeshand Delhi area. Has a membership ofabout 800.

D. PhilippinesIndentified transnational crime group

personalities:(1) Alfred Tionko : Fil-Chinese, drug

traficking(2) Lawrence Wang : Fil-Chinese, drug

traficking(3) Relly Barbon Gang : Kidnap for

ransom, robbery(4) Solido Group : Bank robbery, drug

traficking(5) Paracale gangs : Bank robbery, drug

traficking(6) Andres Manambit Group : Kidnap for

ransom, drug traficking(7) Chen Ting Lun : Chinese Triad, drug

traficking(8) Chen Chi Chuing : Chinese Triad, drug

traficking(9) Wei Kuen Keung : Chinese Triad, drug

traficking(10) Wong Kuen Alan Tong : Chinese Triad,

drug traficking(11) Choo Yeh Leong : Chinese Triad, drug

traficking(12) Yan Po Weng : Chinese Triad, drug

traficking

E. Colombia(1) Madellin Cartel: Drugs, firearms

trafficking(2) Cali Cartel: Drugs, firearms trafficking

F. Mexico(1) Arrellano Brothers: Drug trafficking(2) Rapael Caro Quintero: Drug trafficking(3) Juares Cartel: Drug trafficking(4) Amado Carillo “lord of the sky” : Drug

trafficking

G. Former Soviet Union(Russia)(1) Russian Mafia: Drugs, illegal migrants,

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prostitution, firearms trafficking, stolenvehicles trafficking, economic crimes

(2) MVD; 8,000 criminal groups in Russiawith approximately 100,000 members,operate in over 50 countries.

H. Thailand(1) Kun-Sa or Jang See Fu Syndicate:

Engaged in drug trafficking and wararms smuggling.

I. Turkey(1) Hursit HAN crime group.

IV. ANALYSIS AND CONCLUSION

Organised crime is first of all a domesticproblem and when unchecked, it assumesa transnational character. Encouraged byapparent success in domestic crime, theygraduate into large scale and transnationalscenarios by collaborating with counterpartcrime groups in other countries. Profitmotive is the biggest inducement fortransnational crime groups. Activitiesentered into like drug trafficking, illegalmigrant smuggling, women trafficking(prostitution), firearms smuggling andeconomic crimes, brings in enormous, easymonetary incomes. Their accumulation ofwealth translates into more power andclout as the transnational crime syndicatescan now engage in corruption of publicofficials, invest in profitable businesseswhether legal or illegal. The dimensionsof the accumulation of wealth, power,influence and capabilities of organisedtransnational groups have in recent yearstranscended beyond imaginable means.Ironically, victim countries have abettedthe growth and expansion of thesetransnational organised crimes groupsthrough their continued poor economicconditions and status. Vivid examples ofthese are the illegal trafficking of migrants,and the trafficking of women and childrenwho, in their desire to escape the povertyin their native homelands, have become

willing or unwilling victims of these crimegroups. On the other hand, richer or moredeveloped countries, are targeted for theready market and opportunities that existfor illegal drugs, illegal fire arms, stealingof motor vehicles, the entry of illegalmigrants, prostitution, gambling andfavourable atmosphere for the commissionof transnational economic crimes.

Most ironic of all is the sad reality thatdespite the advance of the current trend oftransnational organised crime, governmentpolicies of most of the countries of Europemay have encouraged and created afavourable climate of growth for thesegroups. As Dr. Savona, emminentcriminologist and professor from TrentoUniversity in Italy has observed,“theCurrent trend of globalisation of themarket (i.e., European common market)seems to have induced the criminalorganisation to develop also globally intheir operations and have in factconcentrated in two different directions,specialisation and diversification.” 1 In theEuropean context, Dr. Savona mentionedthat the Russian Mafia have successfullyadopted these globalisation strategies,ironically aided and enhanced by the open-market policies of the European commonmarket nations.

In the Asia Pacific context, Mr. Lau,Director of Crime and Security of the HongKong Police, has likewise observed therapid globalisation of crimes perpetratedby transnational organised crime groupsoperating in the Asia and Pacific region,l ike the Chinese Triad, JapaneseBoryokudan and other groups. Hecontends that to effectively fight thetransnational crime group in the nextmillennium, new strategies, new concepts,adoption of multi-agency approaches andmore international efforts in co-operationand co-ordination must be made to insure

1 108th Crime Prevention Seminar presentation,UNAFEI, Tokyo Japan

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victory against crime. Incidents ofinternational crime group membersescaping arrest and prosecution with haveto be resolved by effective and stronger co-ordination and co-operation amongnations.

Since the dimensions of the problemhave become globalised, governments of thedifferent nations of the world should nowrea l i se that the threat o f thesetransnational organised crimes is veryapparent and increasingly becomingbolder, and that countermeasures to thethreat must be immediately put in place.As Mr. Dimitri Vlassis, Crime Preventionand Crime Justice Officer at UN Office atVienna, mentioned in his lecture atUNAFEI, the international communitycannot afford to allow the situation todeteriorate further. It must take measuresnow and proceed to practical action basedon agreement and founded on its collectivepolitical will.

As a conclusion, the following issuesshould be given special emphasis:(1) Governments of affected countries must

effectively identify the problems posedby transnational organised crimegroups , by l ook ing in to the i rorganisation, scope and extent of theiroperations.

(2) Government policies, laws and practicesmust be looked into to develop up to dateand effective countermeasures againstthe operation of transnational organisedcrimes.

(3) Inherent weaknesses in the economicand political conditions of affectedcountries should be addressed, so as notto become a continuing prey to thesecrimes groups.

(4) Stronger and efficient international,regional and bilateral co-ordination andco-operation among nations must beenhanced to thwart and negate theactivities of transnational organisedcrimes.

(5) Political will among the community of

n a t i o n s t o i m p l e m e n t t h ecountermeasures against transnationalorganised crimes must be affirmed andpursued.

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APPENDIX A

Li Yung Chung CaseA deputy chief justice of a regional court,

faces invest igat ion for suspectedinvolvement in the release on bail of drugsuspect Li Yun Chung, accused ofarranging the biggest shipment of heroinever seized in the United States.

In November 1994 the US governmentrequested extradition of 20 criminalsuspects living along the border of Burma,China and Thailand who were underindictment in a federal court in New Yorkfor heroin trafficking, In combatingSoutheast Asian organized crime groupsand heroin trafficking syndicates, the TigerTrap Operation was set up with cooperationfrom the Office of Narcotics Control Board,Burma and US government to extraditethose criminal suspects to the UnitedStates.

In February 1997 Li Yun Chung, who iswanted by the United States on charges of

smuggling 486 kilograms of heroin-thelargest heroin seizure in US history - intoOakland, California was first arrested inThailand. He was freed on bail sevenmonths late and fled to Burma. In May,three months after Li fled, Burmeseauthorites handed him back Thailand. OnJune 5, he was sent to the US to stand trial.

Li, part of Khun Sa’s heroin traffickingnetworks, spent large amount of money tobribe high ranking officials. He jumped bailin Thailand and made a beeline forneighboring Burma. However, with goodco-operation among Thai, Burma and theUS, finally Li was arrested and sent intocustody. Extradition is an important toolto allow prosecutors in any country to tryall the people involved in traffickingsyndicates, not just the smaller people whomay just carry the drugs or sell the drugson the street.

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APPENDIX TWO

cooperation to use fake cards in japan

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TOPIC3

LEGAL FRAMEWORK AGAINST TRANSNATIONALORGANIZED CRIME BY CRIMINAL JUSTICE SYSTEMS IN

DIFFERENT COUNTRIES

Chairperson Mr. Udaya Nepali Shrestha (Nepal)Co-Chairperson Mr. Semisi Fonua Fifita (Tonga)Rapporteur Mr.Cheung, Yim-fui (Hong Kong)Co-Rapporteur Mr. Yasutaka Harada (Japan)Advisers Professor Yuzuru Takahashi (UNAFEI)

Professor Kayo Konagai (UNAFEI)

I. INTRODUCTION

Under the theme o f the 108thInternational Seminar “Current Problemsin the Combat of Organized TransnationalCrime”, our group was assigned to explorethe legal framework against organizedtransnational crime in different countries’criminal justice systems. The scope of ourexploration was identified and finalizedwith the following issues being focused on:

(1) s p e c i f i c c r i m i n a l p r o v i s i o n s(substantive and procedural) forefficient countermeasures againstcrimes committed by organizedtransnational crime groups;

(2) provisions for the confiscation of illicitproceeds derived from the specificorganized transnational crimes;

(3) provisions specifically directed atorganized crime groups;

(4) provisions for pro-active and/or non-traditional strategies, such as,undercover operations, wiretapping,immunity, controlled delivery etc., ininvestigating organized transnationalcrimes;

(5) provisions for witness protectionprogrammes;

(6) special provisions with regard tosentencing policy; and

(7) e x p l o r a t i o n o f p r o v i s i o n s f o r

international co-operation in criminalmatters, such as extradition andmutual legal assistance.

In our examination, a total of 22countries’ criminal justice systems werestudied, namely: Bangladesh, Colombia,Fiji, Hong Kong, India, Japan, Madagascar,Malaysia, Mexico, Mongolia, Nepal,Nicaragua, Pakistan, Papua New Guinea,Philippines, Korea, Saudi Arabia,Thailand, Tonga, Turkey, Venezuela, and,Viet Nam. Our study was conducted byways of referring to the individualpresentation reports of participantsattending this Seminar, holding ofinterviews with participants, of generaldiscussion in forum, and, examining ofconcerned law books.

II. CURRENT PROVISIONS INCOMBATING ORGANIZED

TRANSNATIONAL CRIMES IN THERESPECTIVE COUNTRIES

A. Efficient CountermeasuresD e f i n i n g t h e t e r m “ e f f i c i e n t

countermeasures” in legal justice systemsis difficult , the group is nevertheless of theopinion that it should be a formalizedsystem or arrangement facilitated eitherby provisions or executive action

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(procedural) which is to speedily and timelydeal with the suspect in the course ofinvestigation and/or offender upon his/herarrest.Performance indicators aretherefore placed upon: s impli f iedprocedures in investigating and detectingoffences; timely process of request forassistance; and speedy trial.

Upon examining the legal justicesystems of these 22 countries, it wasrevealed that only the Philippines has theset-up of ‘Special Dangerous Drug Court’to speed up the criminal proceedings fordrugs trafficking cases. In this court, trialscan be concluded within two months,following the arrest of the offender. In HongKong, authorization in conducting raid atpremises for firearms is delegated to policeofficers of the rank of superintendent(under the Firearms and AmmunitionOrdinance) to speed processes. In addition,under the Police Force Ordinance of Lawsof Hong Kong, banking institutes uponreceipt of the request from the police haveto supply information whether the subjecthas any accounts drawn on the bank andall account records, if any, within 28 days.It is noted that some countries, such asIndia and Malaysia, will make use of theinternal security provisions to speed upproceedings against criminal, however thegroup is of opinion that these kinds ofc o u n t e r m e a s u r e s s h o u l d n o t b eencouraged.

B. Confiscation of Illicit ProceedsProvisions for confiscation of illicit

proceeds, although confined to illicittrafficking in drugs, are in force in morethan half of the 22 countries assessed;namely Bangladesh, Colombia, Hong Kong,I n d i a , J a p a n , K o r e a , M a l a y s i a ,Madagascar, Mexico, Nepal, Nicaragua,Pakistan, Saudi Arabia and Turkey.Amongst them, Bangladesh, Colombia,Hong Kong, Mexico, Nepal, Pakistan,Saudi Arabia and Turkey further have

provisions for confiscation of illicit proceedsderived other than from drug trafficking.

Of note, some countries have already hadprovisions in the final draft to regulate theconfiscation of illicit proceeds derived fromdrug trafficking and/or organized crimes,although they are yet to be enacted, suchas the Anti-Organized Crime Law of Japan,the Proceeds of Crime and MoneyLaundering (Prevention) Act of India, andthe Money Laundering Control Act ofThailand.

C. Criminalization of OrganizedCrime Groups

Provisions for criminalizing members oforganized crime groups can be divided intotwo categories: the first being provisionscriminalizing the MEMBERSHIP of anorganized crime group which making it anoffence of being a member; the secondcategory is described as provisionscriminalizing SPECIFIC OFFENCESCOMMITTED BY MEMBERS of anorganized crime groups. By this criteria,the “Society Ordinance” of Hong Kong andthe “Act for the Punishment of ViolentCrimes” of Korea are under the firstcategory; while the “Anti-Boryodukan Law”of Japan, and, the “Uttar PradeshGangsters and Anti-Social Activities(Prevention) Act” which is only applicablein the State of Uttar Pradesh of Indiashould be within the second’s.

D. Provisions for Pro-ActiveStrategies in InvestigatingOrganized Crimes

For easy reference, pro-active strategiesin investigating organized crimes areconfined to those assessed to be the mostreliable and effective evidence-gatheringtechniques, such as undercover operations,wiretapping, immunity, and controlleddelivery.

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1. Undercover OperationsUnder the laws of Colombia, Malaysia,

Mexico, Pakistan (for drugs offences only),Madagascar, Saudi Arabia, Venezuela, andViet Nam, in the course of investigation anddetection of criminal activities, themounting of undercover operations by thedeployment of operatives is legallypermitted and governed. Evidence soadduced is admissible in court. While inBangladesh , Hong Kong , Japan ,Philippines and Turkey, undercoveroperations are common practice and legalin the sense that there is no laws to rule itillegal. Undercover operations are basicallyillegal in the countries of India, Korea,Nepal, Nicaragua, Thailand, Tonga, andFiji.

2. WiretappingThe definition of wiretapping in our

study is defined to the interception and/orthe tapping of conversations over thetelephone without the knowledge of boththe calling and receiving parties.

Provisions permitting the wiretapping inthe course of investigation exist inColombia, India (mainly for information/intelligence gathering and evidence soobtained is not admissible in court),Madagascar, Malaysia (applicable only todrug trafficking and kidnapping offences),Mexico, Pakistan, Philippines, Turkey(subject to the prior approval of the court),Venezuela, and Viet Nam.

3. ImmunityIn view of the difficulties encountered

in prosecuting the master-minds ofcriminal syndicates (principal offenders),especially for victimless crimes, due to thesecret operation of most of the organizedcrime groups, the granting of immunity tomembers of the criminal syndicate oroperatives in undercover operations, so asto obtain their testimonial evidence incourt, is assessed as one of the most

effective and reliable tactics. Immunity, interm of its types, can be divided into twocategories in accordance with the approachof U. S. A.. The first type which is grantedthrough legislation is called “formal”immunity, while the second type is grantedby way of negotiation carried out betweenthe defense counsel and prosecutor withthe acknowledgment of the presiding judge.In respect of “formal” immunity, it can befurther divided as “use” and “transaction”immunity.

(i) Use Immunity: briefly protects awitness from prosecution in respect oftheir testimonial evidence in court fromincriminating themself for a particularoffence.

(ii) Transaction Immunity: is a blanketpro te c t i on t o a w i tness f r omprosecution regarding their testimonialevidence in court for a particular crime,or a series of crimes (transaction), inwhich s/he is incriminated.

“Informal” immunity is basically anagreement as a result of the bargain and/or negotiation between the defense counseland prosecutor, with the cognisance of thepresiding judge. By this agreement thewitness is protected from prosecution.

Our study of these 22 countries’ legaljustice systems revealed that provisions toregulate immunity exist in Colombia, HongKong, India, Mexico, Pakistan, thePhilippines, the Republic of Korea, SaudiArabia, Venezuela and Viet Nam, althoughthe circumstances under which it isgranted may be defferent.

4. Controlled Delivery“Controlled Delivery” is an effective tool

in combating illicit drugs trafficking andis defined in the 1988 United NationsConference for the Adoption of theConvention Against Illicit Trafficking inNarcot ic Drugs and Psychotropic

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Substances, as “the technique of allowingillicit or suspicious consignments, orsubstances substituted for them, to passout of, through or into the territory of oneor more countries, with the knowledge andunder the supervision of their competentauthorities, with a view to identifyingpersons involved in the commission of theoffence”.

Out of the 22 countries, adopting thetactics of controlled delivery in tacklingillicit drugs trafficking, handling stolengoods, etc. is legalized in Hong Kong, India,Japan, Madagascar, Malaysia, Pakistan,Philippines, Saudi Arabia, Turkey andVietnam. Nevertheless difficulties has beenexperienced in some countries affecting thesuccess of these operations, due to theinadequate cooperation and coordination ofinvolved countries, especially destinationcountries.

E. Witness Protection ProgrammesThe importance of witness protection is

particularly pertinent in the success ofcombating organized crimes, not onlybecause of preventing threat and/orviolence to the witnesses but also as aguarantee in gaining the confidence ofwitnesses in support in of organized crimeprevention and detection.

Most of the countries studied realize theessential need of protecting witnesses.Their witness protection programmes canbasically be categorized in to three types:(1) Countries with witness protection

programmes regulated by legislationare: Colombia, Mexico, Philippines,Saudi Arabia and Turkey (applicable toterrorist matters only). While in HongKong (Witness Protection Ordinance)and Nepal (Witness Protection Act) arein the draft stages.

(2) Countries with the witness protectionprogramme formalized by way ofexecutive action are: Bangladesh, Hong

Kong, Korea and Nepal.(3) This group consists of those remaining

countries in which the witnessprotection issue is not formalized norlegislated, but may be provided in caseof need.

Of note is that despite witness protectionprogrammes in force in law or otherwisein some countries, the extent andstandards varied. Some countries onlyconfine their protection to the trial period,although some countries provide a fullrange of protection including physicalprotection, relocation of residence, financialsupport, change of identity, and theextending of the scheme to cover thewitness family and relatives. However itis unfortunate to note that some arehampered by the lack of financial andhuman resources to afford a comprehensivewitness protection programme.

F. Special Criminal Punishment/Sentencing Policy

Sentencing policy is basically a decisionmaking process for the authority todetermine the treatment of a convictedoffender. It nevertheless implies themessage of deterrence, punishment andrehabilitation, in accordance with thepriority allocated and nature of the offence.Of course, the background of the offendershould be taken into consideration as well.

Under this scope, a lot of factors such asthe characteristics of the country, social,political economic, development stage,phenomenon of the country, may bebrought up. For the sake of our study, focusis placed upon the issue of sentencing policywith regard to organized crime offenders.Amongst the countries studied, Hong Kong(Society Ordinance, and, Organized andSerious Crime Ordinance), Japan (Anti-Boryokudan Law) and Korea (Act for thePunishment of Violent Crimes) havespecial provisions to criminalize themembers of an organized group by

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enhancing the sentence for the offencecommitted, although in Japan being amember of Boryokudan itself is not anoffence under the Anti-Boryokudan Law.Whereas Bangladesh, India, Malaysia,Pakistan, the Philippines, Saudi Arabiaand Turkey, has capital punishment inforce for drug trafficking offences.

G. Provisions for InternationalCooperation

There is no dispute that internationalcooperation becomes a “must” if organizedtransnational crime is to be combatedeffectively and efficiently. The effectivemeans are the surrender of fugitives andmutual assistance in criminal investigationby the facilitation of national provisionsand/or bilateral/multilateral agreements;although difficulty is experienced byrequesting countries due to lack of bilateralagreements with the requested countries,or, in view of the principle of speciality andof dual criminality.

Upon studying the 22 countries, thosewith national provisions to facilitate theinternational cooperation are Bangladesh,Colombia, Japan, Madagascar, Mexico,Malaysia, Nepal, Pakistan, the Philippines,the Republic of Korea, Saudi Arabia,Thailand, Turkey and Venezuela, whileHong Kong is in the stage of drafting thefugitive offenders bill.

III. QUESTIONS TO BE ANSWERED

Amongst the above seven issues,adoption of pro-active strategies such asundercover operations, wiretapping,immunities, and controlled delivery ininvestigating organized crimes attractedactive discussions in the forum; not onlyin the scope of human rights, individualfreedom, personal privacy but also bringingup the dilemmas being encountered by lawenforcement agents , the issue ofentrapment, and the issue of police ethics.

Despite in some countries undercoveroperations and/or wiretapping are yet tobe legally permitted (of course in this senseit should not be assumed as illegal), lawenforcement agencies adopt them as acommon practice for information/intelligence gathering. This sort of practiceapparently brings out a question oftemptation and entrapment, should thelaw enforcement agent lack supervisionand coaching. Meanwhile the belief thatthe law enforcement agency, as part of thesocial justice system, should reflect justiceby maintaining the law and order withhonesty and integrity, these practices areno doubt putting the law enforcementagent(s) in a dilemma. It is easy to imaginethe next question of credibility of theofficers concerned in their testimonialevidence under which the informationalevidence is gathered. Should the officerintentionally deny or conceal the truth, orshould s/he be holding to the ethic ofhonesty and tell the whole truth?

Immunity was another hot issue duringthe discussion session. By adopting theapproach of the U.S.A., immunity (asdescribed earlier), both formal or informal,basically puts a suspect under exemptionfrom prosecution. This tool seems to be oneof the most effective countermeasures inbringing the heads of organized criminalsyndicates before justice. The question ofabuse (such as what can be done if thewitness whom the immunity has beengranted turns hostile in court) shouldhowever become another concern of thelegislators.

In the course of the forum, the meaningof immunity also attracted activediscussion although it was eventuallyclarified that by adopting the U.S.A.’sapproach and other countries’ approaches,the application and circumstances underwhich it is granted might be different. InHong Kong, the immunity (called Public

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Interest Immunity) can be granted eitherbefore the commission of the offence, orafter the commission of the offence. Theformer applies to police officers (operative)and/or witnesses (Informer) who have beentasked to take part in the undercoveroperation, while the latter can be grantedto a suspect so as to testify against aprincipal offender.

Unless undercover operat ions ,wiretapping, and immunity are formalizedand founded with clear and specificlegislation, the question of dilemmas andabuse remain to be answered.

The tactics of controlled delivery alsocauses concern upon the issue of lack ofeffective and efficient cooperation andcoordination. In this aspect, the setting upof a joint action task force which not onlyinvolves law enforcement agencies ofaffected countries, but also includes legalcounsel of concerned countries, appears tobe a possible solution.

IV. CONCLUSION

Coming across the aforementionedscenario of organized crime, it is realizedthat perhaps there is no country in theworld left free from organized crime oneway or other. The problem of crime hasbeen faced by all countries irrespective ofeconomic and technological development ornation size. However, the crimes haveflourished all over the world whereverthere is a favorable atmosphere in respectof economic benefit and legal lacunas.

On the basis of general discussion of thisgroup, it may be commented that there isno specific law in each country dealing withall transnational organized crime, that hassubstantive and procedural legal provisionsfor the efficient countermeasures againstsuch crimes. In view of the rapiddevelopment of globalization, the

realization of provisions for confiscation ofillicit proceeds derived from specificorganized crimes becomes urgent.

Provisions providing undercoveroperations, wiretapping, immunity,controlled delivery and so on have beendiscussed in length. Most of the countrieshave these sort of practices in theircountries, necessary to overcome criminalactivities, but very few countries haveaccording legal provisions (without whichthe law enforcement agencies arehandicapped to combat the targeted crimeand criminals). It is almost a consensusthat such laws should be materialized andformalized so as to enable crime combattingagencies, but with full respect forrecognized human rights, individualfreedoms and personal privacy.

Protection of witnesses is needed forcases to be actioned effectively. By such,witnesses as can not only be protected fromthe danger of threat and violence, but canalso be confident in their support oforganized crime prevention and detection.

Many countries are found to havedomestic laws providing extradition andmutual legal assistance in criminalmatters. Some of the countries, althoughthere is no such laws, have entered intomutual assistance agreement with manycountries, especially neighbouringcountries, for the arrangement oftransborder as well as internationalcrimes. Beside this, countries studied havelinks with interpol, by which capability incombatting organized transnational crimesare further enhanced. Moreover, UnitedNation’s instruments relating to drugs andother transnational organized crimes arein effect in almost all participatingcountries, such as Vienna ConventionAgainst Illicit Trafficking in Narcotic Drugsand Psychotropic Substances, 1988. TheSeminar was in consensus to make an

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effort to adhere to such internationalarrangements and cooperation, either inbilateral or multilateral ways.

In sum, it is noted that the lawenforcement authorities would requirelegal room to accommodate effectivemethods against organised crime, eitherthrough national or international means.Being transnational in nature, properinformation, law and law enforcementagencies, as well as proper adjudication arealways deemed necessary. Today,commitment has been shown by the worldin such matters in many forums. However,proper arrangements for uniform andefficient countermeasures are still neededto be realized and explored as early aspossible before new crimes come.

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TOPIC 4

CURRENT SITUATION OF DETECTIONAND INVESTIGATION

Chairperson Mr. Armogam Gounder (Fiji)Co- Chairperson Mr. Muammer Yasar Özgül (Turkey)Rapporteur Mr. Purushottam Sharma (India)Co- rapporteur Mr. Claude Ranjatoson (Madagascar)Advisers Mr. Terutoshi Yamashita (Japan)

Mr. Syoji Imafuku (Japan)

I. INTRODUCTION

A. Introduction of Discussion IssuesThe task given was to discuss the current

situation of detection and investigationamong the participating countries of the108th International Seminar, specificallythe discussion guidelines enumerated thefollowing points:(1) Structure and characteristic of

investigative organization, i tssufficiency in terms of personnel forinvestigation and devices (equipment).

(2) Ability and expertise of investigators.(3) Collection of information for detection

of transnational crimes.(4) Di f f i cu l ty in ident i f i cat ion o f

transnational crime groups and ingathering information on them.

(5) Success of detection and reasons forfailure in detection.

(6) Are the king-pins successfullyarrested?

(7) Difficulties in gathering evidence.(8) Difficulties in international co-

operation.(9) Use of international systems and

organizations.

B. Definition/Characteristics ofOrganized Crime

If you notice the definition and/orcharacteristics of organized crime, you mayrealize that such characteristics may causesignificant and specific problems in

investigation and detection of organizedcrimes compared to others. Thus, thisreport touches upon these points.

The definition of “organized crime” maydiffer from country to country, orjurisdiction to jurisdiction, so it is betterfor us to try i t and mention thecharacteristics of organized crime ororganized crime groups here. Thetraditional definition and concept oforganized crime is somewhat restrictive inits exclusion of general conspiracies toextort monies, services and associations ofout f i t , a s we l l a s by non -out f i torganizations and groups. Organized crimein effect, consists of the participation ofpersons and groups of persons (organizedeither formally or informally) intransactions characterized by:(1) An intent to commit, or the actual

commission of substantive crime;(2) A conspiracy to execute these crimes,(3) A persistence of this conspiracy through

time or the intent that this conspiracyshould persist through time;

(4) The acquisition of substantial powerand money, and seeking of high degreeof political or economic security, asprimary motivation; and

(5) An operational framework thatsometimes seeks the preservation ofinstitutions of politics, government andsociety in their present form.

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It should be noted that any definition oforganized crime or organized crime groupsdoes not refer to a particular offence orcrime. Even though some organized crimegroups may tend to commit specific typesof crime, most of them usually commitsmany types of crime in order to haveeconomic ga in and mainta in i t sorganization. As already reported in Topics1 and 2, even if limited to organized crimesin transnational nature, various types ofcrime (such as drug trafficking, firearmstrafficking, smuggling of illegal migrants,illicit trafficking in women and children,illicit trafficking in stolen motor vehicles,money laundering, etc.) are touched upon.

C. Investigative AgenciesIn many countries, the police or/and

other law enforcement agencies (like thenarcotic control agency, immigrationagency, etc.) investigate crimes includingorganized crime in general. On the otherhand, it should be noted that in somecountries like Japan, Korea and Turkey,public prosecutors investigate crimes inaddition to the police. Although Japaneseprosecutors initiate and completeinvestigation about white-collar crime (e.g.,corruption, tax evasion, etc.), they do notinitiate investigation about organizedcrime, which is primarily investigated bythe police. Japanese prosecutors conductsupplemental investigation after thereferral of such cases by the police.Needless to say, there is no significantmeaning in whether prosecutorsinvestigate crimes in terms of addressingproblems in investigation and detection.However, since the current situation ofinvestigation and detection is to bediscussed, the word “investigator” in thisreport includes public prosecutors for thosecountries.

II. PROBLEMS IN INVESTIGATIONAND DETECTION

A. Difficulty in the Collection ofInformation and Witnesses

Investigation begins when investigatorsrecognize an occurrence of a crime in someway or feel that a crime has beencommitted. In many countries, law such ascodes of criminal procedure stipulate acomplaint, an accusation, etc., as thebeginning of an investigation. This ismeant to give special legal effect to thesedeeds, and not to restrict the beginning ofan investigation. Although some cases(especially, damage to individuals or theirproperty) tend to require a complaint/accusation of an interested party, to beinvestigated or prosecuted; the damagegiven by corruption cases is not concernedto a particular party but to the public andthe state. Therefore, the clues to startinvestigation are not only a complaint/accusation etc., but also the investigationof other cases, anonymous letters, newsarticles etc. in order to initiate collectingevidence.

However, in most organized crime likedrug trafficking, illegal trafficking infirearms, illegal, smuggling of illegalmigrants (in case some are willing to doso), money laundering, etc., there is nocomplainant reporting to the police or otherinvestigative authorities. A visiting expertof this Seminar mentioned that organizedcrimes are bloodless and victimless. Hence,there is difficulty in reporting such crimeand consequently organized crime groupsmaintain and further proliferate.

Even in traditional and serious crimeshaving victims like murder, kidnapping,bodily injury, extortion, illicit, traffickingin stolen motor vehicles, economic crimes,etc., victims and other people concerned arereluctant to report those crimes to thepolice or other investigative agenciesbecause of fear of revenge from organizedcrime members in the future. Thus, again

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there is a difficulty in reporting suchcrimes.

Furthermore, although information frompeople inside or close to legitimateorganizations, like in cases of corruptionor economic crimes, may come out, suchinformation seldom comes out in organizedcrime. This is because of the tightrelationship among such group memberswhich is often reinforced by strict internalrules and punishment.

B. Inadequacy of Existing LawsOrganized crime is a continuing

conspiracy, hence the incidents of theorganized crime are dealt with under thegeneral rule of conspiracy in most ofcountries.

Existing laws are mostly inadequate tomeet the challenge as they target theindividuals and not the criminal groups orcriminal enterprises. Conspiracies arehatched in darkness and proving them ina court of law is a herculean task. Being amember of the gang is punishable in a fewcountries.

In most of countries, anti-drug laws havebeen enacted after the so-called ViennaConvention. Such laws criminalize moneylaundering of illicit proceeds derived fromdrug-related crime. However, such laws areinsufficient for many countries to combatorganized crime or organized crime groups,since their activities are not limited todrug-related crimes.

C. Difficulty in the Arrest ofKingpins

As organized cr ime groups arestructured in a hierarchical manner, thehigher echelons of leadership are insulatedfrom law enforcement. It may be possibleto have the actual perpetrators of crimeconvicted, but it is difficult to go beyondthem in the hierarchy because, more oftenthan not, there is less evidence to get suchkingpins arrested. For example, thewitnesses are not willing to depose for fear

of their lives and most countries have nolaw to provide protection to the witnessagainst organized gangs, except for thePhilippines.

D. Admissibility of ConfessionsIn some countries like Fiji, Hong Kong,

Japan, Malaysia, Papua New Guinea, theRepublic of Korea and Tonga, theconfession made to investigators isadmissible in trial, subject to the proof ofits voluntariness, or other certainrequirements. However, a confession madebefore a police officer is not admissible inother countries like India and Pakistan.There has been other practices forrecording confessions in such countries. Apolice officer may take the accused beforean executive or judicial magistrate torecord the confession. Once recorded thisway, it is admissible in trial. However, forexample in India, when a police officertakes the accused for confession, themagistrate provides one to two days timeto the accused for reconsideration, theaccused may meanwhile alter this version.Hence, the investigative agencies find itdifficult to effectively cope with organizedcrime. As it is difficult to get eyewitnessevidence in cases of criminal conspiracy,inadmissibility of confessions before apolice officer, can result in the failure toprove cases in the courts.

E. Time Lag between theCommission of Crime and Arrestor Trial

Even if investigators successfully obtaininformation about organized crime, it takesa long time to collect evidence, securearrest, prosecution and conviction.This isthe same in other crimes, but sinceorganized crime groups would continueillegal activities and order their lower levelmembers to commit other crimes, such timelag may give organized crime groupssignificant benefit. Even after the arrestof such members and acquisition of

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evidence to arrest them, members in higherlevels of hierarchy are still unlikely to becaught and more relevant evidence woulddisappear.

“Justice delayed is justice denied” is awell known exiom. In some countries likeIndia, Malaysia, Pakistan, the Philippines,the pace of trial is very slow. Hence, peopleare losing faith in the efficiency of thecriminal justice system and have becomecynical, apathetic and non-cooperative incontrol efforts.

F. Limited Special Techniques inInvestigation (UndercoverOperations and Wiretapping)

Undercover operations are carried outin instances where a person approaches theinvestigative agencies and files an officialcomplainant against the illegal conduct ofoffenders. In Hong Kong, Madagascar,Malaysia and the Philippines, this isfunctioning well. Normally, undercoveroperations require the approval of thedesignated authority in those countries, forexample, Attorney General in Hong Kong,magistrates/judges in Madagascar. Sinceother participating countries have notlegalized undercover operations, they facedifficulties in penetrating organized crimegroups by traditional investigationmethods.

Similarly, wiretapping is not allowed inmost of the participating countries likeHong Kong, Papua New Guinea, Tonga andThailand, except for Turkey. Thus, most ofthe participating countries have difficultyin revealing cases and collecting evidence.Controlled delivery techniques are widelyused in some countries like India. Therehas been good success in recoveries of drugsthere, however it is not fully used in othercountries like in Fiji, Tonga, etc.

G. Lack of CoordinationCrimes committed by organized crime

groups are not limited to certain types ofcrime as mentioned in the introduction. On

the other hand, some countries givesinvestigative power to several agencies,either exclusively for a particular crime orconcurrently for some crimes. In such acase, coordination among several agenciesare necessary because of the lack of orlimited coordination may cause somedifficulty in combatting organized crimegroups. Most countries have goodcoordination but there is still a possibilityof failure in investigating organized crimesbecause of un-streamlined coordinationamong agencies.

Moreover, in India, there is no nationallevel agency to co-ordinate the efforts of theState/City Police Organizations, as well asthe Central Enforcement Agencies, incombatting organized crime. Further, thereis no agency to collect, collate, analyze,documents and function as a CentralExchange of information relating tointernational and inter-State gangsoperating in India and about the Indiangangs operating abroad. Similarly, there isno system of sustained pursuit of selectedgangs at the national and the State level.Apart from lack of an institutional framework, there are problems of coordinationbetween the Central Government and theState Governments and between one StateG o v e r n m e n t a n d a n o t h e r S t a t eGovernment due to differences in politicalperceptions. This problem becomes quiteacute when different political parties arein power at the center and in the States.Thus, there appears to be no sustainedeffort to combat organized crime. Theinformation that comes in the hands ofCentral and State investigating agenciesis not exchanged and, if exchanged, not inreal time. Thus valuable clues are lost.

H. Political InfluenceThere has been a rapid spread and

growth of criminal gangs, drug mafias,smuggling gangs, drug peddlers andeconomic lobbiests. Since some organizedcrime groups are close to some politicians,

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political influence has been made during/after investigation in some countries. Dueto the political influence of thesesyndicates, the investigating andprosecuting agencies are finding itextremely difficult to deal effectively withthem. This problem was mentioned byIndia, the Philippines, Pakistan andThailand.

I. Problems in InternationalCooperation

Different nations have different legalstructures. A certain act may be crime inone country but not in another. Similarly,some countries have laws against terrorismbut the others do not. Extradition ofcriminals from one country to another ispossible only when the principle of dualcriminality is satisfied. However, nocountry agrees to abolish this principlebecause it is natural for the requestedcountry that fugitives cannot be extraditedfor conduct which is not criminalized intheir country.

Bangladesh, Fiji, India, Nepal, Malaysiaand the Philippines require an extraditiontreaty to honor an extradition request. Thisis known as the treaty prerequisiteprinciple1, which is the most significantimpediment to extradition from theperspective of a civil law country (e.g.,Japan, the Republic of Korea and Thailandare categorized as civil law countries interms of extradition). A prima facie caserequirement is the usual practice incommon law countries. Some civil lawcountries, in extradition procedure, requirereasonable grounds for having committeda predicate crime (tantamount to “probablecause”). Even if all legal requirements aresatisfied, the execution of extradition takesa long time.

J. Inadequacy of EquipmentIn most countries like Fiji, India,

Madagascar, Nepal, Pakistan, thePhilippines (law enforcement equipment),Papua New Guinea (communicationequipment), Tonga (especially on detectionof drugs), there is problem of inadequacyof equipment to deal with sophisticated,high-tech crime.

K. Lack or Lesser Priority by theGovernment

In some countries like India, Malaysia,Pakistan and Thailand, there has beencontinued demand for increase in the workforce. Due to the variety of duties andcomplexities of crimes, it is extremelydifficult for the existing man power to copewith crime.

L. Insufficiency of Expertise andTraining

Almost all participating countriesmentioned the problem of insufficiency ofexpertise and training in investigativeagencies. Investigation of cases, theirprosecution and the setting up of thecriminal courts is the responsibility of theprefectural Government concerned, like inIndia. Most of the prefectural States faceresource crunches and are not in a positionto spare adequate resources for thecriminal justice system agencies. Thenumber of police personnel posted in policestations, is inadequate. Besides, hardly anytraining facilities exist for the investigationof organized crime. Prosecutors neitherhave any special aptitude nor anyspecialized training for conductingorganized crime cases. Moreover, they arevulnerable to frequent transfers resultingin discontinuity in prosecution efforts. Asorganized crime cases are tried, there isinordinate delay in their disposal due toheavy backlogs.1 Although such countries do not need a treaty for

extradition within other commonwealth countries,they are categorized as treaty prerequisite countriessince they still require a treaty with other countries.

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III. SUGGESTIONS

Realizing the problems the abovementioned pose to law enforcementagencies in combatting against organizedcrime, the following suggestions should betaken into consideration.

A. Projects to Collect FirstInformation

Even though investigation begins withvarious clues, it is necessary for successfulinvestigation or prosecution to obtaincredible information as much as possible.However, such credible information isshared by the people who are officially orpersonally close to corrupted officers,because of the clandestine nature ofcorruption cases. Thus, how to encouragesuch people to release information must betaken into consideration. Investigatorshave to be cautious in dealing withanonymous letters because they are sentby someone to obtain a personal interestby making a false accusation against aparticular person. Such information tendsto be overstated or over-decorated. On theother hand, there are some anonymousletters, especially from persons who haveinside information, which inform us of theimportant truth. In this regard, it is worthconsidering introducing the project, so-called “Crime Stoppers” as in Fiji.

In order to resolve the problems ofhaving an uncooperative attitude fromorganizations concerned with criminalcases in Fiji, the Commissioner of Policehas introduced a project called “CRIMESTOPPERS” which is directly under hiscontrol. For the last two years, it has beenfunctioning where anyone can address theletter without giving his identity and canforward information or lodge a complaintregarding criminal activities of a person.If people give information, and upon policeinvestigation the case information provesto be true, the informer will be paid aftersuccessful arrest (depending how serious

the information was). The source ofinformation will never be disclosed, thusinformers confidentiality is protected.

B. Effective Anti-Money LaunderingLaw

Money laundering regulations wereinitiated by the United States to deprivecriminals of property together with theAsset Forfeiture system. The predicatecrime of money laundering is now extendedto almost of all the serious crime in somecountries like Turkey and the UnitedStates. Even though some participatingcountries have money launderingregulations, the predicate crime is limitedto drug-related crime. However, organizedcrime groups commit any type of crime inorder to obtain economic gain, thus thereis no reason to limit predicate crimes todrug-related crimes. Moreover, since thedevelopment of transportation andcommunication carries over cultures, onceone country adopts stringent policies andcomplete legal systems for deprivingcriminals of illicit property, it is natural forsuch criminals and property to move toanother country where such systems do notexist. Therefore, to protect one countryfrom such a situation, it is indispensableto establish these legal weapons whichextend money laundering predicate crimesas much as possible. Thus, for example,Japan is now considering to extend thepredicate crimes of money laundering aswell as asset forfeiture. Such predicatecrimes may be serious crimes, includingthose crimes committed by organized crimegroups. India has prepared a draft whichis in consideration in Parliament.

C. Legalization of UndercoverOperations

The law enforcement agencies in somecountries run under-cover agents to gatherinformation about criminal gangs, studytheir modus operandi and evaluate theirfuture plans and strategies. This

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information is used both for preventive andinvestigative purposes. In the UnitedStates, the evidence gathered by the undercover agents is admissible in evidence-whether it is in the form of their oraltestimony or recorded in audio or videoform. However, most participatingcountries laws do not permit this. Thishandicaps the law enforcement agents inbuilding up cast-iron cases againstorganized gangs. It is suggested thatamendment of the law should be taken intoconsideration to provide for admissibilityof such evidence.

D. ImmunityMost of the participating countries do

not have the so-called use and derivativeuse immunity. This is a statement givenby a witness (e.g. accomplice) implicatingthe accused in a criminal enterpriseinvolving them. The statement will makeclear that the content therein will not beused as evidence to exculpate the witnessof his criminal activity. Specifically, it doesnot imply any promise that the statement-maker will be given immunity fromprosecution. However, since the prosecutormust establish that the evidence to be givento the court is not derived from suchpromises beyond reasonable doubt,prosecution against him is quite difficult.

E. Witness Protection ProgrammeIn cases of organized crime, the

witnesses are reluctant to depose in opencourt for fear of reprisals at the hands ofcriminal syndicates/terrorists. The cases ofthreat or criminal intimidation of potentialwitnesses are too many to be recounted.Some witnesses have also been killed bythe criminal gangsters. As the courts go byevidence on record for establishing the guiltof the accused, it is essential to protect thewitnesses from the wrath of the criminalgangs. Hence, legal and physical protectionshould be provided to crucial witnesses insensitive cases so that they can depose

fearlessly in the court. After the enactmentof Witness Security Reform Act 1984, theUnited States authorities could secureconviction of several notorious mafialeaders. The United States WitnessProtection Programme, essentially,involves changing the identity of thewitness, relocation, physical protection, ifneeded, and financial support till such timeas s/he become self-supporting, subject tothe condition that s/he deposes truthfullyin the court.

Some participating countries like thePhilippines have witness protectionprogrammes similar to the United States.However, most participating countries donot have such programmes. These shouldbe taken into consideration to provideprotection to witnesses especially in casesof national importance involving criminalsyndicates.

F. Admissibility of ConfessionsAlthough confessions made before police

officers are admissible in most countries,in some countries like India, such aconfession is not admissible. Of course, thisis not to say that the court should baseconviction only on the un-corroboratedconfession of an accused. What is beingsuggested is that the court should take intoconsideration the confession made by theaccused before a police officer along withother corroborat ive ev idence forformulating its opinion.

G. Enhancement of InternationalCooperation

If an extradition treaty has not beenconcluded between countries concerned,especially treaty prerequisite countries,even criminal fugitives who allegedly havecommitted serious crime cannot beextradited. However, it should be notedthat Australia, recognized as a treatyprerequisite country, amended itsextradition law so as to honor anextradition request from a treaty non-

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prerequisite country.It is our experience that extradition is a

time consuming and lengthy process,where, apart from satisfying the legalrequirements of the requested country, thejudicial requirement of a foreign court havealso to be satisfied. Thus, efforts to simplifyor streamline extradition procedure shouldbe made as much as possible. For example,some treaties provide that “the requestedcountry may grant extradition after receiptof a request for provisional arrest, providedthat the person sought explicitly consentsbefore a competent authority”. This kindof simplified extradition procedure shouldbe taken into consideration for effectiveinternational cooperation.

Furthermore, it should be noted thatamong some Asian countries (e.g., Malaysiaand Singapore) having similar legalsystems, special procedure for extremelysimplifying the extradition procedure hasbeen stipulated in their laws; whichenables an arrest warrant issued by acourt, a judge or a magistrate of onecountry effective in the other country if amagistrate of the latter endorses it undersome requirements. Thus, various ways toenhance extradition should be taken if notprecluded by the law of the countriesconcerned.

Moreover, if extradition is impossible,deportation may be sought as the lastsolution. Of most importance is to bringcriminal fugitives to justice.

As for gathering more information ontransnational criminal and their activities,Interpol should come to the effectiveassistance of affected countries. Interpol isa n o v e r l o a d e d a n d o v e r w o r k e dorganization at present, with focus on drugtrafficking and illicit transnationalmigrations. With the proliferation oftransnational crime in its variousmanifestations, it is time to set up regionalunits of Interpol in Asia, Africa and LatinAmerica.

H. Adequate Training ProgrammeOne of the weakest links in the struggle

against organized crime is the educationand training at the local level. Publicadministrators, who are aware thatorganized crime exists in their community,are not spending sufficient time ineducating and training citizens, lawenforcement officers and other members inthe criminal justice system. Consequently,local persons with interest in curbingorganized crime are left to their ownresources in securing information aboutthose engaged in organized crime. Thereare three modus for transmittinginformation to those concerned withorganized crime control. They are (1)education in academic institutions, (2)specialized training for law enforcementofficers, and (3) greater public co-operation.To implement one mode of learning withoutthe other will not produce a desirable levelof information about the criminalconfederations.

It would be desirable to impart intenseand highly select training to the police,prosecutors, judges and probation officers,about the impact of organized crime on thesociety, the intelligence system, thestatutes relating to organized crime, theutilization of technology in investigationand the various types of organized crimeand various strategies for combating it.

IV. CONCLUSION

“Organized crime succeeds as long as anation permits it to succeed.” The first andforemost step in our control efforts shouldbe to keep incidents of ordinary crimeswithin reasonable bounds, by keeping thecriminal elements under relentless law-enforcement processes. If we reasonablysucceed in this effort, we would haveobtained or at least diminished thepossibility of unattended criminal elementsforging alliances with big crime figures,constituting criminals networks and

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thereby spawning the phenomenon oforganized crime. It is imperative to combatthe crime, to strengthen the criminal lawand tone up the criminal justice system.Law enforcement, however efficient, cannotsucceed by itself without commitment bythe Government.

Despite best efforts, the domestic crimeis likely to spill over into internationalsociety and often does. Hence the need forinternational co-operation in suppressingit in the form of expeditious extradition offugitive criminals, deportation ofundesirable aliens, mutual legal assistancein investigations and prosecution, andspeedy cooperation through Interpol.

PART II

Work Product of the 109th International TrainingCourse “EFFECTIVE TREATMENT MEASURESFOR PRISONERS TO FACILITATE THEIR RE-

INTEGRATION INTO SOCIETY”

UNAFEI

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VISITING EXPERTS’ PAPERS

THE IMPORTANCE OF THE APPROPRIATE MANAGEMENTOF RISK AND REINTEGRATION POTENTIAL

Don A. Andrews*

This paper has been updated from thenotes prepared for a session on Correctionsand Conditional Release at “BeyondPrisons: Best Practices Along the CriminalJustice Process,” an InternationalSymposium held on March 15-March 18,1998, at Queen’s University, Kingston,Ontario, Canada. It is based on materialsprepared for the National Parole Board ofCanada in January of 1994 as well asmaterials developed for NIC, the VermontDepartment of Corrections, the OntarioMinistry of Community and SocialServices, the Ontario Ministry of theSolicitor General and CorrectionalServices, and Multnomah County Oregon.

I. INTRODUCTION

This paper is concerned in particularwith how current research, theory andopinion within the human and socialsciences may assist in decision making andpractice in relation to risk managementand risk reduction. In particular, howauthorities with an interest in communitycorrections and conditional release mayassess the quality of each of the following:

i) quality of understanding of intakerisk/need

ii) quality of understanding of anindividual’s criminality (individualizedassessment of risk/need)

iii) quality of the correctional plan andin-prison events

iv) quality of release plansv) quality of progress reportsvi) quality of assessments of an

offender’s behavior on conditional

release.An introduction to the power of current

knowledge and opinion regarding risk/needand recidivism follows but obviously doesnot imply that risk/need assessments andknowledge of program participation yieldperfect predictions of recidivism. To thecontrary, even the best of the empirically-based knowledge of the value of preservicerisk assessments, reassessments of risk/need, and program participation yieldpredictions that are less than perfect. Someinformation, however, yields more accuratepredictions regarding the possibility offuture criminal conduct than does othertypes of information. For example;

i) assessments of antisocial attitudes,antisocial associates, psychopathicpersonality, a history of antisocialbehavior, and problematic familiala n d e d u c a t i o n a l / v o c a t i o n a lconditions are much stronger riskfactors than are assessments ofpersonal distress, low intelligence,psychopathology or lower classorigins;

ii) assessments of dynamic need factorsincrease the predictability ofrecidivism over that provided by anassessment of criminal history;

iii) assessments of current risk/needlevels are more predictive ofrecidivism than are intake risk/needassessments;

iv) assessments of participation intreatment programs are morepredictive of effects on recidivismthan are assessments of the settingsestablished by the severity of officialpunishment or of official processingsuch as levels of custody or of

* Professor, Department of Psychology,CarletonUniversity,Canada

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supervision;v) assessments of the clinical and

p s y c h o l o g i c a l r e l e v a n c e o fcorrectional treatment participationare more strongly predictive of effectson recidivism than are assessmentsof undifferentiated treatmentparticipation;

vi) assessments of changes undersupervision are predictive ofrecidivism over and above theaccuracy provided by prior risk/needassessments.

II. THE GENERAL PERSONALITYAND SOCIAL PSYCHOLOGICALPERSPECTIVE ON CRIMINAL

CONDUCT: SOCIAL LEARNING

There are few scholars or practitionerswho would not agree that the occurrenceof criminal acts reflects the outcome ofparticular individuals being in a particularsituation at a particular time. Theimmediate causes of criminal activityreside in the immediate situation of action.Situations, by virtue of objective featuresand prior personal experience, may varyin the temptat ions and contro lsrepresented. In that immediate situation,a crime occurs when:

i) An intention to behave that way isformed.

ii) The personal choice is made.iii) Self-efficacy beliefs suggest that “I

am able to do it” and “it will payoff”.iv) The situation is defined as one in

which it is “OK” to behave that way.v) The balance of signaled rewards

exceed the signaled costs of crime.

Understanding and managing risk ofrecidivism entails understanding:

i) Individualized situational riskfactors, and:

ii) Understanding those personal,interpersonal and circumstantial riskfactors which shape particular

intentions, choices, self-efficacybeliefs, definitions of situations, orshifts in signalled rewards and costs.

The research evidence regarding risk/need factors is now overwhelming in thatoffenders may with some reliability andvalidity be grouped into lower and higherrisk categories. Over and over again in theresearch literature, assessments of thefollowing factors yields predictions correctin from 65% to 80% of the cases:

i) Antisocial attitudes, values, beliefs,rationalizations, and cognitive-emotional states (e.g. , anger,resentment, defiance);

ii) Antisocial associates and relativeisolation from anticriminal others(interpersonal support for crime);

iii) A history of antisocial behavior,evident from a young age, andinvolving a number and variety ofharmful acts in a variety o fsituations;

iv) Aggressive, callous, and egocentricpersonality;

v) Weak problem solving and self-management skills;

vi) Generalized difficulties in thedomains of home, school, work andleisure (these problems may beassociated with substance abuse).

The above-noted risk factors aregenerally applicable but if one is interestedin particular acts such as violent andsexual offenses then assessments are alsoconducted of attitudes, associates,behavioral history, and skill deficitsparticular to violent and sexual offending.Similarly, mentally disordered offendersmay present some special considerationssuch as compliance with medication andready access to mental health services.

The sets of risk factors labelled“antisocial att itudes,” “antisocialassociates,” and “history of antisocialbehavior” are of particular significance inthe general social learning perspective on

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criminal conduct.

A. A History of Antisocial BehaviorThis set indicates that particular

antisocial acts are part of the offender’srepertoire, and typically this means thatthe person has experienced immediatereinforcement for engaging in those acts.In the language of relapse prevention, thisentails the risk factor of PIG (the Problemof Immediate Gratification). Many formsof criminal behavior do deliver immediatepositive sensations and events, includingsometimes short-term relief from feelingsof frustration, resentment, powerlessness,and boredom. The negative consequencesof guilt, shame, disapproval of others, andthe deprivations of official punishment aremuch more delayed (if they occur at all).

From the perspective of self-efficacy, ahistory of antisocial acts suggests that twokey beliefs necessary for engaging in an actare readily present: “I am able to do that”and “It will be rewarding.” From the sociallearning perspective, in many high risksituations the immediacy of the signaledrewards for crime is far more potent thanthe largely delayed costs.

In order to neutralize PIG, a goodcorrectional plan will include elementsaimed at avoiding high risk situations (forexample, conditions around associationpatterns, locale, alcohol use, etc). Moregenerally important, however, is thatpersonal attitudes and thinking patternsand interpersonal support networks renderthe potentially costly consequences moreimmediate, more vivid and more dense, andthat the personal and interpersonalsupports for noncriminal behavior arestrong.

B. Antisocial AttitudesThis set is a major contributor to the

decision (or intention, or choice etc.) toengage in criminal acts. Generally, itincludes having attitudes favourable to lawviolations, identifying with others who

violate the law, having negative attitudestoward the law and criminal justice,holding beliefs that suggest it is “OK” toviolate the law, and believing that eventhose laws that are generally worthy ofrespect may be broken when “one is out ofcontrol,” “pushed too far,” “the victimdeserves it,” “no one gets hurt,” “everyoneis doing it,” and/or “the whole system isc o r r u p t ” . T h e l a t t e r r e p r e s e n t srationalizations for law violations,techniques o f neutra l i zat ion , o rexonerating mechanisms. The attitude setalso includes those cognitions supportiveof crime that may be associated withfeelings of anger, despair, resentment, anddefiance. If anti-criminal alternatives toantisocial styles of thinking and feeling canbe introduced into the immediate situationof action, then even PIG will not lead tocriminal activity.

C. Antisocial AssociatesHuman behavior is strongly influenced

not only by personal attitudes, values andbeliefs but also by the support displayedby others for the particular behavior inquestion. Once again, even PIG can beovercome by the clear perception thatimportant others would disapprove. Thisis why a good release plan attends toreducing association with antisocial others,increasing association with anti-criminalothers, and building in social support forcompliance and active participation in therelease plan. Note too that while theimmediate presence o f o thers i sparticularly potent, even symbolic socialsupport may be influential (for example,the use of published pornography inplanning an offence).

D. What about the Other Major Risk/Need Factors?

The process of self-regulation dependsupon some minimal level of cognitive andinterpersonal skill for attitudes, associatesand behavioral history to translate into

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particular acts in particular situations.Thus, cognitive skill programs have beenfound to reduce recidivism. Additionally,increasing the background levels of rewardfor noncriminal pursuits in settings suchas family, school, work and leisure mayreduce motivation for crime and enhanceanticriminal attitudes and associationpatterns, while simultaneously greatlyincreasing the potential costs of crime(because there now is more to lose).

In addition to locating individualsa c c o r d i n g t o r i s k / n e e d t h r o u g hstandardized instruments, correctionalprofessionals and parole decision makersmay wish to construct an appreciation ofthe criminality of particular cases. Thisentails an understanding of the particularrisky situations, circumstances, andthought patterns for this case. As suggestedrepeated ly, r i sk i s dynamic andindividualized. It is here too that issues ofage, gender, ethnicity and class may shapeplanning. This detailed information maythen contribute directly to the correctionalplan, release plan and progress reports.

Before turning to those plans, rememberit is not just the ability of social learningperspectives to identify risk and needfactors that is impressive. The sociallearning perspectives also suggest howthese factors influence criminal conductand identify powerful influence strategies.The powerful behavioral/cognitivebehavioral/social learning strategies ofchange include all of the following (andmore):

i) Modeling;ii) Reinforcement;iii) Graduated practice;iv) Role playing;v) Extinction;vi) Interpersonal disapproval (if in a

context of dense approval);vii) Giving reasons;viii) Cognitive restructuring.

III. ASSESSMENT OFCORRECTIONAL AND RELEASE

PLANS

The following portions of this paperrepresent an attempt to build a checklistfor assessing the quality of correctionalplans and release plans. These indicatorsinclude relevance, specificity and clarity ofshared understanding, feasibility, decencyand legality, and value of proposedinterventions.

Is the plan relevant to the criminalpropensity of this case?

i) Has a standardized well-validatedrisk/need assessment been conductedand has the case been assigned to arisk category;

ii) If a low risk case, have minimalservice and supervision conditionsbeen established;

iii) If a higher risk case, have risk controla n d r i s k m a n a g e m e n t b e e naddressed;

iv) If a highest risk case, are you surethat the opportunity for earlydetection of violations has beenmaximized, and that services arevery intensive;

v) Have relevant need factors beenaddressed through programming inthe prison or in the community and/or through the setting of releaseconditions.

Is the plan specific and understood bythe offender and involved others?

i) Does articulation of the plan by theoffender and involved others indicateshared understanding;

ii) In the case of detailed analyses, arespecific risk conditions indentifiedand have risk lowering actions beenidentified and rehearsed;

iii) When the offender discusses priorof fenses , does the o f fender ’s

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description touch upon specific risk/need factors addressed in the plan;

iv) When the offender discusses therelease plan, does the discussionaddress risk/need in a mannerconsistent with the understanding ofoffender’s criminality underlying theplan.

Is the plan feasible?

i) Are the community supports for theplan (accommodation, employment,treatment services, etc.) in place andreasonably stable;

ii) Are the external and internal controlsand supports sufficient to maintainoffender compliance and activeparticipation.

Is the plan decent, humane, legal?

i) Watch out for plans that cover somany bases (conditions) that failuremay be predicted in advance;

ii) Restraint by relevance to criminalityis a good rule (experimental evidenceregarding the effects of intensive,multi -condit ioned communitysupervision is clear regardingincreased revocation without reducedcriminal offenses);

iii) Would victims and police understandthis plan;

iv) Can you justify this plan consideringrisk, notoriety, and reputation of theagencies involved;

v) Could you state to a victim or to thepress: good correctional practice wasemployed, control and assistance wasdirected at risk reduction.

Is the programming proposed valuableprogramming the value of particularprograms and program participation?

i) Plans and programs may be assessedaccording to the extent to which

criminogenic need factors areaddressed (see list of promising andless promising targets for change:Appendix 1);

ii) Promising programs include certaincore components in addition toaddressing criminogenic factors (seelist of indicators of promisingprograms: Appendix 2);

iii) The risk reduction potential ofprogram participation is indicated byseveral factors, most notably byactual change on criminogenic factors(see list of indicators of qualityprogram participation: Appendix 3);

A few cases will convincingly score lowon both the static risk factors and the moredynamic risk factors. These cases may bemanaged in the community with the leastintrusive supervision conditions consistentwith “just desert” and “notoriety”considerations. Other cases, however, willrequire the more detailed planning and re-planning. Re-planning is not failure but arealistic recognition of the dynamic natureof risk, human behaviour, and lifecircumstances.

IV. ASSESSMENT OF THECONTINUED RELEVANCE OF THECORRECTIONAL PLAN AND THE

RELEASE PLAN FOR THISPARTICULAR PERSON

Has the correctional professional’sunderstanding of this person’s criminalpropensity changed? For example:

i) Increased appreciation of theimportance of particular risk factorsthat were seen as less important inearlier assessments (for example: useof alcohol is now seen to be interferingwith familial and employmentfunctioning, and instability in theseareas is reasonably linked to criminalpropensity in this case);

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ii) Expressed sentiments suggest thatrationalizations for law violations(e.g., discounting potential victims)and negat ive f ee l ings ( e . g . ,resentment) are emerging as riskfactors;

iii) Problems of unemployment continuebut without any other indication ofincreased risk (perhaps concernsaround employment were over-ratedinitially).

Do circumstances in the community(service availability, labour market, etc.)suggest re-planning? Would any changesin plan better manage risk and/or betterreduce risk?

V. ASSESSMENT OF PROGRESSSUMMARIES

i) Status on general risk/need factorshas been surveyed and foundsatisfactory?

ii) Status on individualized risk factorshas been surveyed and foundsatisfactory?

iii) Status on conditions of release hasb e e n s u r v e y e d a n d f o u n dsatisfactory?

iv) Progress reports reflect view ofinvolved others?

v) Any evidence of weak communicationamong involved others?

vi) Would any changes in plan bettermanage risk and/or better reducerisk?

vii) Overall, how do progress summariesrate on specificity, relevance,feasibility, shared understanding byall involved?

Remember, the lists of indicators ofpromising targets, promising programs,and quality participation apply here as well(Appendix 1, 2 and3).

VI. SPECIFIC POST RELEASEINTERVENTIONS

Referrals to quality programs in someof the major need areas may be indicatedby progress summaries where judgedrelevant to criminal propensity (refer toAppendix 1, 2 and 3).A major source ofcontrol and assistance, however, resides inthe relationship between the offender andthe parole officer, and between the offenderand other involved workers (for example,in group homes).It is now clear, forexample, that the effectiveness ofsupervision programs does not reflect sizeof caseload, simple frequency of contact, orelectronic monitoring. The criticalcomponents of supervision for purposes ofrisk reduction are the well-known ones firstlisted in the 1970s (and represented asworker characteristics in Appendix 2):

i) Qual i ty o f the interpersonalrelationship between offender andworker: generally people learn morefrom and are more greatly influencedby others who are respectful, caring,concerned, interested, interesting,enthusiastic and engaged. In sociallearning terms, these supervisorshave ava i lab le h igh qua l i tyreinforcers, their expressions ofdisapproval function as high qualitycosts, and they make more effectivemodels (their behaviours are morelikely to be imitated, and theirsuggestions more likely to be triedout). In brief, it is simply counter tothe psychology of human behaviourto expect high levels of interpersonalinfluence in the absence of open,w a r m a n d e n t h u s i a s t i ccommunication.

ii) Style of communication may also be

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very important in the context ofsupervision, and particularly ininteraction with types of offenders.Interpersonally anxious offenders don o t r e s p o n d w e l l t o h i g h l ycon f rontat i ona l and c r i t i ca linterpersonal exchanges, while theless anxious offender can respond aslong as there is the backgroundcondition of caring and respect.Obviously, the less verbally gifted andcognitively immature offender willnot pick up on highly verbal andanalytic approaches to interpersonalinfluence. Similarly, the lessempathic, less interpersonallysensitive offender may not beexpected to respond to subtle cuesand suggestions. Generally, in fact,it is best for communication to bedirect and concrete.

iii) A major role for supervisors andcorrectional workers is the modelingand reinforcement of anti-criminalalternatives to antisocial styles ofthinking, feeling and acting. Here thesupervisors, workers and potentiallyeven citizen volunteers provide thevaluable service often missing in theoffender’s environment.

iv) Concrete assistance often takes theform of concrete problem solvingefforts with the offender, and/oradvocacy and brokering activity withother community settings.

v) Authority can be influential whenexerc ised with respect , withexplanation (giving reasons), withguidance on how to comply, and in afirm but fair manner. Overall, theauthority figure would want tocommunicate that compliance ispossible and that the offender cansucceed. Failure is avoidable andcompliance will be rewarded!. One ofthe few conditions under whichdeterrence works is the conditionunder which defiance is avoided

through respectful guidance towardcompliance. The child developmentall i terature reminds us o f theimportance of differentiating betweenrules and requests. It is best toreserve sanctions for situations inwhich rules are involved. Best toowhen the heavy sanctions (the“doomsday” contingencies whichremove the offender from communitycontrol) are reserved for serious andimmediate risk. Finally, there is noevidence from the meta-analyses ofeffective treatment that mandatedintervention interferes with thesuccess of intervention.

Probation and Parole supervisors aremandated to give directions, develop goalsand objectives, and outline expectations tothe offender. The nature and extent ofsupport that will be offered by thesupervisor is also outlined for the offender.Research with young offenders has shownthat these activities were associated withreduced recidivism when the goals andobjectives were judged clear, clinicallyappropriate, and achieved.

When risk is high, the monitoring andassistance functions of supervision areenhanced through increased frequency ofcontact in combination with the strategiesof effective supervision. Parole supervisorsare also mandated to engage in disciplinaryinterviews when it is judge that risk to thecommunity may be increasing. Disciplinaryinterviews involve cautioning the offenderin a clear and formal manner. Sanctions ornew obligations or expectations may beimposed. Once again, the style of thesecommunications and their relevance tocriminal propensity may be crucial to theireffectiveness.

REFERENCE

Andrews, D. A. and Bonta, James (1994).The Psychology of Criminal ConductCincinnati: Anderson.

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Andrews, D. A. (1979) The Dimensionso f Correc t i ona l Counse l l ing andSupervision Process in Probation andParole. Toronto: Ontario Ministry ofCorrectional Services.

Andrews, D. A. (1989) Recidivism isPredictable and Can Be Influenced: UsingRisk Assessments to Reduce Recidivism.Forum on Corrections Research, 1(2), 11-18.

Andrews, D. A., Bonta, J., & Hoge, R. D.(1990) Classification for EffectiveRehabilitation: Rediscovering Psychology.Criminal Justice and Behavior, 17, 19-52.

Andrews, D. A., & Friesen, W. (1987)Assessments of Anticriminal Plans and thePrediction of Criminal Futures: A ResearchNote. Criminal Justice and Behavior, 14,33-37.

Andrews, D. A., Zinger, I., Hoge, R. D.,Bonta, J., Gendreau, P., & Cullen, F. T.(1990). Does Correctional Treatment Work?A Psychologically Informed Meta-analysis.Criminology, 28, 369-404.

Antonowicz, Daniel H., & Ross, RobertR. (in press). Essential Components ofSuccessful Rehabilitation Programs forOffenders. International Journal ofOffender Therapy and ComparativeCriminology.

Bonta, James, Law, Moira, & Hanson,Karl (Forthcoming). The Prediction ofCriminal and Violent Recidivism amongMentally Disordered Offenders: A Meta-analysis. Psychological Bulletin

Braithwaite, John (1993). BeyondPositivism: Leaning from ContextualIntegrated Strategies. Journal of Researchin Crime and Delinquency, 30, 383-399.

Gendreau, Paul (1993). Does “PunishingSmarter” Work? An Assessment of the NewGeneration of Alternative Sanctions. Apaper prepared for Corrections Research,Ministry Secretariat, Solicitor General,February.

Gendreau, P., & Andrews, D. A. (1990).Tertiary Prevention: What the Meta-analyses of the Offender Treatment

Literature tell us about “What Works”.Canadian Journal of Criminology, 32, 173-184.

Gendreau, Paul, Cullen, F.T., & Bonta,James (1994). Intensive RehabilitationSupervision: the Next Generation inCommuni ty Correc t ions . Federa lProbation, 58, March, 72-80.

Gendreau, P., Little, T., & Coggin, C.(1996). A Meta-analysis of the Predictorsof Adult Offender Recidivism: What Works.Criminology 34:575-607.

Gendreau, P., & Ross, R. R. (1979).Effect ive Correct ional Treatment :Bibliotherapy for Cynics. Crime andDelinquency, 25, 463-489.

Gendreau, P., & Ross, R. R. (1981).Correctional Potency: Treatment andDeterrence on Trial. In R. Roesch & R. R.Corrado (Eds.), Evaluation and CriminalJustice Policy. Beverly Hills, CA: Sage.

Gendreau, P., & Ross, R. R. (1987).Revivication of Rehabilitation: Evidencefrom the 1980s. Justice Quarterly, 4, 349-408.

Lipsey, M. W. (1990) . Juveni leDelinquency Treatment: A Meta-AnalyticInquiry into Variability of Effects. A reportto the Research Synthesis Committee of theRussell Sage Foundation.

Lipton, D., Martinson, R., & Wilks, J.(1975). The Effectiveness of CorrectionalTreatment: A Survey of TreatmentEvaluation Studies. New York: Praeger.

Logan, C.H., & Gaes, G. G. (1993) Meta-analysis and the Rehabilitation ofPunishment. Justice Quarterly, 10, 245-63.

Losel, F. (1993). Evaluating PsychosocialInterventions in Prison and Other PenalContexts. A paper for the TwentiethCriminological Research Conference,Strasbourg, November.

Martinson, R. (1974). What Works? -Questions and Answers About PrisonReform. The Public Interest, 35, 22-54.

Martinson, R. (1979). New Findings,New Views: A Note of Caution RegardingPrison Reform. Hofstra Law Review, 7, 243-

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258.*McGuire, James (Ed.) (1995). What

Works: Reducing Reoffending. Guidelinesfrom Research and Practice. Chichester:John Wiley.

Palmer, T. (1975). Martinson revisited.Journal of Research in Crime andDelinquency, 12, 133-152.

Sherman, Lawrence W. (1993). Defiance,Deterrence, and Irrelevance: A Theory ofCriminal Sanction. Journal of Research inCrime and Delinquency, 30, 445-473.

Simourd, Linda & Andrews, D. A. (1994).Correlates of Delinquency: A look at GenderDifferences. Forum on CorrectionsResearch 6:26-31.

Whitehead, J. T., & Lab, S. P. (1989). AMeta-Analysis of Juvenile CorrectionalTreatment. Journal of Research on Crimeand Delinquency, 26, 276-295.

* Note: the McGuire (1995) collection isvery valuable. Please explore chapters byAndrews, Lipsey, Lozel, Bush and all of theother authors.

APPENDIX 1A

PROMISING TARGETS FORCHANGE

• Changing Antisocial Attitudes• Changing/Managing Antisocial

Feelings• Reducing Antisocial Peer Associations• Promoting Familial Affection/

Communication• Promoting Familial Monitoring and

Supervision• Promoting Child/Family Protection

(Preventing Neglect/Abuse)• Promoting Identification/Association

with Anti-Criminal Role Models• Increasing Self -Control , Self -

Management and Problem SolvingSkills

• Replacing the Skills of Lying, Stealingand Aggression with more Pro-SocialAlternatives

• Reducing Chemical Dependencies andSubstance Abuse

• Shifting the Density of the Personal,Interpersonal and other Rewards andCosts for Criminal and NoncriminalActivities in Familial, Academic,Vocational, Recreational and otherBehavioral Settings, so that theNoncriminal Alternatives are Favored

• P r o v i d i n g t h e C h r o n i c a l l yPsychiatrically Troubled with LowP r e s s u r e , S h e l t e r e d L i v i n gArrangements and/or EffectiveMedication (risk is greatest duringperiods of active psychosis)

• Insuring that the Client is able torecognize Risky Situations, and has aConcrete and well Rehearsed Plan forDealing with those Situations.

• Confronting the Personal andCircumstantial Barriers to Service(client motivation; backgroundstressors with which clients may bepreoccupied)

• Reduce Individualized need Factors (ifreasonably linked with crime)

APPENDIX 1B

LESS PROMISING TARGETS • Increasing Self-Esteem (without

simultaneous reductions in antisocialt h i n k i n g , f e e l i n g a n d p e e rassociations)

• Focusing on Vague Emotional/Personal Complaints that have notbeen Linked with Criminal Conduct

• Increasing the Cohesiveness ofAntisocial Peer Groups

• Improving Neighborhood-wide LivingConditions, without touching theCriminogenic needs of Higher RiskIndividuals and Families

• Showing Respect for AntisocialThinking on the Grounds that theValues of one Culture are as EquallyValid as the Values of another Culture(no culture but a criminal culture

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Values Harming others)• Increasing Conventional Ambition in

the Areas of School and Work withoutConcrete Assistance in Realizingthese Ambitions

• Attempting to turn the Client into a“Better Person,” when the Standardsfor being a “Better Person” do not linkwith Recidivism.

APPENDIX 2

INDICATORS OF EFFECTIVEPROGRAMS

• An Empirically-Validated Theoryunderlying the Intervention

• Empirically-Validated Strategiesemployed (or researchers involved indesign/delivery of service)

• Adequate Dosage• Trained and Clinically supervised

Service Deliverers• Printed Training / Program Manuals• Addressing Criminogenic needs of

Higher Risk Cases• Uses Concrete Social leaning

Approaches• Structures Follow-Up• Workers are Enthusiastic and

Engaged• Workers are able to handle their

Authority without Domination/Abuse• Workers are able to recorgnize

Antisocial Thinking, Feeling andActing, and are able to Demonstrateand Reinforce Concrete Alternatives

• workers are predisposed to OfferConcrete Problem Solving and toengage in Skill Building.

• Workers engage in Advocacy/Brokerage where Appropriate

APPENDIX 3

INDICATORS OF QUALITYPARTICIPATION

• Check that Program is Appropriate onRisk, need and Social Learning

Conditions• Check that Program is Actually

Delivered (integrity)• Attendance• E n g a g e d i n P r o c e s s ( a c t i v e

participation)• Completion of Program (mature as

opposed to premature programtermination)

• Quality Relationship with ServiceProvider (respect, liking)

• Showing change on the IntermediateTargets (reduced criminogenic need)

• No Evidence that other Criminogenicneeds are being Increased

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SOME OLD AND SOME NEW EXPERIENCES: CRIMINALJUSTICE AND CORRECTIONS IN FINLAND

Matti Laine*

I. THE NORDIC MODEL?

First I would like to start from thequestion: “Is there a Nordic (Scandinavian)model in the field of criminal justice: thecase of Finland?” Sometimes we joke inFinland about the question of Nordic co-operation. We say that Nordic co-operationmeans that Sweden makes all the mistakesfirst and after five years, Finland follows.A joke is a joke, but often things have gonein that order in the prison service. Thereare, of course, certain reasons for that. Letus not forget that the judicial system ofFinland remained basically Swedishduring the time when Finland was part ofthe Grand Duchy of the Russian Empire.

But “Nordic” or “Scandinavian” does notmean similar concrete solutions to allproblems. Rather it means a similar wayof thinking. This commonly shared way ofthinking does not come from emptyness; itmust be regenerated all the time. We cansay that in criminal policy there are a lotof possibilities for this regeneration,including the following:• Criminologists have regular meetings

and a permanent council for co-operation

• Experts in criminal law have Nordicmeetings

• Experts in criminal policy havemeetings

• Experts in criminal statistics gather atseminars

• G e n e r a l D i r e c t o r s o f P r i s o nAdministration meet annually

• Prison governors and other leading

prison officials hold traditionalseminars

• Unions of prison officers have good co-operation and regular meetings

• Researchers of prison matters meet ona regular basis

• There is a Nordic exhange programmefor prison and probation officers

Much of this co-operation is taking placeannually, sometimes with even morefrequency. This is however, just the formalframework of this co-operation, a lot ofmeetings are informal; we just go and talk.Personal contacts and relationships arevery important.

But Finland has not always been very“Nordic” concerning criminal and penalpolicy. For decades we were seen as deviantor the “black sheep” by other Nordiccountries. Our criminal justice system wasvery punitive, repressive and hardcompared to other Nordic countries. Thisperiod lasted neary 70 years, from the endof last century to the early 1960’s of thiscentury. Why was that?

Researchers of this question haveprovided several answers. First we can saythat Finland was an agrarian society formuch longer than our western neighbours.There is evidence that propety crimes areseen more seriously in agrarian societiesthan in modern, urbanized communities.Finland reformed the Penal Code in 1894and this new Code saw theft as a crimewhich must be punished severely,withimprisonment used more. This move wassoon seen in the prison figures. In the year1893, 155 persons were put into prison

* Principal Lecturer, The Prison Personnel TrainingCentre, Finland.

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because of theft, and after two years thefigure was 720. The crimes of theft had notincreased, but the penal policy hadchanged.

One explanation is our civil war in 1918and its tragic aftermath. It created a verybitter atmosphere and division in thesociety. In these circumstances, liberal and“soft” criminal policy was not seen possible,as there was now a possible threat frominside. This situation continued after thesecond world war, but now the threatexperienced was coming from outside.Societial demands and legislation stayedvery punitive until the late 1960’s.

We must remember that developmentwas not linear and one-sided all the time.After the civil war of 1918, pardons wereused and a parole system was introducedin normal criminal cases. Several reformsin the prison service took place after thewar in the mid 1940’s. That was nosurprise; as some ministers and other highstate officials had experienced imprisonmentduring the war.

In the beginning of the 1950’s, we had“a cold spell in spring”, as the penal policybecame more repressive. Different coercivemeasures were used to cope with “the crimeproblem”. Juvenile delinquency was seenas a special problem (although juvenileviolence was at the lowest level ever inFinnish history, before and after). Moralpanic was created.

The defining image of our repressivesystem of criminal justice was the amountof prisoners. After the second world war wehad nearly 10 000 inmates daily and still,in the mid 1960’s, nearly 8000. As of April16th, 1998 there were 2955 prisoners inFinland, which is 150 less than for thesame time last year. Our average dailyprison population is reducing and we havereached and gone under the level of

prisoners in Denmark and Sweden. Thisdevelopment has nothing (or very little) todo with the crime rates. The level ofimprisonment used is the political choiceof a society, not determined by necessity.

There are some other, often verysymbolic, images of this repressive modelin Finland. Prison rules were detailed andprisoners rights were very limited. I am nota very old man but I can remembernewspapers pictures of remand prisonerscarrying heavy hand and foot chains whenstanding in front of court. These chainswere used in the late 1960’s. In 1969, thesecretary of the so called “NovemberMovement”, Reino Lehtiniemi, took thesechains (nealy 20 kilos) to the UnitedNations Human Rights Commission inGeneva, put them on the table and said:“These are still used in Finland”.

An other example was the excessive useof preventive detention. Hundreds of men,most of them petty property offenders, werekept in so called “coercive institutions”(that meant under indeterminatesentence). Some years ago there was aprogramme on Finnish TV about a man, athief, who had spent 26 years in prison,mostly in “coercive institutions”. He hadstolen bicycles and other things.

Nowadays this preventive detention isused only for dangerous violent recidivistswho (in practice) do not have normalpossibilities for parole. At April 16th, 1998there were 17 persons who have beendetained by the Prison Court to the“coercive institution”. The amount of“dangerous recidivists” has come downfrom nealy 500 to 17.

Strong criticism and discussion of thecriminal justice system started in the1960’s in Finland. We had the “NovemberMovement” which lobbied for differentkinds of marginalized people. We had the

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Prisoners Union ‘KRIM’ and criticaldiscussion against the coercive treatmentideology (and treatment ideology ingeneral). The neoclassical winds wereblowing in criminal justice and a big partof this criticism was directed towardsprison conditions and administration.Reform of the prison legislation was madein the middle of 1970’s. Slowly but steadilychanges started to happen. Former criticsand radicals got remarkable positions inthe state administration and universities.

If we simplify the picture a little bit,Finland, the Prodigal Son, returned to thewarm home of the Nordic family. TheNordic model has sometimes been called“Nordic Minimalism”. What are the basicfeatures of this model? If I have understoodit correctly, the idea is to make the criminaljustice system as small as possible. Penalpolicy, and especially prison sentence, is thelast way to tackle crime, the last resort.Punishments are not always the best wayto prevent criminality (although sometimesnecessary). As somebody has put it: if in acertain area there is a problem ofdangerous alligators, we can of course tryto shoot them all, but it is sometimes wiserjust to drain the swamp.

There is also one very important idea inthat thinking: crime cannot be preventedby any means. I think that is why we donot usually speak about the “war againstcrime” in Nordic countries. In a war,usually all kinds of fighting methods areused. However there are, and must be,values that are above the task to preventcrime, for example human rightsprinciples. Professor Raimo Lahti(University of Helsinki) has demanded(1990) that the penal system be bothrational as to its goals (utility) and rationalas to its values (justice, humanness).

The utility criterion means that criminaljustice measures shall be used for the

prevention of unacceptable behaviour onlyto the extent that proves necessary in acost-benefit comparison of criminal policymeasures. This criterion can also be usedin the prison service when consideringvarious proposals. We can for example,make the prison like a bottle, where no-one or nothing comes in or goes out. If thevarious social costs of this policy are higherthan the benefits, it may not be very wiseto do so.

However the criminal justice systemcannot be evaluated only on utilitariangrounds. Criteriums of justice andh u m a n n e s s m u s t b e t a k e n i n t oconsideration. The harmful effects of crimeand crime control must be distributedjustly between offender, victim and society.The principles of equality, fairness andpredictability are basic elements of thecriminal justice systems. Thus whenimposing criminal justice measures wemust safeguard due process and also basichuman rights principles.

In Finland, as in all of the Nordiccountries, the prevailing view is thatpunishments primarily have, and shouldhave, a general preventive effect. Onecomponent of prevention is generaldeterrence, which is related, inter alia, tothe certainty and severity of punishment.Nordic criminal policy emphasizescertainty, but not severity.

General prevention, however, alsoinvolves the maintenance of standards ofmorality through the public disapprovalthat the punishment directs at thecriminalized behaviour. Individualprevention is not considered the primarygoal of punishment. The coercive treatmentof offenders was found to be based onflawed arguments and raised problemswith due process and the control ofdiscretion.

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This insight does not preclude thedirection of rehabilitation efforts towards,for example, prisoners serving theirsentence; as long as rehabilitativeconsiderations are not allowed todetermine the decision on whether or notto place someone in prison, or how long tokeep him or her in that prison.

II. MODERN CORRECTIONALPHILOSOPHY

The Scandinavian or Nordic model hasalso meant many practical changes ine v e r y d a y p r i s o n s e r v i c e a n dadministration. The basic approach is tokeep the prison system as small as possible,with prison seen as the ‘last resort’ in crimeprevention. Especially when it comes tojuvenile delinquency, prison sentences havebeen seen as very harmful and we havetried to avoid using them as far as possible.

Mr. William Rentzmann, who is theDeputy Director General of the DanishDepartment of Prisons and Probation hasvery neat ly presented the threecornerstones of modern correctionalphilosophy in Nordic countries. They arenormalization, openness and responsibility.

A. NormalizationThe idea of Finnish prison legislation is

that prison sentence means only thedeprivation of liberty and no more (inpractice, of course it always means manyother things). So at least the idea is thatsuch things as coldness, darkness, hungeror restricted diet, prohibition of cigarettes,books, magazines, loss of civil rights etc.a r e n o t n e c e s s a r y e l e m e n t s o fimprisonment. Everybody who has visitedthe Central Prison of Helsinki can say thatthe inmates are not surely living a “normallife without l iberty”, but at leastnormalization is the direction where wewant to go. Mr. Rentzmann says that inDenmark, normalization means first of all

that the norm is to place a person in anopen prison, i.e. a prison without walls andbars. Approximately two-thirds of Danishstate prisons are open prisons.

B. OpennessThis principle is surely a kind of

paradox. The task of the prison is to closepeople inside, away from normal life. At thesame time, we try to keep the prison asopen as possible. Openness means manykinds of things: open prisons; goodpossibility for visits; uncontrolled conjugalvisits; basically no limitation or censorshipin correspondence; possibility to study andwork outside prison (so called ‘nightprison’); and prison leave.

We have good evidence from the westernsociology of prison and prison communitiesthat the more closed the prison is, the moreunsafe it is inside. “Hard against hard”, asit is called, is the atmosphere often created.The deprivation of safety is a crucialproblem in western prisons, and also inFinland at the moment. In smaller, openprisons the atmosphere and relationsbetween staff and inmates are different,although the inmates may be the same asin other prisons.

C. ResponsibilityFor the last two hundreds years, the

basic problem of most western prisons hasbeen that the main thing they teachinmates is how to live in prisons, how tosurvive. These skills are not always thebest for living life in free world.

We know that this is often a typicalfeature of ‘total institutions’. When I wasin the military service, we were oftendiscussing what is the basic skill you learnin the army. Very often the answer was:how the avoid your responsibilities, how tolive lazy life.

When everything is done for you, whena special person opens the door in front of

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and behind you, that does not strenghtenyour sense of responsibility. Westernprisons can be like large hotels in anegative sense, and the effects can be seen.When I was working about ten years agoin the special after-care unit of paroledformer prisoners, it happened very oftenthat a newly released man couldn’t shutthe doors behind him.

Mr. Rentzmann sees it as possible andpositive that prisoners buy and cook theirown food, wash and repair their ownclothes and take responsibility for theirown treatment. We must not forget thatprofessional help can very often deepen theprocess of inst itutional ization orprisonization.

One of the main ideas of the prisonlegislation reform in Finland in the middleof 1970’s was that a prison sentence is alwaysharmful for the offender. Because of its totaland punitive character, it cannot rehabilitateinmates and usually makes their situationworse. That does not, however, mean thatthe harmful effects are always the same.It is possible to influence these and so thetask was given to minimize the harmfuleffects of imprisonment. Nobody believedanymore in the coercive treatment ideology,and so the main task was to shorten thelength of prison sentences.

Social services and participatoryactivities are necessary in the process tominimize the harmful effects of a prisonsentence, but we must not expect too muchof them; they cannot abolish criminalityfrom the society.

Specialized professional skills arenecessary, but one mistake was made whenpsychologists, social workers etc. came toFinnish prisons. We divided the personnelinto two categories: into those who arealways giving ‘negative’ services (guarding,control, disciplinary measures) and into

those who are giving ‘positive’ services(personal help, listening, social services). Iam not sure if this can be wholly avoided,but at least the canyon between thesegroups must not be so wide. That is whythe Japanese experience is so interestingfrom our point of view. I have read that inJapan not only psychologists andinstructors, but also uniform personnelwith rank, are involved in treatment forrehabil i tat ing convicted inmates.Correctional treatment officials take ondouble duties.

So we in Finland have once again startedto follow other Nordic partners and set atask to broaden the scale of duties of basicprison officers. Let us not forget that theyhave one benefit: they often know theinmate best . A famous Americancriminologists, Donald R. Cressey putforward this demand in 1958:

“What is needed is a correctionaltechnique which is explicitly based ona theory of behaviour and ofcriminality and which can beroutinely administered by a ratherunskilled worker in the framework ofthe eight-hour shift”.

We can draw some conclusions from theexperience of reform of the Finnishcriminal justice system:

• Nordic minimalism has worked ratherwell in our circumstances. Defendingor protecting criminal policy seems tobe a better way than attacking criminalpolicy (“war against crime”).

• The sanct ion system must bepredictable, not too complicated.

• If the prison sentence is the most severepunishment, it is not wise to use itextensively in petty offenses. There arealternatives : f ines , suspended

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sentences, community sanctions.

• Often a short prison sentence (togetherwith the criminal justice procedure)fullfills the need for general prevention.

III. THE ROLE OF IMATE LABOURIN FINNISH CORRECTIONS

Work has always been the heart of theprison. It is included in the definition ofthe modern prison system as a correctionalmethod that will cure the criminal person.In the beginning the function of inmatelabour was not to harden the sentence, butto make it more lenient.

The predecessors of the modern westernprison were the so called workhouses,which started in the sixteenth century, firstin England and in Holland. They gatheredvagrants, criminals and other deviantpersons to teach them how to work. InAmsterdam there was one workhouse in thesixteenth century where they used to placea wicked inmate in a cell into where waterwas flowing uninterruptedly. In the cellthere was a pump that had to be pumpedall the time if the inmate wanted to avoiddrowning.

Always when I relate this piece ofhistory, the listeners are laughing andsaying or thinking: “were it they uncivilizedat that time!”, but let us look a ourselvesin the mirror today. Do we still believe inthe idea that when a man is doingsomething mechanically, this action willtransform him or her from an evil personto a good one? That lazyness and idlenesswill make him or her worse? The positivistthinking - to find a proper and simplemethod to change and resocialize man - isvery deep in our tradition. Because man isun-fortunately not so simple a creature, wemust look into that mirror every day whendeveloping our prison services andtreatment methods for offenders.

Inmate labour has also been in the verycentre of the Finnish prison service in thiscentury. We had in our legislation theprisoners’ work obligation which was moreextensive than in other western Europeancountries. Before the second world war, weconcentrated on farming and thereclaiming of swamp areas in the centralcountryside prisons. After the war, weinvented a new type of institution, the openlabour colony. In the 1970’s a rather heavyprogramme of building industrialworkshops and halls started.

As we know, the prison system is like abig ship that turns very slowly, and thechanges in inmate labour have not adaptedwell to the development of society ingeneral. When rapid industrialization wasgoing on in Finland, our prisoners werekeeping cattle or reclaiming swamps. Whenwe saw the first traces of the fall of the socalled ‘chimney industry’, we built moreroom for metalwork and carpentryindustries. Now, living in middle of theservice trade and information society, weare thinking of what to do. The obligationof work was replaced in 1995 by a morecomprehensive obligation to participate invarious activities arranged in theinstitutions.

Most often, when talking about Finnishinmate labour, we mention the open labourcolonies, which were established in the1940’s after the war. It has been said thatthese kinds of institutions are a specificFinnish invention. This view may bechallenged by prison historians, butnevertheless this tradition is interestingand important.

Sometimes the open labour colonies havebeen seen as a new kind of correctional toolin the rehabilitation of the inmates.However the background of theseinstitutions was not so much correctional,as economic. At the end of the 1940’s we

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had nearly 10,000 prisoners daily inprisons. Overcrowding was a big problemand a large portion of the prisoners wereskillfull workers. The open labour colonieswere seen as a solution to make use of thispart of the prison population moreefficiently than was possible in closedinstitutions.

This type of institution differed from thetraditional prisons in many ways:

• The typical features of the prison milieuwere abandoned: closed complex ofbuildings, walls, bars and steeldoors.

• Traditional guards and guarding wereabandoned.

• Detailed regulations for inmates’everyday life were abandoned.

• Prison clothing was abandoned.

• The institution was in many ways moreopen than the closed prison

and the most important difference:

• The inmates performed ordinary workfor the same wages available in theopen labour market. That means todayfor example, that the prisoner in anopen institution or labour colony earnsten times as much as a prisoner in aclosed prison.

What were the benefits of open labourcolonies? There was research into thisquestion in the late 1960’s (PaavoUusitalo). It was shown that there was nosignificant difference in recividism betweensimilar groups in open colonies as in closedprisons. So the labour colony was not amore rehabilitative option. It also seemedthat the open colonies had the samedeterrent effect than closed institutions (ifthere is a such effect in general). So the

labour colonies were cheaper, more openand maybe more humane and moreproducitive.

We are now facing inevitable changes.During the last 25 years we have more thanhalved our prison population. Manyworkshops and industrial halls are nearlyempty of prisoners. The inmates who arecoming in are, in many cases, dropoutsfrom basic school. They don’t have anyvocational training or experience. Even thetraditional Finnish workman’s ethic maybe vanishing. With this labour force theprison industry cannot be very productive.Are there any lessons to learn from theexperiences of the Finnish inmate labour?I’ll try to make some generalizations. Theyare of course my own points of view andnot official statements from our prisonadministration. I will present these in fourprinciples.

A. The Principle of Meaning.Work can be important, especially

because meaningful action has animportant role in personal development. Ihave worked for several years in theaftercare and employment of releasedprisoners and from that experience, I cansay that even rather routine paid work canhave an emancipatory role in a person’s life.

The work carried out can however alsobe without any meaning: it can be pureforced labour. We must ask if some verytraditional and mechanic industrial workor maintenance duties in prisons have anymeaning, or to whom they have thismeaning.

Al though pr isoners ’ sk i l l s andmotivation for work are nowadays oftenvery low, that doesn’t mean that paid workdoes not have any meaning to them. Paidwork and occupational development are sofundamental in the construction of oursociety that they cannot be replaced very

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quickly. Work is work and a hobby is hobby.

B. The Principle of NormalityThis is the lesson that comes from the

open labour colonies and other openinstitutions. We can get much closer tonormal life in prisons than we usuallythink. We must take the principle ofnormality very seriously, not just as usualrhetoric. Normality in work life meansnormal work cond i t i ons , normalleadership, normal products and servicesand before all, normal wages. It also meansnormal vocational training. Normality inworklife means today for example,computers, teamwork and so on. Can it bereality in prisons too?

C. The Principle of FlexbilityWhen society is changing very rapidly

and unpredicably we shoud not createsystems that will last the next 100 years.There can be a wide range of activities thatare offered to the inmates. I think thattraditional work can and must have arather strong role in the future. The systemof organizing the work must also be muchmore flexible. Education and work canoccur alternately. The labour activitiesmust be founded on the development ofsociety, not from the history of corrections.

D. The Principle of Connection tothe Society.

As you might know there have beensome western sociologists who see the endof the labour society (Gorz, Illich). I am notgoing to challenge their arguments. At thesame time I am saying that it may not bevery wise to draw direct conclusions of theiranalysis to the employment of releasedprisoners.

Although we are probably headingtowards a society of mass unemployment,I don’t think it is good to start this “freeingfrom paid work” with former prisoners. Heor she can be the person who needs

employment most. Probably we (the socalled ‘middle class’) are the persons whocan more easily start to live in “creativeidleness” than a former prisoner withvarious social and mental problems.

So I sti l l believe in the idea ofemployment in the after-care of a releasedprisoner. Thus the activities organizedduring the prison sentence must have a roleand connection to this after-care. We knowthat the prison is a social institution whichusually teaches strategies of survival thatare unusable in the society outside theprison walls. But it is not impossible tolearn useful skills and experiences insidethe prison. Let us think all the time whatkind of skills obligatory work teaches tothose persons who are forced to do it.

Finally, as a sociologist, I must remindyou all of one fact. Paid work is much moreessential to the maintaining of social orderin society than all the efforts we are makingin the whole criminal justice system.

IV. A NEW WAY OFTHINKNG:CRIME-BASED

PROGRAMS

In 1960’s and 1970’s there waswidespread thinking both in the prison andprobation service in the Nordic andWestern Europe:the social circumstancesof the offender were in the center whencreating efforts to rehabilitate him or her.That usually meant that jobs, housing andsocial relations were the most important,and sometimes the only things, to workwith in rehabilitation.

There was an active movement againstthe coercive methods of treatment. Thisline of solution was not always wrong, butthe bettering of social circumstances didnot solve the problems of very manyoffenders (some of them it did however).

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Sometimes it was even said it was notnecessary to talk about the crime offenceat all. The offender has served his or hersentence, we can forget the crime. Thisconcept of human mind was too simplistic,and it was soon found that ware modes ofbehaviour that were compulsive in nature,and they were not prevented by developingonly social services.

At the moment, the idea is to developoffence and behaviour based programs, notfor all offenders, but for those who haveserious recidivism problems. One exampleof this kind of approach is The CognitiveSkills Training Program (The Reasoningand Rehabilitation) which has been boughtfrom the Canadian company (T3Associates, Fabiano & Porporino) byseveral Nordic Prison and Probationservices. This program started in autumn1997 in six Finnish prisons and in tworegional offices of the Probation and After-Care Association.

According to the Canadian instructors(Elisabeth A. Fabiano & Frank J.Porporino) the basic idea in the program isnot to treat, reform or cure the criminals,but to teach them. The offenders need tobe taught the basic cognitive demandswhich, according the lecture of theinstructors, are as follows:

• TO REFLECT (the offenders usuallyjust react to the situation and thenforget the whole thing).

• TO ANTICIPATE (the offenders do notanticipate a situation, usually theyreact harshly to the resultantcircumstances.

• TO ADAPT (the offenders do not learnenough from their experiences, theirthinking is too rigid)

The traditional western prison and other

institutions are usually not very wellprepared to teach these kinds of skills tothe offenders. The program focusesparticularly on six areas of deficit whichare the following:

• Self control• Cognitive style• Interpersonal problem-solving• Social pespective taking• Values• Critical Reasoning

The program is implemented by thebasic prison officers who have been trainedby the Canadian experts. The program wasdesigned to be completed in thirty-fivesessions of two hours duration overapproximately 8 to 12 weeks.

Another example is to create programsfor sex offenders. A special committee inFinland made a proposition to start thiskind of special program (a British model)in one Finnish prison. The need for this israther limited because we have only about50 sex offenders in our prison population.

Finland has the highest rate of violentcrime, especially homicide, in WesternEurope. So what is needed, is some specialprogram for violent offenders. We have alot of co-operation between differentauthorities to prevent suicides in Finland,but now we must find some ways to preventviolence and homicides in our coutry.

A. What is the Result ofRehabilitation?

When you look at the comparetiveresearch made of the possible results ofdifferent kinds of rehabilitative programs,usually the basic criteria for success is therecidivism rate or the arrest rate. ºI thinkthat the recidivism rate or arrest rate arenot appropriate for this kind of programevaluation. They do not always tell muchabout the possible changes that have

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happened during the training orrehabilitation process.

Attitudes, values and skills can developalthough you are still committing somecrime (e.g. because of alcohol and drugabuse). So there must be different stagesor a kind of hierarchy when thinking aboutthe results of the rehabilitation of inmatesand clients of the probation service. Thiscan be described in a following way, forexample:

1. “Full Rehabilitation” : no recidivism, noserious crimes

2. The partial improvement of thesituation ; crimes are becoming morerare

3. The situation is not worsening ; somepositive things remain

4. You are able to slow down theworsening of the situation

5. Just easing the pain

After presenting this model we mustseriously ask if it is enough just to ease thepain of offenders and inmates? It might notbe so, but we must remember that demandsof absolute results may lead us too v e r s i m p l i f y t h e p r o b l e m . T h erehabilitation of inmates is not anindustrial product, but a complicatedhuman process, where there is no clearstart point or end. Sometimes theserehabilitative programs can be seen likethe Red Cross action during the wars: it isnot ending the war but at least “easing thepain”.

B. Assessment Criteria for theRehabilitation and Treatment ofOffenders

I have modified the work of some Finnishsubstance abuse treatment researchers

(Saarnio et al.) to create an assessmentcriteria for, let us say, high qualityrehabilitation. These are the followingcomponents:

1. ‘Matching’ as a general principle of theprobation services, institutions andprisons. The idea that we can find auniversal form of rehabilitation hasvanished. Some programs or methods ofrehabilitation work for one person, and notanother.

2. We must take into consideration both thecognitive styles of offenders and thecongnitive styles of staff members. Wemust try to match these as much aspossible. (When there is only one therapistand 200 clients, it is not always so easy).

3. Problems of congnitive damage andinjuries must be recognized. Manyoffenders have even physical injuries anddamage because of alcohol and drug abusefor instance.

4. The cultural matching of programs andoffenders. The elements of the programsand methods must not be culturallystrange to the offenders.

5. The use of mini-intervetions is useful.Even the giving of basic information aboutcrimes, drug abuse etc. can have at leastshort term impact.

6. Teaching of social skills and self controlis necessary.

7. Teaching of stress management isnecessary.

8. The mechnism of everyday family lifemust be taken into consideration.

9. Community Reinforcement Approach(CRA) means a combination of successfulprograms and working methods (family

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therapy, learning of social skills, getting ajob, group counselling etc.).

10. Systematic after-care and systematicevaluation are necessary.

The corresponding lists and meta-analyses can be found very often incontemporary literature. At the same timewe can also try to make up lists which aretelling us what is not likely to work.Programs that are less likely to succeed arethose which:

• rely solely on punishment• lack clearly stated aims• are open-ended• rest on medical or psychotherapeutic

models• provide few opportunities for active

participation• ignore or avoid program integrity• are not monitored and evaluated.

C. “Portia vs. Persephone”Finally I would like to raise an important

and actual question and division, which wemust analyze more when developing ourcriminal justice systems and the treatmentof offenders. In their very interestingarticle (1998) two British scholars, GuyMasters and David Smith use a division ofcriminal justice systems into two differentmodels. The “Portia” model means abstract,rational, rights based and in a way,masculine criminal justice. Contrast to thatwe can find the “Persephone” model, whichis more concrete, relational, expressive andfemine model of treatment of criminals.

In their analysis they use the theory andpractice of re-integrative shaming (JohnBraithwaite) and also evidence andexperiences from Japanese criminal justicea n d c o r r e c t i o n s t o d e s c r i b e t h e“Persephone” thinking. In this connectionthey quote Shitika (1972) who writes:

“The Ministry of Justice, by directive,requires guards to be thoroughlyfamiliar with the backgrounds of allprisoners assigned to them...Aguard...is expected to know theinmate’s moods and to be in a positionto readily detect any symptoms ofworry, concern, or unusual behaviouron the part of the inmate. He isexpected to counsel the inmate whenthese appear. . .Although someprisoners try to reject their guardbecause of the authority that hecarries, the majority regard him as anolder brother or father figure, andreadily accept his guidance andadvice.”

They also refer to the importance andtradition of apology in Japan and theydescribe how offenders are expected tomake amends informally to victims inexchange for a letter of absolution whichis presented to the court. Well known is alsothe communal role of the police in Japan.

We must admit that the “Portia” modelin the field of criminal justice has beenrather dominant during the recent decadesin Finland and also in some other WesternEuropean countries. Our experience of thecoercive treatment ideology was sonegative that perhaps we went too far whenreturning to the Classical School. Now itis time to think more about relationaljustice and to learn from that rich traditionand experience of Asian countries, such asJapan. As Masters and Smith finalize theirarticle:

“...we believe that the different voiceof Persephone needs urgently to beheeded. The consequences of heedingonly Portia would be unbearable.”

REFERENCES

Anttila, Inkeri; Incarceration for Crimes

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Never Committed. Research Institute ofLegal Policy, No. 9. Helsinki 1975.

Christie, Nils: Crime Control asIndustry: Towards Gulags Western Style.London 1993.

Cressey, Donald R.: The Nature andEffectiviness of Correctional Techniques.Law and Contemporary Problems, Vol. 23,1958.

Garland, David: Punishment andModern Society: A Study in Social Theory.Oxford 1990.

Lahti, Raimo: Sub-Regional CriminalPolicy-The Experience of the NordicCountries, in Bishop, Norman (ed.):Scandinavian Cr iminal Po l i cy &Criminology 1985-1990. Stockholm 1990.

Masters, Guy & Smith, David: Portiaand Persephone Revisited: Thinking aboutFeeling in Criminal Justice. TheoreticalCriminology, Vol. 2, No. 1/1998.

Questions and Answers about JapanesePrison System. Correction Bureau,Ministry of Justice, Japan.

Rentzmann, William: Cornerstones in aM o d e r n Tr e a t m e n t P h i l o s o p h y :N o r m a l i z a t i o n , O p e n n e s s a n dResponsibility, in Prison InformationBulletin No. 16, June 1992. Council ofEurope.

Ross, R.R. & Fabiano E.: Time to Think:A Cognitive Model of DelinquencyPrevention and Offender Rehabilitation.Johnson City 1985.

Shitika, M.: The Rehabil itativeProgrammes in the Adult Prisons of Japan.International Report of Criminal Policy,vol. 30. No.1, 1972.

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COMMUNITY- BASED TREATMENT FOR OFFENDERS IN THEPHILIPPINES: OLD CONCEPTS, NEW APPROACHES,

BEST PRACTICES

Celia Copadocia Yangco*

I. INTRODUCTION

The reintegration of offenders into theirown community and society is one of theuniversally accepted goals of corrections,whether the latter is carried out ininstitutions or through non-custodialmeasures. To ensure that offendersdischarged from detention centers, jails,penal institutions or rehabilitation centersre-claim their part and role in society, thereis a need to assist them in theirreunification with their families and re-entry into the community. Thus, it isimperative to sustain rehabilitation andachieve reintegration through thecommunity-based treatment of ex-offenders.

Moreover, the commission of crime is aresult or consequence of the inter-play offactors and conditions in one’s self, theimmediate and bigger environment, andone’s choices and decision-makingprocesses. Hence, it is necessary that thesehuman and environmental factors areexamined closely and appropriatemeasures adopted to assist ex-offenders intheir reintegration efforts.

Recognizing that the community isusually also the locus of the offense orcrime, the community must be harnessedto assume greater responsibility inreforming offenders and preventingrecidivism. The community and societymust also play vital roles in the eliminationof the psycho-social, economic, and culturalbarriers and other causes of crime in its

environ, in order to prevent crime, ensurepeace, and promote development in thelocality.

To maximize the role of the communityin an offender’s reintegration process, thereis a need to continuously re-examine theconcepts related to community-basedcorrections. At the same time, newapproaches that have evolved locally andglobally, related to these concepts, shouldbe appreciated. In this process, bestpractices in community based correctionsmust be documented and replicated, so thatthey continue to be viable alternatives tocustodial care of offenders.

This paper is a modest contribution tothe continuous quest for effectivetreatment measures to facilitate thereintegration of offenders into society. Itexamines these measures mostly from asocial development perspective, withemphasis on the role of social institutionssuch as the family and the communitywithin the Philippine experience. The term‘offender’ rather than ‘prisoner’ has beenadopted and used throughout the paperbecause it covers both adult and youthoffenders, as well as examines effectivepractices before, during and after trial thatare conducive to the rehabilitation ofoffenders.

II. RATIONALE FOR COMMUNITY-BASED TREATMENT

The international community has longrecognized that the goals of a humanecriminal justice system are best served ifo f f e n d e r s a r e r e i n t e g r a t e d a n drehabilitated by means other than

* Assistant Secretary, Department of Social Welfareand Development, Philippinnes

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incarceration. In fact, it has been widelya c c e p t e d t h a t i n c a r c e r a t i o n o rimprisonment should be a last resort andutilized for those who have committedserious and heinous crimes, and thatcommunity-based treatment shouldinstead be promoted whenever possible andfeas ib le to hasten an o f f enders ’reintegration into society.

Imprisonment leads to other problemsrelated to an offender’s stigmatization anddesocialization. Often, prisons thwart theoffenders’ potential for growth andexcellence, and spawn dependence andmistrust on their part instead. Prisonsusually alienate offenders from theirfamily, friends and acquaintances. Due too v e r c r o w d i n g , p r i s o n s l e a d t odehumanizing conditions, which makereintegration and resocialization even moredifficult.

Prisons spawn the formation of “sub-cultures” among prisoners that tend toharden them. This is so because prisonershave to counteract the ef fects ofdeprivations of imprisonment and theconditions prevailing in jails which areoften rigid and arbitrary.

Corrective actions and treatmentmeasures are better achieved in a naturalenvironment such as the community whereoffenders can highlight and re-live theareas of their life they want to change.

Since the community is the natural locusfor legal, socio-economic and culturalchanges and development, communitybased corrections enable offenders to adaptmore effectively to such changes in a morerealistic and flexible manner. Thecommunity also provides a network ofrelationships and a range of activities thatenable offenders to know themselves betterin a variety of real life situations, thusimproving their social skills and enhancingtheir social functioning.

Moreover, offenders are able to continuedispensing responsibilities for many day-to-day basic socio-economic commitments

such as managing a home, budgetingresources, deciding on family matters, etc.when s/he is with their family. This enablesthem to maintain self-esteem. Due to theirexposure to the day-to-day realities of lifein society, they are afforded moreparticipation in planning, implementingand evaluating their reintegration plans innatural settings. The planning process isalso more responsive and relevant becauseboth constraints and resources in thecommunity are taken into consideration bythe offender in a “here-and-now” situationwhich calls for dynamic responses fromthem. This contrasts with imprisonment,where rehabilitation work is based moreon a reflection of past failures and planningfor the future.

The implementation and evaluation ofrehabilitation and reintegration plans, onthe other hand, can be monitored moreclosely as these are related to the offenders’daily living in the community. Due to this,re-planning can be easily resorted to, basedon immediate feedback.

From an economic point of view, theburden of maintaining an entire prisonbureaucracy is eliminated in community-based treatment. It is a fact that the costof rehabilitation is relatively cheaperoutside of prison, where huge personnelcomplements, operating costs, capitaloutlays and other costs have to bemaintained. The cost of assisting andsupervising offenders is supplemented andcomplemented by existing communityresources and infrastructures, which areotherwise not present in institutionalarrangements.

Moreover, community-based correctionsoffer opportunity costs that are not presentin most custodial-care arrangements.Examples of these opportunity costs are thecosts of income and productive efforts ashead or a member of the family and thecommunity.

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III. OLD CONCEPTS AND NEWAPPROACHES IN THE TREATMENT

OF OFFENDERS

The Philippines has been supportive ofthe goals of community-based treatmentand has continuously adopted measuresconsistent with the United NationsStandard Minimum Rules for Non-custodial measures or the Tokyo Rules.

In order to appreciate fully the goals andadvantages of community-based treatmentin the context of the Philippines, there is aneed to revisit the old and traditionalconcepts of treating offenders and those ofemerging ones, specifically from a socialdevelopment framework.

Social development, as defined by theUnited Nations, is the greater capacity ofthe social system, social structure,institutions, services and policy to utilizeresources to generate favorable changes inlevels of living, interpreted in the broadsense as related to accepted social valuesand a better distribution of income, wealthand opportunities. Social developmenttherefore, covers a comprehensive, yetintegrated, field that encompasseseducation, health and nutrition, livelihood,social welfare, etc. It involves the servicesof educators, medical practitioners, socialworkers, psychologists and other socialscientists that contribute to improvementin the quality of human life.

Doreen Elliott (1993) argues that socialdevelopment values represent an ideologyclose to that of the values of social work,except that the values are less individuallyfocused. She argues further that whilesocial work is essentially individuallyoriented and politically conservative, socialdevelopment is globally and radicallyoriented. Omer (1979) suggests thathuman dignity, equality and social justiceare key values in a social developmentapproach. These values are thereforeconsistent with those adopted by theUnited Nations Minimum Standard that

encourages countries to pursue crimeprevention and criminal justice within theframework of the promotion of humanr ights , soc ia l jus t i ce and soc ia ldevelopment.

From this social development context, itis best to examine old concepts related tothe treatment of offenders vis-a-vis the newapproaches in this field.

A. Individual Pathology vis-a-visEmpowerment Approach

The traditional concept of treatingoffenders has been towards examining theoffender’s characteristics, behavior, valuesand other personal traits and the causesbehind committing a crime, among otherfactors. Criminals would be examined froma criminologic point of view, which usuallyled to self-blaming. Thus, the treatmentapproach would be individual therapy,focusing on behavior modification.

The empowerment approach, which isbasically a social development approach,however, looks not only at simplistic uni-causal explanations, but at the offender asa “person-in-environment”, i.e., one in adynamic re la t ionship wi th the i renvironment and prescribed roles in variedsocial s ituations. It assumes aninterdependence of relationships betweenthe parts (the offender and his/her family)and the whole (community and society).

Thus, while behavior modificationcontinues to be a goal in rehabilitation andreintegration, empowerment, which is theharnessing of the offender’s adaptivecapacities, decision-making abilities andcapability to link and access to outsideresources, is a tandem goal in our presentefforts. Harnessing and honing adaptivecapacities are deemed necessary becauseof the fast changing conditions in thee n v i r o n m e n t b r o u g h t a b o u t b yglobalization, information technology,accelerated development and other factors.

The failure of some individuals andfamilies to adapt to such sudden and swift

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changes brings about crisis in theiradaptation and social functioning. Thistherefore calls for harnessing not only theoffender’s capacity to handle crisis, solveproblems, and make right and timelydecisions, but also their own and family’sability to identify resources. Through thisempowerment scheme, they are madeaware of what are the resources fromwithin and outside the family, which theycan tap to address their needs andproblems.

B. Analytical cum SystemsApproaches

Consistent with a lesser emphasis onindividual pathology is the move from theanalytical approach towards a systemsapproach. In the analytical approach, thewhole is broken into parts and examined

closely. Thus, an offender ’s mental,psychological and soc io -economicconditions are examined thoroughly anddissected carefully as basis for treatmentgoals.

In the systems approach, on the otherhand, the parts are linked and integratedas a whole. It is an inter-disciplinary andholistic approach. Elliott offers a contextmodel or paradigm for the systems analysisnode of guidance in approaching socialproblems, as shown in Table I. It rangesthrough the system levels: international,n a t i o n a l , s t a t e , r e g i o n a l , l o c a l ,organizational, family and individual, andsets these alongside functional socialsystems such as economic, political, socio-cultural, scientific and religious.

Through this paradigm, problems will beless likely viewed from an individual

TABLE I

Context Model for Systems AnalysisSocial Economic Political Sociocultural Scientific ReligiousSystem

SystemLevelInternational Production Distribution of Structures, Medical Worship

goods, groups,services, sub-groupsincome,wealth,opportunity

National Distribution Identifying Communication Ecological Unificationneeds systems and

Bonding

State Exchange Value/education Creativity Physical HealingRegional rationalization

Local Power Recreationdistributionand maintenance

Organizational Access to goods Education Mathematicaland services

FamilyIndividual

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pathology but from a systems approach.Elliott is cited as an example of theexamination of the interface betweeneconomic (on the social system dimension)and the drug culture and the individual (onthe system level). Drug culture offers manyyoung people in the cities a quick way toachieve material goals, which may beclosed to them through legitimate means.The lack of social stimulation and a poorenvironment clearly impinges on drug-related behavior. Current responses suchas border control and the growth of prisonsemphasize social control.

A social development approach, however,would address the problems at variouslevels, namely:

(1) individual therapy so that immediateand short term considerations are notignored;

(2) economic re-structuring with a focuson urban and rural poverty;

(3) preventive educational campaigns;and

(4) empowerment schemes.

Thus, participants in the drug culturewould not be seen as criminal or sick perse, but as underprivileged and victims ofsocial injustice.

C. Micro-Macro ContinuumApproach

The foregoing discussions lead to theadoption of a micro-macro continuum in theprevention of crime and treatment ofoffenders. It links micro, or individualtherapy approaches, to macro or systemsapproaches that enable multi-level andmulti-system intervention.

These multi-level approaches andinterventions from the Philippinesexperience include:

1. Total Family ApproachA recognition of the importance which

the family plays in the commission of crimeand on the offender ’s rehabilitation

continues to be the focus of contemporarycommunity-based corrections in thecountry. Today not only is the offender thefocus of intervention, but also their familyas well. Realizing and recognizing that thecrime offenders commit can be a symptomof a deeper problem or dysfunctioningwithin the family, the family members areassisted and harnessed to realize theirpotentials as individuals in this most basicunit of society.

The family has been considered as aprimary support group for the offender’srehabilitation and eventual reintegration.Most rehabilitation efforts are focused onmaintaining harmonious relations betweenthe offender, their family and thec o m m u n i t y ; s t r e n g t h e n i n g a n dempowering them altogether. This stemsfrom the realization that in a number ofinstances, the offender ’s reason forcommitting a crime is family-related i.e.,the family is poor or hungry, lacking inbasic amenities, needing hospitalization,etc.. Family-related concerns are alsoreasons frequently given by offenders fortheir escape from jails, prisons orrehabilitation centers and their desire tobe free.

The influence of family members is alsoevident in the rehabilitation process,especially since most family membersconstitute the “significant others” in anoffender’s life; thus providing a source ofmotivation, help and “healing” to theoffender.

The total family approach in community-based corrections looks at the offender inthe context of their family - its strengthsand weaknesses, its resources andproblems, potentials and constraints.Family resources- both human andmaterial - are pooled together so that theoffender’s reintegration can be hastenedand facilitated, while at the same timeaddressing the problems of other familymembers.

Family-centered treatment is therefore

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adopted and maximized by organizationsto assist the offender and their family. Forexample, due to realization of theimportance of the family as a supportsystem, youth offenders who no longer havefamilies are placed in foster care, wagehomes or are afforded kinship-supportassistance to ensure that they are providedthe benefits and advantages of living in anatural , home- l i fe s i tuat ion andatmosphere.

2. Community Structure SupportNext to the family, the immediate

community is seen as a valuable supportsystem for an offender. The communityshould assume primary responsibility forthe offender, as it is usually the origin ofcrime. It is in the community where theoffender’s roots are, where his/her peersand friends are often found, where they canbe further educated and trained, wherethey practice their religion, pursue lifegoals and continuously strive to belong. Itis also a resource for their and their family,in times of need and desolation, and towhich they and their family also contributetheir share and resources wheneverpossible. The community is thus the biggerlocus for an offender ’s change andtransformation given its resources,networks and the opportunities it offers topursue a productive and useful life.

New approaches in community-basedtreatment involve the harnessing andmaximization of community structuresoutside of the family. Schools, the church,community leaders and members, non-government, voluntary and people’sorganizations, civic associations, businessgroups and other sectors, in addition togovernment, should be tapped andmobilized to contribute their resources tothe treatment and reintegration ofoffenders, and the strengthening of theirfamilies. These community structurescomplement and supplement the servicesfor offenders offered by the State.

With the mushrooming of non-governmental organizations, people’sorganizat ions , c iv ic , re l ig ious orprofessional groups, and other communitystructures, there are now many resourcesto help offenders and their families leadproductive and meaningful lives.

Volunteer groups have become necessarycomponents in the rehabilitation ofoffenders and their reintegration. Both atthe institutional and non-institutionalsettings, volunteer groups form part of therehabilitation resources. They are utilizedin the educational, physical, spiritual,social and cultural activities of offenders.

The Department of Social Welfare andDevelopment (DSWD) has a VolunteerIntervention Program for Youth in Conflictwith the Law, which utilizes senior citizens,women groups, civic, religious and otherorganizations and individuals. Thesevolunteers are trained and providedtechnical assistance in their volunteerwork of assisting and monitoring the youthas they are rehabilitated and reintegratedinto society.

The Department of Justice correctionalbureaus also utilize volunteer groups to alarge extent. The Probation and ParoleAdministration (PPA) utilizes volunteerprobation aides which assist probationofficers in rehabilitating parolees andprobationers. Likewise, volunteers areutilized in penitentiaries and penalinstitutions.

The local government units and theBureau of Jail Management and Penology,under the Department of Interior and LocalGovernment, also utilize volunteers to agreat extent in educational, medical,religious, cultural and recreationalactivities.

3. Maximizing Socio-Cultural Values asTreatment Stimulus

The role of culture in crime preventionand the treatment of offenders has longbeen recognized. In the Philippines,

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certain cultural values are maximized toassist in the reintegration of offenders andin their “healing “ process.

Among the strengths of the Filipinocharacter is a deep faith in God or belief ina Supreme Being. Such belief arousesreverence, gratitude, the will to obey andserve and other positive values. Inordaining and promulgating the country’sConstitution, and in everyday life, theFilipino people invoke the aid of AlmightyGod, whether this God at the individuallevel is Jesus Christ, Allah, Buddha,Jehovah, etc.. We ascribe human traits,our fate, and fortune to a supernatural Godwhom we honor and love. This enables usto accept reality in the context of God’s willand plan. Due to this sense of spirituality,we can be optimistic even at the mostpressing of times. Spirituality encouragesa life with values based on truth and loverather than the acquisition of materialthings.

This sense of spirituality is thusrecognized and considered in formulatingtreatment measures for the socially andeconomically disadvantaged, includingoffenders. The spiritual dimension ofreintegration not only into the family andthe community, but also with one’s Creatormakes the treatment plans more completeand holistic. It also makes the offendermore remorseful and insightful because ofthe belief that “man does not live by breadalone” and that s/he must also take care ofwhat happens to their spirit.

Spiritual programs are thereforeintegrated among the services andopportunities afforded to offenders, both ininstitutional and non-institutionalsettings, enabling them to strive towardsmoral purity and healthy living inaccordance with God’s intent and purposes.

Moreover, among the regular volunteersin prisons, jails or rehabilitation centers,as well as community-based programs, arespiritual and religious groups. Thesegroups contribute to the improvement and

betterment of the offenders’ personalityand character, by giving deeper meaningto life and the enhancement of thecorrections’ programs.

4. Devolution of Basic ServicesRecent development of management

practices at the sub-regional levels of thecountry have also contributed to the micro-macro continuum of the treatment ofo f fenders . In 1992 , the nat ionalgovernment through the Local GovernmentCode, devolved responsibility for theprovision of basic services, together withthe corresponding funds, manpower andother resources, to the local governmentunits in the provinces, cities, municipalitiesand barangays (villages). This signaled thechange of responsibility from nationalagencies to local government units over theprovision of basic social services. Includedin this devolution is the management ofcommunity-based services along with thesocio-economic development of familieswithin the local government’s area ofresponsibility. Local government unitshave therefore taken primary roles in thealleviation of poverty among theirconstituencies, the promotion of peace andorder, and socio-economic development intheir areas.

Due to this devolution, support servicesneeded for the rehabilitation andreintegration of offenders into thecommunity became closer and moreaccessible to them and their families. Inview of the autonomy given to localgovernments, they have embarked on newand innovative ways of managing andadministering basic social services aimedat improving the lives of their constituentsand promoting growth with equity. Thismove complemented the strengthening offamilies and communities as supportgroups for the disadvantaged such as theo f fenders . I t a l so a f forded l oca lgovernments the opportunitiy to craft newservices that are relevant and responsive

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to the local residents, given their resourcesand the problems to be confronted. In fact,a number of provincial governments havemade innovations in the management ofprovincial jails which are now under them,a w e l c o m e d e v e l o p m e n t i n t h ereintegration of offenders.

5. Adoption of Social Reform AgendaIn 1994, the Philippines launched the

Social Reform Agenda (SRA) which is thecommitment of the Ramos Administrationto attain a balance between economicgrowth and social equity. The SRA is apackage of programs and reforms thataddresses the minimum basic needs offamilies, and the reform needs of basicsectors to reduce poverty. It is likewise astrategy of effectively converging all sectors— government, civil society and businesssectors-and matching their programs withthe needs of target communities andfamilies. It is aimed at improving thequality of life of Filipino families, especiallythose whose income falls below the povertythreshold.

A feature of the SRA that directly relatesto the reintegration of offenders andstrengthening of their family is the use ofthe Minimum Basic Needs (MBN)approach in assessing the socio-economiclevels of poor families. It addressespurposively the survival, security andenabling needs of poor families through 33indicators.

The MBN for survival comprise ofmaternal and child health, adequatenutrition, water and sanitation and basicclothing. The MBN regarding security isaddressed by the program in terms ofincome and employment, security andsafe ty o f fami l i es , and hous ing .Specifically, under the security minimumbasic needs, two indicators are identifieddirectly with crime prevention, i.e.,Indicator no. 18 (no family member is tobe victimized by crime against persons) andIndicator no. 19 (no family member is to

be victimized by crime against property).Since there is a purposive targeting of

families in given communities through theMBN, the poor conditions that spawn crimea n d i m p i n g e o n t h e s u c c e s s f u lreintegration of offenders are improved.Also, the prevention of crime is mademanifest at the family and village levels,because target families of the programconsciously exert efforts to prevent crimeand avoid being victims or offenders.

The enabling needs addressed areeducation, people’s participation and familycare/psycho-social requirements.

IV. MODALITIES IN THETREATMENT OF OFFENDERS IN

THE PHILIPPINES

Like many countries, the correctionalsystem in the Philippines has both aninstitution-based and a community-basedcomponent. It also has separate treatmentsystems for youth offenders and adultoffenders.

The custodial care of adult offenders ishandled by the following:

1. The Bureau of Jail Management andP e n o l o g y ( B J M P ) u n d e r t h eDepartment of Interior and LocalGovernment (DILG) which hassupervision over all district, city andmunicipal jails and detention centers.These jails house detainees awaitingjudicial disposition of their case andoffenders whose sentence range fromone (1) day to three (3) years.

2. The Provincial Governments, whichhave supervision and control overprovincial jails. These jails housecourt detainees and prisoners whoseprison terms range from six (6)months and one (1) day, to three (3)years.

3. The Bureau of Corrections (BUCOR)

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under the Department of Justice(DOJ), which has control over thenational penitentiary and its penalfarms, houses convicted offenderswith prison sentences ranging fromthree (3) years and one (1) day, to lifeimprisonment.

Youth offenders in the Philippines aretreated differently. A youth offender isdefined as a child over nine (9) years butbelow eighteen (18) years of age at the timeof the commission of an offense. Under thecountry’s laws, these youth offenders areentitled to a suspended sentence. Insteadof serving their sentence, they arer e h a b i l i t a t e d i n r e g i o n a l y o u t hrehabilitation centers, which are managedand supervised by the Department of SocialWelfare and Development (DSWD). Thereare ten (10) rehabilitation centers for youthoffenders, one of which is a NationalTraining School for Boys and the other, aNational Training School for Girls. Theirstay in the center can be shorter than theirsentence term, depending on how theyrespond to the rehabilitation processtherein.

The non-institutional treatment of adultoffenders is managed primarily by theDepartment of Justice (DOJ) through itsParole and Probation Administration andthe Board of Pardons. Probation for adultoffenders is available to those whosepenalty of imprisonment does not exceedsix (6) years. It is considered as a matterof privilege and not of right. Hence, theadult offender has to apply for probationbefore the court upon conviction. This isalso true for the parole system.

The Department, in cooperation withother agencies and the Asia CrimePrevention Philippines Inc. (ACPPI), nowoperates the recently constructedPhilippine-Japan Halfway House, a newalternative for treating adult offenders.

On the other hand, community-basedrehabilitation services for the youth are

administered by the DSWD through itsregional field offices nationwide, incoordination with the local government’ssocial welfare and development offices.After-care and follow-up services arelikewise carried out for youth offenders bythe DSWD.

V. BEST PRACTICES INCOMMUNITY BASED TREATMENT

After revisiting the concepts, approachesand modalities in community-basedtreatment of offenders in the Philippines,an appreciation of the “best practices” oreffective treatment measures during thepre-trial, trial, post trial and postinstitutionalization is in order.

1. Pre-Trial(1)The “Katarungang

Pambarangay” (Village JusticeSystem)The Philippines takes pride in the fact

that it has a unique and indigenous wayof settling disputes and treatingoffenders at its smallest political unitlevel - the village or “barangay”. Thesystem is ca l led “KatarungangPambarangay” and is aimed at theamicable settlement of disputes at thebarangay level. Established in 1978, itaims to promote the speedy, peaceful andinexpensive administration of justiceand to relieve the police, prosecutors’offices and courts of concileable cases.Settlements and awards rendered underthis system have the force and effect ofa final court judgment.

Under the jurisdict ion of the“Katarungang Pambarangay” are alldisputes which are punishable byimprisonment not exceeding one (1) yearor a fine not exceeding P5,000 betweenand among parties actually residing inthe same village, city or municipality.Non-criminal cases outside of thec o v e r a g e o f t h e K a t a r u n g a n g

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Pambarangay may be referred, foramicable settlement, to the “LupongTagapamayapa” or peacekeeping boardat any time before trial by the police,prosecutor or court.

This peace-keeping board carries outthe functions of the KatarungangPambarangay and is created in each ofthe more than 42,000 barangays/villagesin the Philippines. It is headed by thebarangay Chairman and not less than10, nor more than 20, members selectedevery three (3) years from among thebarangay residents or persons workingin the barangay not otherwisedisqualified by law.

A three-member “pangkat na tagapag-kasundo” or mediat ion team isconstituted from among the LupongTagapamayapa to continue conciliatoryefforts when the barangay chairmanfails to amicably settle disputessubmitted before the Lupon.

This form of justice administrationenables both the victim and the offenderthe opportunity to amicably settle theirdisputes amongst people who have amore intimate knowledge of them, andtherefore the reasons for their dispute.Due to their proximity to the locus of thecrime, the Lupon members are also ableto take stock of the socio-economic andcultural dimensions of the dispute andthus have a better understanding of thecrime and the parties involved.

Consequently, since the barangaychairman, who is the chief executiveofficer at the village level, is also thechair of the Lupon, he/she can link theparties involved in productive andmeaningful endeavors and address theroot causes of or contributory factors totheir problems which may be present inthe community which she heads. Thesecommunity factors may include the lackof employment, the presence of vices,negative peer influences and so forth.

Thus, the early detection of possible

offenders and the correction of theirnegative behavior can hopefully bebetter addressed in a manner that ismore responsive and relevant to themthrough the Katarungang Pambarangayw h i c h p r e v e n t s t h e i r f u r t h e rinvolvement in crimes and offenses.

(2)Release on Recognizance andOther Diversion ServicesA Filipino juvenile who comes in

conflict with the law whether at thebarangay or police level is immediatelyreferred to the Department of SocialWelfare and Development (DSWD), orthe local social welfare offices, by virtueof the provisions of the Child and YouthWelfare Code or Presidential Decree(PD) 603 enacted in 1974, way ahead ofthe Beijing Rules. This law provides fullprotection of the rights of Filipinochildren and youths and enhances theirmeaningful participation in nationaldevelopment, regardless of their socio-cultural and economic status in life.

Through community-based diversionservices, social welfare workers arecalled upon to assist youths who havecome in conflict with the law as early aswhen they come to the attention of theLupon Tagapamayapa at the barangay.They also visit detention centers andjails regularly i.e., at least once a week,to check whether there are women andyouth offenders in detention. Theseworkers also maintain close coordinationwith Women Desks and Child and YouthRelations Units of police stations, whichhave Women Desk Officers and Childand Youth Relations Officers among thepolice force. So juvenile offenders arediverted from the criminal justicesystem, released on recognizance andplaced under supervision of a responsibleadult or are reunited with his/her familyunder the supervision of a social worker.Once diverted or out of detention, theyouths are assisted in their problems, in

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the context of their family conditions andsituations, through the formulation of atreatment and rehabilitation plan. Mostof them are assisted to go back to school,to gain some skills or, if already able towork, assisted in having self or openemployment. Their families’ concernsare also looked into and they are linkedto resources that can help them.

This scheme enables the youth to beprotected, rehabilitated and trained forsocio-economic and civic responsibilityfor the betterment of himself/herself,their family and community, withoutundergoing unnecessary detention andeventual alienation.

The Republic Act 306 or the Releaseon Recognizance Law also applies tooffenders whose penalty is six (6) monthsor less and/or a fine of P2,000.00. Theyare usually released in to the custody ofa responsible person in the community,instead of posting a bail bond.

2. Trial or Adjudication Stage(1) Suspended Sentence for Youth

OffendersUnder the provisions of the Child and

Youth Welfare Code, the execution of thesentence of youth offenders is suspendedand s/he instead is either committed tothe care and custody of the DSWD’srehabilitation centers for youths, orplaced under its custody supervision/probation servise.

The probationary treatment ofjuvenile offenders in the Philippinespreceded that of the adult offenders andstarted on December 3, 1924 when Act3202, the first juvenile delinquency lawof the land was passed. The probationservice for the youth offenders startswhen, after formal adjudication, s/he isreleased to their family, guardian orresponsible person in the communityunder the direct supervision of theDSWD, instead of commitment to ayouth rehabilitation center. The

placement continues until such time thatthe Court terminates the case uponproper recommendation of the DSWDsocial worker.

The social worker and the youth,together with their family, prepare atreatment and rehabilitation plan thatguides the youth. Linkages and referralto community services and institutionssuch as school, the church, non-government organizations and othergovernment agencies are maintained toenable the early reintegration of theyouth offender.

C o m m i t m e n t t o a D S W Drehabilitation center for youths alsooffers various opportunities for anoffender ’s early reintegration to thecommunity. Since the DSWD’srehabil itation centers are openinstitutions and are situated in theregions where offenders come from, theyouth is afforded an opportunity tointerface with the community orexperience homelife conditions in anumber of ways that are conducive toreintegration and rehabilitation. Theseopportunities are integrated in apackage of programs and services withthe acronym “SHEPHERDS”, namely:

(a) Social Services: The DSWD socialworkers in rehabilitation centers takethe lead not only in the formulationof treatment plans but also in theintegration of services for the offenderand their family. The social workerensures that offenders are affordedindividualized treatment by therehabilitation team. Case conferencesare done regularly among therehabilitation team members tomonitor the progress of treatmentplans.

In addition to providing the youthcasework and counseling services, therehabilitation centers provideopportunities for the youth to

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continue contact with their family notonly by mail, but also through regularvisitations by the offender to theirfamily and vice-versa. The centersalso celebrate a “Family Day” once amonth where the youths’ families areinvited to a day of inter-action notonly with their children, but also withthe latter ’s fellow wards, socialworkers, substitute houseparentsand the Center’s other personnel.The youth can also be granted an“out-on-pass” privilege through thecourt to attend important familydevelopments such as when a parentis sick or passed away; duringChristmas and New Year, and othersignificant occasions, based on goodbehavior.

To ensure the successful re-integration of the offenders into theircommunity, the Center staff involvethe community-based social workersin the treatment planning andimplementation, where the latterattends to the needs of the offender’sfamily. As early as the treatmentplanning stage, reintegration isalready included as a goal for theoffender’s family. For instance, wherean offender’s problem stems from thefact that their family has a lowincome, his/her siblings are not inschool, or his/her parents lackparenting skills, the communitysocial worker addresses theseconcerns and reports progress onthese efforts to the Center staff.

The center-based and community-based social workers also collaborateon the discharge planning for theoffender. Eventually, the communitysocial worker provides supervisionand after care services to thedischarged offender to ensure thatthe reintegration plan is put intoaction.

(b) Homelife Services: enables the youthto learn household chores such asshopping, cooking, cleaning, makingbeds, etc., as well as positive valuesin relation to their present home-based roles as son/daughter, brother/sister, etc., in addition to those rolesthey will assume in the future if theychoose to have their own families.

(c) Educational Services: these centersutilize existing schools within thevicinity or, if the schools are withinthe center, the youths in the nearbycommunity are allowed to avail of thecenter ’s school. This enables theyouth offender to be mainstreamedand to interface with other youthswithout cases, thus preventing theirfurther alienation. In a few instances,offenders are allowed to pursueeducation beyond high school incooperation with nearby colleges anduniversities.

(d) Psychological Services: provide theyouth opportunities to understandthemselves better, to know how tobehave in a group, and to relate withothers. Upon admission, the youthundergoes psychological testingwhich is utilized in the crafting of thetreatment and reintegration plan,and in helping them modify theirbehavior according to the socio-cultural norm of the community.Through this service, individual andgroup sessions are held with theCenter’s residents.

(e) Health Services: are provided toyouth offenders to hasten theirphysical development. Medical anddental services enable the youth toattain physical well being thatcontributes to their personalitydevelopment and sense of security asthey prepare to be reintegrated into

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their community.

(f) Economic Programs and Services inRehabilitation Centers: provide skillstraining, entrepreneurial or businessmanagement exposure and directexperience in productivity orlivelihood projects to the offenders.The skills or crafts they are trainedin and exposed to are in accordancewith their “back-home situation”. Forexample, if an offender comes froman agricultural area, s/he is trainedin agricultural productivity skills.The offender is also equipped with theappropriate work ethics and valuesrelevant to their work when they aref ina l ly d i s charged f rom therehabilitation center, thus ensuringthat reintegration is easier.

(g) Recreational Services: are likewisemade available to the offender in linewith their interest and physicalcondition. Recreation can come in theform of indoor or outdoor games andsports, television viewing, painting,reading, and the like. Their exposureto sports enables the offender topractice discipline, sportsmanshipand know how to relate with others.

(h) Developmental Services: are alsoafforded to the offenders throughtheir exposure to group meetings,consultations, and other groupexperience. The offenders areorganized into youth groups knownas “Pag-asa (Hope) Youth Association(PYA)” which becomes a means foroffenders to participate in theplanning and decision-makingprocesses inside the Center. Since thePYA is also present in the communitywhere they live, it becomes easier forthe offender to be re-integrated intothe community by linking them withexisting PYA groups in the area.

Their experience as a member orleader of the youth group enablesthem to have p lann ing andmanagement skills that will be usefulshould they wish to be activem e m b e r s o f t h e i r b a r a n g a ydevelopment councils and/or assumecommunity leadership roles in thefuture.

(i) Socio-cultural Programs: are likewisea v a i l a b l e i n t h e D S W D ’ srehabilitation centers. These includecultural presentations that enablethe youth to develop their talents andskills along theater, acting, drama,dancing, singing, etc., as well as toappreciate cultural practices handedover from one generation to another,to deepen their roots and love ofcountry.

Spiritual programs are part of thiscategory of services for the offender.By experiencing a deeper relationshipwith their Creator, the offenders areafforded more guidance, protection,liberation and friendship. Throughthis program, they are encouraged tohave faith in their capacity to change,and in God, and in God’s plan forthem. They are made to understandthat they are unique and have adistinct role to play to make the worlda better place, hence are enabled toperform all their daily roles with careand enjoyment.

The statistics of the DSWD for 1996 and1997 indicate that for every one (1) youthoffender served in the RehabilitationCenters, a corresponding number of four(4) offenders avail of custody supervision/probation in the community, or a ratio of1:4 institutional versus non-institutionaltreatment. Table II details these figures.From the figures in the table II, it can begleaned that community-based treatmenthas been maximized for youth offenders by

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the DSWD. This is not only in line withthe country’s support for the Conventionon the Rights of the Child, but inaccordance with the provisions of thePhilippine Constitution which recognizesthe vital role of the youth in nation-building, and promotes and protects theirphysical, moral, spiritual, intellectual andsocial well-being.

TABLE II

NO. OF YOUTH OFFENDERSSERVED BY DSWD (1996 - 1997)

Corrections Mode 1996 19971. Served in 10Rehabilitation Centers 1,861 1,6912. Served throughCustody/Supervision 7,361 6,747TOTAL 9,222 8,438

Source: DSWD Planning Service

(2) Probation for Adult OffendersProbation for adult offenders in the

Philippines came much later than that foryouth offenders. Started in 1976 throughPresidential Decree (PD)968, adultprobation can be availed only once, andusually only by first time offenders, forpenalties of imprisonment not exceedingsix (6) years. Thus, an offender has to applyfor probation before the court uponconviction.

Probation as defined in the PD, refersto a disposition under which a defendant,after conviction and sentence, is releasedsubject to conditions imposed by the Courtand under the supervision of a probationofficer. The investigation and supervisionof probationers are latched on theDepartment of Justice’s Parole andProbation Administration (PPA) which wascreated upon the passage of PD 968 in1976, and which has administrativeauthority over probation off icers.Probation supervision aims to bring aboutthe rehabilitation of the probationer and

their re-integration into the community.The probationers are afforded by the

PPA the opportunity to continue education(whether formal or non-formal), beemployed or engaged in income generatingactivities and pursue other worth-whileprojects while under supervision. Theseare carried out directly by the PPA orthrough coord inat ion with othergovernment agencies such as the DSWD,the Department of Education, Culture andSports (DECS) and local governmentagencies, as well as private and civicgroups . Whi le a lready a form ofcommunity-based treatment by itself,probation in the Philippines allows forearly termination of probation cases oncertain grounds.

The following probationers are eligiblefor recommendation of early terminationof their cases:(1) Those who are suffering from serious

physical and/or mental disability suchas the deaf-mute, lepers, the crippled,the blind, the senile, the bed-ridden,and the like.

(2) Those who do not need furthersupervision as evidenced by thefollowing:(a) Consistent and religious compliance

with all the conditions imposed inthe order granting probation;

(b) Positive response to the programsof supervision designed for theirrehabilitation;

(c) Significant improvements in theirsocial and economic life;

(d) Absence of any derogatory recordwhile under probation;

(e) Marked improvement in theiroutlook in life through becomingsocially aware and responsiblemembers o f the fami ly andcommunity; and

(f) Significant growth in self-esteem,discipline and self-fulfillment.

Provided that, the probationers involvedhave already served one-third of the

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imposed period of probation; and providedfurther, that in no case shall the actualsupervision period be less than six (6)months.(3) Those who have:

(a) To travel abroad due to any of thefollowing:· An approved overseas job contract

or any other similar documents;or

· An approved application forscholarship, observation tour orstudy grant for a period not lessthan six (6) months; or

· An approved application forimmigration;

(b) To render public service:· Having been elected to any public

office; or· Having been appointed to any

public office.Provided, however, that the probationers

involved have fully paid their civilliabilities, if any.

(4) Other probationers who have fullycooperated with/participated in theprograms of supervision designed fortheir rehabilitation and who ares i t u a t e d u n d e r c o n d i t i o n s /circumstances similar in nature tothose above described at the discretionof the proper authorities.

3. Post-Trial Stage(1) Open Prison Programs

The Bureau of Corrections (Bucor)under the Department of Justice alsomaintains penal colonies and farmsoutside of prisons where deservingprisoners can bring their families.They are also allowed to engage inlivelihood by being contract farmers,cultivating a piece of land, raisinglivestock and poultry, engaging indifferent crafts for their subsistenceand being involved in other economicand socio-cultural activities. This open

a r r a n g e m e n t a l s o e n h a n c e sreintegration efforts for ex-offendersand their re-adjustment in communitysetting.

(2) PardonThe act of forgiving the wrongdoing ofan offender and which is conducive toearly reintegration, is also practiced inthe Philippines. Under Philippine Law,a Board of Pardons and Parole overseesthis program and recommends to thePresident of the Republic the grant ofexecut ive c lemency to certa inprisoners. Executive clemency refersto either the commutation of sentence,absolute pardon and conditionalpardon, with or without paroleconditions as may be granted by thePresident upon recommendation of theBoard.

(3) ParoleWhich refers to the conditional releaseof an offender from a penal orcorrectional institution after s/he hasserved the minimum period of theirprison sentence under the continuedcustody of the State and underc o n d i t i o n s t h a t p e r m i t t h e i rreincarceration if s/he violates acondition for their release, is alsoadministered by the Parole andProbation Administration (PPA).

The Board of Pardons and Parole,which recommends both pardon andparole privileges to the President, doso under the policy of “uplifting andredeeming valuable human material toeconomic usefulness and to preventunnecessary and excessive deprivationof personal liberty”.

4. Post-Institutionalization(1) Halfway House for Adult Prisoners

An essential transition arrangementbetween institutional placement,especially among prisoners or offenderslong confined in closed institutions, and

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that of community-based services isthat of a halfway house. A halfwayhouse, as the term connotes, is aresidential facility where releasedprisoners can be provided theopportunities to gradually adjust tocommunity life, and to prepare themfor full reintegration to society.

The first halfway house for offendersin the Philippines was that for youthoffenders. Set up in the mid-1960’s ina regular community in Quezon City,Metro Manila, this halfway house,known as a Youth Residence, wassupervised by the DSWD for youthoffenders released from the NationalTraining School for Boys (NTSB). Atthat t ime, there was only onereformatory school for boys. Whenregional youth rehabilitation centerswere established all over the countryin the late 1970’s, the need for the YouthResidence was no longer seen asnecessary. This was because theregional centers provided a community-based setting for the youth offendersthat hastened their reintegrationprocess without the necessity of goingthrough a halfway house. Thus, theYouth Residence was phased out in1979.

It was, however, a different case foradult prisoners confined in the nationalpenitentiary, who needed a halfwayfacility because the national penalinstitution was situated in MetroManila. Thus in 1996, a Philippines-Japan Halfway House was started toprovide residential setting for releasedor pre-released prisoners. The facilitywas a joint effort of the Asia CrimePrevention Foundation (ACFP), theNagoya West Lions Club, and UNAFEIfrom the Japanese end, while the AsiaCrime Prevention Philippines, Inc.(ACPPI), the Department of Justice,the National Police Commission, theDepartment of Social Welfare and

Development, the Muntinlupa LionsClub, and other non-governmentalorganizations provided the supportfrom the Philippines end.

The halfway house provides homelife and group living experiences to theadult ex-offenders, offers themopportunities for vocational andeconomic skills, and subsequently jobplacement and employment. Theresidents are likewise affordedopportunities to grow emotionally,mentally, physically and spiritually fortheir eventual reintegration into theirfamily and community. A multi-disciplinary team of social workers,psychologists, educators, and otherrehabilitation workers manage thehouse.

(2) After Care ServicesYouth offenders discharged from theDSWD’s rehabilitation centers areprovided after care services upondischarge up to a period of one (1) year.As discussed earlier in this paper, socialworkers in the communities where theyouth come from are involved early inthe formulation of the treatment anddischarge planning. Thus, they aremaximized in monitoring and assistingt h e d i s c h a r g e d y o u t h i n t h ereintegration process. Communicationis maintained between the center andcommunity social workers on theminor ’s status, and those of theirfamily, to determine if they needfurther assistance.

The youth is assisted by thecommunity social worker to either goback to school, acquire productivityskills or be employed if of employableage. Meanwhile, the halfway house foradult prisoners also provides after-caremonitoring for ex-residents of thehouse, in coordination with the DSWDand DOJ regional and field offices, localgovernment units and other entities.

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VI. LESSONS LEARNED: NEED FOR AN INTEGRATED

APPROACH IN REINTEGRATINGEX-OFFENDERS

The management of community-basedtreatment measures for persons in conflictwith the law has its share of problems andweaknesses. Firstly, low priority has beengiven to budgetary outlays and support foroffenders and prisoners because of thestigma attached to crimes and offenses.Secondly, the general public perception onoffenders continues to be in the context thatthey have violated laws and human rights.Thus, continuous advocacy efforts have tobe done to change the mind set aboutoffenders and their capacity to berehabilitated and be productive.

Thirdly, while village level efforts arewelcome and widely used, personal andfamilial ties sometimes influence decisionsat that level, thus, affecting the efficacy ofsome corrective measures. This is adisadvantage of the informal system, whichcan be addressed by constant orientation,information, and education of communityleaders and residents.

Fourthly, while youth offenders arewelcomed easily, adult offenders are lessaccepted by communities because of thefact that they are perceived to have fullcognisance o f the ir o f fenses andwrongdoing. Thus, there are moreopportunities for youth offenders thanadult, because of the perceived higherchance of rehabilitation by the latter.

The fifth, and most important lesson, isthat invest ing in prevention anddevelopmental programs, to ensureeconomic stability and social equity amongthe populace, is far better and less costlierthan the treatment of offenders. This is inconsonance with the old saying that “anounce of prevention is better than a poundof cure.” Thus, the government and civilservices are investing in strengtheningfamilies as a basic unit of society that

should nurture, care and develop itsmembers to be useful and responsiblemembers of society.

Crime prevention and the treatment ofoffenders are among the most importanttasks and responsibilities of governments.This fact is confirmed by the 1997 WorldBank Development Report that listed thefive fundamental tasks of the States in ourchanging world. The five tasks are:

1. Establishing a foundation of law.2. Maintaining a non-distortionary

policy environment, including macro-economic stability.

3. Investing in basic social services andinfrastructure.

4. Protecting the vulnerable.5. Protecting the environment.Clearly, tasks numbers 1 and 4 (above)

cover crime prevention and control andtreatment of offenders, respectively. Thusstates of the world should invest in thisendeavor in order to ensure that itsdevelopment goals are achieved and itsprogress attained.

To fully operate these state tasks,particularly in the field of the community-based treatment of offenders and ex-o f fenders , there i s a need for acomprehensive and integrated planning,implementat ion , moni tor ing andevaluation system between and among thefive (5) pillars of the criminal justice. Sincethese pillars have the same goals that varyonly in degree of congruence and emphasis,they form a chain of efforts to rehabilitateand reintegrate offenders. These pillarsconstitute the sectors in a reintegrationcontinuum: community (development,prevention, early detect ion) ; lawenforcement (interrogation,detention);prosecution (investigation); courts(adjudication); corrections (retribution,rehabilitation)

The initial step towards this integratedapproach is ensuring a common paradigmin reintegration that starts and ends withthe community as the vital and leading

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component of a reintegration continuum.Proceeding from a systems approach in

rehabilitation, reintegration goals mustpermeate and be integrated in all pillarsof the criminal justice system. This alsocalls for a comprehensive and wholisticview of reintegration as a continuum -starting at the point where an offender isseparated from their community, to thetime s/he is brought before law enforcemententities, the prosecution, the courts, thecorrections authorities and finally back tothe community. Thus, even at the firstinstance when s/he is apprehended, thepolice must view an offender not just as acriminal, but a human resource that canbe a potential loss and a subject forrehabilitation and eventual reintegration.Subsequent pillars, to which the offendermust be exposed, should also have thesecommon goals.

At the initial stages of interrogation,detention and investigation, therefore, anoffender must be seen not only as anindividual whose criminal behavior needsto be contained or curtailed, but also as aperson in an espec ia l ly d i f f i cu l tcircumstance who should nonetheless behelped in facing their problems and copingwith life’s realities. Similarly, while theprosecution and the court pillars treatoffenders as worthy of deterrent measuresand punishment, they must havereintegration in final view. Correctionofficials and staff should not, therefore, bethe only advocates for reintegration.

This reintegration continuum approach,at the formal criminal justice pillar levels,must be supplemented and complementedby informal social control and economicgrowth mechanisms at the communitylevel to improve quality of lives andstrengthen the prevention of crime at itsvery source - the individual, their familyand community. These efforts must besupported by all the elements and sectorsof a nation that must see crime as amanifestation of weaknesses in a given

society. For in ultimate analysis, thestrength of a nation can only be truly testedat the level of its poorest and mostvulnerable families, and those of itsweakest communities.

REFERENCES

United Nations (1969). ‘ The Role ofSocial Factors in Development,’ ExpertGroup Meeting on Social Policy andPlanning, Background Paper No.2, p.2.Stockholm:UN.

Elliot, Doreen (1993) ‘ Social Work andSocial Development: Towards anIntegrative Model for Social Work Practice,’International Social Work, Sage; London,Vol.36 pp.21-36.

Omer, S.(1979) ‘ Social Development ‘International Social Work, Vol. XXII (3):11-26

Department of Social Welfare andDevelopment (DSWD) Reports for 1996 and1997

Rules and Regulations of the Board ofPardons and Parole, Department ofJustice, 1990

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* Deputy Director, Prison Department, Ministry ofHome Affairs, Singapore.

EFFECTIVE TREATMENT MEASURES FOR PRISONERS ANDDRUG ADDICTS TO FACILITATE THEIR REINTEGRATION

INTO SOCIETY

Lohman Yew*

It is a fact that the majority of prisonerswill return to society at some point in time.The only difference being whether it is atan earlier or later date. Thus, it is veryimportant or at least hoped for, that thetime a prisoner spends in an institutionwould contribute positively to his or herrehabilitation. However in reality, forpractitioners, ideology does not oftentranspose to social phenomenology. Thereare numerous factors that have to be takeninto account in attempting to reducecriminal behaviour through treatment.These range from external social factors,to internal psychological factors. In mostinstances, modifying a person’s overtbehaviour alone is considered a notable andsuccessful goal, if actually achieved. Thepsyche of a person, in terms of covert‘behaviours’ like thoughts, attitudes andexpectations, is however much moreprofound and difficult to change. In theattempt to modify behaviour, at least overtbehaviour, we see the proliferation of expertopinions and treatment strategies in themodern penal setting and aftercare.

But now a quite different question oftruth is inscribed in the course of the penaljudgement. The question is no longersimply: ‘Has the act been established andis it punishable?’ But also: ‘What is this act?What is this act of violence or this murder?’To what level or to what field of reality doesit belong? Is it a phantasy, a psychoticreaction, a delusional episode, a perverseaction?’ It is no longer simply: ‘Who

committed it?’ ... It is no longer simply: Whatlaw punishes this offence?’ But: ‘Whatwould be the most appropriate measures totake? How do we see the future developmentof the offender? What would be the best wayof rehabilitating him [or her]?’ A whole setof assessing, diagnostic, prognostic,normative judgements concerning thecriminal have become lodged in theframework of penal judgement.

Foucault (1977, parenthesis added)

In actuality, reducing offendingbehaviour is a time-consuming and difficultenterprise, with sometimes few rewards orsuccess stories despite the rise of treatmentprogrammes. Singapore does not purportto have the ‘magic pill’ nor does it intendto. However, through the sharing of penaland drug treatment practices, it is hopedthat the Singapore Prison Service wouldbe able to contribute to the knowledge ofthis greater community concerningcorrections. Hopefully, we may all learnfrom both the strengths and weaknessesof each penal system to improve ourindividual programmes. It is within thisframework that the issue of “effectivetreatment measures for prisoners and drugabusers to facilitate their reintegration intosociety” will be discussed. The paper willbegin with a brief introduction toSingapore, and short historical accounts ofour penal and drug systems, to set thecontext for the discussion of our currenttreatment programmes.

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I. INTRODUCTION

A. Singapore-Island StateSingapore has total land area of

approximately 647. 5 sq km and is situatedin Southeast Asia, approximately 137 kmnorth of the Equator. Singapore wasfounded in 1819 by Sir Stamford Raffles,Lieutenant-Governor of Bencoolen. Self-government was attained in 1959 wherebySingapore’s first general election was heldwith The People’s Action Party (PAP)winning 53. 4% of votes. On 16 September1963, Singapore joined the Federation ofMalaysia. However on 9 August 1965,Singapore was separated from the rest ofMalaysia to become a sovereign, democraticand independent nation. Singapore is arepublic with a parliamentary system ofgovernment based on the Westminstermodel. Organs of State include: TheExecutive-Head of Government andCabinet, The Legislature-President andParliament, and The Judiciary-ChiefJust ice , The Supreme Court andSubordinate Courts. The Judiciaryadministers the law independently of theExecutive and this independence issafeguarded by the Constitution.Singapore’s official languages are English(language of administration) , Mandarin,Malay and Tamil.

B. Penal and Drug HistoryDuring the early 19th Century, prisoners

were housed in semi-permanent attap andwooden dormitory-type buildings. Theseconvicts of the past were active in publiccontributions like the building of roads andbuildings - some of which have now becomehistorical landmarks like, for instance, thepresent St Andrew’s Cathedral that wascompleted in 1862. Colonel Butterworth-then the Governor of the StraitsSettlement-in 1845 created a set of rulesand regulat ions that emphasisedredormat ive t ra in ing and use fu lemployment rather than punishment. As

a result, Singapore’s system at that timebecame a hallmark, which attractedvisitors from the Dutch East IndiaCompany, Siam and Japan.

In 1872, a Commission of Inquiry intothe Prisons concluded that the system hadlost sight of the punitive aspect of prisonlife. As a result, the old system wasabandoned and convicts were no longeremployed on public projects. More severe‘punishments’ were imposed.

However, in 1948, the Singapore PrisonEnquiry Commissions recommended theremoval of the punitive approach and inits place; safe confinement, creativeactivities, education, religion andrecreation. This became the forerunner ofthe current prison system.

Opium smoking was prohibited inSingapore in 1946. The first opiumtreatment centre was set up on St John’sIsland (one of the some 60 small islets ofSingapore) in 1955. The centre wasgazetted as a prison for the custody andtreatment of opium addicts. However, in1960, the Prisons Inquiry Commissionpointed out that drug addiction should beseen as essentially a social problem in amedical context, not as criminal. Thus in1963, the Opium Treatment Centre was de-gazetted as a prison and its administrationwas handed over to the Ministry of Health.

In 1973, the government passed theMisuse of Drugs Act in July, providing fort h e c o m p u l s o r y t r e a t m e n t a n drehabilitation of addicts with the emphasisnow being on drug addiction as a social andbehavioural problem. The OpiumTreatment Centre was renamed as a DrugRehabilitation Centre (DRC). More DRCswere later introduced.

However, incidents of drug abuse grewat an alarming rate. On 1st April 1977, a

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nation-wide crackdown on abusers code-named ‘Operation Ferret’ was launched.Thirteen thousand (13,000) people werearrested and around 6,700 were detainedin DRCs from April to December that year.It is from this historic incident that thedrug scene evolved into today’s currentsystem.

II. THE SINGAPORE PRISONSERVICE

The Singapore Prison Service is part ofthe Home Team of agencies related to crimecontrol, security and civil defence. Theseagencies fall under the purview of theMinistry of Home Affairs. Both penal anddrug inmates fall under the jurisdiction ofthe Prisons Department. The missionstatement of the Prisons Department is:

To protect society by ensuring the securecustody of offenders in a humaneenvironment, and to facilitate their returnto society as law abiding citizens byproviding rehabilitative opportunities.

O u r m i s s i o n s t a t e m e n t i soperationalised by four (4) guidingprinciples that form the components of ourOperations Philosophy. These are:

i) Prisons and Drug RehabilitationCentres are not holiday resorts...conditions shall be spartan but notan affront to human dignity.

ii) Prisoners are here with us aspunishment but not for punishment.

iii) Drug inmates are here with us, notas punishment, but for treatment andrehabilitation.

iv) Every inmate w i l l be g ivenopportunities to change, but moreeffort will be accorded to thosegenuinely desirous of changing.

The Director of Prisons is appointed bythe Minister of Home Affairs. He is assisted

by a Deputy Director and three (3)Assistant Directors. The Departmentoperates on the staffline function systemwith the Superintendents of PenalInstitutions and Drug RehabilitaionCentres (DRCs) reporting directly to theDirector. The Assistant Directors and theirvarious Branches under their chargeprovide Staff Support functions (please seeOrganisation Chart Appendix A) .

There is a total of 2214 Staff comprisingof:

i) 1612 staff in the Uniformed PrisonsService•401 in the Senior Officer grades.•1211 in the Junior Officer grades.

ii) 215 Civilian Staff.iii) 387 staff in the Police Gurkha

Contingent (who provide manpowerto guard towers in the maximum andmedium security Prisons/DRCs).

III. CURRENT PENAL SCENE

A. Description of Penal InstitutionsThe penal institutions are classified into

maximum, medium and minimum securityprisons depending on the physicalstructure of the institutions and thecategor ies o f pr i soners that areaccommodated therein. There are four (4)maximum-security prisons, four (4)medium-security prisons and one (1) -minimum security prison.

B. Approach to Rehabilitation ofPrisoners

Criminal behaviour is regarded as abehavioural problem. The criminal isn e i t h e r a v i c t i m o f s o c i e t y n o rcircumstances, and is responsible for theconsequences of his or her actions. Whethera criminal can be successfully rehabilitateddepends solely on himself or herself. Thosewho are positive and show genuine desireto change for the better will be given allthe help and opportunities to do so.

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Having stated the above this is not toimply that sociological or circumstantialfactors do not influence a person’s actions.Indeed, social demographics, like low socio-economic status (SES), are often strongpredictors of criminal offending. However,the emphasis is rather on a neo-classicalnotion of the volitional agent. Despite thecircumstances and situational variables,the choice to offend still rests on theindividual. It is precisely in recognising theexistence of such sociological andcircumstantial variables that help will begiven to those who actually want to change.

C. Description of Reception,Processing and Allocation

The reception centre for all maleconvicted inmates is the QueenstownRemand Prison (QRP). As its namesuggests, QRP also houses people onremand, i. e. , awaiting trial. Once admittedinto QRP, a nominal roll will be opened forthe new prisoner. All personal property andcash will be accounted for, verified and keptby the Officer-in-charge of Records andReception. Each inmate will undergo amedical check-up. The Superintendent ofthe Prison will also interview each inmate.informing him of issues related to lengthof sentence, filing of appeals and propertya n d c a s h . Wi t h t h e n e c e s s a r ydocumentation in order, convicted inmatesare a l located to the appropr iateinstitutions. This allocation is based onselection criteria that takes into accountfactors such as sentence length,seriousness of convicted offence andcriminal antecedents.

Women offenders, both convicted andremandees, are received at the ChangiWomen’s Prison cum Drug Release Centre(CWP/D). Because of the low populationsize of convicted female offenders, there isat present only one institution thatencompasses both female prisoners anddrug inmates.

D. Incare of Penal InmatesThe penal institution plays a two-fold

function, namely, social control andrehabilitation. It must be recognised thatother than a rehabilitative role ofattempting to reintegrate a person back tosociety, the function of the penal institutionis to perform the socially and legallysanctioned control functions of punishment(retribution) and deterrence (individualand general). As mentioned earlier, theprisoner is in the prison as punishment andnot for punishment. The detention is thepunishment he or she receives for the crimecommitted. The individual deterrenceaspect comes from the regime that he orshe has to undergo while under detention.Prisoners spend the initial stage of theirincarceration under lock-up. This isconsidered as a highly deterrent aspect ofimprisonment. The duration of this lock-up depends on the prisoner’s conduct andlength of imprisonment.

A convicted prisoner qualifies for a one-third-remission of sentence. However, theremission period is deducted up to amaximum of seven (7) days whenever theprisoner is adjudicated for breaches ofinstitutional rules. The maximum periodof punishment imposed is seven (7) days ifgiven solitary confinement. In addition, theSuperintendent can impose a maximum oftwelve (12) strokes of the cane. Alladjudicated cases are submitted to theDirector of Prisons for confirmation ofsentence. If the case is deemed very serious,the case can be referred to the VisitingJustice who can impose a sentence ofcanning up to twenty-four (24) strokes.

E. Rehabilitation Programmes inthe Penal Setting

T h e p u r p o s e o f r e h a b i l i t a t i o nprogrammes in the prison regime is three-fold:

i) Manage inmates effectively.

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ii) Reduce reoffending behaviour.iii)Facilitate reintegration to society.

While the onus of criminal offending isultimately placed on the individual, theremust be a balancing between justice andmercy. It is to this end that the SingaporePrison Service administers justicetempered with mercy, i. e. , assistance inthe rehabilitation process not only for thepurpose of reducing or modifying offendingbehaviour, but also for helping the inmateto effectively reintegrate into sociery.

Before discussing treatment strategies,it is to be noted that in assisting inmatesto reduce offending behaviour, as well asto facilitate their reintegration into society,physical organisation plays an importantrole, albeit more indirectly, in therehabilitation of the inmate. What is meantby physical organisation is that inmatesare allocated not only to differentinstitutions-as discussed earlier inreception, processing and allocation-butwithin institutions they are also segregatedfrom each other; hard-core offenders arephysically separated by walls, gates anddoors from first-timers. Older inmates arealso segregated from younger ones. This isto reduce ‘contamination’, i. e. , negativesocial modelling and sub-culture, from themore ‘experienced’ convicts.

Recent trends in rehabil itationprogrammes in western countries haveshown a move towards community-basedrehabilitation programmes. The reason forthis shift being that institutionalisationtends to ‘nullify’ the effects of proactiveefforts (Andrews & colleagues, 1990;McGuire & Priestley, 1995) . However, it isto be noted that this ‘principle of usingcustody as the last resort’ is still weaklyestablished. For instance, Losel (1994) inhis study of institutionalised juvenilesfound that an institutional climate that ischaracterised by openness, autonomy,

cohesion, organisation and a low level ofconflict, has also obtained success inreducing reoffending. The debate ofwhether the prison institution is effectivein rehabilitation and deterring offendersfrom recidivating, while important, isnevertheless out of the scope of the currentpaper. The point for practitioners incorrectional settings is that we have a poolof convicted offenders under our custody.It is thus our responsibility to at leastattempt to provide effective treatmentmeasures for prisoners to facilitate theireventual reintegration into society.

With this in mind, the generalrehabilitation programme available forprisoners comprise of the following keyelements in a five-fold package describedhereafter.

1. WorkThe inculcation of discipline (e. g. , the

routine of working fixed hours in a day) andstrong work ethic presented to the offenderare major priorities in the rehabilitationprogramme. The ability to hold on to a jobshould serve as a stable foundation forreintegration in to society, as many inmatesare either jobless or practice ‘job-hopping’prior to conviction. In this area, theSingapore Corporation of RehabilitativeEnterprises (SCORE), a statutory Boardwhich manages the prison industries andprovides rehabilitative opportunities, setsup or invites companies to establishworkshops in the prisons and DRCs, wherethe inmate may work and learn on-the-jobskills. SCORE’s bakery and laundryservices are examples of enterprisingindustrial pursuits that have taken root inthe prison setting successfully.

2. EducationAs mentioned earlier, demographics like

low education are often predictors ofoffending. Thus, an important priority isto reduce the statistical chance or

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probability of reoffending. The provision ofeducation, either academic or vocational,for the purposes of upgrading prisoners’educational status and skills is thusessential. In a competitive society likeSingapore, education is highly valued.Helping to increase the education level ofinmates would also increase their chancesof finding a job and reitegrating back tosociety. Academic classes, conducted byqualified teachers seconded from theMinistry of Education, range fromcertification courses to GCE ‘O’ levels, andup to GCE ‘A’ levels. In 1997, inmates underthe assistance of our teachers achieved anaverage of 86% pass rate for GCE ‘O’ Levelexamination, which is above the nationalfigure of 76. 9% pass for private candidates.Vocational classes are conducted byqualified vocational trainers from SCOREwho teach preparatory English courses,work induction, problem solving, foodpreparation, book binding cleaning skills,etc. In 1997, SCORE conducted vocationalcourses for 1,424 inmates from the prisonsand DRCs.

3. Physical TrainingInmates are required to undergo

physical training that includes drill,exercise and games. Physical activities helpto keep the inmates healthy and fit, whilerecreational games help them to relieve thepressures of incarceration. This at the sametime promotes healthy interaction betweenthe inmates.

4. ReligionIt is a well-known fact that religion has

and continues to perform a major role inchanging a person’s life. It is thus apowerful force in the rehabilitation process,as it gives the individual a sense ofdirection and meaning to life.

Inmates are therefore encouraged todevelop their spiritual side by turning totheir respective religions. The Department

has two Muslim religious teachers toprovide religious activities to Muslimprisoners. Religious counselling is providedby counsellors from various religiousorganisations to look after prisoners’spiritual needs.

5. CounsellingExisting personal, social or family

problems, as well as new ones that arisefor some inmates as a resu l t o fincarceration, if not resolved, woulddistract them from the rehabilitationefforts.

Trained officers from the Prisons’Rehabilitation and Counselling Branch(RCB) handle referrals, requests andspecial cases. RCB is considered aspecialised unit. RCB provides variousforms of social services and intensivecounselling to inmates and visits to theirfamilies. Its operational philosophy is toassist inmates and their families to learnto be independent through impartingcoping skills.

Notwithstanding the importance ofcoping skills, certain problems and issuescannot be resolved to an acceptable levelwhereby inmates and their families aresocially functional by counselling alone.Therefore, RCB handles referrals forinvestigation and assistance. Thesereferrals can come from inmates anda p p e a l s s u b m i t t e d t o P r i s o n sHeadquarters, from family membersthrough the Members of Parliament (MPs).Upon receiving a referral, investigationswill be carried out by the counsellors todetermine the extent of the problem andhelp that can be rendered. Home visits willbe conducted, if necessary. Cases will bereferred to other social agencies forassistance if necessary. The more commonproblems referred are:

i) Financial problems.ii) Housing problems.

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iii)No visits from family.iv) Marital problems.v) Welfare of children.Thus, in essence, RCB provides

counselling for inmates to reduce offendingbehaviour as well as to prepare him or herfor eventual reintegration into society.Service delivery is also rendered to theinmates’ families when necessary.

The bulk of counselling and inmateinterviews are however conducted by therespective Hall Officers who are SeniorPr isons Of f i cers in the grade o fRehabil itation Off icer within theinstitutions.

The Prisons Department has aPsychological Unit to assist inmates thathave depression and more serious forms ofpsychological maladjustment. Volunteercounsellors from external organisationsalso assist us in social counselling inpreparing the offenders for reintegrationto society.

F. Preparation for ReleaseThe Prisons Department notes that

incarceration, especially long-termimprisonment, can affect the chances of aperson reintegrating into society. Afterspending a long time in prison, a personmay be institutionalised wherebyironically, life on the ‘inside’ is somewhatpreferred to the ‘outside’. To some extent,this is not too surprising. Life inside theprison setting, although highly disciplinedand regulated, is rather predictable withits fixed routines and expectations. Onecould get used to the life there. Thus,without preparation for the return tosociety, an inmate who has undergone long-term detention would be faced with thecultural-shock of the fast-paced anddemanding society that Singapore is.

Thus, during the last stages ofimprisonment, inmates all have to go

through a pre-release counsell ingprogramme that lasts for around two (2)weeks. Pre-release programmes provide anavenue for imprisoned offenders toreintegrate into society, hopefully withminimal disorientation. If prepared andconducted effectively, they can impact uponrelapse rates and enhance the effectivenessof the overall rehabilitation strategy. It mayat the same time generate goodwillbetween the prison authorities and thedeparting offender, thereby reducing anylingering bitterness about the offender’sprison experience and serve as a source ofencouragement.

Contents of the package include not justcoping strategies but practical help as well.In short the general structure of thepackage includes topics like prisonsdebrief, post-release plans, stressmanagement, sources of support, workattitudes and job performance andrejoining the community. Inmates are alsonotified of sources of help available to themwhen they re jo in the communityconcerning life issues like housing,employment, social support and vocationaltraining.

G. Early ReleaseAs for early release, Singapore at present

has not legally adopted any probationsystem for adult offenders. Currently, theonly early release system that Singaporeis using is the one-third remission ofsentence. Inmates would normally have toserve only two-thirds of their originalsentence. However, early release on licenseis one of the options being considered toease overcrowding.

H. General Crime StatisticsSingapore’s crime rate fell again in 1977,

for the 9th consecutive year. The numberof seizable offences reported fell by 5%,from about 47,100 cases reported in 1996to about 44,800 in 1997. This is very

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encouraging, as such trends are very rarein other countries.

IV. CURRENT DRUG SCENE

A. Description of Drug InstitutionsIn addition to penal institutions, the

Prisons Department also takes charge ofthe Drug Rehabilitation Centres (DRCs)which house the different categories of drugaddicts. There are altogether four (4) maleDRCs and one (1) female DRC. First andsecond time offenders are housed in oneinstitution. Third and fourth time offendersare housed in their respective institutions.Fifth time offenders and above arecontained in another institution. Asmentioned, Changi Women’s Prison is alsoa DRC where all female addicts are housed.Lastly, there is also a work release camp-Lloyd Leas Work Release Camp-for drugaddicts selected on the work releasescheme.

B. Approach to Rehabilitation andTreatment of Drug Addicts

Singapore does not subscribe to the beliefthat drug addiction is a medical problem.As in the case of the criminal, drugaddiction is viewed as a social andbehavioural problem. An addict isresponsible for the consequences of his orher own actions, and it is up to the addictto make a determined effort to kick thehabit. If the addict does not want to changehis or her ways, no amount of treatmentand rehabilitation can make that persondo so.

The present drug regime differentiatesbetween non-hardcore and hardcoreaddicts. Non-hardcore addicts are addictswho have been admitted into the DRC forthe first and second time, i. e. , first orsecond timers. Hardcore addicts are thosethat have been admitted into the DRC forthree or more times, i. e. , third timers andabove. This differentiation is essential for

the determination of not only the period ofdetention but also the type of treatmentand rehabilitation regime, which the addictwill undergo. In general, a hardcore addictis not only detained in the DRC for a muchlonger period as compared to a non-hardcore addict, but that person undergoesa tough, penal-like regime with minimalprivileges and greater measures ofdeterrence.

On the other hand, a non-hardcoreaddict is accorded more rehabilitativeopportunities, is given more intensivecounselling by trained counsellors in theDRCs (both individual and groupcounsell ing) and is given greateropportunities to enrol in educational orv o c a t i o n a l c o u r s e s f o r p e r s o n a ldevelopment through academic pursuits orthe acquiring of new vocational skills.

C. Length of DetentionDrug addicts are detained under the

executive order of the Director of CentralNarcotics Bureau, under section 37 of theMisuse of Drugs Act (MDA). The addictsare detained in the DRCs for a minimumperiod of six (6) and up to a maximumperiod of thirty-six (36) months, dependingon the number of previous admissions.Generally, inmates with greater number ofprevious DRC admissions will be keptlonger in the DRCs. Each inmate’s care isreviewed every six (6) months by a DRCReview Committee chaired by a medicalpractitioner with members comprisingreputable persons from the public andprivate sectors. These appointments aremade by the Minister. At present there arefour (4) DRC Review Committees.

D. Description of Reception,Processing and Allocation

Sembawang DRC-the centre that houses4th timer addicts-is also the receptioncentre for all male drug addicts. Femaleaddicts are referred to the Changi Women

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Prison/DRC. These drug addicts arebrought in by law enforcement agencies,viz the Central Narcotics Bureau (CNB)and the Police. As with the reception ofp r i s o n e r s a t Q R P, t h e r e i s t h edocumentation stage of recording theindividual’s particulars and possessions.After which, they undergo a medical check-up. They are also medically examined overa period of three (3) days to ascertain theirdegree of opiate or heroin addiction.

E. Incare of Drug AddictsThe purpose of the stay in the DRCs is

two-fold: addicts are detained in the DRCsnot only for treatment and rehabilitation,but also to prevent the spread of theproblem of drug abuse. By taking theseaddicts out of circulation from the generalpublic, it reduces the chances of them‘contaminating’ others.

F. Rehabilitation and TreatmentProgrammes in the Drug Setting

T h e p u r p o s e o f i n s t i t u t i o n a lrehabilitation programmes in the DRCs isto reduce drug abuse and to facilitatereintegration into society. As mentioned,upon arrest, all drug addicts are sent tothe reception centre. This is where theyundergo a compulsory detoxification periodof one (1) week. During this period, thedrug addicts are under close medicalsupervision as they experience pangs ofwithdrawal symptoms whilst their bodiesr i d t h e m s e l v e s o f d r u g s . A f t e rdetoxification, the inmates go through arecuperation period of rest for one (1) week.Inmates are then transferred to otherinstitutions depending on their number ofprevious admissions. Fourth timers remainin Sembawang DRC. Orientation in therespective institutions late one (1) week,whereby inmates are told about house-rules, as well as other relevant informationconcerning drug abuse and its effects.Following which, inmates undergo a toughregime of drill and physical exercises to

build up fitness levels, as well as discipline,before being introduced to other aspects ofrehabilitation programmes which includework, education and counselling. Theseinstitutional programmes in the DRCs arevery similar to the general rehabilitationprogrammes for prisoners.

It was mentioned earlier that physicalorganisation plays an important supportfunction to the rehabilitation programmes.Negative peer group influence is animportant determiner of drug-takingbehaviour and this is the reason why non-hardcore addicts are placed in separateinstitutions from hardcore addicts. Evenwithin the pool of hardcore addicts, thereis delineation between the number oftimers.

G. Specific Drug TreatmentProgrammes

Following a review of the drugp r o g r a m m e , C o m m u n i t y - B a s e dRehabilitation (CBR) was given greateremphasis in 1995 to assist the treatedaddicts to reintegrate into society. Uponcompletion of their minimum period ofDRC detention, inmates will be placed inone of the following programmes:

i) Community-Based Rehabilitation(CBR).

ii) E x t e n d e d I n s t i t u t i o n a lRehabilitation (EIR).

U n d e r C o m m u n i t y - B a s e dRehabilitation, inmates may be selected forany of the three schemes:

(1) The Halfway House Scheme (HWH)(2) Residential Scheme, or(3) Halfway House Scheme with

Naltrexone/Residential Scheme withNaltrexone.

CBR was introduced with the intentionof helping the drug addict ‘kick’ the habitthrough social support within thecommunity. To some extent, the CBRprogramme is a form of ‘early release’ for

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drug addicts from DRCs. However, theseinmates are still under the jurisdiction ofthe Prisons Department. It is important tonote that for the CBR scheme, once theinmate is selected, he or she mayvoluntarily opt out of the programme onlybefore it starts.

Inmates who are selected for CBR aretransferred to the Lloyd Leas Work-ReleaseCamp in the last month of their DRC stayto undergo the Pre-Release Programme.The features of the one (1) monthprogramme are:

i) Counselling involving coping skillsand group dynamics to prepare themfor work-release and reintegrationinto society.

ii) Physical training.iii)Drills.

The Halfway House Scheme (HWH)involves the inmate staying in a halfwayhouse for a period of six (6) months whilstundergoing the rehabilitation programmeof the halfway house. Inmates placed onthe HWH Scheme are required to workduring the day and return to the HWHs inthe evenings to observe curfew hours.Being able to keep a job would ideallyincrease the ‘stakes’ in conforming tosociety. Inmates in HWHs are given regularurine testing for drug consumption. Thisscheme particularly benefits those inmateswho are genuinely desirous of changing butwho have no family support, no home toreturn to, or whose family environmentsare not conducive for their recovery fromdrug addiction. It is intended that throughpositive interactions with other treatedaddicts, as well as HWH staff, in both socialand counselling sessions, pro-socialbehaviour will develop to enable the inmateto forgo drug abuse.

The Residential Scheme also lasts for aperiod of six (6) months. It, however,involves the inmate being tagged with an

electronic monitoring device and returningto his or her place of residence to stay. Likethe HWH Scheme, the inmate is alsorequired to work during the day but has toreturn home in the evenings to observecurfew hours. Inmates also have to reportregularly back to Lloyd Leas Work ReleaseCamp for counselling and urine testing.This scheme would only be offered toinmates whose families are supportive.Family support is an important aspect offacilitating two reintegration of the inmateinto society.

As can be seen from the aboveprogrammes, the Prisons Departmentrecognises the importance of psychosocialsupport in the efforts to help the addict‘kick’ the habit. Unique to drug addictsthough, is the fact that drug consumptionaffects not only the psychology but thephysiology of the individual. Theories thatexplain drug-taking behaviour are various.They range from pleasure-seekingbehaviour to reducing the pangs ofwithdrawal.

It is to these reasons that in August1993, the Department launched a pilotprogramme involving the use of the drugNaltrexone on some inmates. This drug,which is an opiate antagonist, is consumedorally in pill-form. It blocks the gates of therelevant receptors of the brain that areresponsible for the euphoric effects broughtabout by consuming opiates. In otherwords, a person who is on Naltrexone willnot be able to ‘get high’ if he or she were toconsume a narcotic drug. Importantly,Naltrexone is not addictive. Hence, it is nota substitute drug for the addict. Results ofour pilot study project have been veryencouraging and the Prisons Departmenthas incorporated the use of Naltrexone fora selection of inmates in the Residentialand Halfway House Schemes underCommunity Based Rehabilitation, witheffect from June 95.

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Selection of inmates for the threeschemes is based on a set of stringentcriteria. Only those inmates who areassessed as being responsive to theirinstitutional rehabilitation, and haveshown a desire to change, will be selectedfor the CBR programmes. In other words,only the most amenable inmates are chosenfor these 3 Schemes. As mentioned earlier,the individual is ultimately responsible forhis or her actions. More help will be givento those that are desirous of change.Notwithstanding this, it is important toemphasise that hardcore addicts are alsoallowed to participate in the CBRprogrammes.

Those inmates who do not qualify forCommunity Based Rehabilitation or whovoluntarily opt out of CBR programmes areplaced under Extended InstitutionalRehabilitation (EIR). In effect, this meansthat detention period in the DRCs wouldbe extended up to between 12 to 24 months,depending on their categories. During theextended period, they will continue theirrehabilitation programme of work,vocational training and counselling. Theywill also undergo the 1-month Pre-ReleaseProgramme in the DRC, The activities inthe Pre-Release Programme are similar tothat carried out in the Lloyd Leas Work-Release Camp.

H. Central Narcotics Bureau (CNB)Supervision

Upon completing their CBR programmesor Extended Institutional Rehabilitation,as the case may be, the inmates are thenpleced under compulsory Central NarcoticsBureau (CNB) supervision for period of twoyears. During this period, the inmates arerequired to report for regular urine testsat designated reporting centres an policestations, to ensure that they remain drug-free.

I. General Crime StatisticsPrison’s treatment and rehabilitation of

drug addicts encompasses part of the multi-pronged enforcement, rehabilitation,aftercare and prevention educationstrategy to proactively arrest the drugsituation in Singapore. In 1994, ourMinister for Home Affairs, Mr Wong KanSeng, also mentioned that it was criticalfor the family and the community to getinvolved in preventive education andrehabilitation.

Since then, drug agenc ies andc o m m u n i t y o r g a n i s a t i o n s h a v ecollaborated in a holistic effort to make themulti-pronged strategy work. We arepleased to announce that the upward trendin drug statistics has been reversed. Astriking point to be highlighted is thatdespite Central Narcotics Bureau’s (CNB)intensi f ied ra ids , i . e . increasedsurveillance and enforcement, the numberof drug abusers arrested fell almost aquarter, from 6160 in 1994 to 4750 lastyear. The number of new drug addictsarrested also fell from 1340 to 1130 overthe same period. The average dailypopulation in our DRCs also fe l lsignificantly. Of greater concern andencouragement to Prisons, the relapse ratehas declined from 81% in 1994 to 66% lastyear.

V. AFTERCARE

The S ingapore Corpora t i on o fRehabilitative Enterprises (SCORE), aStatutory Board, provides work for drugand penal inmates within the institutions.The organisation is also the lead agency inaftercare. The Prisons Department alsoworks closely with other aftercare agencies:The Singapore Aftercare Association(SACA) catered for exprisoners; TheSingapore Anti-Narcotics Association(SANA) ; and various Halfway Houses thatalso provide aftercare services for treated

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drug addicts. Both SACA, SANA andHalfway Houses are referred to asVoluntary Welfare Organisations (VWOs)in Singapore. These VWOs provide variousfunctions and services, ranging from socialcounselling for ex-Inmates and families, topractical help like finding lodging and jobsfor ex-inmates.

SCORE has an Aftercare-CounsellingProgramme (ACP) which is a one-yearprogramme providing counselling andsupport to recovering addicts. It waslaunched in November 1995 to complementSANA’s Voluntary Aftercare Officer (VAOs).These VAOs have for many years helpedrecovering addicts cope with the demandsof life after they have completed theirrehabilitation and treatment in the DRCs.However, due to demands, this limited poolof VAOs were not able to cope with theservices needed by recovering addicts-thusexplaining the need for the ACPprogramme. Professionally trained full-time counsellors were recruited tocompliment the role and functions of VAOs.

The ACP is greared towards placing theownership of the drug problem, and actionfor recovery from drugs, on the superviseesthemselves. These expectations are clearlyarticulated to the supervisees right fromthe beginning of the programme, and aresystematically inculcated throughout thedurat ion o f the programme. Theprogramme emphasises relapse preventiontraining, gainful employment, and familyand peer support. The counselling schedulebegins with twice a week for the first threemonths, once a week for the next sixmonths and finally once in two weeks forthe last three months. As can be seen, morecounselling is given at the initial stage ofthe programme to the recovering addict, asadjustments and reintegration problemsare usually the greatest upon dischargefrom DRCs.

Practical needs of ex-prisoners andrecovering addicts are also tended to helpthem successfully reintegrate into society.SCORE has a Job Placement Unit (JPU)and its function is to assist releasedprisoners and addicts, who experiencedifficulty in securing a job, to find suitablework based on their qualifications and priorexperience. As many as 14,000 inmates andex-inmates have benefited from JPU’sservices since its inception. JPU is alsoresponsible for arranging jobs for all ourdrug inmates who are emplaced on theCBR-Residential Scheme. Some of thereinmates are placed on the CorporateAdoption Scheme (CAS). Initiated in 1992,this scheme aims to help inmates turn overa new leaf at work, gain confidence andboost their self-esteem by encouragingemployers to play a bigger role in theinmates’ recovery and reintegration intosociety.

Under the CAS, respective companiesassign mentors to provide individualisedattention and guidance to help the inmatesadjust better to the work environment. Thementor, together with SCORE’s jobplacement officers, regularly meet with theinmate to discuss progress and problemsencountered at work.

VI. FUTURE DEVELOPMENTS

It is the wish of any correctional agencyto discover the elixir to the successfulrehabilitation and treatment of offenders.However, reality tells us that such an aimis difficult to achieve, if it is indeed everachievable. Looking at Singapore, ourstatistics show that we may be on the righttrack. Perhaps part of our success lies notjust in our rehabilitation efforts but ourunique situation. Singapore is a smallcountry, which makes it easier to manage.Success can also be attributed to the sternrehabilitative programmes and a strongand supportive community to pitch in the

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Community-Based Rehabi l i tat ionProgramme.

Nevertheless, there are still some areasthat need to be improved in the effort toprovide effective treatment measures forprisoners and drug abusers, to facilitatetheir reintegration into society. Some ofthese are as follows:

(i) Our current allocation of inmates torespective institutions is based moreon security and procedure, ratherthan rehabilitation and treatment.The Prisons Department is currentlylooking into the arena of objectiveclassif ication for inmates fortreatment purposes, pertaining to theempirically established principles ofrisks, criminogenic needs andresponsivity.

(ii)There is a need for greater co-ordination with aftercare agencies toconsolidate a holistic treatmentpackage for our drug and penalinmates. This is to maximise the useof resources as well as to prevent‘double work’.

(iii)There is a need to constantly improveand upgrade the knowledge and skillsof our counsellors, so that they maypossess the skills needed for effectivecounselling. Recently, a number ofour counsellors were sent for acertification course in substanceabuse counselling, conducted by twotrainers from the Alcohol and DrugAbuse Division (ADAD) from Hawaii.The examinations were set andconducted by the InternationalCerti f ication and ReciprocityConsortium (IC & RC). Plans areunderway to se t up a Loca lCertification Board to certify allcounsel lors from the PrisonsDepartment. Training is alsorequired in more specialised topicslike the treatment of sex offendersand violent offenders.

(iv)The Prisons Department is workingon improving its research capabilitiesto objectively evaluate existingprogrammes and policies, as well asto propose new programmes thathave been found to be effective inother correctional settings. Of course,such programmes would have to becontextualised and be evaluated foreffectiveness in the Singaporesetting.

VII. CONCLUSION

In sharing innovations concerning therehabilitation and treatment of penalinmates and drug addicts, we can onlybegin to expand our knowledge base of‘what works’ at a practical level, incorrectional settings. The sharing of the‘Singapore experience’ is based on a contextthat is unique-given our history, culture,geographical size and economy. Thus, whatappears to work for the Pr isonsDepartment may not necessarily transposeeffectively to other settings. Nevertheless,it is hoped that through this paper, theSingapore Prison Service would havecontributed valuable knowledge to thewider community. May our combinedefforts encourage and spur each other toprovide effective treatment measures forprisoners and drug addicts to facilitatetheir reintegration to society.

REFERENCES

Andrews, D., Zinger, I., Hoge, R., Bonta,J., Gendreau, P. and Cullen, F. (1990) ‘AClinically Relevant and PsychologicallyInformed Meta-Analysis’ Criminology, 28(3) : 369-403.

Foucault, M. (1977) Discipline andPunishment: The Birth of the Prison,London: Allen Lane.

Losel,F. (1994) ‘Protective Effects onSocial Resources in Adolescents at High-

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Risk for Anti-Social Behaviour ’ in E.Weitekamp and H. J. Kerne (eds) Cross-National and Longitudinal Research onHuman Development, pp 281-301.

McGuire,J. and Priestley,P. (1995)‘Reviewing ‘What Works’:Past, Present andFuture’ in J. McGuire (ed) What Works:Reducing Reoffending, New York: JohnWiley & Sons.

PRISONS DEPARTMENT��

OGANISATIONAL STRUCTURE

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Dy Director�

Asst. Director�(Operations)�

Asst. Director�(Administration)�

Asst. Director�(Personnel & Training)�

Superintendents�(Prison Institutions)�

Superintendents�(DRCs)�

Head� (Support Units) �

APPENDIX A

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CURRENT TRENDS IN CORRECTIONAL PROGRAMMING INTHE USA

Kenneth G. Adams*

ABSTRACT

Correct ional programming hasundergone important changes over the pasttwo decades. These changes have beeninstigated by rapid grow in prisonpopulations, worries over public safety andconcerns for reducing the cost ofincarceration. Despite a lack of faith in therehabi l i tat ive ideal , correct ionalprogramming continues to flourish, albeitin a form that is very different from thepast. This paper discusses recent trendsin correctional programming. Specifically,it discusses legally mandated services,changing characteristics of inmatepopulations, inmates with crime-relatedproblems and cost-saving measures.

I. INTRODUCTION

The faith and optimism that oncesurrounded the “rehabilitative ideal” in theUnited States is largely extinguished.Decades of evaluation research showingnegative results has left the public highlyskeptical of treatment and other forms ofprison programming. Prisons and jailswere once viewed primarily as places wherethe business of rehabilitation was carriedout. Now they are now seen as placeswhere isolating offenders from societyfurthers the goal of public safety. Onemight think that as a result of this shift inpenal philosophy that correctionalprogramming is withering on thecontemporary vine. On the contrary, whilethe patient is not always as robust as inthe past, correctional programming is alive

and well, and in some situations could beconsidered as flourishing. One reason isthat some services are mandated by lawand therefore cannot be eliminated.Another reason is the American spirit ofpragmatism. Our practical view of theworld leads us to develop and search outprograms that do indeed work and to findcheaper and more efficient ways ofdelivering programs. We are alwayslooking for ways to alter the cost-benefitequation to society’s advantage.

While correctional programmingcontinues to be a major activity of prisons,the face of these activities has changedr a d i c a l l y. I n d e e d , c o r r e c t i o n a lprogramming is very different today ascompared to one or two decades ago. Threedevelopments - a rapidly growing andchanging inmate population, an emphasison public safety and a concern for cost-effectiveness - have been primarilyresponsible for the transformation incorrectional programming.

The United States has experiencedtremendous growth in the number ofpersons under the custody of the criminaljustice system. Over the past decade anda half, the average annual rate of expansionin correctional populations has been 7.6%.Currently, there are more than five millionadults under custody, or about 3% of theadult population. Over one million adultsare confined in prisons and jails. Someforecasts predict that by the year 2000 theprison population will increase by halfagain. This situation means thatadministrators will continue to scramblefor resources to deal with an ever-growingnumber of inmates. At the same time, thelarge influx of inmates has changed the

* Associate Professor, School of Public andEnvironmental Affairs, Indiana University,U.S.A.

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characteristics of prison communitiesbecause growth has not been even acrossthe board. Shifts in the composition ofinmate populations has created newchallenges for prison administrators whoare responsible for seeing that confinementdoes not become a form of idle time-outfrom society tediously spent.

A primary theme that underlies theprison boom is public safety. Americansbelieve that incarceration, through them e c h a n i s m s o f d e t e r r e n c e a n dincapacitation, is an effective way ofreducing the crime rate. For manyobservers, declining crime rates coincidingwith rising incarceration rates is strongproof that incarceration works as a crimecontrol strategy. Consequently, calls formore prisons and tougher laws that providefor longer prison sentences served underharsher conditions continue unabated.Also, correctional programs are beingjudged individually in terms of how muchthey contribute to a safer society.

Another theme that underlies the prisonboom is strict economy. Americans arecoming to realize that incarceration isexpensive and that we may not be able toafford all of the prison capacity that wewould like to have. As a way of dealingwith this situation, economy and costefficiency are being emphasized in everyaspect of criminal justice administration.Prisons administrators are becomingobsessive in their determination to bringdown the costs o f incarcerat ion .Correctional program administratorsincreasingly are being asked to cut costsand to justify a program’s existence interms of social and economic analyses.

In this essay, contemporary trends incorrectional programming are explored.We will consider legal mandates fort r e a t m e n t , c h a n g e s i n i n m a t echaracteristics, offenders with crime-related problems and pressures for costsavings.

II. LEGALLY MANDATEDSERVICES IN CORRECTIONS

Offenders have legal rights to treatmentin certain circumstances. These rights, forthe most part, are limited to medical andmental health care. Nevertheless, a largenumber of offenders receive services whilein the custody of correctional officialsbecause services are legally required.Three categories of inmates that receivelegally mandated services and that presentexceptional challenges to correctionalprogramming are: mentally ill inmates,inmates suffering from AIDS/HIV andinmates with disabilities that may beprotected under the Americans withDisabilities Act.

A. Mentally Ill OffendersOver the past several decades the United

States has pursued a policy of movingmental patients out of hospitals andpsychiatric institutions into non-residential community-based treatmentcenters. Many scholars suspect that as ar e s u l t o f t h i s p o l i c y o fdeinstitutionalization, an increasingnumber of mental patients are finding theirway into the criminal justice system. Thisshifting of clientele from the mental healthto criminal justice system is sometimesreferred to as transinstitutionalization.

Inmates with mental health problemscan present difficult challenges tocorrectional programming. Foremost,authorities must insure that necessarypsychiatric services are provided while theoffender is in custody. Some inmates mayrequire special living arrangements thatcombine a sheltered environment withsupportive services. For inmates withchronic and severe emotional problems, itmay be unrealistic to think in terms ofintegrating them into the prisoncommunity. These inmates may have tospend their entire sentence, both withinand without prison, in special facilities. For

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inmates with acute, episodic problems,prison staff periodically face the challengeof reintegrating the inmate back into theprison community after periods ofresidential treatment. This may be difficultif the inmate has limited ability to copewith the regular prison environment. Also,menta l ly i l l inmates may suf ferdiscrimination at the hands of otherinmates and even correctional officers,owing to callous attitudes based onstereotypes of mental illness.

As release approaches, correctionalofficials face the challenge of arranging fora smooth transition back into thecommunity for mentally ill inmates. Thesuccess of reintegration depends, in largemeasure, on continuity of effective andappropriate psychiatric treatment.Arranging for treatment, and then seeingto it that the inmate participates in thetreatment, can be difficult. Also, theseinmates may require extra support servicesto help offset the social, emotional andintellectual liabilities that can accompanymental illness.

B. HIV/AIDST h e H I V / A I D S e p i d e m i c i s

unprecedented in recent modern history interms of its scope and deadliness.Correctional administrators have beenespec ia l ly hard hi t in terms theconsequences of this epidemic becauseoffender populations contain a largeproportion of individuals who are high riskfor HIV/AIDS. According to the U.S.Bureau of Justice Statistics, approximately2.3% of all state and federal inmates areinfected with HIV. In New York, theincidence of AIDS in prisons in seven timesgreater than in the general population.

In the early stages of the disease,correctional officials face the challenge ofidentifying those who are infected so thattreatment can be provided. Many prisonsystems resist mandatory screening forHIV/AIDS because of the social stigma that

attaches to the disease. Once the clientpopulation is identified, the next challengeis to provide treatment in a way thatminimizes adverse social consequences.This challenge can be greater after releasefrom prison, because community healthagencies can be overwhelmed with localdemands for treatment. Also, the socialand physical consequences of the diseasemay negatively impact plans for normalreintegration.

In the advanced stages of the disease,the focus is on providing humane care toease suffering. In many prison systems,AIDS is the leading cause of death amonginmates. One in three inmate deaths wereattributable to AIDS between 1991 and1995. In 1995 alone, 1,010 inmates in theU.S. died of AIDS-related causes.

HIV/AIDS treatment has had a seriousfinancial impact on prison expenditures formedical care. According to the Wall StreetJournal, the total lifetime cost of treatingHIV is about $119,000. When the high costof treatment is combined with the largenumbers of inmates suffering from thedisease, the financial consequences can bestaggering. For example, spending on HIV/AIDS treatment in the Illinois prisonsystem increased ten-fold in a three-yearperiod, jumping from $30,000 to $300,000per month.

Some prison systems have implementedearly release programs for inmates in theadvanced stage of AIDS. In part, themotives are humanitarian. Inmates canspend their last few months in communityhospice settings where they can enjoygreater contact with family and friends. Inlarge measure, however, the motives arepragmatic. Seriously ill inmates presentlittle threat to the community, and thecombined costs of security and treatmentare high. In returning inmates with AIDSearly to the community, the prison systemoften attempts to transfer the financialburden of treatment to someone else. Tothe extent that the inmate’s quality of care

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i s compromised in th i s process ,humanitarian rationales for the programare undercut.

C. Americans with Disabilities ActThe Americans with Disabilities Act

(ADA) prohibits discrimination in access toprograms and services solely on thegrounds of a disability. In pursuit of thisgoal, reasonable accommodation must bemade in attempting to provide programsand services to the disabled. This year, theU.S. Supreme Court will review a FederalAppeals Court affirmative ruling that theprovisions of the ADA apply to prisoninmates. If the lower court decision isupheld, prison officials will be required tomodify many prison programs in order toprovide access to inmates who are nowroutinely denied participation. Thesechanges could be expensive and may bringincreased security risks. However,increased access to programs arguably willfacilitate the reintegration of theseoffenders into society upon release.

III. CHANGINGCHARACTERISTICS OF INMATE

POPULATIONS

Inmate populations can be viewed as acomposite of many dif ferent sub-populations, each with its own uniqueprogramming needs. As the size of varioussub-populations wax and wane, demandsfor inmate services will shift accordingly.Since recent growth in prison populationshas not been even across the board,changing characteristics of the inmateclientele has had an important effect on thetypes of correctional programs beingoffered.

A. Elderly InmatesAs a result mandatory sentences, long

sentences, and increased restrictions onparole release, elderly inmates are rapidlygrowing sub-population within prisons. In

state and federal prisons, the proportionof elderly inmates grew from 4.9% in 1990to 6.8% in 1997. This change represents a74% increase in 7 years.

The cost of incarceration is three timesgreater for elderly inmates compared toyounger offenders. In particular, the costof medical care, which is considerablyhigher, has become a major issue for prisonsystems. Some correctional systems havedeveloped specially designed facilities in anattempt to meet the needs of elderlyinmates. One such example is the HockingCorrectional Facility in Ohio. The facilitycontains 600 inmates, the majority of whomare over fifty years old. Depending on thelife situation of the offender, traditionalprison programs may be irrelevant. Forexample, an elderly inmate may have littleneed for additional formal education or forvocational training. The challenge forcorrectional programming is to keep theseinmates active in meaningful andproductive ways, and specialized facilitiesare better situated for this task. Suchfacilities not only can provide inmates withneeded services during incarceration, theycan prepare inmates better for release intothe community through specializedprograms.

Pre-release preparation and aftercareare very serious concerns for older inmates.If an elderly inmate has been in prison fora long time, the society to which he or shereturns will be much different than the oneleft behind. Preparing an inmate for thistransition can be challenging. Dependingon their physical and mental condition,elderly inmates may not have the fulldegree of independence that youngerinmates have, so they may need assistancewith some of the daily tasks of life. Otherkey aftercare concerns include access tomedical services and adequate nutrition.Since elderly inmates do not representmuch of a threat to society, economic andpolitical pressures are building for the earlyrelease of these offenders back into the

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community. As with HIV/AIDS inmates,the idea behind early release partly is totransfer the cost of medical care and others u p p o r t i v e s e r v i c e s t o a n o t h e rorganization.

B. Young InmatesIncreasingly, juvenile offenders who

commit serious crimes are being tried andsentenced as adults by means of juvenilewaiver statutes. The pace of revisions overthe past decade in these statutes has beenphenomenal. These changes have had theeffect of subjecting ever-younger juvenileoffenders to adult sanctions, which oftenresult in placement with adult correctionalauthorities. The pressures of juvenilewaiver statutes, on the one hand, andlonger mandatory sentences, on the otherhand, have squeezed correctionalprogramming at both ends of the agespectrum with increasingly larger numbersof juvenile and elderly offenders. In termsof juvenile offenders, indications are thatthe problem will continue to get worse. TheU.S. Bureau of Census estimates that thesize of the juvenile population aged 15 to19 years will grow by 15% in the nearfuture.

Youthful offenders present a distinct anddifficult set of challenges for correctionalprogramming. Aspects of physical, socialand emotional development differconsiderably for juveniles as compared toadults, and addressing this situation canbe a difficult task for correctional staff,especially when youth are mixed withadults in the same institution. Inparticular, youthful offenders often lackmaturity and good judgment. They alsomay have problems with impulse and angercontrol.

Provision of basic correctional programs,such as education and job training, is morecritical for youthful offenders, both becausethey are likely to have serious needs inthese areas, and because there ispotentially greater returns for successful

programming. Some young offenders maystill be of school age and therefore entitledto educational programs under the law.Other young offenders may be in the earlystages of a work career. Care must be takento insure that educational and vocationalp r o g r e s s i s n o t i n t e r r u p t e d b yinstitutionalization. Likewise, releasefrom prison is another critical juncture interms of continuity of programming. Lackof experience and immaturity may requirethat youthful offenders be provided withsupportive and directive services uponrelease, if reintegration is to be successful.

C. Female InmatesAnother inmate sub-population that has

grown considerably during the prison boomis female offenders. As a proportion of thetotal prison population, female inmateswent from 4.1% in 1980 to 5.7% in 1990 to6.4% in 1997. Throughout most of theperiod of prison expansion, the rate ofincrease in female inmates has exceededthe rate of increase for male inmates. Forexample, the female population in thefederal prison system grew by 480% from1980 to 1994 compared to 313% for themale population. In terms of numbers ofinmates, the female population increasedfrom 13,420 inmates to 64,403 inmatesduring this period.

I n k e e p i n g w i t h t h e g e n e r a lcharacteristic of offender populations,female inmates are disproportionatelydrawn from minority groups and sufferfrom high rates of alcohol and drug abuse.As compared to male inmates, femaleinmates are more l ike ly to havecommunicable diseases and to have ahistory of childhood or adult abuse.

Female inmates also differ notably frommale inmates in terms of problems createdby family demands. About 6% of femaleinmates enter prison pregnant. For thisreason, infant nurseries are common infemale prisons. However, infants rarelystay with their mother throughout the

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entire term of incarceration, and theseparation of mother and infant causesanxiety during confinement. It also issignificant that about 67% of femaleinmates have a child under 18 years of agefor which they are responsible. Again,concerns about maternal responsibilitiesmay become visible during incarceration,especially just prior to release. Familyvisitation programs in prisons can help toalleviate some of these problems. Both pre-release programming and post-releaseaftercare need to address the complexitiesof motherhood for female inmates.

IV. OFFENDERS WITH CRIME-RELATED PROBLEMS

Concomitant with the fall of therehabilitative ideal, there has been firmrejection of the notion that all criminalbehaviors are the product of abnormal ordeviant processes that need correction. Itfollows from this view that not everyoffender is in need of treatment, andprisons today no longer try to rehabilitateevery inmate. Correctional programs thatare made generally available to inmates,such as education and work programs, arejustified more on the grounds of keepinginmates busy and out of trouble than forany rehabilitative effects they might have.

Treatment programs that are designedto rehabilitate inmates and reducerecidivism have not disappeared from theinventory of correctional programming.Rather, a greater degree of selectivity hasbeen implemented in defining the inmateclientele. Treatment programs now targeti n m a t e s w h o h a v e s e r i o u s a n dconsequential deficits or who haveproblems that are clearly linked to criminalbehavior. The strategy is to concentratelimited resources on situations where thepromise of reducing criminal recidivism isgreatest.

A. Drug AddictionA link between drug addiction and crime

is firmly established in the criminologicalliterature. According to the NationalCenter for Addiction and Substance Abuse,drugs or alcohol were a key element in thecrimes of 80% of inmates. Although theprecise nature of causal relationshipsbetween drugs and crime is not fullyunderstood, it makes intuitive sense thataddicts will commit crimes in order tofinance expensive drug habits. Thus, if wecan eliminate the addiction, then themotivation for some crime will be removed.

Arguments in favor of drug treatmentof offenders are gaining strong supportfrom program evaluation research. Severalrecent evaluations are worthy of mention.A study by the Federal Bureau of Prisonfound that completion of a residential drugtreatment program reduced short-termrecidivism rates by about 75%. Inparticular, inmates who received treatmenthad a six-month recidivism rate of 3.3%compared to 12.1% for inmates who did notreceive treatment. Furthermore, inmatesin the treatment group had a drug userelapse rate of 20.5% for the first sixmonths compared to 36.7% for controls.Another recent evaluation by RANDargues for the cost-effectiveness of drugtreatment. The study concluded that forheavy drug users treatment produces thebest return compared to various otheroptions, including mandatory minimumprison sentences. At a cost of about $6,500per year, substance abuse treatmentappears to be a good investment. Thus, anaccumulating body of solid evidenceindicates that drug treatment is effectivein reducing criminal recidivism.

If we are to have a policy of making drugtreatment widely available to offenders,substantial increases in resources will beneeded. For example, the Federal Bureauof Prisons runs 42 residential treatmentprograms with a combined capacity of 6,000inmates. However, about 30% of the federal

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inmate population, which stands at about110,000, have moderate to severe drug andalcohol problems. Thus, the potential clientpopulation is about 33,000 inmates.Clearly, the demand for drug treatmentamong offender populations outstrips thesupply.

In the past, the U.S. has showed awillingness to spend considerable sums ofmoney on the drug problem, particularlywith regard to law enforcement. PresidentClinton is currently seeking $17 billion fora variety of anti-drug-initiatives, a littleless than half of which is earmarked forthe Justice department. A new federaldevelopment raises the possibility thatmore funds will be made available fortreatment. President Clinton has proposedthat prisons test inmates for drug use on aregular basis to gauge the extent of druguse in confinement. Thus, the war on drugshas expanded its battleground into prisons.A logical follow-up of the President’sproposed policy of inmate drug use testingis to expand treatment options to takeadvantage of periods of enforced drugabstinence.

B. Alcohol AbuseThe relation between alcohol abuse and

crime is as strongly documented as thatbetween drug abuse and crime. Accordingto the U.S. Bureau of Justice Statistics,about 36% of offenders under correctionalsupervision, or about 2 million offenders,were drinking alcohol at the time theycommitted their offense. Yet, alcohol abuseremains an under appreciated factor in theetiology of criminal behavior. Perhaps, thisis because alcohol, unlike drugs, is a legalcommodity, so that only its abuse, and notits use, is seen as problematic.

As drug abuse treatment becomes morewidespread in prisons, we can expect a spillover effect that will emphasize theimportance of alcohol abuse treatment.Many offenders are polymorphous in theirdrug use, moving from one substance to

another as availability and interestchanges. Many drug addicts also abusealcohol, because it is readily available andinexpensive. At a policy level, it may notmake sense to distinguish too preciselyamong various forms of substance abuse.Well-developed treatments for alcoholabuse exist , and expanding thesetreatment options could bring benefitssimilar to the expansion of drug treatmentprograms.

C. Chronic ViolenceChronically violent officers are a

problem of utmost concern to society, aswell as to correctional officials who arecharged with their care. In the U.S., the“super-max” prison has emerged as theprimary strategy for dealing withpersistent violence. These facilities, whichare designed to house the “worst of theworst,” have become very popular.Presently, there are 57 “super-max”facilities in the U.S. being operated by 36states and the federal government. Humanrights organizations have been extremelyvocal in their criticism of “super-max”prisons, alleging that the conditions orconfinement are extremely harsh. Theincidence of mental illness in thesefacilities appears relatively high, furtherheightening human rights concerns.

Most of these prisons are modeled afterthe federal penitentiary in Marion, Illinois.The inmate regime typically consists of 23hours a day of seclusion in a cell with 1hour of sequestrated recreation. In recentyears, there has been an increasingreliance on technology to minimize inmateinteractions with other persons, includingcorrectional officers, as a way of increasingsafety. “Super-max” prisons are much moreexpensive to operate than traditionalprisons; however only a small fraction ofthe inmate population is subjected to theregime. Indiana has a total of 198 inmatesconfined at two super-max facilities out ofa total population of about 15,400 inmates.

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We know very little about the effects ofthe “super-max” regime on inmates.Important questions of reintegrationremain unanswered. Most inmates in“super-max” facilities come from, andreturn to, general prison populations; justas they come from and then return to theoutside world. The characteristics ofinmates selected for confinement in “super-max” facilities, the circumstancessurrounding transitions in and out of thesefacilities, and the factors that contributeto successful reintegration into thecommunity, are not known.

D. Sex OffensesOf the nearly 5 million convicted

offenders serving sentences in federal orstate prisons, 4.7% are convicted of sexcr imes . This group o f o f fenderstraditionally has been the target oftreatment programs. The deliberatelypredatory, highly compulsive and privatelyerotic nature of many sex offenses suggeststhat psychological treatment is needed toprevent recidivism.

As a group, sex offenders have been thetargets of tougher laws over the pastseveral years. In Texas, longer sentencescombined with curtailment of parolerelease has caused the number of sexoffenders to double in four years, jumpingfrom 6,262 inmates in 1991 to 11,782inmates in 1995

Many new laws dealing with sexoffenders run counter to reintegrationgoals. These statutes, which resulted fromseveral highly publicized cases of heinoussex crimes, emphasize public surveillanceover anonymity in the interest of safety.For example, some states require publicnotification of the release of sex offenders,as well as registration and tracking of theirwhereabouts. Citizens may be proactivelyinformed that a sex offender has moved intothe neighborhood, or they may accesscomputer files that display the location ofsex offenders by geographic area. Such

laws make it considerably more difficult toreintegrate sex offenders back into thecommunity.

Another development involves sexualpredator laws that provide for indefiniteterms of confinement in a mental hospitalafter expiration of a criminal sentence.These laws invoke the civil authority of thestate to protect the public from clear andpresent dangers. The sexual predator laws,which are reminiscent of the preventivedetention laws and dangerousness civilcommitment laws popular in the 1960’s,allow for psychiatric confinement untilsuch time that the person no longerrepresents a threat to public safety. Insome cases, the term of confinement couldamount to a life sentence.

V. COST SAVINGS MEASURES INCORRECTIONAL PROGRAMMING

Along with huge growth in prisonpopulations, there has been a tremendousincrease in prison expenditures. In somestates, it is predicted that spending forcorrections will soon exceed that foreducation. Much of the growth in spendingis tied to the construction and staffing ofnew institutions. For example, the 1999budget request for the federal prisonsystem includes a 7.4% increase for salariesand expenses and a 62.3% increase forbuildings and facilities. As prisonexpenditures skyrocket, governmentofficials and correctional administratorsare searching for ways to limit spending.Areas that often are scrutinized for possiblesavings involve non-security-relatedexpenses such as medical care, food,transportation and inmate programming.

A. Program & Staff CutsIn an attempt to reduce costs, some

prison systems have adopted a very simpleand direct approach: eliminate programsand cut staffing. For example, between1994 and 1995, New York State eliminated

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most higher education programs for prisoninmates. In 1996, the state eliminated 263program positions in prisons. The positionsincluded drug counselors and teachers. Inthe following year, 155 additional positionswere eliminated.

There is popular support for theelimination of inmate programs becauseprisons are perceived as being toocomfortable. In order to be effective,punishment should involve discomfort, andso the public and many politicians havebeen pushing for a “no-frills” approach toleaner and tougher incarceration.Correctional administrators, however,while generally supportive of the “no-frills”approach, are careful to protect programsthat enhance security by keeping largenumbers of inmates productively occupied.

B. TechnologyTechnology is making strong inroads into

all aspects of modern life, and correctionalprogramming is no exception. The impactof technology is perhaps most evident ineducation where computers, televisionsand video are being used to facilitated i s t a n c e l e a r n i n g a n d f o r m s o fprogrammed learning. In general society,i t i s ant ic ipated that these newtechnologies will be cost-effective inbringing educational programs to largenumbers of students. Correctional officialsare prepared to capitalize on thisdevelopment in hopes of lowering existingcosts and offsetting the effects of programcuts that may have occurred.

Computer technology can be used todeliver a wide array of instruction thatoften can be adapted to meet individualizedneeds. For example, a reading program canbe set up to accommodate inmates withwidely varying reading skills, and deliveryof instruction is flexible enough to followthe inmate as he or she changesinstitutions. Occasionally, inmate accessto technology creates security problems,but so far the benefits of these programs

have outweighed the risks.Computer technology also can be used

to manage correctional programs in orderto make them more efficient and effective.As computerized records of inmateparticipation in various programs becomesmore available, we can anticipate that thedelivery of services will become more finelytuned and evaluations of programe f f e c t i v e n e s s w i l l b e c o m e m o r ecommonplace.

C. Outcome-based Evaluations &Cost-benefit Analyses

As part of the emphasis on reducingprison costs, programs are being calledupon to demonstrate their effectiveness. Inmost cases, programs have primary andsecondary goals. Vocational programs, forexample, may have as a primary goalteaching inmates marketable skills, whileas a secondary matter it is hoped thatbetter employment prospects upon releasewill facilitate reintegration and preventrecidivism. For some, the most importantcriteria by which programs are to be judgedis reduction of recidivism.

Program evaluations can be useful toolsfor improving existing programs or forchoosing among program alternatives inorder to maximize results. However,program evaluations can serve a morenarrow purpose of identifying programs forelimination. For example, the senateCriminal Justice Committee in Texasrecommended that any substance abuse,job training or education program thatcannot clearly demonstrate its ability toincrease public safety in a cost-effectivemanner should be abolished.

D. Privatization of FacilitiesThe privatization of institutional

corrections ranks among the mostsignificant penological developments of thecentury. The growth in private correctionshas been phenomenal both in the U.S andthroughout the world. Since 1983, the

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number of beds managed by privatecompanies in the U.S. grew from 350 to87,000. According to some estimates,private companies will manage about400,000 beds in less than a decade.

Privately run correctional facilities havebecome popular in hopes of capitalizing onthe management flexibility and innovationthat is typical of the private sector. Atminimum, competition from the privatesector is forcing administrators ingovernment-operated facilities to adopt amore business-like stance towards therunning of prisons.

There is some evidence to suggest thatprivatization can increase a prison system’sflexibility to respond to rapidly changingcircumstances. For example, theDepartment of Corrections in Florida wasunable to keep up with the pace of growthin the inmate population. They turned toprivate corrections as a solution toovercrowding, which brought theadditional benefit of an increase inprogramming resources. Most critically,opportunities for inmates to participate ineducational and substance abuse programsexpanded.

Recently, private companies haveexpanded their operations into the area ofmental health correctional facilities.Another likely area of future growth isjuvenile facilities. Both these types offacilities require a greater than averageinvestment of resources in programming.Also, both groups of clients present difficultreintegration challenges. It remains to beseen whether private corrections canmaintain its competitive edge as the mixof facilities it operates changes and as theneed for specialized staff for inmateprogramming increases.

E. Contracting for CorrectionalServices

Another aspect of the privatizationmovement is having government-runinstitutions contract for services by private

companies in an effort to increase flexibilityand reduce costs. While the private sectortypically can provide a lower bottom-line,there are concerns that profit motives mayadversely affect the quality of institutionallife for inmates. This is especially true withregard to correctional programming, whichis generally accorded a secondary status inthe hierarchy of prison activities. However,competition could increase the quality ofservices especially if this factor is clearlyemphasized in the evaluation of bids.

Prison systems now routinely contractfor major program activities such as healthcare, substance abuse treatment andeducation. In particular, contracts withlarge health care providers, which involvepayment of a flat fee per inmate for allmedical care, appear to be successful inbringing down the cost of inmate healthcare without adverse consequences. In thisregard, prisons are following the moregeneral trend of capatization of health carecosts in our society. It remains to be seenwhether cost-savings can be sustained overthe long term and whether use of similarapproaches towards education and drugtreatment services will be successful.

Another aspect of contracting involveshousing inmates in out-of-state prisons y s t e m s i n a n e f f o r t t o r e l i e v eovercrowding. For example, Texascorrectional facilities routinely houseinmates from other states, from as close asLouisiana to as far away as Massachusetts.Confinement is a “foreign” prison systemcan make adjustment more difficult. Also,these arrangements make it difficult tomaintain family ties during incarcerationand post-release planning is harder to do.

F. Co-payment feesAnother popular strategy for reducing

inmate program costs, borrowed from theprivate sector, is requiring a co-paymentfee for services. According to a survey bythe Association of State CorrectionalAdministrators, 30 states now charge fees

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for program services, such as educationalprograms. Often the fee involved isnominal. In Connecticut, for example,inmates pay $3 for elective educationcourses or vocational courses, $10 forextended family visits and $3 for sick calls.

The actual revenues generated from thefee, while not insignificant, cover only asmall portion of program costs. Much ofthe savings come from discouraginginmates from requesting services in thefirst place. While the wisdom of thisstrategy is debatable, modest co-paymentfees do have the effect of limiting capriciousservice requests. What the cost of thisproblem is, and whether the size of theproblem varies by type of service is notknown. Fees can have the advantage ofrestricting programs to the motivatedinmates by requiring a tangible form ofcommitment from them. However, thismay not be the group who can benefit mostfrom the program.

In some instances, the motivation for thefee more clearly is to recoup program costs.Offenders have been required to pay forprobation and parole supervision, use ofcommunity correctional centers andelectronic monitoring. Concerns have beenexpressed, however, over the possibilitythat offenders may be denied participationin more desirable community-basedsanctions based on their financial situation.

G. Short-term Intensive ProgramsAnother cost-reduction strategy involves

use of short-term intensive programs,which often are described under theheading of “shock incarceration.” Theseprograms are gaining favor because theyinvolve a shortened period of custody thatbrings reduced costs to the correctionalsystem and quicker freedom to the offender.Higher levels of programming and servicesnegate some of the savings that accruethrough shorter custody, although this isthought to pay off in the longer termthrough reduced recidivism.

A good example of short-term intensivecorrectional programming is the juvenileboot camp. These programs are organizedaround an intensive, military-styleregimen that continues for about 120 days.Activities include calisthenics, schoolingcounseling and manual labor. Participantsfor these programs are carefully screened.Good candidates include young, first timeoffenders with no history of violence. Someprograms target drug users, and includethis as an entrance criterion. In fiscal year1995, the U.S. congress appropriated $22.5million for boot camp programs.

Several large-scale evaluations of bootcamp programs have been carried out.These evaluations indicate that boot campsare no cheaper and no more effective atreducing recidivism than other correctionaloptions. Among the key findings of thisresearch is that continuity in treatmentbetween the residential and aftercarephases is critical to positive outcomes, andthat quality aftercare is difficult toimplement.

VI. CONCLUSION

Three major trends have affectedcorrections in the United States over thepast decade and a half. The first trend isunprecedented growth in inmatepopulations owing to changes in policepractices and criminal sentencing.Extended rapid growth has pushed somecorrectional systems to the edge of abreaking point, redefining “business asusual” into “crisis management”. Thesecond trend involves a shift in penalphilosophy emphasizing the protection ofsociety. Deterrence and incapacitationhave become the dominant rationales forpunishment, increasing the certainty andlength of prison sentences. Society hasbecome more concerned with the dark sideof offenders, worrying about possible futureharms, and more guarded in its confidenceabout the need for and the success of

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correctional programming. The third trendis an emphasis on economy and cost-control. Recognizing that incarceration isexpensive and that it may not be able toafford all the punishment it would like todispense, society has chosen to deal withthe problem by tightening its belt andcutting costs.

Wi t h r e g a r d t o c o r r e c t i o n a lprogramming, these developments haveplayed out against a backdrop of a loss offaith in the rehabilitative ideal. Thiscombination of circumstances hasdramatically altered the face of correctionalprograms. Dramatic growth in prisonpopulations has brought large increases inthe number of offenders who are legallyentitled to receive various services.Dramatic growth also has brought changesin the characteristics of inmate populationsthat are relevant to programmingdecisions. Numbers of elderly inmates,young inmates and female inmates areincreasing disproportionately in prisonsystems. Each group has distinct programneeds both during confinement and afterrelease. An emphasis on public safety hasmeant that scarce program resources areconcentrated on offenders who present thegreatest threat to society or who havetreatable problems that are clearly crime-related. Finally, the emphasis on costreduction has led to a wide variety ofinitiatives. Most notable are calls forevaluations of program effectiveness andthe privatization of many correctionalactivities. In the long run, thesedevelopments may benefit correctionalprogramming by increasing its stock withthe public, although there will be periodsof chaos and turmoil before this happens.

These developments that are nowshaping correctional programmingprobably will continue to do so for sometime. We appear to have entered an era ofrealistic pragmatism in corrections;acknowledging, on the one hand, that thereare limits to what can be done, while on

t h e o t h e r h a n d , r e d o u b l i n g o u rcommitment to take action where andwhen it matters most. In this process,correctional programming will continue tobe transformed, occupying, as it does, acritical role in penal management andphilosophy.

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PARTICIPANTS’ PAPERS

EFFECTIVE TREATMENT MEASURES FOR PRISONERS TOFACILITATE THEIR REINTERGRATION INTO SOCIETY:

THE GHANAIAN EXPERIENCE

Asiedu Willam Kwadwo*

I. TREATMENT OF OFFENDERS INGHANA

A. AimThis papers aims at examining the

objectives and practice of treatment of theincarcerated, early release prisoners andthe post-release offenders in Ghana. Thevarious forms of treatment at differentlevels (of the penal system) will beevaluated to assess their effectiveness intransforming offenders into acceptable anduseful members of society. Where there ares h o r t c o m i n g s , s u g g e s t i o n s a n drecommendations will be made.

B. ObjectiveSince independence in 1958, Ghana’s

penal system of forty-three (43) prisons anda juvenile facility, the Ghana BorstalInstitute, has been guided by the objectiveof ‘reclaiming’ the criminal with the viewof rehabilitation. All members of the GhanaPrison Service are trained to be veryprofessional in their approach to work. Bydoing so, prison officers are able to exertthe necessary moral influence over theprisoners.

All prison officers are particularlyenjoined by section 165 of the PrisonsRegulations, 1958 to “ treat prisoners withkindness and humanity, to listen patientlyto and report their complaints orgrievances, at the same time being firm inthe maintenance of order and disciplineand enforcing complete observance of orderand discipline”.

In the course of work, the officer isguided by a plethora of legislationconstituting the Penal Law of Ghana. Theyare particularly mindful of section 2 of thePrisons Service Decree (NRCD 46)1972,which makes it an offence to tortureor subject a prisoner to inhuman ordegrading punishment. By treatingprisoners with dignity, the prisoner seethemself as a worthy member of societywho is undergoing correction.

As the first line of contact, prisonerslearn to re-socialize from the prison officers.The officers closely monitor the progressof the prisoners and encourage them to beindustrious. The Ghanaian prison officerserves the dual role of custodian of theprisoner, as well as a change agent in theinmate’s quest for the acquisition ofpositive values.

II. THE FUNCTIONS OF THESERVICE

Section 1 of the Prisons Service Decreerequires the prison service to maintain “thesafe custody and welfare of prisoners and,whenever practicable, to undertake thereformation and rehabil itation ofprisoners”. It is not only necessary tophysically secure the prisoner (in custody)(remand and trial prisoners inclusive), butit is equally important to provide anenvironment which would guarantee theirhealth and welfare. With this achieved, itis the further mandate of the service toadopt measures which would reform andrehabilitate the convicted prisoner.R e f o r m a t i o n a n d r e h a b i l i t a t i o nprogrammes are solely for the convicted

* Regional Commander, Northern Region Prisons,Prisons Service, Ministry of Interior, Ghana.

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prisoner. It is the foundation of the penalsystem in Ghana that it is the reformedp e r s o n w h o c a n b e s u c c e s s f u l l yrehabilitated into society.

III. MECHANISMS FORTREATMENT

To operationalize the functions ofreforming and rehabilitating the prisoner,the service has adopted a combination of asound physical infrastructure andtreatment programmes. Treatment isbased on formal and informal education;technical and vocational training in thewalled prisons and agricultural training inthe camp prisons. The camp prisons areopen facilities in farming communities. Theprisons along the coast engage in fishingas the choice of vocational training.

A. The Juvenile SystemThe same approach has been adopted in

the treatment of the inmates of the BorstalInstitution. This facility houses youthoffenders who are not older than seventeen(17) years. The dual themes of reformationand rehabilitation are embodied in thecharter of the institution; “training forcitizenship and a concern that the youngand careless should be saved from a wastedlife of crime”.

The juveniles are given four (4) years offormal education by prison officers who areprofessionally certified teachers. They areprepared for national examinations. Thereis an option for trade training and well-equipped workshops are provided forpractical training. The inmates who opt fortechnical training are prepared for tradecertification tests at the national level.

After serving the mandated years, nocriminal records are kept on the formerinmates of the Borstal Institute. It is anoffence to refer to the criminal history ofthese juveniles for any purpose. This is veryimportant for their reintegration intosociety. As a result, a lot of former inmates

occupy responsible political, economic andsocial positions in the country.

B. Physical ConditionsThe Industrial Unit of the Service carries

out regular inspection and maintenance ofits physical infrastructure. The HealthUnit has responsibility for the maintenanceof hygyienic conditions. The Ghana PrisonsService operates in an environment of closemonitoring of its activities. As part of theSecurity Services of the country, theNational Security Council, chaired by thePresident of the Republic, keeps an ‘eagleeye’ on the activities of the Service, as doesthe Parliamentary Committee on Defenceand the Interior.

The Commissioner for Human Rightsand Administrative Justice has theconstitutional duty of ensuring that theprisons of Ghana are managed in the bestinterest of prisoners and the society as awhole. In particular the commissionerschecks for violations of the human rightsof prisoners. The various branch officesconduct inspections of the juvenile facilityand all the prisons in the country, in thepresence of the state and independentpress. The officials of the Commissionconduct interviews of the prisoners as totheir impressions of the facilities andconditions. Prison officers are not allowedto be present during the inspection andinterview. The Commissioner’s reports onthe conditions of the prisons and thefacilities available are sent to the Presidentfor reaction and directives.

The Government of Ghana, mindful ofits constitutional obligations and thebenefits of sound penal administration, hasset up the Prisons Service Council forensuring that the Prison Service performsits role efficiently. The members of theCouncil are: the Chairman who representsthe President of the Republic of Ghana; theMinister responsible for the Interior; theAttorney-General and Minister of Justiceor his/her representative; the Director of

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S o c i a l We l f a r e a n d C o m m u n i t yDevelopment; and representatives of theBar and Medical Associations. Others arerepresentatives of Chiefs and religiousbodies, the Director-General of Prisons, tworepresentatives from prison officers, theChief Director of the Ministry of theInterior and two other appointees of thePresident, one of whom is a woman.

The Prisons Service Council advises thePresident of the Republic on matters ofpolicy relating to the organisation andmaintenance of the penal system in Ghana.The council regulates the conditions forimprisonment, the appointment andcomposition of welfare committees, andgenerally adopts measures for the humanetreatment and welfare of prisoners andother persons in legal authority.

At the regional level, the Councilappoints Prisons Committees to advise theCouncil and the Director General on anymatters relating to the administration ofprisons in the region. At the station level,the Service Council appoints a welfarecommittee for each prison. The Committeeconsists of two or more persons andexcludes the medical officer of the prison.The Committee visits the prison at leasttwice a month to inspect all wards, cells,yards, solitary cells, kitchens, wash-rooms,toilets and every other part of the prison,and to hear the complaints of the prisonersand to inspect the registers, books andrecords of the prison.

Giving them sufficient quantities of goodquality food ensures the health and welfareof prisoners. Special diets are given toparticular prisoners the medical officerrecommends. Generally, prisoners areallowed to supplement their diet by makingtheir own arrangements for food, providedthey go through the proper channels. Theprison authorities supply sufficientquantities of clothing, soap, bedding andsundries to maintain their decency,cleanliness and good health. The prisonerscan arrange for the supply of special items

of toiletries and have unrestrictedoppertunity to use these items. Prisonersin Ghana also have unlimited opportunityto perform exercise and to engage in gameslike volleyball, basketball, tug of war,football and table tennis. They also playindoor games like ludu, cards, draughts,chess, scrabble and locally invented games.

Officers keep a close eye on the healthof prisoners, as the death of a prisoner canhave adverse consequences for the Service.In this regard, every effort is made toprocure prescribed drugs for any prisonerin need and the Service bears the cost ofany kind of surgery the prisoner has toundergo. These facilities are maintainedeven when the prisoner is undergoingpunishment for breach o f pr isonregulations.

C. CommunicationEvery convicted prisoner is entitled to

write and to receive mail once every twoweeks. Special circumstances can warrantan increase. Non-sentenced prisoners arenot limited in the number of mail they cansend or receive.

All categories of prisoners have the rightto unlimited correspondence with theirlegal advisers, the Commissioner forHuman Rights and Administrative Justiceand their religious advisers. These rightsare entrenched and are without prejudiceto any infraction of prison regulations. TheDepartment of Social Welfare andCommunity Development has welfareofficers posted to the various prisons to helpprovide for the welfare needs of theinmates, in particular helping them seekredress at the courts and maintaining linkswith their families.

D. VisitsWhile non-sentenced prisoners are

entitled to visits at all reasonable times,the convicted prisoner is limited to one visitevery a fortnight, except when s/he has amedical problem. In such situations, the

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number of visits would be increased. Visitsby legal advisers are not limited. At alltimes prisoners are allowed to receive food,provisions and medical supplies from theirfamilies, friends, benevolent societies andphilantrophists.

E. Religious ObservancesThere is freedom of worship in the

prisons; ministers of all faiths arepermitted to visit their adherents in prison.This is also an entrenched right. Since theprison administration cannot interferewith religion, and is conscious of itsrelevance to reformation, religious leadersare encouraged to offer moral and religiousinstruction during their visits.

Religious instruction is an importantmeans of giving a positive belief system andvalues to the prisoner, thus helping themto reform. The Service has a chaplaincyserviced by ordained priests. This unitcoordinates religious activities and liaiseswi th r e l i g i ous g roups and c i v i corganizations like the Rotary Club, whodonate food, clothing, medicine andequipment for industrial training tosupplement the efforts of the government.These organizations show films withreformatory and rehabilitative messages tothe inmates. They also offer entertainmentfacilities like television sets to the prisons.The prison libraries are also usuallyequiped by the religious groups who helpf inance educational and trainingprogrammes in the prisons.

F. ObservationGenerally, Ghanaian prisons are safe

and clean. Given the state of the economy,the utmost is done to make life comfortablefor the inmates. Healthcare is provided bythe state with a low mortality rate; 0.028%for 1996. With the strict supervision of thepowerful organs of state and variousinterests groups, high standards aremaintained.

In 1996 the escape rate from prison was

0.026%. Escape in Ghana presents aninteresting phenomenon, especially at thecamp prisons where security is minimal.Dissatisfaction with conditions or cripplingobjection to particular officers usually leadsto the escape of prisoners who are sent outto work. Examples abound of escapeesreporting at other prisons, or to theresidence of the Director-General, to seektransfers.

IV. PROGRAMMES

A. Formal and Informal EducationThe major focus of the treatment

programmes is education. By 1967, theService had established schools for theinmates at all the central prisons. Thecentral prisons hold long-term prisonerswho stand to benefit from such long-termschemes. Libraries have been establishedin some of the prisons to facilitateeducation.

At the Borstal Institution, certifiedteachers were involved in the general,technical and vocational education of theinmates. As far back as 1967, nine (9) outof eleven (11) inmates presented fornational examinations passed. As a majortraining centre, the Borstal Institution hasindustrial installations comparable withthe largest factories in the country. Atpresent, some junior high schools in thenation’s capital use the facilities of theInstitution for their practical training,under the guidance of specialist prisonofficers.

The 1967 Commission of Enquiry intothe conditions of the Service, (the AsafoAdjei Commission), while acknowledgingthe role of education in the prisons, urgedthe prison administration “to provideprisoners with facilities to promote theirformal and informal education within theprisons service and institutions under itsadministration”. The Commission furtherstressed: “Although they [prisoners] maybe incarcerated as a punishment, every

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thing done to avoid creating bitterness andresentment in them is ultimately for thegood of the society to which they willeventually return. All programmes for civicor social education for the rest of thecommunity may diminish in value, ifprisoners, for whom there is ampleopportunity now for their reform and helpto become more responsible citizens thanthey have ever been, are neglected in thenational effort for general re-education”.

Following the recommendations of theAsafo-Adjei Commission, the Serviceintensified its efforts by recruiting morequalified teachers to undertake the urgenttask of educating the mass of illiterateinmates. Ghana has a large population ofilliterates and this is naturally reflected inthe prison population. It has long been felt

that ignorance prevents a large number ofthe incarcerated from presenting theircases properly. An examination of theeducational background of inmates in twogiven years confirms this startlingsituation. Although recent statistics are notavailable, it is safe to assume that thissituation is unchanged.

Of the categories of prisoners in Tables1 and 2, the illiterate category registeredthe highest number of convicts. Thisdefines the task of the Prisons Service inits bid to reform and rehabilitate the largeband of illiterate and semi-literateprisoners who have overwhelmed the penalsystem. The correlation between illiteracyand criminality is well defined. The Servicehas adopted measures to enable illiterate

TABLE 1

EDUCATIONAL BACKGROUND OF CONVICTED PRISONERS, 1990

Illiterate Elementary Secondary Technical Graduate Post-Graduate

48% 39% 8% 3% 1.5% 0.5%Source; Ghana Prisons Service Annual Report, 1990.

TABLE 2

EDUCATIONAL BACKGROUND OF CONVICTED PRISONERS, 1992

Level of First Second Third LastEducation Quarter Quarter Quarter Quarter

Illiterate 4028 3964 4106 4693

Elementary 3911 3569 2977 1781Secondary /

Commercial /Technical 558 491 899 1229

Tertiary 33 55 140 157

Other 57 134 99 195

Total 8587 8213 8221 8055Source; Ghana Prisons Service Annual Report, 1992.

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prisoners to learn to read and write, andto afford teaching in preparation foradvanced studies to prisoners who may sodesire.

Prisoners are permitted to engage instudying for self-improvement and areprovided books and stationery bybenefactors like the churches and the non-formal education division of the Ministryof Education, which has extended itsnational programme to the prisons.Prisoners are encouraged to prepare andsit for educational examinations. For thepurpose of education, library services have,since 1967, been extended to all the prisons.

Since the promulgation of this decree,a massive drive has been made towardsimproving the education of inmates. Abatch of professional teachers wererecruited in 1976 to teach prisoners.Professionals and technicians are recruitedannually. Added to the lack of education isthe lack of skills as shown in Table 3.

From a study of table 3 it is obvious thatthe higher the skills, the lower the rate ofincarceration. Farming in Ghana is basicand does not need formal education.Indeed most farmers are illiterate andfarming is the only way to survival.Together with the mostly poorly educatedcommercial drivers, farmers are largely

victims of ignorance.

B. Vocational TrainingVocational training, another component

of the treatment package, is backed bySection 41of NRCD 46, 1972. The PrisonsService is specifically charged to “ establishin every prison courses of training andinstruction assigned to teach simple trades,skills and crafts to prisoners who maybenefit from such training.”

Vocational training is carried out in thewalled prisons. These are the maximumand medium secrity facilities. Majorindustries exist in the central prisons.Trades such as carpentry and joinery, caneand basket making, black-smithing andmasonry are undertaken, as well as taught.Other areas include shoe- making, tailoringand dress-making, textile manufacturing,ceramics, automobile repair, electrical andelectronic goods repair. The Service reliesexclusively on specialist prison officers fortrade instruction and supervision of theindustries. Trade training is in the form oftheoretical instruction and practicalexperience in the workshop or on the fieldwhere the inmates serve as apprentices.Inmates who are already skilled areengaged as workers and are givenincentives.

TABLE 3

OCCUPATIONS OF CONVICTED PRISONERS -1992

OCCUPATION FIRST QUARTER SECOND QUARTER THIRD QUARTER LAST QUARTERFarmer (crop) 3347 3285 3463 3141Fishermen 398 315 273 291Artisans 359 307 355 640Businessmen 137 101 108 88Clerks 129 298 176 87Drivers 1114 946 789 707Teachers 8 21 9Other 2162 2165 1924 1958TOTAL 8587 8213 8221 8055

Source; Ghana Prison Service Annual Report, 1992.

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C. Agricultural TrainingAn off-shoot of working on farms,

agricultural training is the most popularactivity in the prisons. Almost all prisonershave rural backgrounds and can easilycultivate crops and generally imbibemodern farming methods. The same‘learning on the job’ approach is applied inthe fishing camps where officers fishalongside prisoners.

D. Assessment of ProgrammesTables 4 and 5 show the recidivism rate

for two years. The 1992 rate of 9.2% roseto 14.1% in 1996. Generally recidivism hasbeen the measure of the success oftreatment programmes. In Ghana’ssituation, the comparatively low rate mustbe treated with caution. Record-keeping isunreliable and their is virtually nomonitoring of discharged offenders,enabling prisoners who relocate to be triedfor subsequent offences without the Court’sknowledge of the previous record.

In reality, the range and degree oftreatment programmes in Ghana do notlend to an assertion of a positive effect on

the rate of recidivism. As an observer-participant, one is of the opinion that theprogrammes are not structured andorganized. Special programmes arerequired to treat the needs of some classesof prisoners. These would more particularlybe seen during classification. At present,sexual offenders, substance and drug abuseoffenders, prisoners with anger orpsychological problems and psychiatriccases hang on without any programmes totake care of their needs. A lot of work needsto be done in the area of treatment insidethe prison in this regard.

The greatest contributing factor to theprobable low rate of recidivism is the easeof absorption of the discharged offenderinto their community, due to thecohesiveness of the social fabric.

E. Prison LabourPrison labour is used in two ways in

Ghana. One way is where prisoners aregenerally hired out for physical labour onfarms and in industry. Skills are notrequired and the objective is to raise incomefor the state. The other form involves

TABLE 4

TYPES OF OFFENDERS, 1992

Quarter First Offender Second Offender Recidivists TotalFirst 6389 1494 704 8587

Second 6119 1240 854 8213Third 6248 1249 724 8221

Fourth 5985 1321 749 8055Total 24741 5304 3031 33071

Percentage 74.8 16.0 9.2 100

TABLE 5

TYPES OF OFFENDERS, 1996

First Offender Second Offender Recidivists TotalNumber 6991 1904 1456 10351

Percentage 67.5 18.4 14.1 100.0

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utilizing prisoners on contracts, especiallyfor building constructions. Prisoners areplaced on the field and work alongside theofficers on such projects. These prisonersreturn to the prison in the company of theirescort each working day. Except for a briefperiod during the revolutionary era whensome prisoners were allowed to spend theweekend at home, prisoners in Ghana arenot allowed to go out on their own.

Contracts are also taken for themanufacture of various items inside theprison, for instance, furniture and cabinets,tools, garment and baskets. Prisoners whohave gained trade skills are exposed to thepractical side of their training and aregiven work incentives.

Labour is governed by Section 42 of thePrisons Service Decree (NRCD 46) 1972,which requires every prisoner convicted ofa criminal offence to perform workbeneficial to the community or the PrisonService, or to assist them to lead aresponsible life after release. Only the verystrong prisoners get the chance to workoutside. Even in the yard, sick, weak andold prisoners are not allowed to performany duties. Prisoners are not forced to doany kind of work. It is enough that aprisoner claims they are ill, though themedical officer is always available to detectmalingering.

Deployment of prisoners on jobs outsideof the prison is becoming increasinglydifficult. With a large mass of unemployedpeople, labour is cheap and readilyavailable outside of the prison. Prisonerswho perform duties in the yard, those whogo on outside labour (if any) and thoseworking in the shops are expected to bepaid, but the very low level of income fromthe labour charges and the industrialactivities make this almost impossible. InGhana the problem is not getting prisonersto work; the issue is getting work for theprisoner.

V. ALTERNATIVES TOIMPRISONMENT

A. FinesFines have been the only traditional

alternative to imprisonment in Ghana.Attempts made at introducing ‘communityservice’ as envisaged under the PublicTribunal Law (PNDCL 78), now replaced,were stillborn. Probation has not yet beenintroduced.

The Courts Act (Act 459) 1993 introduces‘restitution’ as an alternative. By operationof section 35 of the Act, where an accusedperson, after conviction for causingeconomic loss, harm or damage to the stateor any state agency, is willing and able topay compensation or make restitution andreparation, the court may instead ofpassing sentence on them, make an orderto pay compensation, make restitution, ormake reparation. This is seen as a crossbetween imprisonment and the paymentof a fine. It is however clearly limited andcould be abused as a tool for the rescue ofthe affluent from the crminal justicesystem.

B. BondsA f r e q u e n t l y u s e d d e v i s e i n

misdemeanour cases is the ‘bond’. This isusually granted upon the intervention ofthe community heads or leaders. Theaccused persons are bonded to be of goodbehaviour for periods normally notexceeding one year .If during the period theaccused is found guilty of breaching thebond, s/he is given a prison term for theperiod s/he was expected to observe thebond.

C. ProbationAt the juvenile courts, probation reports

are prepared by social workers for theconsideration of the court before issuing itsorders as to the treatment of the offender.However the offenders are not usuallygranted probation. On conviction they are

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sent to the Boys and Girls IndustrialHomes or to the Borstal Institution, if theoffence is serious.

Probation, as is commonly accepted, isnot available in Ghana yet; it is part ofjudicial reforms being contemplated by thejudiciary and relevant stakeholders.

D. Early Release SystemEarly Release in Ghana is usually by the

‘remission system’. ‘Amnesty’, which is anannual affair, and ‘medical release’ are usedin exceptional circumstances. ‘Pardon’ is ararity.

E. RemissionAuthority for the operation of the

remission system is section 34 of thePrisons Service Decree (NRCD 46)1972 “Aprisoner serving a sentence of six weeks ormore may, by steady industry and goodconduct, earn a remission not exceedingone-third of his sentence”. Some categoriesof prisoners do not enjoy remission. Theseare those:

a) Serving a sentence of imprisonmentfor life;

b) Detained during the pleasure of theHead of State;

c) Committed to prison for debt;ord) Committed to prison for contempt of

court.In theory, remission is earned while the

prisoner is in custody and their conduct andenterprise are being observed. In practice,the third part of the sentence is calculatedright at reception and the ‘Earliest PossibleDate of Release’ (that is, having earnedremission) and the ‘Latest Possible Dateof Release’ (without remission) are knownfrom the first day.

All remission (earned), or any part ofit, can be forfeited when the prisoner failsto maintain steady industry or goodconduct. The Director-General of Prisonsand the Officer-in-Charge, the onlyauthorities who can impose punishment ona prisoner, can respectively forfeit up to six

(6) months earned remission and 28 daysearned remission. In both respects, theperiod of forfeiture should not exceed theremission already earned. Remission is arequirement of the law and it is a dutyincumbent on the Officers-in-Charge of theprisons and the Director-General.

F. AmnestyThe Head of State exercises their

prerogative of mercy by releasing prisonersannually. The beneficiaries are (initially)recommended by the Officers-in-Charge ofthe various prisons. The Director-Generalstudies the recommendations and seeks theapproval of the Minister Responsible forthe Interior, who would present the finallist to cabinet.

Annually, a medical board made up ofindependent medical personnel, tour all theprisons and recommend the release of thevery sick, the aged and the mentallyincapacitated. If the recommendations areacceptable, the Head of State orders theirrelease. Article 72 of the 1992 Constitutionempowers the Head of State to exercise thisprerogative of mercy and, in consultationwith the Council of State, may:

a) Grant to a person convicted of anoffence a pardon either free or subjectto lawful condition or:

b) Grant to a person a respite eitherindefinite or for a specified period,from the execution of punishmentimposed for an offence ; or

c) Substitute a less severe form ofpunishment for a punishmentimposed on a person for an offence ;or

d) Remit the whole or part of apunishment imposed on a person orof a penalty or forfeiture otherwisedue to Government on account of anyoffence.

An example of the exercise of thisprerogative is the amnesty granted duringthe first anniversary of the Fourth Republicin 1997 for :

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(i) Condemned prisoners who hadserved more than 10 years as atJanuary 7 were to have theirsentences commuted to life;

(ii) Prisoners condemned to death foreconomic sabotage were to havetheir sentences reduced to 15years;

(iii) P r i s o n e r s s e r v i n g l i f eimprisonment who had served atleast 10 years as at January 7,1994 were to have their sentencesreduced to 10 years. This excludedarmed robbers, those convicted forrape and narcotic drug offences;

(iv) Prisoners serving sentences for 20years and over and who hadserved five years thereof were tohave their sentences reduced by1/3 remission. This excludedconvicts sentenced for armedrobbery, drug trafficking and rape;

(v) First and second offenders whohad served half of their sentenceswere to be released on parole andwere obl iged to undertakecommunity service. This excludedpersons convicted for murder,manslaughter, rape, armedrobbery and drug trafficking and

(vi) Convicts found to be seriously sickand those 60 years of age were tobe released. This excludedconvicts sentenced for rape,murder, manslaughter, armed

robbery and drug trafficking.To give an idea of the effect of the

amnesty on the prison population duringa year which averaged a daily lock-up of7630 in the prisons of Ghana, a break-downof the convicts who were affected by theamnesty of 1997 is as follows.

• First and second offenders 938• Death sentence now commuted to

life 11• Life sentence now reduced to 20

years 6• Those serving 20 years and those

condemned to death for economicsabotage now with sentencereduced by 1/3 remission and by15 years respectively 18

• Those serving above 20 years 26• Those who benef i ted from

presidential pardon 2

G. Qualification for Early ReleaseWith the operation of the remission

system and amnesty, prisoners in Ghanaare generally beneficiaries of early release.In addition to four categories of convictswho do not benefit from the remissionsystem-i.e those serving life imprisonment,inmates detained at the President’spleasure, debtor prisoners and those heldfor contempt-the amnesty policy excludesthose convicted for armed robbery, murder,rape, narcotic offences and manslaughter.Amnesty and the remission systemcombine to release a lot of convicts yearly.

TABLE 6

PARTICULARS POPULATIONAverage population at the beginning of the year 8,752Average population at the end of the year 7,639Number of persons incarcerated during the year 9,158Number of convicts discharged during the year 9,874Average convict population 7,693Rate of incarceration 25 times dailyRate of release (1/3 remission, fine paid, court order) etc. 27 times daily

Source; Ghana Prisons Service Annual Report, 1994.

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Table 6, for the year 1994 evidences thisfact .Discharges in 1994 exceededadmission by 716 inmates, thus registering14.6% decrease in the commutative prisonpopulation of 463,997 in 1993 to 396,474in 1994.

H. Factors and Authority for EarlyRelease

Considerations such as the victim’sfeelings and the prisoner’s potential forreformation are not taken into accountwhen amnesty is considered. The gravityof the offence, as the exemptions show, iscontemplated. It is an exercise of mercy,entirely at the discretion of the Presidentwho has no obligation to heed the advice ofthe Council of State. It cannot be deniedthat the devise is also used as a means ofdecongesting the prisons and cutting downon prison expenditure.

I. Release on LicenceMale prisoners who have served a term

of two (2) years or more for a felony or anycriminal offence involving fraud ordishonesty, but excluding murder, arerequired by the Prevention of CrimesOrdinance (Cap. 38 of Vol. ll) of the Lawsof Ghana to be released on licence afterthey have earned their remission. Therange of offences which require release onlicence includes the abetment, attempt orconspiracy to commit felony, fraud ordishonesty. All other prisoners who earnremission are released absolutely. Femaleprisoners are not released on license.

J. Conditions for Release onLicence

The prisoner released on licence shallnot, for the unexpired period of his originalsentence (the outstanding third) and whileat liberty, be convicted of any criminaloffence involving fraud or dishonesty. Ifhe is so convicted, his l icence isautomatically forfeited. He is furtherrequired to notify the police of his presence

and subsequent change of address.

K. BreachesFor breaches of the conditions of release

on licence, the forfeiture of the licencemeans the convict has to serve theunexpired period of his original term andthen the fresh sentence for the currentconviction. For failure “to report as aconvict on licence” or “failure to notifypolice of the change of address” the convicteither receives a twelve (12) month termof imprisonment or serves the unexpiredterm of his original sentence.

L. SupervisionThe police are charged to monitor the

movements of the convicts on licence, bythe system of periodic reporting of theconvicts to the police. This is certainly notenough by way of supervision. All otherdischarged prisoners do not report to anyauthority.

M. ParoleThough parole was cited as one of the

mechanisms of implementing the amnestypolicy of 1994, in reality no prisoners werereleased on parole. They were released onlicence or unconditionally, and did notengage in any community service. This isbecause there is no one to supervise theconditions under which parole is granted.The place of parole in the penal system hasbeen appreciated in Ghana and theConstitution of 1992 enjoins the PrisonsService Council, in Article 208, to providefor its introduction. Six (6) years laterthere is still only talk of a bill underconsideration.

N. GuidanceThe only form of guidance is the advice

offered to the prisoners on their release bymembers of the Prisons Discharge Board.The Board provides, on an irregular basis,transportation fees to some of the indigentprisoners who are making their way home.

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O. Halfway HousesThere are no such facilities in Ghana.

The Presbyterian Church of Ghana, in itsPrison Ministry, is committed to creatingsuch a facility and is preparing for thehousing and trade training of ex-prisoners.

VI. TREATMENT OF DISCHARGEDPRISONERS IN THE COMMUNTY

In Ghana there is no programme for thetreatment of prisoners outside of theprison. On release, the prisoner barely hassufficient money to live on. They are onlygiven transportation to their place oforiginal conviction; no state or non-governmental organization has aprogramme to help them get settled.

Though by law, the only restriction onre-entry into the public service is forfinancial positions for prisoners withconvictions for offences involving fraud anddishonesty, in practice there is no avenueof employment in the public sector for adischarged offender, no matter what theoffence. The only recourse is the family.Social ties are still strong and sayings like“one does not cut off a limb because herchild had soiled it”, reveal that familybonds are not broken by criminal convictionand subsequent imprisonment.

In the urban areas, it is usual for a well-to-do member of the family in self-employment to engage the dischargedoffender and offer them accommodation intheir house in order to monitor him/her. Inthe village, the discharged offender iswelcomed and has the same right tocultivate family land or engage in a cottageindustry. The family and community offerphysical and material help to resettle. Ifs/he is a ‘royal’, the only disability as aresult of imprisonment is the chance ofbecoming a chief.

It is easy for the discharged prisoner whois willing to go back to the family to bereintegrated and rehabilitated. In caseswhere there is difficulty because the offence

was committed against a member of thecommunity, the elders of the family pacifythe offended party through the offer ofmoney, livestock and drinks.

The problem of re-offending has to dowith the discharged offender who is eitherashamed of going back to their family or isstill lured by the ‘city lights’. In the face ofmassive unemployment and crippled by thestigma of imprisonment and general lackof education or skill, the attraction of crimesoon claims him/her. The same persons,constituting the recidivists of the Ghanaianpenal system, always revolve through theprison gates.

VII. FACTORS MILITATINGAGAINST TREATMENT

A. Alternatives to ImprisonmentThe absence of national policies for the

institution of alternatives to imprisonment,such as probation, work release ,community service, suspended sentences,c o m m i t t a l t o d r u g a n d a l c o h o ldetoxification centres and psychiatriccentres, is a great disservice to the nation.Most of the convicted prisoners do not haveto be in prison. Some offences are so trivialthat community service orders could havebeen used. Many sentences are so shortthat it would have been better to convertthem to any of the alternatives. Fines havebeen unreasonably f ixed on manyoccasions, with the result that convictedpersons in Ghana invariably serve prisonterms. A lot of the drug-related cases needclinical help, not imprisonment, where theoffenders deteriorate mentally. The sameapplies for alcoholics.

Prisons are full of offenders who couldlegally be serving their punishmentsoutside the prison, thus avoidingovercrowding in the prisons. Alternativesto imprisonment does not mean avoidanceof punishment, and recourse to amnestycan not be a long term panacea for the illsof the system.

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B. Treatment in the Prison1. Congestion

It is certainly difficult embarking on anymeaningful programme with a bloatedconstituency. While short-sentencedinmates cannot be offered any meaningfultreatment, their presence puts tremendouspressure on existing facilities and on thetime and energy of the officers who couldotherwise be deployed in treatmentprogrammes for the long sentencedinmates . With a reduced inmatepopulation, some of the buildings could beused as classrooms, libraries, workshopsand rooms for group therapy. Parliamenthas also been slow in passing the ParoleBill; perhaps intimidated by the cost ofcreating a new bureaucracy, a NationalParole Service.

2. FinancingUntil the beginning of the 1998 financial

year, there was no budgetary allocation fortreatment programmes in the Service. Thepaucity of the allocation does not give roomfor comfort. Massive investment must bemade in terms of the repair and provisionof new machinery and raw materials wherenecessary. The Prisons Service has longbeen the orphan of the public service andfunding for its activities has traditionallybeen poor. Yet the service has a greatpotential of bringing in large revenue if itsresources are properly utilized.

3. AttitudeThe attitude of post-independence prison

officers has largely contributed to thecurrent state of affairs. If the officers hadmaintained the programmes left by theBritish in 1957, the Service would havemade head-way in i ts t reatmentprogrammes. Advocating reforms in thepenal system should have been theconstant refrain of the prison officer, yetfocus has been on security, not reformationand rehabilitation.

Ghana has no problem with trained

personnel in all aspects of treatment. TheService abounds in certified teachers ingeneral, agricultural, technical andvocational education. These categories ofemployees, together with the psychologistsand sociologists, were employed for thee x a c t p u r p o s e o f d e s i g n i n g a n dimplementing treatment programmes forreforming and rehabi l i tat ing theincarcerated, but now find themselves ingeneral administration where their skillscan not be fully utilised.

C. Treatment in the Community1. Supervision

In the absence of a well thought-outsupervisory system such as provided by theinstitution of a parole system, communitybased supervision is currently highlyineffective. The understaffed and over-worked police have no time to monitor thelicencee system.

Moreover in Ghana it is difficult to trackpeople down, as large parts of the countryare virtually inaccessible. Record keepingis very poor and there is no nationalidentification system. Unless somebodyidentifies the offender as a previousoffender in the course of the trial, s/he canalways hide the previous conviction.

VIII. RECOMMENDATIONS

The factors preventing the adoption of asystematic approach can be over come bya commitment of the Prisons ServiceCouncil and prison administrations to theideals of reformation and rehabilitation.The Service has been obsessed withsecurity, as it forms part of the SecurityServices of Ghana, and perhaps a re-designation to a socially-oriented ministrylike Social Welfare or Justice wouldreshape the direction of the Service.

It is also plausible to amend the charterof the Service which requires it to “ensurethe safe custody and welfare of prisonersand whenever practicable to undertake the

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reformation and rehabil itation ofprisoners”. By removing “wheneverpracticable”, it can make it mandatory forthe prison service to perform the two tasks.

The Prisons Service Council also has amajor role to play. By its composition, it isa very powerful and influential body whichshould be able to influence policy-makingat the highest level. The 1992 Constitutioncharged the Council with the responsibilityof introducing a parole system. With theBill before parliament, the Council has toexert pressure to get it passed. Its passagewould reduce the problems of post-releaseprisoners to a large extent.

The Council would do the penal systemof Ghana a world of good by promoting theadoption of non-custodial sentences. Thiswould revolutionize the system and pavethe way for real reformation andrehabilitation programmes. However theCouncil would have to use its influence tosecure adequate financing to enable thescheme to take-off . The FinancialAdministration Regulations must beamended to allow the Service to reinvestits self-generated income as capital forgrowth and expansion.

It would also be necessary for the Serviceto intensify its income generating activitiesby taking on jobs which can be undertakeninside the prison, for instance, assemblingsmall components for outside companies.

Finally, all personnel who administercriminal justice must be re-oriented andsensitized on the need for reforms. Thiswould involve holding refresher courses forprison officers in particular, and generallyfor police officers, social workers, thejudiciary and staff of the Attorney-General’s Department. Given the place oftreatment in Ghana, immediate focus mustbe on alternatives to imprisonment andprogrammes inside the prisons. A step bystep approach would have to be adopted inconsidering post-release programmes.

IX. CONCLUSION

Ghana can learn from many countrieswhich have designed and successfullyimplemented programmes for thetreatment of offenders at the pre-trial,incarceration and post-release stages.While it is true to say that the treatmentmethods reflect the level of sophisticationof the various countries, the adaptation ofcommendable programmes to the localsituation is possible.

Alongside the goal of reaching a middle-income country by the year 2020, theremust be a recognition of the changingtrends in society, and their possible effectson the penal system in Ghana. Theadoption of reforms now would, in additionto solving a lot of problems, pre-empt afuture situation where the system can nolonger respond to the needs of society andthe incarcerated.

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TREATMENT PROGRAMMES FOR OFFENDERS RUN BY THEHONG KONG CORRECTIONAL SERVICES

Chung, Wai Man*

I. INTRODUCTION

Correctional work today is different fromthat in the past in that it is directedtowards offender rehabilitation and socialre-integration, and no longer relies mainlyon physical incarceration. Hong Kong hasdeveloped, in synchronized pace over theyears, a penal system which placesp a r a m o u n t i m p o r t a n c e o n t h erehabilitation and social re-integration ofoffenders. On the strength of legalprovisions, the Correctional ServicesDepartment of Hong Kong, hereinafterreferred to as HKCS, has taken up theimportant task of implementing a series ofdiversified treatment programmes tailoredto meet the needs of different types ofoffenders. This paper outlines thesetreatment programmes exclusively run byt h e H K C S , w h i c h a r e t y p i c a l l yrehabilitative and socialy reintegrative.

II. THE HKCS

With an establishment of over 7,000staff, the HKCS is responsible for theadministration of 23 correctionalinstitutions, which now accommodate morethan 12,000 offenders. These includeminimum, medium and maximum securityprisons; training, detention and drugaddiction treatment centres; and apsychiatric centre. The HKCS alsooperates four half-way houses providingresidential accommodation for about 200supervisees.

In carrying out its functions and roles,the HKCS aims to achieve the objectivesof: (i) providing safe and humane custody of

offenders as ordered by a court of law;(ii) providing purposeful employment for

offenders in the Correctional ServicesIndustries to enhance their ability toeventually resettle in the community;and

(iii)facilitating the social re-integration ofo f f enders as law-ab id ing andconstructive members of the society.

The HKCS has its own vision, missionand values. They are being inculcateddeeply in its staff members for their strictobservance. The vision is to serve thecommunity, by providing quality custodialand rehabilitative services, in which thepublic can be confident and its staffmembers can take pride. The mission is todetain persons committed to its custody ina manner which is secure to the public, safefor offenders and compatible with humandignity, and to provide the best possibleopportunity for all inmates to make a newstart in life by offering timely, apt andcomprehensive rehabilitation programmes.The values stress integrity, dedication,humanity and discipline. In terms of‘integrity’, the HKCS staff members are tovalue personal honesty and frankness. Of‘dedication’ they are committed to theirwork and together strive for efficiency,competence and quality of service. Of‘humanity’ they are to recognize that allpersons have the right to be treatedcorrectly, fairly and with due respect totheir dignity; whether they are membersof the public, members of staff or persons

* Chief Officer (Development Training), StaffTraining Institute, Correctional ServicesDepartment, Hong Kong.

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in their custody. Of ‘discipline’ they are tohave loyalty and duty to the principles oflaw and order, and a respect for orderlinessand harmony.

III. GENERAL TREATMENT INPENAL INSTITUTIONS

All offenders in the HKCS institutionsare required to work unless otherwisedirected by medical officers. They canpurchase canteen items from theirearnings which are credited to themthrough a progressive earning system.Such earning systems aim at increasingtheir employability and developing positiveincentives towards work.

Offenders will also be provided with awide range of treatment programmeswhich include medical check-ups,counselling sessions, academic studies,vocational training, physical education,recreation, welfare services, religiousservices, family visits, etc. All of the aboveaim at making the offenders better sociallyequipped for their adjustment to theoutside world.

IV. CLASSIFICATION OFOFFENDERS IN HKCS

INSTITUTIONS

For the sake of better management andfor meeting rehabilitation needs, offendersare classified into different categoriesaccording to their major characteristics,e.g. sex, level of security risk, age etc. Theyare also divided broadly into the followinggroups for which special programmes havebeen developed to achieve both punishmentand rehabilitation :

(i) Young offenders aged from 14 to 20.(ii) Young adult offenders aged 21 to 24.(iii)Young prisoners aged between 14 to

20.(iv) Drug addicted inmates.(v) Adult prisoners.

V. TREATMENT PROGRAMMESFOR OFFENDERS RUN BY HKCS

Treatment programmes for varioustypes of offenders are comprehensive andunique. They are specially tailored to caterfor the needs of particular types ofoffenders. All in all, they are characterizedby being rehabilitative and reformative, aswell as reintegrative.

A. Detention Centre Programme forYoung Offenders and Young AdultOffenders

The Detention Centre programme iscarried out under the Detention CentreOrdinance (Chapter 239 of Laws of HongKong). A young male offender agedbetween 14 and 20 years sentenced to aDetention Centre can be detained for aminimum period of 1 month to a maximumperiod of 6 months, whereas a young maleadult offender aged between 21 and 24years sentenced to a Detention Centre canbe detained from a minimum period of 3months up to a maximum period of 12months.

The programme places emphasis onstrict discipline, hard work and counsellingto teach offenders respect for the law, whileproviding positive training conducive totheir rehabilitation and social re-integration. The highly disciplinarianregime enables the offenders to gain insightinto their recalcitrance and to motivatetheir determination for reformation.

A Board of Review assesses the progress,attitude, efforts and response of eachoffender at monthly intervals. An offendermay be released if the Board is satisfiedwith his/her institutional performance andthat s/he has secured suitable employmentor a place in school. However, upon release,s/he is placed under a statutory period ofaftercare supervision for one year. Anaftercare officer of the HKCS will monitor

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their progress in complying with theconditions of supervision. A breach to anyof the supervision conditions may result inbeing recalled for a further period ofinstitutional training :

(i) in the case of young offenders, until theexpiry of 6 months from the date of firstadmission or 3 months from the dateof arrest under the Recall Order,whichever is the later; and

(ii) in the case of young adult offenders,until the expiry of 12 months from thedate of first admission or 3 months fromthe date of arrest under the RecallOrder, whichever is the later.

A very successful result has beenattained, and maintained year after year,that over 94% of the offenders dischargedfrom the Detention Centre completed theone-year aftercare supervision withoutreconviction for any criminal offences.

B. Training Centre Programme forYoung Offenders

Under the Training Centre Ordinance(Chapter 280 of the Laws of Hong Kong),the Training Centre Programme providesfor young offenders, aged between 14 and20 years convicted of a criminal offence, anindeterminate period of training rangingfrom a minimum of 6 months to amaximum of 3 years.

Prior to sentence, each case is assessedby a Selection Board which, havingconsidered the offender’s family, social andc r i m i n a l b a c k g r o u n d , m a k e s arecommendation to the court as to whetherthe particular offender will benefit from theprogramme.

All offenders, after admission to theTraining Centre, have to undergo half-dayeducational training and half-dayvocational training commensurate with

their previous educational attainment andwork experience. The educational trainingprovides an opportunity for youngoffenders to continue their education whilein custody. They are encouraged toparticipate in public examinations.

Vocational training enables them tocultivate good working habits. It equipsthem with a level of training in skills,commensurate with their aptitude andcapacity, so that they can compete forrelated and satisfying employment uponrelease; and so adjust more readily to theopen community after release and refrainfrom crime.

Scouting and guiding activities areincorporated in the programme to refinethe character of the offenders. Parent-offender meetings and home leave arearranged to strengthen family interactions.

Again, similar to the Detention Centreprogramme, a Board of Review will assessthe progress of each offender on a regularbasis. Depending on their response totraining, and exhibiting a determinationto lead an honest and industrious life uponrelease, an offender may be released afterreceiving a minimum of 6 months training,and thereafter placed on mandatoryaftercare supervision for 3 years. Anaftercare officer of the HKCS will monitortheir progress in complying with theconditions of supervision. A breach of anyof the supervision conditions may result inthem being recalled for a period further ofinstitutional training until the expiry of 3years from the date of first admission, or 6months from the date of arrest under theRecall Order, whichever is the later.

C. Drug Addiction Treatment CentreProgramme

The Drug Addiction Treatment CentreProgramme is operated on the strength ofthe Drug Addiction Treatment Centre

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Ordinance (Chapter 244 of the Laws ofHong Kong). The Ordinance empowers thecourts to sentence a drug addict foundguilty of an offence punishable byimprisonment, to detention in a drugaddiction treatment centre.

Before sentencing a person to anaddiction treatment centre, the court willconsider a report prepared by the HKCSregarding the suitability of such person fortreatment, as well as the availability ofplaces in the addiction treatment centres.The period of treatment ranges from aminimum of 2 months to a maximum of 12months.

The programme bears the objectives of:detoxifying and restoring the physicalhealth of the offenders; uprooting theoffenders’ psychological and emotionaldependence on drugs, and preparing foroffenders’ re-integration into society.

Offenders are assigned to work aimedat improving their health, and establishings e l f - c o n f i d e n c e a n d a s e n s e o fresponsibility. The work is commensuratewith their capabilities, skills and fitness.Offenders who are medically unfit for workwill attend special occupational therapyclasses.

A Board of Review reviews the progressof each offender and make decisions ontheir release during the second month afteradmission. This is also done at least onceevery 2 months during the 4 monthsfollowing the first interview, and thereafterat least once in each month.

On release, each offender is placed underone year mandatory aftercare supervisionaimed at assisting and guiding them insocial re-integration and a drug-free life.The HKCS aftercare officers will conductvisits to the ex-offender’s residence andworkplace. Urine samples are collected to

check if s/he has relapsed with drugs. Abreach of any of the supervision conditions,including drug relapse, may result in theex-offender being recalled for a furtherperiod of ex- treatment until the expiry of12 months 10 the date of first admission,or 4 months from the date of arrest underthe Recall Order, whichever is the later.

D. Young Prisoners ProgrammeOffenders under the age of 21 years who

are sentenced to imprisonment (classifiedby the HKCS as Young Prisoners) areseparated from the adult penal population.They will participate in an institutionalprogramme based on half-day educationand half-day vocational training.

Education classes are provided for theseyoung prisoners so that they can continuetheir education while in prison. They willbe provided with every possible assistanceto participate in public examinations runby local educational authorities or overseasprofessional bodies.

Vocational training, covering a widespectrum of trades, is provided to youngprisoners with the objectives of cultivatinggood working habits and equipping youngprisoners with a level of training in skillscommensurate with their aptitude andcapacity, so as to enable them to competefor related and satisfying employmentupon release. This will enable them toadjust more readily to the open communityafter release and refrain from crime bygaining confidence, satisfaction and self-respect through the acquisition ofvocational training skills.

Under the Cr iminal ProcedureOrdinance (Chapter 221 of the Laws ofHong Kong), a young offender sentencedto imprisonment, for 3 months or morebefore the age of 21 years, and releasedfrom prison before the age of 25 years foran offence other than default of a sum of

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money, is subject to a statutory period ofsupervision for 1 year. A breach of any ofthe supervision conditions may result inthem being recalled for a period equivalentto the amount of remission earnt.

E. Release Under SupervisionScheme

The Pr i soners (Re lease UnderSupervision) Ordinance (Chapter 325 ofLaws of Hong Kong) allows offenderssentenced to imprisonment (i.e. prisoners)to participate in the Release UnderSupervision Scheme and the Pre-releaseEmployment Scheme.

Under the Release Under SupervisionScheme, prisoners after serving 20 months,or at least half of a three-year sentence ormore (other than life imprisonment), mayapply for early release. If approved, theywill be released and remain undermandatory aftercare supervision for thebalance of the sentence. The aftercareofficers of the HKCS will conduct visits toensure that they comply with the specifiedc o n d i t i o n s i n c l u d i n g r e s i d e n c e ,employment, refraining from visitingnotorious places and association withcriminal characters, etc.

Under the Pre-release EmploymentScheme, prisoners in the last 6 months ofany sentence longer than 2 years may applyto engage in open employment outside ofthe prisons. Upon approval they, will betransferred to a designated half-way housewhere they will spend their last 6 monthsengaging in open employment in thedaytime, while returning to the half-wayhouse at night. During their stay in thehalf-way house, they will participate incounselling sessions to enhance theirintergration into society and to sustain theefforts leading them to a productive andlaw-abiding life. During the weekends oron general holidays, when they are notrequired to work, they may apply for home

leave which is aimed at encouraging there-establishment of family relationshipsand facilitating the process of social re-integration.

Both of the above schemes provide forthe re-imprisonment of any participantwho contravenes any of the supervisionconditions, for a period equivalent to theremaining portion of their sentencereduced by the period for which thesupervision order was in effect. This maybe further reduced by remission inaccordance with the Prison Rules (Chapter234 of Laws of Hong Kong).

F. The Post-Release Supervision ofPrisoners Scheme

The Post-Release Supervision ofPrisoners Ordinance (Chapter 475 of theLaws of Hong Kong) provides a statutorysupervision scheme for certain categoriesof adult prisoners. The objectives of theScheme are to assist certain categories ofdischarged prisoners rehabilitate andreintegrate into society, and to protect thepublic from serious harm in preventingdischarged prisoners from reoffending.

The Scheme applies to every adultprisoner who is sentenced to imprisonmentof 6 years or more, or imprisonment of 2years or more but less than 6 years inrespect of a conviction for some specifictypes of offences. These offences mainlyinclude triad (organised crime) relatedoffences, sexual offences and crimes ofviolence. The Scheme also applies toprisoners serving any sentence ofimprisonment ordered to be servedconsecutively to the sentence mentionedabove. The Scheme does not apply to someadult prisoners who are subject todeportation, supervision for early releaseor supervision after release under otherOrdinances.

A Post-Release Supervision Board,

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consisting of not less than 8 membersappointed by the Chief Executive, considerswhether a prisoner should be placed undersupervision on release, and if so, makes asupervision order specifying the conditionsand length of supervision in accordancewith the objectives of the Scheme. Theobjectives of the Scheme are as follows: toconsider applications from prisoners(supervisees) for the varying or dischargingof supervision orders; consider applicationsfrom prisoners (supervisees) or supervisingofficers for varying the terms or conditionsof supervision orders subsequent to amaterial change in the circumstances of theprisoners (supervisees); and to considerapplications from the HKCS for suspendingsupervision orders.

The supervision period is decided by theBoard and shall not be longer than theremitted part of the sentence earned by theprisoner. Each prisoner to whom the Boardhas made a supervision order is to beassigned to the care and supervision of ateam of supervising officers comprising oftwo Aftercare staff from the HKCS andone Assistant Social-Work Officer from theHong Kong Social Welfare Department.During the supervision period, thesupervising officers either visit thesupervisees at their home/work places, orrequire them to attend interview sessionsat any other place as appointed by thesupervising officers. These visits/interviews are to be conducted on a regularbasis. The supervising officers endeavorto help supervisees tackle any adjustmentdifficulties after discharge, and to ensurethat the supervision conditions arecomplied with by the supervisees.

If the Commissioner of CorrectionalServices considers it to be in the publicinterest that a supervisee should bedetained in custody without delay, s/he mayrecall the supervisee and detain them inprison, for a period not exceeding 72 hours,

pending a decision as to the issue of atemporary recall order from the Chairmanor Deputy Chairman of the Board. If theChairman or Deputy Chairman of theBoard considers that there are grounds forthe Board to suspend a supervision order,the Chairman or Deputy Chairman mayorder the supervisee to be temporarilyrecalled and detained in prison for a periodnot exceeding 14 days pending thedeliberation of the Board. The Board mayorder that a supervision order besuspended for a specified period, notexceeding the unexpired term of the order,if it is satisfied that: the supervisee hasfailed to comply with any term or conditionof the order without lawful authority orreasonable excuse; or because of conductor a change in circumstances since release,they are likely to commit an arrestableoffence; or in case s/he has been recalled tothe prison under the summary recall by theCommissioner of HKCS or temporary recallby the Chairman / Deputy Chairman of theBoard, s/he was at the time of recall aperson likely to commit an arrestableoffence.

VI. ESTABLISHMENT OF A NEWREHABILITATION DIVISION

Testimony to its full commitment tofacilitating the rehabilitation and social re-integration of offenders, the HKCS set upa new Rehabilitation Division in January1998. It is headed by an AssistantCommissioner whose responsibility it is totake charge of the rehabilitation services,and oversee the policy and programmedevelopment for rehabilitation.

The Division, consisting of 15 staffmembers who are mainly professionals,plans and utilizes the resources in theprogramme area of reintegration andrehabilitation services provided foroffenders, scrutinizes and reviews existingpolicies and programmes of reintegrationand rehabilitation; and develops new

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initiatives in a coordinated manner.Illustratively, the Division is now engagingin the examination and implementation ofthe proposals contained in the researchrepor t on “The E f f e c t i veness o fRehabilitation Programmes for YoungOffenders” recently put forward by the CityUniversity of Hong Kong.

VII. PROBLEMS AT PENALINSTITUTIONS AND

COUNTERMEASURES

In 1997, the penal population of HongKong remained high and averaged 30%over the certified accommodation.Overcrowding has inevitably led toproblems. Accommodation and facilitiesare less than adequate and the increasedwear and tear exacerbates this. There arealso chronic shortages of work-places forprisoners. Such conditions createexceptional strain on prisoners and staff.Despite the difficulties, the HKCS hasmanaged to effectively discharge theresponsibilities entrusted to it, as reflectedby the low level of escapes and incidents ofdisciplinary problems. However, theDepartment considers any disciplinaryincident as one incident too many. Aftereach and every incident, a prompt andthorough investigation is conducted andremedial measures are implemented as faras practicable. To relieve the overcrowdingat penal institutions, the Departmentcontinued to redevelop the existinginstitutions and to build new ones inconjunction with other governmentdepartments.

VIII. CONCLUSION

Throughout the 20th century, thephilosophical traditions of rehabilitationand punishment have fueled debatessurrounding the development of penalsystems in every part of the world. Thestruggle between rehabilitation andpunishment has been on going, with the

balance tipped recently in favor of theformer. The rehabilitation-orientedapproach in penal systems would now seemvictorious.

Hong Kong has increasingly becomemore rehabilitation oriented in the way itdeals with offenders. The rehabilitativeand social integrative approach has beenmcorporated into the Hong Kong penalsystem. The HKCS has adopted adifferentiated approach to the treatmentof various types of offenders in recognitionof their rehabilitative needs. Differenttreatment programs have been designedand implemented to cater for the needs ofsuch offenders. The existing programmeswould not have been so successful withoutthe constant review of their feasibility andeffectiveness which was initiated by theHKCS. The recent setting up of theRehabilitation Division is among theseinitiatives. Yet, the HKCS has not restedon its laurels. By learning from theexperience of other successful penalsystems in the world, it keeps on strivingfor the best in implementing programmesfor offenders that are universally acceptedand recognized.

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EFFECTIVE TREATMENT MEASURES FOR PRISONERS TOFACILITATE THEIR RE-INTEGRATION INTO SOCIETY

Yossawan Boriboonthana*

I. INTRODUCTION

The treatment of Thai prisoners is underthe responsibility of the Department ofCorrections, Ministry of Interior, which hasthe duty to take into custody andrehabilitate prisoners through institutionaland non- inst i tut ional treatment .Institutional treatment is carried out inprisons and different types of correctionalinstitutions, i.e., correctional institutionsfor women, young offenders, drug offendersand open correctional institutions. Non-institutional treatment is carried outthrough parole, sentence remission, pardonand penal settlement. Some measuresmight be similar to the correctionalsystems of other countries, others may bedifferent. Therefore, this paper hopes toprovide an opportunity to review thepresent the Thai correctional treatmentmethods and bring about comparativestudy which would to be beneficial to theThai correctional system as well as othersystems.

II. CORRECTIONAL TREATMENTIN PRISONS

As stated in the Corporate Plan for theNext Decade of Department of CorrectionsB.E.2536-2545 (1993-2002), one of themissions related to correctional treatmentis “to rehabilitate prisoners and foster theirre-integration into society as law abidingcitizens.” To carry out this mission, theDepartment has implemented severalmeasures for rehabilitating, reintegrating

and developing the living skill of prisoners.These measures range from classificationto pre-release programs and cover differenttypes of activities, such as vocationaltraining, contact visits, medical care anddrug treatment. The details of correctionaltreatment in prison are presented in thissection.

A. Classifications of PrisonersThe Department recognizes the

importance of prisoner classification andregards this measure as a major means tosuccessful prisoner rehabilitation.Accordingly, effort has been made toimplement prisoner classification systemsas much as possible. The following are thedepartmental directives on prisonerclassification in Thailand:(i) Each prison shall set up an induction

section or designated cells for newlyadmitted prisoners. This is to allownew prisoners to adjust to the newenvironment and to become familiarwith the prison regime.

(ii) Appropriate numbers of classificationofficers shall be appointed in eachprison to carry out the above. Suchofficers shall be fully trained andequipped with knowledge about theclassification process.

(iii)The staff in every prison shall recognizet h e i m p o r t a n c e o f p r i s o n e rclassification, and provide support toand cooperate with classificationofficers. Trained Classification officersshall not be assigned to work on dutiesother than carrying out classificationtasks.

(iv) Every new prisoner shall undergo theclassification process from admission

* Chief of Correctional Development Unit, Bureauof Penology, Department of Corrections, Ministryof Interior, Thailand.

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until release. This applies to bothconvicted and prisoners awaiting trial.Classification reports shall be kept inprisoner information files for furtheruse when considering the granting ofprivileges or punishment.

(v) There shall be a classif icationcommittee at every prison. Thiscommittee is responsible for assigningtreatment programs and places ofconfinement for each prisoner. Thedeterminations on placement andprograms are made in light of theknowledge obtained about theindividual’s needs, background, offenseand severity, term of imprisonment,capacities, interests and so on.

(vi) A monthly report on the progress ofclassification at each prison shall bemade to the Department Headquarters.

Despite having encouraged every prisonto implement prisoner classificationsystems, the overall success rate is still farfrom reaching optimum. There are only 12prisons that have a separate section fornewly admitted prisoners, and another 33percent have a designated area for newprisoners. In terms of the numbers ofprisoners, only 59 per cent of prisons couldh a v e a l l p r i s o n e r s u n d e r g o t h eclassification process.

B. Work of PrisonersAccording to the law, every convicted

inmate is required to engage in useful workin all prisons and correctional institutions,while unconvicted prisoners (ie, remand)are required to work only for thecleanliness, health or sanitary conditionsof the prison. The work that is availablein the prison cover almost 25 areas of trade.The aim in providing work programs is toinstill in the inmates good working habits,to provide basic skills in trades which willassist them in earning a living afterrelease, and to make the best possibleeconomic use of prison labor.

In accordance with the ministerialregulations, work provided to a prisonershall take into account the followingfactors:

(i) The term of punishment.(ii) The physical strength of the

prisoner.(iii) Intelligence.(iv) Disposition and skills or knowledge

expertise.(v) R e s u l t s f r o m a n e c o n o m i c

standpoint.(vi) Results from the standpoint of

training and instruction.(vii)Conditions of the prison.Having used their labor in the work

programs, inmates receive 50% of the netprofit of prison industry sales.

C. Vocational TrainingThe purpose of vocational training in the

prison is to provide skills and knowledgewhich will be of value to inmates after theirrelease. Vocational training is offered bothin classes and workshops. There arevarious types of vocational programs whichinclude: agriculture, carpentry, barbering,welding, automobile repairing, dressmaking, tailoring, radio repair, carpetmaking, compositor, wood and bamboocraft, mat making, masonry, etc.

The teachers who work with the inmatescan be classified into two main groups:(i) Prison officials who hold teaching

certificates and the officers (who are inthe workshops) assigned to teach at theAdult School in prison. In addition,assistant teachers are selected frominmates who hold teaching certificates,and have shown themselves to be ofgood behavior, to help with someteaching duties.

(ii) Visit ing teachers, experts andspecialists from various institutions,such as local vocational schools and theDepartment of Industrial Promotion,invited to teach the inmates.

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D. Academic EducationThe main policy of the Department of

Corrections is to provide inmates variousforms of education according to theirindividual differences. Educationalservices are carried out under the closesupervision of the prison authority. TheDepartment of Corrections reguires thatevery prison and correctional institutionprovide at least one adult education schoolfor inmates.

Adult education curricula are employedunder control of the Non-Formal EducationDepartment, Ministry of Education. Theinmates who attend classes provided by theprison authority are eligible to takeequivalent certificates issued by theMinistry of Education or the authorityconcerned.

1. Curricula for Inmates(i) General Education: General education

programs are provided for inmates on4 basic levels:• First Level : this level is for the

illiterates. The program will take sixmonths to complete early primaryschool.

• Second Level : this level serves theinmates who are able to read andwrite the Thai language. It will takeapproximately six months to finishmiddle primary school.

• Third Level : the inmates who havecompleted Level 2 will be able tostudy at this level. One year and ahalf is needed to get through thislevel.

• Fourth Level : this level is providedfor the inmates who have alreadycompleted Level 3. A period of oneyear and six are needed for them tosucceed.

(ii) Higher Education: The Department ofCorrections also has a policy to supportinmates who are interested in furthereducation by providing them the chancefor h igher educat ion through

correspondance courses with the OpenUniversity.

E. Religious ActivitiesBuddhism courses are provided to

pr i soners a t 3 l eve l s : beg inner,intermediate and advanced. Religiousinstructors are either prison chaplains orqualified Buddhist monks who are invitedto instruct in the prison. As for otherreligions, religious instructors of eachreligion, like Muslim, Christian and so on,are invited regularly to conduct religiouscourses according to their own faith.Moreover, during weekends or on specialoccasions, these instructors are invited toperform religious rites inside the prisons.

F. Drug Prevention and TreatmentPrograms

Although drug addicted prisoners haveto quit using drugs during incarceration,drug spread still exists in some prisons.Therefore, the Department has toimplement some measures to prevent andsuppress this problem. Some of thesemeasures are as follows:(i) Segregation of prisoners who have a

history of drug misuse to the DrugRehabilitation Center or special units.Those prisoners will be closely watchedon their behavior and communicationswith outside visitors.

(ii) Routine searching and inspecting ofthose who enter the prison.

(iii) Searching of packages, mail, food etcthat is sent from outside to prisoners.

(iv) Random searching of the rooms andpersonal items of the prisoners,without advance notice.

(v) Regular urine tests of prisoners inorder to identify drug addicts. Thosewho are found to have drugs in theirurine are transferred to institutions fordrug addicts or special units for drugaddicts, and they will be closelywatched on their behavior.

(vi) Establishing of a prison canteen in the

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front of the prison. Relatives who wantto bring goods and items to prisonersare urged to buy them from the prisoncanteen. Goods and items from theprison canteen would be wrapped andsealed by prison officers in order toassure that such packages, are drugfree.

(vii) Establishing a mobile unit which isauthorized to conduct randomsearches at any institution, withoutadvance notice, in order to seach fordrug smuggling into the prison. Thisunit, headed by the Department’sinspector, consists of well trainedprison staff from various prisons. Thework time-table of this unit isconfidential.

Besides the preventive measures, thecorrectional institutions for drug addictshave provided treatment programs for drugaddicted prisoners which consists of 3stages:(i) Withdrawal stage: Detoxification

methods used in institutions are basedon going “cold turkey” withoutmethadone. According to this method,the patient may suffer from side effects,such as insomnia, anxiety, nausea andvomiting or diarrhoea. Some medicinemay be given in order to relieve thesesymptoms.

(ii) Psychological and physical recoverystage: Psychological treatment is aimedto restore and reconstruct self -confidence, morals, and an attitude tobe independent from drugs. Individualand group counselling, moral training,as well as community therapy, aresignificant tools in this form oftreatment. Physical reconstruction,which is done at the same time asmental treatment, is aimed to restorebody strength and fitness, as well as toinstill order and discipline. Dailyexercise and drills are used in thisstage.

(iii)Rehabi l i ta t i on s tage : Bes ides

psychological and physical treatment,vocational training, formal educationand work are the main elements of therehabilitation program. There are morethan 25 kinds of vocational trainingof fered in pr isons . The AdultEducational Scheme, ranging fromelementary to undergraduate level, isalso provided in prisons. Moreover,those who work in prisons gain thebenefit of 50% remuneration of the netbenefit.

M o r e o v e r, t h e D e p a r t m e n t o fCorrections has implemented theTherapeutic Community (T.C.) torehabilitate ex-drug addicts mentally andphysically. T.C. was firstly introduced tothe Department by the Office of theNarcotics Control Board (ONCB), anddeveloped in the correctional setting byDaytop International Inc., USA andCommunita Incontro, Italy. In 1996, theT.C. program was implemented in 75prisons and correctional institutions wheredrug addicted prisoners were imprisoned.There were 2,316 ex-drug addicts whoactively participated in this program.

G. Regular Visits and Contact Visits1. Regular Visits

In general, prisoners are entitled to havevisits as often as circumstances and thefacility permit. Visitation is allowed onweekdays for a period of 30 minutes duringoffice hours. Prison officials have the rightto: hear conversations between prisonersand visitors; patrol around visiting areas;search visitors; and to remove visitors outof the prison when necessary. In the typicalvisiting room, there is iron bar barrier,providing a one meter distance between theprisoner and visitor, to ensure that thereis no contact. Prisoners are allowed toreceive permitted items that visitors bringin for them. Cash given to prisoners mustbe deposited into the prisoner’s account.

As for visitors, there is no limit on thenumber of persons wishing to visit the

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prisoner, but the visitor’s IdentificationCard and information must be recorded,and they are subject to search beforeentering the prison. Visitors are requestedto stay within designated areas.

In terms of frequency, prisoners arenormally allowed to have a visit at leastonce a week. In some prisons, wherecircumstances permit, prisoners may beallowed to have visits a few times per week.Visits may be suspended for a period of nomore than 3 months if the prisonerbreaches any rules or regulations.

2. Contact VisitsThis program aims to strengthen the ties

between prisoners and their familymembers, by allowing visits where therei s n o b a r r i e r t h a t h i n d e r t h e i rcommunication. Visitors (no more than 5per prisoner) are allowed to enter into theprisons and remain in designated areas.While having a contact visit, prisoners areallowed to take meals and talk freely withtheir family for a period of 2 hours. Visitorsand prisoners are subject to being searchedthoroughly before and after a visit.Prisoners who are eligible for this visitmust be in the ‘good’ class or above. Thecontact visit may be revoked if a prisonerbreaches prison rules and regulations. TheDepartment holds contact visits twice ayear, and each visit period lasts for 10 days.The Department also holds a contact visitfor foreign prisoners during the Christmasholidays.

H. Medical CareDuring custody, sick inmates are treated

according to their i l lness by theDepartment’s physicians. Facilities forminor treatment are available in eachprison. Serious medical or psychiatriccases, requiring emergency treatment orintensive care, are referred to eitheroutside hospitals or the Medical Prisonlocated in Bangkok.

Like other governmental agencies in

Thailand, the Department has faced ashortage of medical doctors. So theDepartment has hired part-time doctors tolook after sick prisoners. In 1996, 49,321sick prisoners were provided treatment by8 part-time doctors in 9 prisons.

I. Child Care in PrisonNursery units will be provided for the

day care of children in prisons where thereare pregnant prisoners or children attachedto their mothers. Mothers and children willreceive adequate nutrition based diet,medical services, and learning activities.During the night time, children sleep withtheir mothers and are nurtured by baby-sitters during the day. According to theDepartment’s regulations, children areallowed to stay in prisons until they are 3years of age. Prisoners’ children can stayin correctional institutions only when thereare no outside institutions available forthem.

J. Prisoner WelfareThe Department of Corrections has

provided social welfare services forprisoners as follows:

1. Prisoner’s HygieneIn 1996, the Department has provided

1,100,000 Baht to every prison to purchasehygiene materials for prisoners.

2. Sport and RecreationRecreation and entertainment facilities,

both indoor and outdoor, are available toinmates in all institutions. These includereading libraries, televisions, film showingsand various types of sports and games.Participation in recreational programs isvoluntary. Recreational activities ininstitutions provide many benefits toprisoners, such as relaxation, good healthand group relations.

3. MusicThe Department has supported prisons/

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institutions to have musical instruments,both traditional and modern ones, as wellas prison bands, especially in institutionsfor young offenders.

4. The Sparrow HomeThe Department has cooperated with

NGOs to establish a house named “SparrowHome” to take care of the prisoners’children until they are 7 years old. Childrenwill be taken care of by this charity groupand will be taken to visit their parentsregularly. This project has become verysuccessful and represents well the attemptsof the Department to treat inmateshumanely.

5. The Assistance to No-relatives PrisonersEvery year, the Department holds

contact visits to provide the opportunity forrelatives to visit inmates inside prisonswithout any barriers. However, there area number of prisoners who have norelatives who visit during their period ofincarceration. The Department has triedto help these prisoners by seekingassistance from various agencies. Everyyear there are charity organizationsdonating food and necessities for theseprisoners.

III. EARLY RELEASE SYSTEM

The existing early release measures inThailand are parole, sentence remission,pardon and penal settlement. Somemeasures like parole, sentence remissionand pardon might be similar to othercountries, but the measure of penalsettlement might be rarely known. Thedetails of all these measures are discussedbelow.

A. ParoleParole was implemented in Thailand in

1937. This mechanism is granted toprisoners who show good conduct andprogress in rehabilitation, and who have

served the minimum period of theirsentence as specified by the law. Thatmeans that parole is not the right of allprisoners, but will be a benifit applied toselected and eligible ones.

1. Parole BoardThere are 2 levels of parole board

ranging from the pr ison level todepartmental level. The parole board atthe pr i son l eve l c ons i s t s o f thesuperintendent and 2 other heads of thesubdivision. The parole board at thedepartmental level consists of 7 highranking officials, including the DeputyDirector-General of Department ofCorrections who acts as a chairman of theboard, and other relevant officials fromconcerned departments such as theDepartment of Public Welfare, Departmentof Public Prosecution, Department ofPublic Health and Police Departmentrespectively. The board has to submit itssuggestion to the Director-General ofDepartment of Corrections for finalapproval. Therefore, the decision to grantparole to qualified prisoners by theDirector-General is final.

2. Eligibility for ParoleThe rule of Penitentiary Act of 1936

states that the qualifications for prisonersto be eligible for parole as follows:(i) Must be a convicted prisoner showing

good conduct and progress in education.(ii) Must have already served more than

two-third of the time fixed in thewarrant of imprisonment as the termof sentence, or not less than 10 yearsin the case of life imprisonment.

(iii)Must be an ‘excellent’ class, ‘very good’class or ‘good’ class prisoner.

(iv) The ‘excellent’ class of prisoner may begranted parole for not more than one-third of the time fixed in the finalwarrant of imprisonment.

(v) The ‘very good’ class of prisoner maybe granted parole for not more than

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one-fourth of the time fixed in the finalwarrant of imprisonment.

(vi) The ‘good’ class of prisoner may begranted parole for not more than one-fifth of the time fixed in the finalwarrant of imprisonment.

B. Sentence RemissionSentence remission was introduced into

the Thai correctional system in 1978. It isused as the benefit for the ‘good’ conductprisoner. There are two different types ofsentence remission:(i) Good time allowance which is given to

prisoners who: serve their sentence forat least 6 months, show good conduct,and are in the ‘good’ class or above. Thenumber of sentence remission daysgiven to those prisoners will depend ontheir class, i.e.: Excellent class earns 5days a month, Very good class earns 4days a month, Good class earns 3 daysa month.

(ii) Public work allowance which is givento prisoners who are participating inpublic work programs. Prisoners whoare convicted and are in the ‘good’ classor above will be eligible for the publicwork allowance when they serve halfof their sentence.

The aim of the public work program isto provide an employment opportunity toprisoners and to utilize prison labor forpublic and community interest. Under thisscheme, prisoners who are eligible to workoutside the prison, and have passed thescreening process, will be assigned to workin various types of public work projectssuch as drain-pipe cleaning and canaldredging. Apart from remuneration,prisoner shall have a one-day sentenceremission for each day of working outside.

The days of sentence remission from thissystem can be counted together with theallowance from the good conduct allowancesystem. Regarding incentive payments forprisoners, 85% of net profit is dividedamong the prisoners who have engaged in

the work.

C. Royal PardonThe Royal King’s Pardon is part of the

sovereignty that the King, as the head ofstate, may grant to anyone. Under theConstitution, the King has power to grantpardon to commute, reduce or terminatesentences with or without conditions. Suchpardons would overrule all the previousconvictions. There are two types of RoyalKing’s Pardon; the collective pardon andindividual pardon.

1. The Collective PardonWhenever there is an important event

in the country, such as to mark theirMajesties 60th Anniversary, the GoldenJubilee and so on, the Cabinet may submita recommendation to His Majesty the Kingto consider granting the Royal King’sPardon to commemorate these importantevents. The Royal Pardon will be in theform of release or sentence remission.Statistics of the Royal King’s Pardongranted during past 10 years are shown inTable I.

2. Individual King’s PardonAny convicted prisoners, or their

relatives, have the right to submit apetition to His Majesty the King for royalclemency. This is stipulated in the PenalCode and the Penitentiary Act. Prisonofficials, upon receipt of such a petition,shall forward it to His Majesty the Kingthrough a designated channel. Thechannel begins at the prison where allinformation on prisoners is filed. It is thenf o r w a r d e d t o t h e D e p a r t m e n tHeadquarters, to the Minister of Interior,to the Prime Minister, to the Office of HisMajesty Principle Privy Secretary, to thePrivy Council and to His Majesty the King.However, once the petition is denied, aprisoner has to wait for two years to re-submit their petition again.

Death sent ence prisoners shall not be

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executed once they have submitted apetition to His Majesty the King for RoyalPardon. As long as there is no noticewhether or not the Royal King’s Pardon isgranted or denied, such prisoners remainon the death row.

D. Penal SettlementPenal settlement is another type of

program which has been set up as a placefor pre-released prisoners, as the next stageafter prison, so as to help them re-adjustto the community. At present, there is onlyone penal settlement in Thailand calledKlongpai Penal Settlement. The KlongpaiPenal Settlement, established in 1977, islocated in Nakornrachasima Province andthe total area is 4,450 acres. Prisoners whoare selected to enter the Klongpai PenalSettlement, are required to practicefarming and agricultural schemes. Theyare, of course, given land for living andagricultural purposes. Moreover, they areallowed to settle down at the penalsettlement after their sentence has expired,as the period of stay is unlimited.

Qualified and selected convicts areallowed to bring their family to stay withthem while being treated in the penalsettlement. They are also required to buildtheir own house or cottage in the areaprovided by the penal settlement.Nowadays, the Department has ceased tosend prisoners to the penal settlement dueto problems in land sharing.

E. Pre-release ProgramsThe Department has recognized the

importance of preparing prisoners beforerelease into society. The pre-releaseprogram was separated into 2 services thatare ‘Group Counseling’ and ‘GroupGuidance’. The operation of the pre-releaseprogram is as follows:(i) Interview of individual prisoners so as

to find out living problems, such asproblems in employment and educationof their children.

(ii) Group Guidance provides knowledgeand information on career managementto prisoners.

(iii)G r o u p C o u n s e l i n g p r o v i d e spsychological counseling to prisoners tobuild up their ability to adaptthemselves to society.

(iv) Persuasion of prisoners’ relatives toparticipate in rehabilitation programsbefore release.

IV. TREATMENT FORDISCHARGED PRISONERS IN THE

COMMUNITY

At present, the major ‘treatment’ methodfor discharged prisoners in Thailand isprobation. This measure is applied toparolees and sentence remission releasees.The responsible organization for probationis the Probation Bureau, which is undert h e D e p a r t m e n t o f C o r r e c t i o n s .Meanwhile, other kinds of treatment forunconditional releasees are not fullydeveloped. There are only some servicesprovided to releasees by NGOs.

A. ProbationPrisoners who are released on parole or

by sentence remission are subject tosupervision under the conditions set by theDepartment. These conditions are asfollows:(i) To refrain from committing crimes.(ii) To refrain from entering any areas so

determined by the competent authority.(iii)To abstain from consuming narcotics

and from gambling.(iv) To report in person to the competent

authority designated by the Director-General of the Department.

(v) To carry on with the occupationarranged and supervised by thecompetent authority.

(vi) To resume their former occupation ortake up the occupation as arranged andsupervised by close friends or relatives.

(vii)To practice his/her religion.

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1. InvestigationInvestigation is the method before

prisoners are released on parole or sentenceremission. A probation officer will interviewthe prisoner and visit their home toinvestigate the background of their family,education, job and way of life, in order toinform the results to the Committee. Inthis case, the prisoner must have aguarantor who promisses to accommodateand monitor him/her.

2. SupervisionThis method is applied after prisoners

are released into the community on paroleand by sentence remission. Supervision isconducted by the probation officers and thevolunteer probation officer in regard to theliving conditions of releasees, includingrelations to family, job and neighbors, andto give guidance to them.

3. Breach of ConditionsIf parolees or probationers fail to comply

with any conditions, they may be arrestedwithout warrant and imprisoned for theremaining period of their term of sentence.Disciplinary charges will also be broughtagainst them. The number of releasees whobreach conditions are shown in Tables IIand III.

As seen in the statistics, although thepercentage of breach of conditions is verylow, the early release measures are notpopularly used in the Thai correctionalsystem. When compared with the totalreleases, the percentage on early releaseis only 30-40%. The reason for this is thatthere are not enough probation officers tosupervise releasees, and the grant processtakes so much time that most qualifiedprisoners are released before parole isgranted.

B. Halfway HouseWhile probation is the major form of

treatment for parolees and otherconditional releasees, the halfway house is

the treatment for all releasees. Thepurpose of establishing halfway houses isto provide substantial assistance toimmediately released prisoners during thecritical readjustment period, as anaftercare scheme. The types of assistanceinclude places to live, meals, help in findingjobs and counseling services. Furthermore,by sharing their environment with othersin the same situation, the prisoner will nolonger feel that their problem is unique,and their will be in an environment whichunderstands the special difficulties andfrustration of their status. It is expectedthat, by a combination of their owninitiatives and relevant help from the otherresidents and staff, the resident will soonbe able to emerge from difficulty andbecome confident in making post-releaseadjustment successful .

The construction of the halfway housewas finished in September 1996. It willserve as a welfare residence for prisonerswho have problems upon release. It isexpected to be fully operative by the fiscalyear of 1997.

C. Volunteer Probation OfficersIn 1977, the Department of Corrections,

Thailand established the VolunteerProbation Officer Program for assistingprobation officers of the Department tosupervise parolees and those who are onsentence remission. In 1998, there wereabout 14,000 volunteers who workthroughout the country. These volunteersare interested persons who are aged above25 years and have secure jobs. They willbe trained for 2 days on probation work andrelated topics, and will attend a seminarevery year to promote their knowledge andto exchange experiences and problems.They do not receive any payment exceptthe transportation fee which is 120 bahtor 400 yen per case.

Generally, volunteers are recruited fromrespected persons in the local community.They come from all types of occupations,

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such as teachers, farmers, chiefs of village,monks and retired government employees.Thus, for nearly 20 years the volunteer hasplayed a significant role in helping theprobationer readjust to society.

V. CONCLUSION

The Department of Corrections ofThailand agrees with the assumption thatthe rehabilitation and reintegration ofoffenders should start at the time offendersenter prison, and should continue untilthey are released into the community.However, the implementation of measuresfor fulfilling this goal are not easy.

In 1998 there were 138,000 prisonersconfined in prisons and correctionalinstitutions all over country, while there isonly 80,000 capacity available. The influxof offenders coming into prison is becauseof the government’s crack down policy on‘Speed’ pills (Amphetamine), which hasresulted in a great number of drugoffenders being incarcerated. When seriousovercrowding situations occur in the Thaicorrectional system, the Department’sresources have to mainly be employed forcustodial projects such as the constructionof new prisons, the remodeling of outdatedprisons and an increase in manpower.Moreover, the economic crisis which we arenow facing creates a limited budget. Manyprojects and programs related to therehabilitation of prisoners are held back orhave had their budgets cut.

However, the Department of Correctionshas continued to achieve the goal ofrehabilitation and reintegration ofprisoners, athough there are manyobstacles for rehabilitation like theovercrowding situation and the budgetcuts. The outcome of the rehabilitation ofprisoners in Thailand might not be veryimpressive for colleagues in othercountries, but progress as our goal stillpersists.

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TABLE I

NUMBER OF ROYAL KING’S PARDONS GRANTED 1977-1996

Occasion Year Unconditional SentenceRelease Remission

Royal Marriage of HRH 1977 13,359 22,319Crown PrinceHis Majesty the King’s 50th 1977 17,539 23,010anniversary birthdayRoyal Ordination of HRH 1979 12,033 32,158Crown PrinceHer Majesty the Queen’s 1980 16,164 29,661birthdayBangkok Bicentennial 1982 18,438 36,188His Majesty the King’s 60th 1987 37,400 46,603anniversary birthdayHis Majesty longest 1988 22,922 34,215accession to the throne90th anniversary of the 1990 20,133 32,697Princess MotherHer Majesty the Queen 60th 1992 30,620 35,861anniversaryHis Majesty the King’s 50th 1996 24,751 57,815year accession to the throne

TABLE II

NUMBER OF PROBATIONERS FROM 1987 TO 1997

Year Sentence Remission Parole Breach of Percent of BreachGranted Granted Conditions of Conditions

1987 11,490 2,778 88 0.61988 10,871 787 20 0.21989 9,721 1,220 48 0.41990 10,392 1,768 43 0.41991 9,363 956 44 0.41992 11,321 945 54 0.41993 12,020 1,282 50 0.41994 14,003 2,088 86 0.51995 17,460 2,114 88 0.41996 17,543 805 62 0.31997 19,824 1,114 42 0.2

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TABLE III

THE PERCENTAGE OF CONDITIONAL RELEASEESCOMPARED WITH ALL RELEASEES

Year Released on Released by Total Percent ofConditional Termination Releasees Conditional

Release of Sentence Release1992 12,266 28,733 40,999 301993 13,302 24,293 37,595 351994 16,091 31,987 48,078 331995 19,574 32,315 51,889 381996 18,348 32,387 50,735 361997 20,938 27,119 48,057 44

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RESOURCE MATERIAL SERIES No. 54 REPORTS OF THE COURSE

GROUP 1

REHABILITATION PROGRAMMES IN THE PRISON TOPREVENT PRISONERS’ RECIDIVISM: THE ACTUALSITUATION, PROBLEMS AND COUNTERMEASURES

Chairperson Mr. Chung, Wai Man (Hong Kong)Co-Chairperson Mr. Osman bin Ahmad (Malaysia)Rapporteur Ms. Yossawan Boriboonthana (Thailand)Co-Rapporteur Mr. Michael Naplau Waipo (Papua New Guinea)Members Mr. Mokhammad Frandono (Indonesia)

Ms. Junko Fujioka (Japan)Mr. Hisashi Ishizuna (Japan)Mr. Kenichi Kiyono (Japan)Mr. Yoshio Shibata (Japan)Mr. Nobuyuki Yamada (Japan)Mr. Titera Tewaniti (Kiribati)Mr. Joseph Elvy Szetu (Solomon Islands)

Advisers Professor Chikara Satoh (UNAFEI)Professor Ryosuke Kurosawa (UNAFEI)Professor Shinya Watanabe (UNAFEI)

I. INTRODUCTION

There is a notion that rehabilitationprograms reduce recidivism quitemarkedly with some types of offenders insome circumstances. It is not surprising tofind that some questions will be raised, forexample, with whom they are implementedand under what circumstances theprograms work. To answer these questions,we have to analyze the characteristics ofoffenders and the treatment programs inuse.

Since criminals commit crimes becauseof different reasons, the characteristics ortypes of offenders are varied. Some typesof offenders, especially those who commitcrimes because of external factors, such aseconomic problems, peer group pressure orlack of knowledge, etc., can be rehabilitatedby general treatment programs likevocational training and education. Forthose who commit crimes because ofinternal factors, such as psychological

problems, behavior disorders, or antisocialattitudes, their situations are morecomplicated and they are in need of specialpsychological treatment programs forrehabilitation.

To address the distinctive needs ofindividuals, appropriate treatmentprograms should be applied to therespective types of offenders. Normally, thetreatment programs being implemented bysome countries are referred to as programspromoting the socio-economic ability ofoffenders, such as prison work, vocationaltraining, and education. These types oftreatment programs are provided to almostall offenders in some countries. However,there are some specific types of offenderswho need special treatment due to thecomplexity of their problems, for example,drug addicted offenders, sex offenders,violent offenders and organized crimeoffenders. To rehabilitate these types ofoffenders in prisons, the application ofspecially designed treatment programs is

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108TH INTERNATIONAL SEMINARREPORTS OF THE COURSE

considered to be indispensable.We believe that if offenders are provided

with proper treatment programs in prisons,there will be a higher chance to reducerecidivism. However, the implementationof this idea cannot be made possible in somecountries, due to a lack of resources or otherreasons. Thus, our group tried to study theactual situation of the rehabilitation ofprisoners in the 17 participating countries,as well as the problems that impede thesuccess of rehabilitation, and attempt todetermine the countermeasures to betaken. Moreover, we realize that treatmentprograms cannot be effective without theparticipation of prison staff. Therefore,ways to secure the treatment potential ofprison staff will also be explored.

II. GROUP DISCUSSION

After being assigned the topic of“Rehabilitation Programs in the Prison toPrevent Prisoners’ Recidivism”, our groupdecided to focus discussion on the followingissues:

(a) Treatment programs to enhance thesocio-economic ability of prisoners.

(b) Categorized treatment programsaccording to the offence type and/orproblems of individual prisoners.

(c) Treatment programs addressing thepsychological problems of prisoners,specifically their emotions, cognition,attitudes, etc. which lead to theoffence.

(d) Ways to secure the treatmentpotential of prison staff.

According to the work plan devised byall the group members, the relevantinformation was collected through differentresources, such as the individualpresentation papers of participants andvisiting experts who attended the 109thI n t e r n a t i o n a l Tr a i n i n g C o u r s e ,professional articles and resourcematerials kept at UNAFEI. Moreover, ourg r o u p d i s t r i b u t e d t w o s e t s o f

questionnaires to the course participantsof the 17 participating countries, for datacollection. The approach of the study wasby comparing the situations of those 17countries. Moreover, the specific treatmentprograms conducted in some countrieswere also analyzed.

The 17 participating countries of the109th International Training Course arelisted: Bangladesh, Botswana, Fiji, Ghana,Hong Kong, Indonesia, Japan, Kenya,Kiribati, Malaysia, Nepal, Pakistan, PapuaNew Guinea, Philippines, Republic ofKorea, Solomon Islands, Thailand.

III. TREATMENT PROGRAMS TOENHANCE THE SOCIO-ECONOMIC

ABILITY OF PRISONERS

Rehabilitative treatment programs toenhance the socio-economic ability ofprisoners are offered in various ways inprisons. According to our observation of theactual situation, prison work and educationa r e t h e t w o m a i n a n d c o m m o nrehabilitative treatment methods beingimplemented by most participatingcountries. In this paper, we intend toident i fy the prob lems commonlyencountered by those 17 countries and tooffer some countermeasures to address theproblems.

A. Prison Work and VocationalTraining

Prison work covers a wide range ofactivities whereby prisoners are physicallyinvolved in some kind of work while servinga term of imprisonment in prisons. Underthe scope of work in prisons, general prisonwork and vocational training are the twointegral parts which will be discussed inthe respective sections below.

1. Actual Situation(a) Prison WorkRegarding the statutory requirement of

prison work, 14 participating countries

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have obligatory prison work while theremaining three(3); Nepal, Philippines andSolomon Island, have voluntary prisonwork (see Appendix 1).

In the context of obligatory prison work,we are referring to two(2) specific types ofsituations. The first situation is whenprisoners are sentenced by a court of lawunder a penal code with work (i.e. hardlabor or light labor). The second situationis when the prisoners are sentenced toimprisonment and must work under aspecific prison regulation.

As for voluntary prison work, we arereferring to the situation under whichprisoners are sentenced to imprisonmentwithout work, in accordance with the lawsof a country. However, they can volunteerto do prison work in prisons.

In countries with job-oriented workprograms, prisoners can easily find jobsafter release. However, other countrieswith inappropriate work programs will nothave this favorable result.

Among those 17 participating countries,14 countries have prison obligatory work.Seven (7) out of these 14 countries canprovide prison work to prisoners becauseof some problems which will be discussedlater on. Prison work commonly employedby those participating countries are:

• Primary industries (e.g. agricultural,fisheries, etc.).

• Secondary industries (e.g. textile,wood work, metal work, handcraft,etc.).

• Routine and maintenance work inprison (e.g. laundry, painting,carpentry, plumbing, cooking,cleaning etc.).

(b) Purpose of Prison WorkPrison work is organized so as to serve

a constructive purpose in the treatment ofprisoners. Its objective is not only to provideinmates with vocational knowledge andskills, but also to strengthen their will towork, sense of self-help and spirit of

cooperation through working together inwell regulated circumstances. Thus, theprison industry contributes to thecorrectional aims of re-socializingoffenders.

Some of the other purposes of prisonwork among the participating countries areto make profit out of prison work (to lightenthe running costs of the prison experiencedby prison administration) and to providean opportunity for a prisoner to make someearnings to before s/he is released fromprison.

Our group basically agreed that thepurpose of prison work is not only torehabilitate the prisoners by providingthem working skills or habits, but also toprevent the prisoners from degradation.Accordingly, those with working skills orhabits, such as offenders of white-collarcrime or corruption, should also be providedwith prison work.

(c) Vocational TrainingVocational training in prison can be

regarded as part of prison work. However,it should be more skill-oriented in the sensethat the training so provided can enhancethe competitive ability of prisoners to finedwork after release. With the exception ofKiribati, 16 participating countriesintroduced vocational training not only toenhance the productivity of prison, but alsoto improve the vocational skills of prisoners(see Appendix 1).

In some countries, prisoners who havepassed the qualifying examinations ofcertain training courses are awarded tradecertificates or licenses, for example, foroperating construction machinery,barbering, auto-repairing, electricalrepairing and so on. With the exception ofKiribati, the other 16 Participatingcountries have introduced vocationaltraining in their prisons, but most of themconcentrate their vocational training informs of trade-related prison work, such aselectrical plumbing and carpentry

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conducted in the workshop.

(d) Purpose of Vocational TrainingThe purpose of vocational training is:• To provide the prisoners with

vocational training, up to a qualifyinglevel of training, in and type of skillappropriate to their aptitude andcapability, that would enable them tocompete for related and satisfyingemployment upon release from prison.

• To give the prisoners confidence,satisfaction and self-respect, throughacquiring these new found skills, sothat the offender may adjust moreeasily to normal society after releaseand refrain from a deviant way of life.

• To cultivate good working habits.With these purposes borne in mind, we

have studied the situations of those 17participating countries and found that onlya few countries have appropriate vocationaltra in ing programs and qual i f i edinstructors to conduct such programsaccordingly.

2. ProblemsThe over-all assessment of the actual

situations in the 17 participating countriesenabled our group to identify certain typesof problems. Although these problems differin their magnitude among those countries,we considered some of them to be common.The common problems experienced bythose 17 countries are as follows:

(a) Insufficiency of WorkAlthough we acknowledge both prison

work and vocat ional t ra in ing asrehabilitative treatment programs toenhance the socio-economic ability ofprisoners, we find that there is aninsufficiency of work to accommodate allthe prisoners in some countries. It isunderstandable that prison administratorsin the participating countries willencounter different kinds of problems intheir own settings. Apart from the financial

stringency, the following are the mostcommon problems for those countries:

• Inadequacy of facilities to carry outwork or conduct vocational trainingfor the prisoners.

• Lack of qualified specialists to providevarious specialized training.

• Lack of marketable skills.

(b) Security ProblemsIn addition to the obligation to provide

prison work and vocational training forprisoners, prison administration has theresponsibility to protect society byproviding the safe custody of prisoners.With the overcrowding situation in prisons,prison officials will always encounter somekinds of security problems whileimplementing the above programs. Thesecurity issues that prison officials worrymost about are:

• Escape of prisoners from custody.• Assault with tools in workshops.• Prison riots or breakouts from prison

with tools.The above incidents cannot be avoided

without adequate and close supervision bystaff.

(c) I n a d e q u a t e F o l l o w - u p a n dEvaluation

According the current practice of mostparticipating countries, they do not makeany evaluation on the effectiveness of theaforementioned treatment programsprovided by prisons. For example, after therelease of a prisoner who has receivedvocational training on auto-repair trade, nofollow-up action is taken to find outwhether s/he can secure a job of the samenature.

3. CountermeasuresAfter assessing the common problems

now being experienced in the participatingcountries in relation to their actualsituations about prison work in prisons, itis necessary to offer a practical solution.

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We would like to give the followingsuggestions as countermeasures for thosecounties with not so well-developedprograms. On the other hand, thosecountries with developed programs mayalso use these suggestions, in combinationwith their experience, to further developtheir current programs.

We consider that in order to helpprisoners find jobs easily after release, thework and training provided to them inprisons should be, as far as possible, of asimilar nature. Since the aforementionedproblems are considered to be inter-related,i t wi l l be necessary to o f fer thecountermeasures in a package as follows:

(a) Cooperation with Other PublicOrganizations

A s f a r a s p r a c t i c a b l e , p r i s o nadministrators should provide sufficientwork and training to the prison populationwith ful l cooperation with publicorganizations. For example, some prisonersof Botswana are employed by othergovernment organizations, like the defenseforce and police, to do work like cleaningbarracks, packing stores, cooking etc. InJapan, some governmental organizationsorganize automobile repair workshops andtraining institutions for operatingconstruction machinery etc. in the prison.These authorized facilities can provideprison work and vocational training toprisoners.

(b) Joint Venture Projects in PrisonJoint venture is regarded as a type of

c o o p e r a t i o n b e t w e e n t h e p r i s o nadministration and private sectors inproviding management and resources toutilize prison labor both within and outsideof prison. A joint venture project providesan alternative avenue for prisoners to doboth work and vocational training. This isa practical solution for the prisonadministration of the participatingcountries to provide both work and

vocational training for the balance of theunengaged prisoners in their prisonpopulation.

According to the quest ionnairedistributed, 6 out of the 17 Participatingcountries have introduced joint ventureprojects, to their prisons. Most of theprivate organizations supply materials andmachinery to prisons, and the prisonadministration provides manpower.Hereunder are the experiences of Japanand Singapore.

The Prison Industry CooperationDivision(PICD) was set up by theCorrectional Association of Japan in 1983,and has been very useful to activate theprison industry. The main task of PICD isto provide raw materials for the operationof prison industries, instead of thegovernment. In particular, it created thebrand “CAPIC” to establish a corporateidentity and to improve the image of prisonproducts. It also established a well-plannedproduct system to increase productivity.

I n S i n g a p o r e , T h e S i n g a p o r eC o o p e r a t i o n o f R e h a b i l i t a t i v eEnterprises(SCORE) is a statutory boardwhich manages the prison industries andprovides rehabilitative opportunities. Itsets up, or invites companies to set up,workshops in the prisons where theinmates will work and learn the on-the-jobskills. SCORE’s bakery and laundryservices are examples of enterprisingindustrial pursuits that have (successfully)taken root in the prison setting.

(c) Security and Motivation for WorkTo address security concerns, adequate

staff should be allocated to supervise workprograms and prisoners should be carefullyclassified when they are assigned to work.Incentives like payment and otherprivileges should be encouraged tomotivate prisoners to engage in prisonwork.

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(d) Evaluation of the ProgramsAny given programs should be followed

up and evaluated to assess the success andfailure rate, and the findings should beused to improve the deficiency. Becauseeach program will have its own objective,statistics should be maintained to list howmany ex-prisoners have been employedwith a steady job relating to the skills ortrade they learn in prison. This kind ofinformation should help the prisonadministration review their work ortraining programs and make necessaryimprovements to suit actual situationsoutside the prison.

This may only be one aspect of the studyas there are many other indicators that canbe used to determine the success or failurerate of any given program. The results mayimprove existing programs to suit theconditions outside of prison.

B. EducationGlobally, education is an essential basic

need to enhance human development.Demographics like low education, in thisinstance, are often predictors of offending.Thus, an important priority is to reduce thestatistical chance or probability of re-offending. The provision of education,either academic or vocational, for thepurpose o f upgrad ing pr i soners ’educational status and skills is thusessential in a competitive society.

1. Actual SituationThe main purpose of education is to

enhance a prisoner’s competitive ability foremployment in free society after releasefrom prison. Our assessment of the 17participating countries shows thefollowing: 13 out of 17 countries haveintroduced fundamental(literacy andnumeracy) education in view of globaltrends in literacy, and these programs arefunded by the state.

As for further education such ascorrespondence courses, high school,

secondary school and undergraduatestudies, 11 out of 17 countries facilitatecorrespondence courses for their prisoners.In most cases, a government meets the costof these types of programs as long as theprisoner is still serving their sentence ofimprisonment. In other cases thesep r o g r a m s a r e a s s i s t e d b y N o n -governmental Organizations like churchesand others.

In order to offer educational programsto prisoners, they have to pass a selectionor classification process. Depending on thatconsideration, those prisoners who reallyhave the need for a specific type ofeducational course are offered places toundertake various types of courses. Weobserved that, the type and level ofeducational courses varied among the 17participating countries. This was becausethe aptitude of each individual prisoneralso differed by country.

We also learned that in those 13countries which conduct fundamentaleducational program, the participatingprisoners will be awarded a certificate ofattainment at the completion of theappropriate course. This is also true for the11 countries that also have prisonersengage in further education throughcorrespondence. The award of certificateso f a t ta inment depends upon theappropriate education authority in therespective countries.

2. ProblemsIn our observations, we found the

following concerns to be common problems;again the magnitude varied widely amongthe participating countries.

(a) Difficulty in Grouping Prisoners toAttend the Class

Difficulty was experienced when tryingto group prisoners into classes, because itis not like ordinary school when all theintake can start together, as prisoner areadmitted to prison on different dates. One

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other related matter has to do withindividual educational backgrounds, or thespecific needs of the individual prisoner.

(b) The Lack of Qualified SpecializedTeachers to Carry Out AcademicPrograms in Prison

Prison administrators of some of theparticipating countries cannot provideeducational programs. This is because theydo not have qualified teaching staff withintheir existing staff strength. For thepurpose of education there must bequalified teaching staff to teach theprisoners the training material. This is alsotrue for those other countries that havesupplementary educational programs.They rely on relevant state agencies toassist them with their programs, as theydo not have their own qualified staff.

(c) Poor Learning EnvironmentsThe experiences of some participating

counties show us that prisons are in lackof educational programs, materials andsuitable facilities to carry out theirprograms. These matters are the essentialcomponents of any educational programs,without which we cannot conduct anyprograms.

3. CountermeasuresOur general observation about the actual

situation re educational programs in the17 participating countries also exposed anumber of problems commonly shared bythose countries. In the context ofeducational programs utilized to enhancethe socio-economic ability of prisoners inprison, we are of the view that the threecommon problems are somewhat closelyrelated. Therefore, in a practical sense, anycountermeasures should be offered in apackage to complement each of theproblems being identified. The followingsuggestions are considered as thecountermeasures:

(a) Development of School Calendar YearIn order to address the problem relating

to difficulties resulting from the differentadmission dates of prisoners, we suggestthat school calendars be developed andenforced in prison. However, should therebe any large intake of prisoners at anytime, a special class should be organizedto cater for need. Thailand is adopting sucha measure. Another suggestion would beto engage volunteers, like retired teachers,from the surrounding community.

(b) Utilization of Existing StaffAvailable staff should be reorganized

and re-deployed for the purpose ofconducting educational programs. Selectedstaff should be identified and trainedadequately to carry out the intendedprograms. If this can not be done withavailable manpower and resources, then itis necessary to sell this idea to the publicat large, where there is bound to be somekind of assistance forthcoming fromvolunteer organizat ions or othergovernment agencies.

(c) Cooperation with Other PublicOrganizations

To solve the problem of insufficiency ofteaching staff, prison administrator maycons ider coopera tor w i th pub l i corganizations. There are specific examplesof this approach as follows:

• In Japan, The Ministry of Educationset up a branch of a junior high schoolin one of the juvenile prisons, whereteachers are seconded from the mainschool campus;

• In Singapore, academic classes andcertificate courses are conducted byqualified teachers seconded from theMinistry of Education.

(d) Development of Education MaterialsAt this point the programs will need

educational material to provide courses.Again, if it is not possible to provide those

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needs within the prison then it is necessaryto go to the relevant government agency toassist the prisons

(e) Improvement o f Educat ionalFacilities

With whatever resources are available,the educational facilities needed foreducational programs should be renovatedor developed. Desirable learningenvironments will enhance the willingnessof prisoners to participate in theeducational programs. If improvement isnot possible from within the prison setting,efforts should be made to seek assistancef r o m t h e p u b l i c , l i k e v o l u n t a r yorganizations and government agencies.

(f) Evaluation of Educational ProgramsEvaluation on the results of course

e x a m i n a t i o n s w i l l h e l p p r i s o nadministrators assess the effectiveness ofthe educational programs and makecorresponding improvements.

IV. SPECIAL TREATMENTPROGRAMS FOR SPECIFIC TYPES

OF PRISONERS

In addition to the treatment programsenhancing the socio-economic ability ofprisoners, there are other special treatmentprograms aiming to rehabilitate somespecific types of prisoners in prisons. Thetreatment programs provided to thoseprisoners are different and distinctive.Thus, the group will discuss the treatmentprograms for some specific types ofprisoners as follows:

(a) Prisoners with psychologicalproblems

(b) Drug addicted prisoners(c) Sex offenders in prison(d) Violent offenders in prison(e) Organized crime offenders in prisonIt is noted that the interpretation of the

above classification of prisoners varies fromone country to another and the different

viewpoints of scholars and legislators willmake interpretation more complicated.Nonetheless, the main objective of thegroup discussion was to study thetreatment program; so that the definitionof each type of offender is briefly statedbelow in order to limit our scope ofdiscussion.

(a) “prisoners with psychologicalproblems” mean those who havepsychiatric problems, adjustmentproblems and criminal behaviors

(b) “drug addicted offenders” mean thosewho habitually abuse illegal drugs;

(c) “sex offenders” mean those whocommit offences of rape, indecentassault, public indecency, etc.;

(d) “violent offenders” mean those whohave the tendency to solve theirproblems by violent actions, forexample physical assault, bodilyinjury, murder, homicide etc.excluding “organized criminaloffenders”, which we mention below;

(e) “organized criminal offenders” meanthose who are members of a gangengaging in various kinds of crimeslike drug smuggling, extortion,intimidation, physical assault, bodilyinjury, murder, homicide etc.

A. Treatment Programs forPrisoners with PsychologicalProblems

1. Actual SituationAccording to our questionnaire: 14 out

or 17 participating countries haveprisoners with psychological problems; 12out of 17 countries consider psychologicaltreatment programs to be critical; 11 outof 17 countries have classification systemsto detect the psychological problems ofprisoners; and 8 out of 14 countries havepsychological treatment programs.

For those countries where psychologicaltreatment programs do not exist, someother measures are taken to lessen theproblem. Those measures are as follows:

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• Counseling programs conducted bywelfare officers, religious groups orprison officers.

• Family visits.• Tr a n s f e r o f p r i s o n e r s w i t h

psychological problems to receivetreatment from outside mentalhospitals.

Summing up the collected data, there arethree kinds of ‘psychological problems’ and‘psychological treatment programs’. Theyare ‘psychiatric problems’, which should betreated in mental hospital; ‘adjustmentproblems’ inside institutions, which couldbe handled by other ways such as familyvisits and religion; and ‘criminality’behavior. Although psychiatric andadjustment problems are important, thispaper is to address “rehabilitationprograms in the prison to prevent prisonersrecidivism”. So the programs aimed atchanging behavior and decreasingpsychological tendencies to commit crimeshould be focused.

In this meaning, only Japan and HongKong have some of those programs, butthey are far from sufficient. Other countriesdo not have psychological programs aimedat changing criminal behavior, not theconcept/idea of these kinds of treatmentprograms. Actually, for some countries,psychological programs should and couldnot get priority. In these countries, the firstpriority is to have good enough living andsecurity conditions. Secondly, they needwork and education programs. Thenthirdly, they can deal with the psychologicalprograms of prisoners. As the programsaimed at changing criminal behavior arerather new in the world, no country hasachieved the goal of establishing theseprograms. Thus the programs whichdisturb the implementation of treatmentprograms aimed at changing criminalbehaviors, will be the focus of this paper.

2. Problemsa) Lack of Full Understanding of Crime

Causes and/or Characteristics ofCriminals

There has been some research on thecauses of crime and/or criminal behavior,which revealed that individual criminalcharacteristics include biological andpersona l i ty aspec t s , and fami lycharacteristics. However, no single factorcan predict criminal behavior. Althoughsome general factors that might enhancecriminal behavior could be addressed, it isdifficult to estimate and predict individualcriminal behavior. When we cannotunderstand the causes of crime, it is hardto treat the criminals.

b) Lack of Effective Methods to ChangeBehavior

Behavioral science and psychology arerather new sciences and psychotherapiesaimed at changing behavior, having ahistory of only two hundred years. Humanbehavior is very complicated and difficultto change once reaching adult hood.Furthermore, when criminal behavior isidentified, changing it becomes difficult.Usually, you find clients who lack themotivation to change, often tell lies,distrust you, and decieve you. They arepersons who have some difficulty in havinggood relationships with people; while trustand a good relationship is the basis ofmaking people change.

Also psychotherapy has been developedin the framework of medical hospitals and/or clinics for patients. Usually thosepatients want to be cured and follow theframework of psychotherapy. However,since prisons confine different kinds ofpeople, and have another kind of purpose,they have different type of framework.Contradictions in the frameworks ofprisons and traditional psychotherapycould be another factor disturbing thepsychological treatment of offenders inprisons. After all, effective methods tochange criminal behavior have not beenestablished yet.

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c) Lack of Reliable Statistical Methodsto Evaluate the Effectiveness ofPrograms

Lastly, there is a problem in evaluationthe effectiveness of treatment programs.You need feedback to improve theprograms, however statistical methods toevaluate treatment programs have somedifficulties, such as random sampling andselection of independent and dependentvariables. As a result, some say that norehabilitation program works effectively,and others say that some programs dowork. No lay people understand thestatistical methods to get these resultsfully. People doubt that any kind of validresult could be drawn. In this type ofsituation, people tend to believe what theywant to believe. Treatment programs cannot be improved if you do not understandwhat kind of programs is effective for whattypes of offenders, and to what extent.

3. CountermeasuresThe countermeasures to these problems

are basically to work with each factordisturbing implementation of effectivetreatment programs, and to break throughthe vicious circle created by these factors.Below are some countermeasures to solveor improve each problem factors disturbingthe implementation of effective treatmentprograms to reduce criminality.

a) Greater Understanding of CrimeCauses and/or Characteristics ofCriminals

Concerning the cause of crime, somecharacteristics of criminals are becomingclear. One factor is the psychology ofaggressive and psychopathic personalities.Hare made a Psychopath CheckListRevised(PCL-R)(4), which is an objectiveassessment measure based on his researchand Cleckley’s concept to the psychopath,“Mask of Sanity”. This measure makes itposs ib l e t o operat i ona l ly de f inepsychopaths and Gacono and Meloy have

studied psychopaths using PCL-R andRorschach Tests. Those studies foundpsychopathic criminals to have more abilityto ward off anxiety, or decrease dysphoricaffects, and this ability had obvious impactin eliminating the deterrents to criminalactivity. They also found that psychopathshad aggress ive and narc i s s i s t i cpersonalities with some extent of cognitivedisorder(Gacono & Melay, 1994; Hare,1995).

There are also some bio-psychologicalfindings. One aspect of the psychopath’sphysiology is evident in the differentialpatterning of lower skin conductance level,an under-aroused EEG profile and higherheart rate in anticipation of aversives t i m u l i w h e n c o m p a r e d t o n o n -psychopaths. This pattern suggests adecreased sens i t iv i ty and act ivepsychological coping in preparation for anaversive stimulus. It is not clear how thosebiological aspects, family background,so c i o - e conomic background , andpersonality make an individual criminal.However, all negative factors are requiredto be a perfect criminal. If one of thosefactors is lacking, other positive factors canprevent them from becoming a criminal.

Another kind of concept concerning thepersonality of criminals and delinquents isthe Antisocial Personality Disorder (ASPD)a n d C o n d u c t D i s o r d e r i n D S M -IV(American Psychiatric Association,1994). When the Diagnostic and StatisticalManual of Mental Disorders thirdedition(DSM-III) employed the Axisconcept and mentioned PersonalityDisorders in 1980, it became possible todefine antisocial personality disordersoperationally, and study them with somereliability. Now people believe a criminaldoes not become a criminal in one day.Hardcore criminals have started theircriminal carrier before the age of 10 years,committed a variety of delinquent andcriminal conduct.

Juveniles under 16 years who have

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behavioral problems could be diagnosed ashaving conduct disorders. Among thosewith conduct disorders, some would growup to become adult criminals diagnosed ashaving antisocial personality disorders.Other juveniles diagnosed with conductdisorders quit criminal conduct and becomelaw abiding people. What makes thisdifference is now believed to be the: abilityo f at tachment ; abi l i ty to have arelationship with real human beings (notidealized); and ability of impulse control.Even though causes of crime are notunderstood perfectly, it is possible todifferentiate juveniles who become chroniccriminals and those who do not to someextent, and these criminals who aredangerous and those who are not. Anyway,it is a good idea to continue to try to gainmore understanding of crime causes and/or characteristics of criminals.

b) Establishment of Effective Methods toChange Criminal Behavior

Even though psychological treatment tochange cr iminal behavior is st i l ldeveloping, DSMs have also contributedmuch to the development of psychotherapyfor personality disorders, includingantisocial personality disorders(ASPD).Although there are some psychiatrists whobelieve it is impossible and/or unnecessaryto treat ASPD, others have addressed someways to treat ASPD affected. Basictechniques to treat ASPD are concernedwith: how to motivate for change, how tohave and maintain relationships, and howto treat therapist’s counter transference(Davio, 1990, Dergsen, 1995; Fujioka,1998;. Livesley, 1995).

Some psychiatrists emphasize types ofconduct disorders. According to them thereare 4 types of conduct disorders; socialized,charac tero l og i ca l , neuro t i c , andpsychiatric. The prognosis and appropriatetreatment differs according to types. Theextent of psychological problems andnecessity of psychological treatment also

differ according to types (Fujioka, 1997;Weiner, 1992 ) . Th is means thatclassification aimed at making treatmentplans is important. Some might need morepsychological treatment, others might needother kind of programs such as vocationaltraining and education.

Still some psychiatrists prefer cognitive-behavioral treatment. They tend to bepractitioners and prefer group treatment.They believe that even if they do notunderstand the causes of crimes, it ispossible to treat them. They do not believein the medical model, which emphasizesprofessional people who have fullunderstanding of the causes and methodsto cure the disease and help patients. Theytend to believe in the ability of criminalsto help themselves. Since professionalpeople can not follow criminals and preventcriminal behavior all the time, it is thecriminals themselves who must preventthemselves from committing criminalbehavior again. So, the basic idea oftreatment is to help the criminals enhancetheir ability to help themselves. They focuson specific types of offenders such as sexoffenders, violent offenders and drugaddicts. Now most people believe sometreatment programs will help someoffenders to prevent recidivism, to someextent. So the topic should be focused onwhat treatment programs are effective forwhat types of offenders. Programs shouldbe developed according to these lines. Thesetypes of treatment programs for specifictypes of offenders will be dealt with indetail in the next sections.

c) Establishment of Statistical Methodsto Evaluate the Effectiveness ofPrograms

It is very important for improvingtreatment programs to evaluate the resultsof programs and have feedback on them.Because of computerization and progressin the field of statistics, methods toevaluate the effectiveness of the treatment

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programs have been much improved andthe effectiveness of some programs hasbeen proved (Andrew, 1998). Efforts toe v a l u a t e t h e e f f e c t i v e n e s s o rineffectiveness of treatment programsshould be continued and will help improvethe understanding of causes of crimes andtreatment programs of criminals.

B. Treatment Programs for DrugAddicted Prisoners

1. Actual SituationA c c o r d i n g t o t h e d i s t r i b u t e d

questionnaire, we observed that among 17participating countries, only Japan, HongKong, Malaysia, and Thailand have specialtreatment programs for drug addictedoffenders in their prisons; whereasBotswana, Fiji, Kiribati and SolomonIsland do not have any programs. The other9 participating countries treat drugaddicted prisoners with the treatmentprograms available for the general prisonpopulation. The actual situation of thetreatment programs implemented in therelevant countries will be discussedhereunder.

(a) Hong KongIn Hong Kong the Drug Addiction

Treatment Centers Ordinance(Cap.244)empowers the courts to sentence a drugaddict, found guilty of an offencepunishable by imprisonment, to detentionin a drug addiction treatment center. Theaim of the compulsory drug treatmentprogram is threefold:

a) Detoxification and restoration ofphysical health;

b) Uprooting of psychological andemotional dependence on drugs; and

c) Preparat ion for the inmatesreintegration into the society

The period of treatment ranges from aminimum of two months to a maximum of12 months, followed by 12 months ofstatutory aftercare supervision. The actuallength of treatment is determined by the

prisoner’s health and progress, and thelikelihood of remaining completely drugfree after release. The work program in thetreatment center aims at improving theinmate’s health, developing good workhabits and establishing self-confidence anda sense of responsibility. Inmates areassigned with work commensurate withtheir capabilities, skills and fitness. Thosewho are found to be medically unfit for awork program will attend occupationaltherapy classes. Prisoners released fromaddiction treatment centers are subjectedto 12 months of supervision, which aimsat assisting the released inmates toreintegrate into society.

(b) JapanIn Japan, the situation of the treatment

program of drug addicts prisoners in prisonis organized in groups at three points intime: upon entry, at the mid-point of theircustody and at the time of discharge. Thegeneral treatment program summarized asfollows:

i) Fact Finding Survey: A survey isdone to find out how drug abusers becomeaddicted to drugs by answering a set ofquestionnaire.

ii) Stimulants’ Effects on the Mentaland Physical Aspects of Abusers: Theprisoners are made to consider the effectsof drugs on their body and mind. In this,prisoners record experiences, such asillusions and delusions.

iii) Social Effect of Drugs Abuse:Prisoners are made to record their ownexperiences and discuss the negativeeffects of drug use on them and theirfamilies.

iv) Legal Restrictions: In this particularstep, prisoners are made to understand thesignificance of legal restrictions and theactual system of court trials. The strictimplementation of trial sentences andimposition of punishment are explained tothem.

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v) Methods and Determination on theAbandonment of Stimulant Abuse:Prisoners are told to make a commitmentto completely give up stimulant drugs.Prisoners prepare methods for abandoningstimulant drugs, and consider how to resisttemptations from their peer groups.

vi) A f t e r R e c e i v i n g D r u g - F r e eEducation: Lastly after receiving drug freeeducation, the level of comprehension of thecourse content is checked. In addition,female prisoners are taught to understandthat stimulant drug abuse affects not onlythemselves but also their fetus andnewborns.

(c) MalaysiaI n M a l a y s i a , a T h e r a p e u t i c

Community(T.C) Program is implementedtogether with the general treatmentprograms such as orientation, prison workand physical training. This programbridges the communication gap betweenstaff and drug addicted prisoners typicallyfound in correctional institutions, and alsoutilizes the prisoners’ peer influence andself-help concepts. Drug addicted prisonerswho live and work together meet with thestaff regularly with a desired goal ofimproving post-release performance. Byemploying (under staff direction) opencommunication, discussion, as well as otherT.C treatment methods, participatingprisoners can adjust their behavior throughlearning, testing and projecting themselvesas effective role models.

(d) ThailandIn Thailand, drug addict prisoners will

be sent to special prisons which providetreatment and rehabilitation programs. Atpresent there are 6 prisons to cater for suchprisoners. Treatment programs providedfor drug addicted prisoners consist of 3stages:

i) Withdrawal stage: Detoxificationmethods used in institutions is based on‘cold turkey’ without applying methadone.

ii) Psychological and physical recoverystage: Psychological treatment aims torestore and reconstruct self-confidence,m o r a l e a n d a t t i t u d e . P h y s i c a lreconstruction, which is done at the sametime, aims to restore body strength andfitness.

iii) Rehabilitation stage: Besides thepsychological and physical treatment,vocational training, formal education andwork are the main elements of therehabilitation program. Moreover, theD e p a r t m e n t o f C o r r e c t i o n s h a simplemented the Therapeutic Community(T.C) program to rehabilitate the ex-drugaddicted prisoners mentally and physically.The T.C program is implemented in 75prisons and correctional institutions wheredrug addicted prisoners are imprisoned.

(e) SingaporeIn Singapore, drug addicted prisoners

are detained in Drug RehabilitationCentres for a minimum period of 6 monthup to a maximum period of 36 monthsdepending on the number of previousadmissions. Prisoners with greater numberof previous DRC admission will be keptlonger in the DRCs. Upon arrest, all drugaddicts are sent to the reception centre.This is where they undergo a compulsorydetoxification period for one week. Afterdetoxification., inmates are transferred toDRCs.

Following a review of the drug program,Community-Based Rehabilitation wasgiven greater emphasis to assist the treatedaddicts to reintegrate into society. Uponcompletion of their minimum period inDRC detention, inmates will be places inone of the following programs:

a) C o m m u n i t y - B a s e dRehabilitation(CBR)

b) E x t e n d e d I n s t i t u t i o n a lRehabilitation(EIR)

U n d e r C o m m u n i t y - B a s e dRehabilitation, inmates may either beselected for any of the three schemes: the

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H a l f w a y H o u s e S c h e m e ( H W H ) ,Residential Scheme or Halfway HouseScheme with Naltrexone/ResidentialScheme with Naltrexone. Once the inmateis selected for the CBR scheme, they mayvoluntarily opt out of the program onlybefore it starts. Inmates who are selectedfor CBR are required to undergo the Pre-Release Program.

The Halfway House Scheme requires theinmates to stay in a halfway house for aperiod of six months, work during the dayand return to the HWHs in the evening toobserve curfew hours. The ResidentialScheme lasts for a period of six months.However, the inmates are required to betagged with an electronic monitoring devicewhen released. The inmates are alsorequired to work during the day but haveto return home in the evening to observecurfew hours. They must report regularlyback for counseling and urine testing.

In August 1993, the Departmentlaunched a pilot program involving the useof the drug Naltrexone on some inmates. Aperson who is on Naltrexone will not beable to ‘get high’ if he or she consumes anarcotic drug. Naltrexone is not addictive,hence it is not a substitute drug for theaddicts.

Those inmates who do not qualify for theCommunity-Based Rehabilitation or whovoluntarily opt out of CBR programs areplaced under Extended InstitutionalRehabilitation(EIR). In this way theirdetention periods in the DRCs would beextended up to between 12 to 24 months,depending on their categories.

2. ProblemsIn order to implement special treatment

programs for drug addicted prisoners, wewill identify various problems faced bythose related countries. The population ofdrug addicted prisoners in many countrieshas been soaring, thus making the specialtreatment of drug addicted prisoners aglobal and urgent issue. The problems

concerning special treatment programs fordrug addicted prisoners are as follows:

a) Lack of Treatment Programs or OtherRelated Resources

In Bangladesh, Indonesia, Nepal,Ghana, Papua New Guinea and Kenya,drug addicted prisoners are treatedtogether with other prisoners by givingthem counseling and religious guidance. Inthe Philippines, there is no specialtreatment program for drug addictedprisoners. In Korea, drug addictedprisoners are segregated from otherprisoners, but general treatment will begiven to them. In Pakistan, drug addictedprisoners are sent to hospital outside of theprison to undergo the medical treatment.

b) D i f f i c u l t i e s E n c o u n t e r e d i nImplementing Special Treatment forDrug Addicted Prisoners

(i) Lack of motivation of drug addictedprisoners: From our experience, drugaddicts have very weak willpower. Theycan maintain a drug-free life while inprisons, but once they are released, due toeasy access to drugs and for other reasons,they soon relapse. This implies that theprograms are not effective enough tomotivate drug addicted prisoners to quitdrugs when they are released from prison.On the other hand, drug addicted prisonershave some health problems, e.g., HIV,physical deficiencies etc. which need specialcare from the prison authorities.

(ii) Lack of specialists to implement theprogram: Due to increase of drug addictedprisoners in some countries, e.g. Malaysiaand Thailand, prison authorities faces theinsufficiency of specialists who are able toconduct treatment programs effectively.

3. Countermeasuresa) Establishment of Treatment Centers

for Drug Addicted PrisonersAs far as resources and security factors

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permit, it is preferable to separate all drug-addicted prisoners from those non-addicts,and to centralize them in separate,designated institutions. This is to facilitatethe implementation of treatment programsespecially designed for drug-addictedprisoners. It is also the best way to treatthe various types of drug addicted prisonerssuch as the seriously addicted prisoners orthe drug addicted prisoners with healthproblems e.g. HIV, physical deficiency. Forthose countries where there are no specifictreatment programs for drug addictedprisoners, they may consider adopting thetreatment programs that we havediscussed.

b) Countermeasures to Solve Problemsin Implementing Special TreatmentPrograms for Drug AddictedPrisoners

(i) Cooperation with other agenciesoutside prisons: Successful rehabilitationprograms for drug addicted prisonersrequire strong and sustainable systems,especially to prevent the ex-drug addictprisoners from relapse.

Cooperation with other related agencies,outside of prison, is required to giveaftercare or counseling services to the ex-drug addict prisoner to maintain theirdrug-free life and motivate them to keepaway from drugs. Facilities and programsprovided by halfway houses, communityrehabilitation centers etc. can be utilizedin order to monitor the ex-drug addictedprisoners, having personnel to educate andsupervise them closely within certainperiod.

(ii) Recruit and train more specialists:To cater for the needs of special treatmentprograms for drug addicted prisoners, andin accordance with the increasing numberof drug addicted prisoners in prison, morespecialist in related fields should berecruited. The other alternative is to trainselected staff in the respective treatment

programs.

C. Treatment Programs for SexOffenders in Prisons

1. Actual situationAccording to the quest ionnaire

distributed to all the course participants,only 4 out of 17 countries have specialtreatment for sex offenders. Thesecountries are Botswana, Hong Kong, Koreaand Japan. Therefore, we introduce thetreatments measures for sex offenders inthose countries and discuss the problemsand countermeasures.

(a) BotswanaThere are special treatments for sex

offenders in prisons in Botswana. Theyinclude interviewing the sex offender,individual counseling, sex education, groupcounseling and group discussion. Thepurpose of this treatment is to help anoffender realize their problems and how todeal with them. These treatments areconducted by prison social workers andchaplains. These social workers andchaplains are sent to training institutions,like the university for social work trainingor theology, which cover psychology as amajor subject. The group counseling is heldonce per a week with a duration of one hour,whereas individual counseling is conductedfrequently. However, it normally takes longtime for prisoners to open up and talk abouttheir problems.

(b) Hong KongThe objective of the treatment programs

f o r s e x o f f e n d e r s i s t o p r o v i d ecomprehensive assessment and treatmentservices for incarcerated sex offenders, aswell as for those referred by the court andrelevant review boards for evaluationpurposes. At present both individualtreatments as well as a structuredtreatment program, “The Sex OffendersSelf-Help Program”, is offered to inmates.The Sex Offenders Self-Help Program has

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a combination of self improvementstratergies covering the following areas:

• Sex knowledge;• Managing stress and negative

emotions;• Identifying and changing distorted

sex attitudes;• Improving social skills;• Victim empathy training;• Understanding offending patterns

and relapse prevention;• Community reintegration and

resources.The Sex Offender Self-Help Program is

designed to supplement individualpsychotherapy. The program provides anon-coercive and supportive environmentfor motivated offenders to learn, throughusing the multi media materials containedin the self-improvement packages, with theassistance of the Duty Psychologist. Weeklygroup sessions to consolidate learning andcontact with a personal tutor for in-depththerapy is also arranged. The treatmentperiod for offenders varies depending onindividual needs and may range from a fewweeks to six months.

(c) KoreaThere is specific treatment for sex

offenders in Korea. The contents of thetreatment are counseling, interview andeducation about sex, HIV and sexualmorals. This treatment is conducted bypsychologists or religious leaders (such aspriests, monks, etc) who emphasize theimportance of the family. Prison officersmakes prisoners exercise to have a soundmind. The purpose of this treatment is toprevent the offenders from relapsing intosex offences.

(d) JapanNot all sex offenders are given specific

treatment in Japan, but some ambitioustreatment is conducted in juvenile prisonssuch as Kawagoe and Nara JuvenilePrisons (Correctional Bureau, 1994). The

purpose of these special treatmentprograms is to make the sex offender inprison aware of their problems, to removetheir problems and to realize their re-integration. The detailed objectives are asfollows:

• To motivate them and to make themaware of their own problems;

• To make them think of how to solvethese problems;

• To make them have sympathy toothers;

• To make realize the damage to victimsand have respect for women;

• To make them realize how to expressthemselves in an unselfish way;

• To make them internalize treatments.Necessary treatment is given to the sex

offenders six to twelve times in accordancewith the treatment programs. The contentof this treatment is summarized as follows:

• Counseling;• To make them write a composition

titled “My future”;• Group discussion;• Role playing;• To make them watch videos about sex,

HIV and sexual harassment;• Role lettering (to make them write a

letter titled “If I were the victim”).

2. ProblemsThere are many problems concerning the

treatment of sex offenders in prisons. Theseproblems can be broadly divided into twocategories. One is the lack of specifictreatment programs and/or other necessaryresources in most countries, and the otheri s r e la ted t o the d i f f i cu l t i e s inimplementing the special treatmentprograms for sex offenders.

a) Lack of Treatment Programs or OtherRelated Resources

As we described above, only 4 countrieshave specific treatment programs for sexof fenders . That means the otherparticipating countries do not have specific

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treatment methods. According thequestionnaire, the reasons why specifictreatment for sex offenders does not existin those countries are as follows:

• Because there are few sex offenders(e.g. in Nepal and Pakistan)

• Because treatment for sex offendersin prisons is not established yet (e.g.in Ghana, Kiribati, Philippines, PNG,Solomon stands and Thailand.)

• Because there are no specialists whocan give specific treatment for sexoffenders (e.g. in Fiji and Malaysia)

For the countries who have few sexoffenders, specific treatment for them isstill needed because sex offenders mostlyhave psychological problems resultingfrom, for example, child abuse or incest.Therefore, even though there may be fewsex offenders in a country, the importanceof specific treatment for sex offenderscannot be ignored.

b) D i f f i c u l t i e s E n c o u n t e r e d i nImplementing Special TreatmentPrograms for Sex Offenders

There are special treatments for sexoffenders in prisons in Botswana, HongKong, Korea and Japan. However, thepsychologists or specialists who treat sexoffenders in prison encounter the followingdifficulties in implementing thesetreatment/methods:

(i) Unwillingness to participate inSpecific Treatment by sex offenders:Counseling or group discussion is contraryto their privacy, especially when themes arerelated to sex offences. As sex offences areof a shameful nature, most offenders justexpress “I feel repentant deeply” and do notspeak or discuss actively their crime.

(ii) Variety of sex offenders: There aremany type of sex offences such as sexualperversion, fetishism, exhibitionism,voyeurism, pedophilia, sadomasochism etc.Consequently, those offenders are inclinedto think “I am different from others” andare not motivated to join group activities.

(iii) Deep-rooted causes of sex offenders:It is difficult to change the base characterof sex offenders because the cause of theseoffenders have sometimes arisen from theirinfant experiences such as child abuse orincest. Accordingly, specific treatment forthem, other than prison work or academiceducation, should be implemented.

(iv) Changes of counselors or trainers:From time to time, the counselors ortrainers will be changed due to transfer,promotion or retirement. However, it isdifficult to change the trainer of sexoffenders because the treatment of sexoffenders is based upon the trustrelationship between the trainer and theprisoner.

3. CountermeasuresThe group members agreed that it would

be difficult to solve the above-mentionedp r o b l e m s , b u t t h e f o l l o w i n gcountermeasures might be useful to easeoff the present situation.

a) Introducing Treatment Programs orOther Related Resources

For those countries that lack specifictreatment for sex offenders, they may givedue consideration to the types of treatmentprograms being implemented in othercountries.

For those c ountr i e s tha t l a ckpsychologists or specialists, the presentsituation can be improved if some selectedcorrectional officers are educated inpsychology and used to assist thepsychologists to provide necessary thetreatment for sex offenders. If the authoritydoesn’t understand the importance ofspecific treatment programs for sexoffenders, these officials should be invitedto attend relevant international seminars,conferences or committees in order to makethe governments of those countries awareof the importance to the treatment of sexoffenders

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b) Countermeasures to Solve Problemsin Implementing the Specif icTreatment Programs for SexOffenders

(i) Privacy and good atmosphere: If thesex offenders doubt that their privacy isnot well secured, they will not speakfrankly in counseling or group discussions.Accordingly it is most important to teachthe inmates strictly keep others secrets andprivacy. In addition, the atmosphere ofgroup discussions should be made asrelaxing as possible, for example byarranging the allocation of tables in theform of circle or by adopting individualcounseling when needed.

(ii) To teach them sex offenders havecommon ground: The study of by JonathanE. Ross, M.A. “New Hope TreatmentCenters” (1-800-776-6482, 1994) teaches usthat sex aggressors, for example those stealwho sexual items, sexually harass, commitpedophiles, forcibly rape and commitsexual homicide, drives are based on thesame background. Accordingly, sexoffenders should be convinced that othersex offences come from common ground andthey should be motivated to understandeach others problems.

(iii)Relapse Prevention Program: It ishard reform the character of sex offenders,but it is possible to make them preventrelapse. George and Mariatt suggested a“Relapse Prevention (RP) Program for sexoffenders”. The purpose of the RP Programis to make an offender anticipate therelapse problem and manage it. Themethod of the RP Program is to make themwrite what problems may happen in a dayand how to manage them, individualcounseling, group discussion, role playingetc (George and Mariatt, 1989).

(iv) To standardize methods and keepgood records: It is unavoidable that thetrainers are sometimes changed because oftransfer, promotion or retirement.

Accordingly, it is very important tostandardize the methods of treatment viaworking manuals and to keep good recordsof treatment for proper hand-over from oneto another.

D. Treatment Programs for ViolentOffenders in Prisons

1. Actual SituationIn this paper, violent offenders are

referred to as those with a tendency to solvetheir problems by resorting to violentactions. Those with this propensity willinevitably bring into prisons their violentbehaviors when convicted. Therefore, somekind of psychological treatment is deemednecessary to reduce the risk of their re-offending.

As indicated by the questionnairedistributed, none of the 17 participatingcountries have treatment programs forviolent offenders, but the psychologists, ofsome countries will provide some sort oftreatment to them if necessary. ForBotswana and Fiji, counseling is the onlytreatment measure they employ. In thecase of the Solomon Islands, violentoffenders are encouraged to attendreligious activities and participate inreligious seminars that are normallyprovided by church organizations. InIndonesia, they arrange a “SHOLAT”session that requires the violent offendersto pray to God five times a day. The otherparticipating countries like Bangladesh,Pakistan and Thailand segregate violentoffenders in separated cells. In Ghana,Kenya, Kiribati, Malaysia and Papua NewGuinea, violent offenders are treated likeany other prisoners. They have no specialtreatment programs but they are treatedlike the rest of prisoners who participatein prison work, education or vocationaltraining.

It is essential to identify the motives ofthe commission of violent crime and thecauses to enable us employ the appropriatetreatment.

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2. Problemsa) No Specific Treatment Programs for

Violent Offenders in PrisonsAccording to the questionnaire, none of

the participant countries have anycomprehensive treatment programs forviolent offenders. The common treatmentis only the separation of violent offendersfrom the rest of the prison population.Chronic violent and aggressive prisonersare locked up for their own safety, and forthat of staff and other inmates.

The absence of specific treatmentprograms in prison for violent offenders hasbeen identified as a problem. This isbecause violent offenders are prone toviolent actions and their treatment isessential to reduce re-offending whenreturned to normal society. Why do we needtreatment programs for violent offender?The reasons are as follows:

• Some of them have cognit ivebehavioral problems.

• Some of them have a tendency to solvetheir problems by violent actions. Thisis a common factor in all countries andmost of these offenders are recidivists.

• Some violent offenders may havemental problems and or alcoholproblems.

3. Countermeasuresa) Implementat ion o f Packaged

Programs for Violent OffendersThe mere segregation and locking up of

violent offenders is seen to be a non-rehabilitative measure. The violentoffender will not receive any treatment fortheir violent behavior. For this reason, weintend to introduce a treatment programthat has been initiated by the CanadianServices for Correction(CSC). The programhas been researched and tested by thisagency and proved effective. Seeing thatnone of the 17 countries have such atreatment program, the introduction of theCSC treatment program for violentoffenders may help in formulating such

programs in the those countries. Theprogram may not be suitable to somecountries but it will give them some ideas.

b) Intensive Treatment Program forViolent Offenders

The treatment program conducted bythe Regional Health Center in Abbottsford,Canada offers an intensive treatmentprogram for violent offenders, specificallyfor federal inmates who are seen as beingat a very high risk of re-offending (Mulloy& Brown, 1994). The staff involved in theprogram include a psychologist, socialworker and nurses, who implement thetreatment provisions. Staff from otherdisciplines are also involves as needed. Thetreatment team model is used with all staffinvolved in treatment.

The program is a multi-model, withemphasis on cognitive-behavioral therapyand relapse prevention. There is also focuson amending specific offender skillsdeficits, such as communication and angermanagement. The setting of pro-socialgroup norms by participants is encouragedthrough daily group psychotherapy andgroup living. Two methods included in theprogram are:

i) Cogni t ive -behavior therapy :cognitive-behavior therapy is thepredominate treatment model, and hasbeen shown to be one of the most effectivetreatment methods. A strong emphasis isplaced upon the group experience and theimportance of forming supportiver e l a t i o n s h i p s w i t h o t h e r g r o u pparticipants. Teaching offenders differentways to think and to form relationships,while at the same time encouraging themto practice their developing skills on eachother in a supportive environment, isbelieved to have a promising effect in termsof recidivism on re-entry to the community.It is also seen to be effective in improvingself-regulatory cognitive, emotional andbehavioral controls.

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ii) Anger Management: The importantelement in this therapy is the creation of adelay between the provoking event and theemotional arousal. Criminal or delinquentpopulations have often been described asimpulsive people who ‘act before theythink’. For this reason, the program willincorporate a number of elements intendedto extend the amount of time between theevent and the response. These elementsinc lude re laxat ion t ra in ing , theidentification of an internal observer andthe recognition of internal dialogue aboutthe provoking event. The inclusion of thesedelaying events should act to reduce theimpulsive nature of the inmates angerresponse.

E. Treatment Programs forOrganized Crime Offenders inPrisons

1. Actual SituationAccording to the quest ionnaire

distributed to all the course participants,no country, other than Japan, has specialtreatment programs for organized crimeoffenders. However we agreed that therewas an increase in the trend towardorganized crime in some countries, andefforts should be made to help thoseoffenders re-integrate into society.Notwithstanding the tremendousdifficulties encountered in the newchallenges, in 1994 the CorrectionalBureau of Japan set forth a new guidelinesfor those hard-core offenders.

a) Characteristics of BoryokudanInmates

In Japanese prison ‘Boryokudan’members are regarded as dangeroushabitual offenders and have the followingcharacteristics:

• Generally speaking, the Boryokudaninmates are classified as ‘B class’ interms of allocation category, and ‘Gclass’ as to treatment category. ‘Bclass’ inmates have a propensity

toward committing crime and ‘G class’inmates should be given guidance andlife skills training;

• They like to show off and are easilydriven by impulsive characteristics.They have high loyalty to theorganization and have little self-repentance;

• They undermine prison regulationsand general treatment, and evendisturb the rehabilitation of otherinmates.

According to the statistics of OsakaPrison, which accommodate 2003 inmates,in May 1998 the number of Boryokudaninmates was 338(16.9%). While the totalnumber of prison penalties during 1997was 1792, the number of penalties imposedon Boryokudan inmates was 399(23.3%).

Consequently, special treatments areconducted for the Boryokudan inmatesfrom a security view point, such as:

• B o r y o k u d a n p r i s o n e r s a r eadministered according to the groupthey belong to. They are separatedfrom each other not only in cells butalso in institutions.

• To avoid contention or strife inprisons, prison officers prohibit themfrom talking about the groupstruggles outside of the prison, andfrom organizing group with in theprisons. Letters are sensored carefullyfor this purpose.

b) Some Aspects o f BoryokudanMembers

Research on the life of Boryokudan madeby the National Research Institute of PoliceScience in 1994 indicates that:

• The motivation to become members ofBoryokudan is ostensibly theaffluence of the Boryokudan.

• Over half answered that they blindlyobey the direction of their boss.

• Most of them have no clear goal intheir group.

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c) The Consciousness of BoryokudanMembers

Research on the life of Boryokudanmembers made by the National ResearchInstitute of Police Science in 1994 indicatesthat the main reasons for leaving theorganization is due to anxiety for theirfamily, financial independence from theorganization, being arrested by the police,having an appropriate occupation andbeing persuaded by their family or friendsto leave the organization.

d) Treatment Programs for OrganizedCrime Offenders in Prisons

In the past, there was little treatmentmethods for organized crime offendersother than segregation and tight securitycontrol. To help the offenders leave theBoryokudan, in 1994 the CorrectionalBureau of Japan set forth guidelines forthe treatment of organized crime offendersin prisons.

e) The Content of Treatment forOrganized Crime Members

The Correctional Bureau set up 10 typesof treatment programs for organized crimemembers. These treatment programs aregiven to organized crime offenders 12

times, and the content of this treatment isas follows:

• To make them realize that it isimpossible to continue as a memberof the Boryokudan, ‘that there arespecific organizations to help theirbreakaway. Also that it is impossibleto live as a Boryokudan memberwithout committing illicit acts,especially after the enactment of theAnti-Boryokudan Law and that the“Giri and Ninjyo (duty and love)” inBoryokudan is just deception;

• To make them think about: the badinfluences when living as members ofthe Boryokudan, the image of theBoryokudan in the future, theinconvenient life of the Boryokudan,the importance of the free citizenshipand the reason why they becamemembers of the Boryokudan;

• To make them understand how: toleave the organizations and to makethe i r in tent i on t o l eave theorganizations more strong; theycaused difficulty for their family andhow to re-build good relationship withthem;

• To make them understand theimportance of lawful work and toteach them how to work in thecommunity.

Target of Treatment All the members, semi-members and Boryokudan-relatedprisoners.

Division of prisoners 1. Those whose intention to leave the organization is verystrong.

2. Those who have the will to leave the organization, buthesitate to proceed with the breakaway.

3. Those who will not leave the organization.Form of Treatment Generally speaking, treatment of the first period is held in

group and the second half is held individually.Cell Those who will not leave the Boryokudan are obstacles to

those who intend to leave the organization. Accordingly,those who intend to leave the organization should beincarcerated in solitary cells if possible.

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2. ProblemsThere are many problems concerning the

treatment programs for organized crimeoffenders in prisons. These problems canbe broadly divided into two categories. Oneis the lack of treatment programs and theother is related to the difficulties inimplementing specific treatment programsfor organized crime offenders.

a) Lack of Specific Treatment Programsfor Organized Crime Members

As described above, only Japan hasspecific treatment for organized crimeoffenders in prisons, among the courseparticipating countries. That means, thatthe other 16 countries, have no specifictreatment programs except segregation.According to the questionnaire, the reasonswhy specific treatment programs for sexoffenders do not exist are as follows:

• Because there are no organized crimeoffenders (e.g. in Fiji, Ghana, Kiribati,Nepal, PNG and Solomon Islands);

• Because there are few organized crimeoffenders (e.g. in Botswana, Pakistanand Thailand);

• Because it is very difficult for prisonofficers to make the organized crimeoffenders re-integrate into thecommunity, so the treatment of themshould be carefully implemented (e.g.in Indonesia).

It was noticed that as the transportationnetwork developed, crime has become moreinternationalized and border less. Inaddition, as a country develops andbecomes richer, the criminal organizationswill increase their influence. Furthermore,the criminal organizations are alwaystrying to extend their sphere of influenceto get more money by illegal acts.Accordingly, even if there are few organizedcriminal offenders in a country, theimportance of the specific treatment forthem cannot be ignored.

b) D i f f i c u l t i e s E n c o u n t e r e d i n

Implementing Special Treatment forOrganized Crime Offenders inPrisons

There are special treatment programsfor organized crime offenders in Japan.However the implementation of thistreatment is very difficult due to thefollowing reasons:

(i) Lack of Personal or Other Resources:This problem has three aspects, that is:• The prison officers provide little

treatment for those who will not leavethe criminal organizations, because itseems to be a waste of time.

• The main t rea tment f o r theBoryokudan is to encourage them toleave the organizations. However, thereasons why they cannot leave theorganizations are quite different fromeach other. Accordingly individualt r e a t m e n t i s m o s t i d e a l f o rBoryokudan members. However, it isvery diff icult to conduct suchprograms for each of the Boryokudanmembers, because of a lack ofpersonnel or other resources.

• The t reatment programs f o rBoryokudan members have beennewly introduced to the penal system.It is noticed that teaching materialssuch as videos, brochures and cassettetapes are still limited.

(ii) Lack of Cooperation by RelatedDivisions: Three divisions are involved inthe treatment of organized crime offenders;the classification division, educationaldivision and classification board. However,it is difficult for the officers of these threedivisions to cooperate with each other,because Japanese administaration isdivided vertically.

(iii)Lack of Care and Investigation AfterRelease: Many organized crime memberssubmit documents in which they pledge toleave the organizations. However, many ofthem may submit the documents because

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they want to get parole. Moreover, thereare still no measures to follow-up thesecases and confirm whether prisoners reallyleave these organizations after release.More than that, it is difficult to help theseprisoners find a job after release.

3. CountermeasuresIn conclusion, it is difficult to solve all of

the above-mentioned problems, but thefollowing countermeasures may help toease the present situation:

a) Introducing Specific TreatmentPrograms for Organized CrimeMembers

For those countries with a lack of specifictreatment programs for organized crimeoffenders, the treatment system of Japan,as explained above, may be helpful. Inaddition, those countries where there arefew organized crime offenders should studyhow to treat organized crime offenders inpreparation for the future.

b) Countermeasures to Solve Problemsin Implementing the SpecialTreatment Programs for SexOffenders

The problems we mentioned above maybe solved by following countermeasures.

(i) Deve lopment o f New GroupTreatment Programs and Materials: Prisonofficers should be reminded of theirimportant role in the rehabilitation ofoffenders, notwithstanding that prisonersare organized crime offenders.

Furthermore, those who need treatmentmost are those whose want to remain inthe Boryokudan, because they have morelikelihood of recommitting crimes thanothers. Accordingly treatment should beextended to those Boryokudan memberswho want to remain in the criminalorganization.

Due to the lack human resources, moreemphasis should be put on the grouptreatment and the combination of group

and individual treatment from theviewpoint of expense and effectiveness.Since the existing treatment programs arestill at the primitive stage, more effectiveteaching materials such as videos,brochures and cassette tapes should bedeveloped and introduced.

(ii) Close Cooperation of RelatedD i v i s i o n s a n d A g e n c i e s : C l o s ecommunication and cooperation should bemaintained among the three divisions, thatis the classification division, educationdivision and classification board. Moreover,other authorities, for example police andpublic prosecutors office, should also beinvolved in follow-up action.

(iii)Effective Care and InvestigationAfter Release: Following the release of aBoryokudan member on parole, jointfollow-up action should be taken to confirmwhether they have organization by theProbation Office and the Police. Workingin the community is one of the best waysof re-integration, though it is difficult tohelp them find jobs after release.Accordingly, the Public Probation Officersshould help them find jobs in conjunctionwith the Voluntary Probation Officers andother agencies.

V. WAYS TO SECURE THETREATMENT ABILITY OF PRISON

STAFF

A. Recruiting Capable Staff1. Actual Situation

Normally, the process of recruitment,selection and appointment of prison staffis basically similar in most countries.Firstly, all the applications are strictlytested against the requirements of the jobspecification as advertised. The jobspecif ication wil l comprise of theeducational qualifications, academicstatus, work experience, age, gender,general health, marital status, criminal

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records and other information.Secondly, the preliminary selection

process begins soon after all applicationshave been received with a short list ofcandidates drawn up. The shortlisting ofapplicants will then have to undertake anintensive selection process conducted bythe boards or commissions.

Thirdly, the examinations are composedof personal interviews, other specific job-related or job-oriented questions andexaminations. If the applicants referencesand examination results meet the desiredstandard of the Selection Board, then thecandidates will appear for a completemedical examination.

Having studied the actual situationsamong the 17 participating countries on therecruiting of prison staff, the group foundthat most countries recruited prison staffand some kinds of specialists to conduct therehabilitation program, such as socialworkers, psychologists, doctors, nurses,vocational trainers, religious instructors,teachers, etc. However, some of thosecountries, for example Indonesia, Thailand,Malaysia, Kiribati, Nepal, Papua NewGuinea etc., cannot recruit sufficientspecialists in to their system. For somecountries like Hong Kong, Malaysia andNepal, some specialists are deployed fromother government agencies, such as theDepartment of Health, Ministry ofEducation, etc.

Some countries also recruit specialistsin accordance with their relevantqualifications. However, other countrieslike Botswana, Indonesia, Thailand andMalaysia, the educational requirements forthe posts of specialists are generallyrequired to hold a diploma or degree ofsocial science or education, which includevarious majors. Thus, the personnel sorecruited will undertake the jobs whichmay not be relevant to their knowledge, forexample, those who graduated with a majorin politics may work as a social worker. Itwas also observed that the educational

requirement for recruiting prison staff inmost countries, except Ghana and thePhilippines, does not include the fields ofcriminal justice, criminology or corrections.For the recruitment of prison staff whoworks as prison guards, the minimumeducational requirement specified by allcountries, except the Philippines, is a highschool certificate.

In conclusion, those 17 countries haverecruited some kinds of specialist toconduct the rehabilitation programs inprisons. However, most of them cannotsufficiently recruit these specialists intotheir own system.

2. Problemsa) Difficulty in Recruiting Rehabilitation

Staff M o s t p a r t i c i p a t i n g c o u n t r i e s

encountered great difficulty in recruitingthe appropriate of people for positions. Thisresults in an insufficiency of qualified staffwho are capable of implementing therehabilitation programs effectively, likepsychologists, teachers, prison officers,technical instructors in various fields oftrade etc. The difficulties of recruitingrehabilitation staff are mainly due to theunattractiveness of correctional workincluding low salary, poor workingenvironments, poor working conditions anda bad public image.

As revealed by the questionnaire, forsome countries like Bangladesh Indonesia,Papua New Guinea and the SolomonIslands, their situations may be worse thanthe other countries. For example, theirprison buildings lack maintenance and theworking condi t ions are far f romsatisfactiory.

b) Inadequate Educational Backgroundof Prison Staff

While correctional work is viewed as aprofession which requires specificknowledge on criminology, criminal justiceand corrections, many countries do not

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include these fields of knowledge in theeducational requirements for recruitingprison staff. Prison staff are only requiredto have an educational background in socialscience or education. In many countries,prison guards have only a high schooleducation. The lack of specific knowledgeand advanced education of prison staffresults in the inadequacy of educationalbackgrounds for working in correctionalservices. This problem will have adverseeffects on the ability of staff to rehabilitateprisoners.

3. Countermeasuresa) Enrichment of Recruiting Qualified

StaffTo solve the problems of recruiting the

right caliber of people for prison jobs, thecorrectional administrators must have aneffective recruitment system with a viewto attracting and selecting qualifiedpersons to join the correctional service. Thisinvolves the ability to publicize andmaintain a good public image, and also theability to set up an effective staff selectionprocess.

Moreover, the government andcorrectional administrations in variouscountries should consider the necessity ofawarding a premium to correctional officerswho have to work under demanding prisonconditions.

b) Quality Training for Prison StaffTo equip the new recruits with the

necessary knowledge and skills fordischarging their duties and implementingthe various treatment programs,correctional administrators should providequality basic training and constantguidance. In addition, appropriatedevelopment training should be providedto currently serving staff, in order toenhance their job performance and developtheir potential for taking up higherresponsibility. To motivate staff to achieveacademic qualification, correctional

administrators could render assistance byproviding scholarships or study leave etc.

B. Training of Prison Staff toEnhance Their Treatment Ability

1. Actual SituationAfter selection has been made, recruited

prison staff should be put through intensiveand extensive training programs,conducted by a training institute.

Apart from Bangladesh, Kiribati andNepal, most participating countries haveestablished staff training institutes toconduct training courses for prison staff.In general, the major levels of training,provided by training institutes, can bedivided into two types:

(i) Basic Recruit Training: This trainingaims at providing new personnel with thebasic knowledge and skills for carrying outtheir duties. The basic recruit training alsoaims at imparting a sense of professionalethics, conduct etc. The course content forthis training includes: basic prison laws,rules, and regulations; correctionaltreatment programs; counseling skills etc.Other practical skills taught in trainingprograms are self-defense, use of firearms,first aid, foot drill, riot drill, fire drill andso on. According to the questionnaire, wefound that all participating countries,except Nepal, have these kinds of trainingcourse.

(ii) Refresher and DevelopmentalTraining Courses: Refresher courses areorganized regularly for correctional staff toupdate their operational knowledge. Thisalso serve to inspire a renewal of interestin their daily duties. Developmentaltraining courses for promotional purposesare conducted for selected personnel to givethem a thorough grounding in thetheoretical aspects of their work. This is toprepare them for a higher level ofresponsibility.

Apart from the above training courses,in most participating countries, training

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courses relevant to the rehabilitation ofprisoners are provided. In Papua NewGuinea, the training courses on conflictresolution, and for religious educationalinstructors and trade instructors, areprovided by training institutes. InThailand, there are training courses onclassification, Therapeutic Community andreligious activities

In Malaysia, the training courses onc r i s i s m a n a g e m e n t , c o u n s e l i n g ,Therapeutic Community and handling HIVrelated prisoners, are provided by atraining institute; while training for tradeinstructors is conducted by the NationalCouncil for Vocational Training. Apart fromthat, opportunities have been given toserving officers to pursue their educationof local universities in the areas ofcounseling, psychology, human resourcemanagement etc.

The training institute in Hong Kongruns various development/specialistcourses such as Management DevelopmentCourses, Hospital In-service TrainingCourses for Assistant Officers (General andPsychiatric) , Detention Center Courses,Drug Addiction Treatment Center Courses,Emergency Services Training Courses andPersonal Computer Training Courses, etc.

In Japan, a training institute conductstraining courses for psychologists, socialworkers, religious instructors, vocationaltrainers in progressive techniques. In thePhilippines, there are training course inf i r s t a id , c ounse l ing and s t ressmanagement. In Indonesia, the trainingcourses relevant to rehabilitation programsare conducted by outside agencies, such asthe Department of Industry, Departmentof Manpower and Department o fEducation.

2. Problemsa) Lack of Systematic Training ProgramAccording to the survey conducted

during the workshop, many countries haveheld training courses for newly recruited

prison staff and training courses relevantto the rehabilitation of prisoners. However,it was observed that the training programsare not systematic. One of the reasons isthat training programs are establishedwithout assessing the training needs of theprison staff. Thus, the curriculum of sometraining programs does not includeessential knowledge on the rehabilitationof prisoners, e.g. psychology, criminology,social work, etc.

Moreover, lecturers in the trainingprograms are normally senior prison staffwho are not well skilled to be trainers.Mostly, they teach in accordance with theirown experience and knowledge, without afull understanding of related theories orconcepts. The lack of training assessmentand qualified lecturers are the two mainfactors attributing to the ineffectiveness oftreatment programs.

b) Lack of Proper Guidance to Performthe Job

In some countries, prison staff who havejust undergone basic training are oftenplaced on their own to perform their jobsin prison, without any proper assistanceor guidance from the senior or peer officers.Due to the lack of experience andconfidence in work, newly recruited prisonstaff are at risk of being tempted byprisoners and misguided by bad staff.

Since correctional work now requiresprison staff to play a greater role thanbefore, improvement in treatmentprograms will be more complicated. Insome countries, prison staff have toperform security tasks as well asrehabilitative tasks. Both security tasksand rehabilitative tasks require high skilland understanding from prison staff, sincethese tasks sometimes conflict. To securesafety and prevent disturbances in prisons,staff have to carefully supervise prisoners,the rehabilitative task requires prison staffto provide the necessary services toprisoners with understanding. Without

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proper guidance, it is difficult for newprison staff to perform their dutyprofessionally and effectively.

3. Countermeasuresa) Establishment of Systemic Training

PackagesSystematic and standardized training

programs are essential and vital forequipping prison staff with necessaryknowledge, skill and concepts. Suchtraining programs should be job-orientedand useful in helping them discharge theirstatutory duties effectively.

In order to provide systematic trainingprograms, it is suggested that the trainingpackage should be developed by assessingthe training needs of prison staff atdifferent levels and in different fields. Afterassessing the training needs, thecurriculum of the training program shouldinclude subjects for enhancing staffperformance, skill and concepts relating tothe rehabilitation of prisoners, e.g.,criminology, psychology, social work etc.

The training package should also includea training manual providing the methodof teaching, and a presentation of thecourse content fro the trainer whichprovides the method of teaching and thepresentation of the course content. Thetraining manual will assist the trainer, aswell as the lecturers, to conduct thetraining program consistantly from onetrainer or training center, to another. Theadoption of a standardized and systematictraining package will improve the standardof training programs and guarantee thattrainers will deliver the necessaryknowledge and skill to trainee constantly.

b) Development of ‘On The Job’ TrainingIt is suggested that newly trained staff

are, when possible, given on-the-jobtraining so as to promote their skill andexperience. Well structured on-the-jobtraining will protect prison staff from thebad influence of prisoners and improper

guidance from more experienced prisonstaff who have misconceptions aboutcorrectional work, as well as improve theirunderstanding of their roles.

On-the-job training courses conducted insome countries like Hong Kong may beconsidered and applied. In Hong Kong, thecorrectional Services Department providesin-service training sessions for serving staffonce per week in order to update theirknowledge on laws, rules and regulations,operational duties and treatment programsetc. The officers also take the opportunityto discuss among themselves ways topromote the effectiveness and efficiency ofthe correctional work in their institutions.This kind of training is organized by theStaff Training Committee of the respectiveinstitutions, with close monitoring bysenior officers and assistance from theRegional Training and Liaison Officersdeployed from the Staff Training Institute.For officers under probation for a period of2 years, the Regional Training and LiaisonOfficers will provide them with guidanceand counseling in order to help them copewith their work environment.

VI. CONCLUSION

In conclusion, our group has studied therehabilitation programs conducted in 17countries as well as some specific countries,e.g. Finland, Singapore, Philippines,Canada, USA, etc. The rehabilitationprograms, which are explored, are asfollows:

• The treatment programs to enhancesocio-economic ability of prisoners,i.e., prison work, vocational trainingjoint venture schemes and educationsystems.

• The treatment programs for specifictypes of prisoners, i.e., prisoners withpsychological problems, drug addictedprisoners, sex offenders, violentoffenders and organized crimeoffenders.

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After studying the actual situation forimplementing these treatment programs inthe 17 countries, we found that mostcountries sustained prison work andvocational training to rehabilitateprisoners. However, only a few countriescould provide special treatment programsfor specific types of prisoners in need ofrehabilitation. In fact, many countries didnot separate the specific types of prisonersfrom the general prison population. Assuch, some countries confined drugaddicted offenders, violent offenders andsex offenders together in the samecorrectional institution, without theprovision of special treatment programs.

The problem of lack of special treatmentprograms partly resulted from the lack ofspecialists capable to implement thetreatment programs. The study revealedthat the lack of a financial budget was themain reason for this fall short. It wascommonly said that countries havebudgetary and personnel constraints, sothey could not implement any newtreatment programs. These problems seemto be the major obstacle for some countriesin rehabilitating prisoners and theyprevent new kinds of progressive treatmentfrom being introduced.

Nevertheless, our group has identifiedsome countermeasures for such problems.Some countermeasures are proposed byway of securing the rehabilitation abilityof prison staff. This means that trainedprison staff may be deployed to plays theseroles. Prison staff do not only play the roleof security guards, but also that of thecorrectional staff who can performrehabilitation roles and act as social workeror teachers. To play a different role in therehabilitation of prisoners, prison staffshould be trained and equipped withprofessional know ledge and skills in orderto meet the requirements of the treatmentprograms.

Furthermore, cooperation with outsideagencies is another countermeasure

proposed to solve the problem of budgetaryconstraints. Group treatment programs arealso introduced in order to increase thecost-effectiveness of programs. To assurethe effectiveness of rehabilitationprograms, the following recommendationsmight be taken into consideration.

A. Necessity of a ClassificationSystem for the Rehabilitation ofPrisoners

A classification system is a method toinvestigate the characteristics of prisonersin order to provide them with suitabletreatment programs that address theirproblems. Therefore, without an effectiveclassification system, it will be hard toidentify the needs of individuals and toi m p l e m e n t t r e a t m e n t p r o g r a m saccordingly. It was also noted that someprisoners need special treatment programs;whereas others may just need generaltreatment programs like prison work,vocational training and education.

Therefore, it is suggested that prisonersbe classified in accordance with theirdistinctive problems prior to receiving anykind of treatment programs; and should bereclassified after the treatment programsare provided in order to enhance follow uptreatment.

B. Combination of Various Types ofTreatment Programs for theRehabilitation of Prisoners

Since the problems of prisoners arecomplicated, no single treatment programwill be applicable to all types of prisoners.In addition, each type of prisoner may needmore than on type of treatment program.It is recommended that prison work isnecessary for almost all types of prisoners.However, prisoners should also be treatedby other programs in accordance with theirown needs. Prison officers should consideradopting appropriate treatment programs,or a combination of such, to address theproblems encountered by different types of

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prisoners , in order to help themrehabilitate.

C. The Importance of theWillingness and Motivation ofPrisoners in the Effectiveness ofRehabilitation

The common problem repeatedlyidentified in this paper was the lack of thewillingness of prisoners to participate inthe treatment programs. Thus, it isstrongly recommended that prison staffencourage prisoners to voluntarilyparticipate in treatment programs. Theways of persuasion may be different fromone country to another, depending on theircorrectional systems. In some countries,incentives, for example, remuneration orwages, can be employed to persuadeprisoners. Other countries may persuadeprisoners to participate by providing non-monetary privileges, e.g., promotion to ahigher class and eligibility for early release,etc.

D. The Importance of Evaluating toRehabilitation Programs

Despite some countries not having anyevaluation systems for their rehabilitationprograms, it is considered that these kindsof follow-up measures are necessary andimportant for correctional administratorsto assess the effectiveness of the programs.As such, necessary improvements can bemade accordingly.

Finally, we are fully aware that thecorrectional system in each country isdifferent and distinctive. Some treatmentprograms may be applicable to somecountries, but not to all. Thus, therespective countries may consider thefeasibility of adopting the treatmentprograms as recommended by this reportin order to meet their own needs.

REFERENCE

American Psychiatric Association (1994),

Diagnostic and Statistical Manual ofMental Disorders. 4th ed.

Andrews,D. (1998), An Overview ofTreatment Effectiveness: Research andClinical Principles. Paper presented inUNAFEI 109th training course.

Anechiarico,Barry. (1998), “A CloserLook at Sex Offender Character Pathologyand Relapse Prevention”, InternationalJournal of Offender Therapy andComparative Criminology, 42(1), 16-26

Correction Bureau, Ministry of Justice(1994), Cases of Educational Treatment.

Correction Bureau, Ministry of Justice(1991), A Handbook for Prison Officers 112-134

Correction Bureau, Ministry of Justice(1997), Manual of Classified Treatment,“Guidance on Leaving the Boryokudan”

Davis, D. (1990), “Antisocial PersonalityDisorder” In Beck, A. & Freeman, A.Cognitive Therapy of Personality Disorder.Guilford.

Derksen, J. (1995) , PersonalityDisorders: Clinical and Social Perspectives.Wiley.

Fuchu Prison, (1997), Statistics ofClassification.

Fuj ioka , J . (1997) , “RorschachAssessment and Treatment Planning forthe Conduct Disorder”. Japanese Journalof Adolescent Psychiatry, 7(1), 13-20.

Fujioka, J. (1998), “Guidance of SST”,Keisei vol.109 p96-102.

Fujioka, J. (1998),“Assessment andTreatment of Antisocial PersonalityDisorder”. Psychotherapy, 24(1), 23-29.

Gacono, C. & Meloy,R. (1994), TheRorschach Assessment of Aggressive andPsychopathic Personalities. LEA: NY.

Hare, R. (1995), Without Conscience:The Disturbing World of the PsychopathsAmong Us.

Ikushima, H. & Muramatsu, T. (1998),Practice of Clinical Treatment for Juvenile,Kongou Shuppan.

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Imafuku, S. (1997), “Sex offenders andCommunity-based Treatment”, Crime andDelinquency, 111,114.

Jonathan E. & Ross, M.A. (1994), NewHope Treatment Centers.

Kawagoe Juvenile Training School(1997), Manual of Classified Treatment andStandard of Classification.

Livesley, J. (1995), The DSM-IVPersonality Disorders. Guilford.

Miner, Michael H. &. Dwyer, M. (1997),“The Psychosocial Development of SexOffenders”, International Journal ofOffender Therapy and ComparativeCriminology, 41(1), 36-44.

Mulley, R. & Brown, C. (1994), CanadianPsychological Association. AbbotsfordBritish of Columbia.

Osaka Regional Correction Bureau,Correction and Education, vol.304, 305 and308.

Perry, Garry P. & Orchard, J. (1992),Assessment & Treatment of Adolescent SexOffenders.

Strain, C. & Sheath, M. “Groupwork asa Basis for Assessing Sex Offenders”,Prison Service Journal, Issue 103 40-43.

Weiner, I . (1992), PsychologicalDisturbance in Adolescence. 2nd ed.chapter 8 Delinquent Behavior. Wiley.

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TABLE I

PRISON WORK

Prison Work Vocational Training Joint Ventureobliged voluntary yes no inside outside none

Bangladesh ○ ○ ○Botswana ○ ○ ○

Fiji ○ ○ ○Ghana ○ ○ ○

Hong Kong ○ ○ ○Indonesia ○ ○ ○

Japan ○ ○ ○ ○Kenya ○ ○ ○

Kiribati ○ ○ ○Malaysia ○ ○ ○ ○

Nepal ○ ○Pakistan ○ ○ ○

Papua New Guinea ○ ○ ○Philippines ○ ○ ○R. of Korea ○ ○ ○Solomon Is. ○ ○ ○

Thailand ○ ○ ○

TABLE 2

EDUCATION

Fundamental level Advanced level Illiteracy rate*Int. F.A. Int. F.A. Male(%) Female(%)

Bangladesh Yes Gov No - 50.6 73.9Botswana Yes n/a Yes Gov,Pri 19.5 40.1

Fiji No - Yes n/a 6.2 10.7Ghana Yes Gov,Pri No - 24.1 46.5

Hong Kong Yes Gov Yes Gov,PTA 4.0 11.8Indonesia Yes Gov No - 10.4 22.0

Japan Yes Gov Yes Gov,Pri - -Kenya Yes Gov No - 13.7 30.0

Kiribati No - No - - -Malaysia Yes Gov Yes Pri 10.9 21.9

Nepal Yes Gov Yes Gov 59.1 86.1PNG Yes Gov Yes Gov 19.0 37.3

Pakistan Yes Gov Yes Gov, Pri 50.0 75.6Philippines Yes Gov,NGO Yes Gov,NGO 5.0 5.7R.of Korea Yes Gov Yes Gov 0.7 3.3Solomon Is. No - No - - -

Thailand Yes Gov Yes Gov 4.0 8.4Int: Introduction, F.A.: Funding Authority, Gov: Government, Pri: Prisoner(s), PTA: Prison Trust Account, n/a: Not available, *: UN Statistics Division (1995)

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GROUP 2

EARLY RELEASE OF PRISONERS TO FACILITATE THEIR RE-INTEGRATION INTO SOCIETY: THE ACTUAL SITUATION,

PROBLEMS AND COUNTERMEASURES

Chairperson Mr. Mohammad Yamin Khan (Pakistan)Co-Chairperson Mr. Takao Nakamura (Japan)Rapporteur Mr. Elizabeth Malebogo Masire (Botswana)Co-Rapporteur Ms. Emilie Pantoja Aranas (Philippines)Members Mr. Md. Hemayet Uddin (Bangladesh)

Mr. Tetsuya Kagawa (Japan)Mr. Akihito Suzuki (Japan)Mr. Gyan Darshan Udas (Nepal)

Advisers Professor Hiroshi Iitsuka (UNAFEI)Professor Kayo Konagai (UNAFEI)

I. INTRODUCTION

This group consisted of 8 participantsfrom Bangladesh, Botswana, Japan, Nepal,Pakistan and Philippines. The group iscomposed of an Assistant Judge, aPsychologist, Social Worker, Police Officer,an Under Secretary, Probation Officer and2 Prison Officers. The group was assignedto study and present a detailed report onthe above subject, keeping in view thefollowing points:

i) selection of early release candidatesin balance with the risk of recidivism;

ii) time of early release to facilitate thereintegration of prisoners into societyin balance with the execution ofsentence as a punishment;

iii) adjustment and/or improvement ofthe living environment to whichprisoners will return after theirrelease from prison;

iv) composition of the decision makingbody for prisoners’ early release.

In an effort to facilitate the prisoners’smooth re-integration into the mainstreamof society upon their release, manycountries have adopted remission, parole,pardon, amnesty, extra mural employment/

labour etc, as early release measures. It isnecessary to point out here that there aretwo types of extra mural employment/labour existing in some of the participants’countries. In one, prisoners are allowed togo out from the prison for work or labour,and they come back in the evening to theprison. This type of extra muralemployment/labour cannot be consideredan early release measure. However, insome countries, prisoners are released fromprison to work in the community undersupervision, and they are not required tocome back to the prison. In this paper, onlythis latter type of extra mural employment/labour is discussed as an early releasemeasure.

However, these early release measuresare confronted with many problems in theparticipants’ countries such as:

i) improper selection of early releasecandidates in balance with the riskof recidivism;

ii) timing of early release;iii) consideration of living environment

to which prisoner will return afterrelease;

iv) inappropriate composition of decision

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making body;v) negative public perception;vi) lengthy procedure involved; andvii)inadequate trained staff to supervise

the releases.It has been recognized, through research

studies, that prolonged imprisonment doesnot serve the purpose of the reformation ofprisoners. Rather, it has been observed thatthe early release of prisoners increases thechance of reformation and rehabilitation,and also the risk of their recidivismdecreases. As such, the release of an inmatebefore the expiry of his/her sentence, undersupervision, is seen as a logical step in thetotal correctional process; designedparticularly to assist the prisoner tobecome a productive, useful and law-abiding citizen. It is believed that theconditions imposed upon their release areclose to those they will again experienceas a free citizen after the expiration of theirsentence. At the same time, for a prisoner,early release is an opportunity to test theirself-control and ability to adjust in thecommunity. For society, it offers immediateprotection through a degree of control overthe prisoner’s behavior and long termprotection through a reduced likelihood ofrecidivism.

However, offenders can best be helpedto be come law-abiding citizens in thecommunity rather than in prison. The mostimportant aspect of the early releasemeasure is its efficacy; when welladministered it assists the prisoner tosuccessfully re-adjust into communityliving.

This report covers the aims andobjectives of the early release system; theactual situation, and problems andcountermeasures existing in the earlyrelease systems of all participatingcountries. Conclusions will be reached onthe basis of the detailed study of actualsituations and problems existing in theparticipants’ countries.

II. AIMS AND OBJECTIVES

A. To Help in the PrisonersReintegration and Adjustment inSociety

Prisoners, especially those who havebeen incarcerated for long periods, oftenfind it difficult to readjust to life in thecommunity. Therefore, early release underany circumstances must provide a meanswhereby a prisoner may make a smoothtransition from prison life to living in thecommunity. With some degree o fsupervision this will reduce the incidenceof criminal behavior and recidivism, whileat the same time ensuring the safety of ourcommunities.

B. To Act as an Incentive for GoodBehavior

The granting of early release to inmatesbased on good behavior serves as anincentive to the prisoners. It helps mostprisoners to make an effort to be of goodbehavior and improve their discipline byobserving rules and regulations inanticipation of an early release. On theother hand, prison officials are assured thatwith this kind of incentive, it is expectedthat there will be fewer incidences of jaildisturbances such as riots, noise barrage,escapes, etc.

C. To Decrease Prison and JailOvercrowding

Some correctional administrators areconfronted with prison overcrowding,which poses more problems and has a greatinfluence in the decisions made in thecriminal justice system. Therefore, earlyrelease measures on the practical side, areseen as a temporary solution to alleviatethis problem. However, this should not beseen as the major objective, as theprisoners’ re-integration into the societyshould be of paramount consideration.

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D. To Cut the Costs of MaintenanceA major justification generally given in

support of the early release system is thatit is cheaper to maintain offenders in thecommunity than in prison. Countries withlimited resources tend to use this systemmore in order to cut the costs ofmaintenance in prisons.

III. ACTUAL SITUATION

A. Situation in Participants’Countries

1. BangladeshBangladesh has the following early

release measures:a) Remissionb) Pardon or Clemency

a) RemissionThe aims and objectives of remission are

to rehabilitate the prisoner in society, toease the problems of overcrowding and toreduce the cost of running expenses. It isgranted to prisoners of good conduct andthose who have showed the willingness towork and to learn a skill in prison. On theother hand, prisoners who donate bloodalso benefit from the remission exercise.The minimum period of imprisonmentrequired to be served before release is 3/4th of the sentence or 75% of the total termof imprisonment.

b) PardonPardon is granted on Independence Day

and on Eid festival day by the President ofBangladesh to all convicted prisoners withthe exception of violent and dangerousprisoners. They are denied this privilegebecause they are considered to be a dangerto the society, and that there is a highpossibility that they will re-offend duringthe period of early release. No statisticswere given about the re-offending rate ofthe early releases, which made it difficultfor us to determine its effectiveness and therecidivism rate.

2. BotswanaIn Botswana, the early releases

available are:a) Remissionb) Parolec) Extra mural labour

a) RemissionIt is granted to prisoners of good conduct

for the purpose of integrating andrehabilitating prisoners in the community.On the other hand, it is used as an incentiveand reward for good conduct and behavior.There are two types of remission inBotswana:i) The officer-in-change of a prison is

empowered to release all prisoners witha sentence of one month and above onremission. One third of their sentenceis set aside and normally they will berequired to serve two-third or 66% ofthe total sentence before they can bereleased. The officer-in-charge may alsorecommend to the Commissioner theforfeiture of their remission in case ofa breach of the disciplinary rules.Prisoners sentenced to life or under thePresidents’ Pleasure or death, do notbenefit from the remission exercise.About 99% of all the releases are dueto the remission exercise, while theremaining 1% is for those released onparole. Apart from good conduct, thereare no other requirements to be fulfilledbefore the release. There is no after careof those released and no conditions areimposed at the time of release.

ii) Under section 90 (4) of the Prisons Act,the Parole Board may recommend tothe Minister of Labour and HomeAffairs to grant special remission toprisoners on any of the followingreasons:• Mer i tor ious conduct and /or

achievement;• Special circumstances such as

mental or physical conditions;• To commute a life term prison or for

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those serving under the President’spleasure.

This article, although enshrined in thePrisons Act, has never benefited anyprisoner. The Parole Board and The PrisonsDepartment have, for unknown reasons,chosen to ignore it.

b) ParoleThe Prisons Act of Botswana governs all

issues pertaining to parole. The parolesystem provides encouragement toprisoners to make greater effort towardrehabilitating themselves while in prison,as well as in the community. Its purpose isto encourage inmates to display a positiveresponse to rehabilitation programs. Onthe other hand, it helps inmates to adjustto community life and lead a normal lifewith both their families and the communitybefore the actual expiration of theirsentence.

According to the 1996 statistics, only 1%of the total releases were on parole. Theperiod actually served by parolees beforebeing released was about 80% of the totalterm of imprisonment. However, it shouldbe mentioned here that prisoners releasedon parole benefit twice, that is, as a resultof the remission and the parole exercise.

Eligibility for Release on Parole:i) The prisoner should be serving four

years or above, neither the whole norpart of it was imposed for stock theftor being found in possession ofprecious stones. They must haveserved half of the term or three yearsimprisonment, which ever is thelonger;

ii) They must be serving more than fiveyears, the part or whole of which wasimposed for stock or possession ofprecious stones. They must haveserved half of that term or five yearsimprisonment, which ever is thelonger; or

iii)A term of imprisonment for life orconfined during the President’s

pleasure and has served seven yearsimprisonment.

The Minister of Labour and HomeAffairs is responsible for nominatingmembers of the Parole Board. The ParoleBoard consists of the following:

i) A Judge who is the Chairperson,ii) A Medical Practitioner,iii)A Social Worker,iv) Two other persons who are

members of the public.Before deciding to release prisoners on

parole, the following aspects are taken intoconsideration by the Board:

i) That there is no possibility of re-offending during the period underparole supervision, and they poseno risk to society;

ii) views of the victim and society;iii) previous criminal and disciplinary

records;iv) Whether s/he has learnt a skill or

benef i ted from any o f thetreatment programs offered by theprison;

v) Whether s/he has accommodation,employment and or a supportsystem after release.

Supervision of parolees is done by thesocial workers of the area where theprisoner will be residing after release. Inareas where there are no social workers,the chief, headman, teachers or policenormally do the supervision. Parolees arerequired to comply with conditions whichwill be stipulated to them during theirparole period. In case of breach ofconditions, a parolee may be reprimandedor the release license may be revoked.Action taken depends on the gravity of theviolation. Upon recall to prison, the periodstayed outside prison is not considered astime served.

c) Extra Mural LabourExtra mural labour is the conditional

release of an inmate from prison tocomplete their sentence outside prison

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under the supervision of a public authority.It benefits prisoners sentenced to sixmonths or less; or for non-payment of finenot exceeding P400. Under this order,prisoners of good conduct are required todo public work with no pay for the durationof their remaining part of the sentence.Failure to comply with release conditionsmay result in the revocation of the releaselicense and the prisoner will be arrestedand serve the remaining sentence in prison.The advantage of this scheme is that theoffender lives at home and can therefore,continue to fulfil family responsibilities.About 9% of prisoners were released onextra mural labour in 1996. Only 0.05%were recalled back to serve the remainingterms of their imprisonment for failure tocomply with the release conditions.

3. FijiIn Fiji, the following early release

systems exist:a) Remissionb) Pardonc) Extra mural labourd) Compulsory Supervision Order

a) RemissionRemission is granted by the officer-in-

charge of a prison to all convicted prisonerswith a total sentence of 30 days or more,with the exception of those sentenced to lifeimprisonment. One third of the sentenceis set aside at the beginning of the sentencebut prisoners are required to serve aminimum of 2/3rd of the total sentence. Nofactors are considered in awarding it.Statistical data was not provided.

b) PardonThe President of the Republic Fiji has

the authority to grant pardon to prisonersserving more than 10 years with a goodconduct and industry record.

c) Extra Mural LabourPrisoners sentenced to imprisonment

not exceeding 12 months may oncommitment or thereafter, apply to theCommissioner of Prisons for their desireto undertake public work outside theprison. Upon release, such prisoners areemployed and supervised by a publicauthority during the period of extra murallabour. Those with previous extra murallabour breaches may not be considered forrelease. Only 387 prisoners were releasedin 1996. The re-offending rate during theearly release period was not provided.

d) Compulsory Supervision OrderThe Minister of Justice has the authority

to release a prisoner on CompulsorySupervision Order at any time, as she maythink fit . On the other hand, theCommissioner of Prisons too can release apr i soner, under the CompulsorySupervision Order, who has been sentencedto prison on not less than two previousoccasions, and is serving a sentence of 3years or more. This is after the prisonerhas served 2/3rd of the sentence and untilreleased under Compulsory SupervisionOrder for the period of 12 months.

Prisoners serving life imprisonment cantake advantage o f ear ly re lease /Compulsory Supervision Orders afterserving more than 10 years in prison, withfavourable reports. 12 such prisoners werereleased in 1996.

Prisoners are allowed to apply for releaseunder Compulsory Supervision Order andthe officer-in-charge of a prison willforward such an application to theCommissioner, together with otherrelevant reports. It is then sent to theMinister of Justice and Minister of HomeAffairs for final decision.

Remission is the only release measuregranted without imposing any conditions.Statistics on early releases, as comparedwith the total number of releases, was notgiven, not was data on the re-offending rateof early releases as compared with releasesat expiry of sentence.

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4. GhanaGhana has the following early release

measures:a) Remissionb) Pardon/Amnesty

a) RemissionSection 34 of the Prisons Service

Decree (NRCD 46 )1972 o f Ghanaauthorizes the officer-in-charge of thevarious prisons to release prisoners whomeet the requirements for release onremission. It is granted on the basis of goodconduct and study and is used to solve theproblem of overcrowding. Prisoners servingdeterminate terms of imprisonment arerequired to serve a minimum of two thirdof their sentence.

b) Pardon/AmnestyAmnesty is granted to all prisoners. Life

sentenced and condemned prisoners arerequired to serve 15 and 25 yearsrespectively before release under amnesty.In granting amnesty, the conduct of theprisoner is taken into consideration. Nostatistics were provided for the numberreleased and the re-offending rate duringthe period of early release.

5. Hong KongHong Kong has the following early

release measures:a) Remissionb) Release Under supervision

a) RemissionThe officer-in-charge awards it as an

incentive for good behavior. The minimumperiod required to be served before earlyrelease is 2/3rd of the sentence.

In the event of a breach of disciplinaryoffences, as enumerated in the Prison Rulesand punished with forfeiture, the prisonermay lose part or the whole of the remission.One third of the prisoners got remission.No figures on prisoners released onremission, or those who re-offended during

early release, were provided.The pre-release employment scheme is

available to all prisoners ( who are notserving life terms or facing deportation)who have served terms of ten years or moreand are within six months of completingtheir sentences, after deduction ofremission.

b) Release Under SupervisionThe factors which are considered before

granting Release Under Supervision are:• repentance on committing the crime• less possibility of re-offending and

risk to society• type or gravity of the offence• good conduct and achievement• whether the prisoner would be able

to fend for themself• whether s/he has anyone to support

them.All prisoners, other than life term

prisoners, may apply for Release underSupervision after serving 20 months or halfof a 3 year sentence or more. Followingapproval by the Release Under SupervisionBoard, successful applicants will bedischarged within the last six months oftheir sentences and required to go out towork and reside in a designated hostelunder the supervision of the AftercareOfficers for the balance of the sentence. Inpractice, prisoners are released afterserving 20 months or half of the sentence.The percentage of those released under thisscheme, as compared with total number ofreleases, is 0.26%.

Prisoners released on early releasesystem are required to comply with theconditions imposed upon them. Nostatistics were produced for the re-offending rate of those released on earlyrelease, versus those released at the expiryof their sentence in prison.

6. IndonesiaThe following early release measures are

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available in Indonesia:a) Remissionb) Parolec) Pardon

a) RemissionThe following aspects are take into

consideration by authorities beforegranting remission:

i) good conduct and achievements;ii) whether the prisoner has a place of

abode after release;iii)whether the prisoner has a job or

supportive system.Remission is granted to prisoners on the

basis of work in prison, good conduct,educational achievement, learning a skill,as well as helping prison management indetection of riots or a breach of prisondiscipline. Participation in religiouspractices and the donation of blood are alsorecognized. Statistics for the minimumperiod required to serve before beingreleased on remission, for those whobenefitted under this scheme, were notavailable.

d) ParoleThe following aspects are take into

consideration by authorities beforegranting parole:

i) good conduct and achievements;ii) whether the prisoner has a place of

abode after release;iii)whether the prisoner has a job or

supportive systemThe President of Indonesia has the

power to release any prisoner who appliesfor release on parole. However, he does soon the advice of the Minister of Justice andthe Cabinet Secretary, after reviewing theprisoner’s application and recommendationfrom the prison. For a prisoner to be eligiblefor release on parole, s/he must have served2/3rd of the sentence.

e) PardonPardon is given to prisoners by the

President of Indonesia on humanitariangrounds, good conduct and old age. All theearly release measures are conditionalreleases, which may be revoked in theevent of a breach. The statistical data aboutpercentage of early release in the totalnumber of prisoners, average length ofsentence that prisoners actually servedbefore release and re-offending rate ofprisoners released earlier than the expirydate, were not available.

7. JapanIn Japan, the following early release

measures are available:a) Paroleb) Amnesty

a) ParoleThe aims and objectives of Parole are to

release at an optimal time, an inmate whois capable of leading a law-abiding life inthe community, if adequate supervision andassistance is provided. In order to beeligible for release on parole the prisonermust satisfy the following requirements:

i) s/he should have served one-third ofthe sentence for a determinatesentence, or 10 years for a lifesentence.

ii) s / h e e v i d e n c e s t h e s t a t e o freformation.

The average percentage of originalsentence actually served by prisonersbefore being paroled is from 80 to 90%.

Warden of the Prisons can apply forparole on behalf of the prisoners. The bodyresponsible for granting parole is theRegional Parole Board, which consists of 3Board members who usually have theexperience of working as Chief of ProbationOffice.

The adjustment and improvement of theliving environment to which a prisoner willreturn after release is conducted by theprobation office that has jurisdiction overthe prospective place of residence. Usuallythe Professional Probation Officer entrusts

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the duty of inquiry and adjustment to aVolunteer Probation Officer (VPO) livingnear the inmate’s family. The VPO mustvisit the prospective home to determine thefeasibility of an inmate’s return there, andtries to eliminate any negative factors incooperation with the inmate’s familymembers. Regarding the informationobtained by the VPO, the probation officeprovides a report of the home conditions tothe prison and the Regional Parole Board.

The following aspects are taken intoconsideration by the authorities beforegranting parole to a prisoner:

i) repentance on committing crimeii) reduced possibility of re-offendingiii)good conduct and achievementsiv) whether the prisoner has residential

accommodation after releasev) whether the prisoner has a job or

support systemvi) reaction of the society on his/her

releasevii)willingness to progressThe prisoners who are released on parole

are subjected to some conditions which theprisoners are required to comply with.

b) AmnestyThere are two kinds of amnesty in

Japan, namely, General and Individual.General amnesty is promulgated in theform o f a Cab inet Ord inance incommemoration of special occasions ofnational significance. Individual Amnestyh a s f a r g r e a t e r s i g n i f i c a n c e i nrehabilitation, as it is granted inaccordance with individual’s merits on therecommendations of the NationalOffenders Rehabilitation Commission. Theindividual Amnesty, which is conferred bythe Cabinet, is attested by the Emperor.The Amnesty granted to the prisoners iswithout conditions.

c) Statistical DataThe percentage of parolees as compared

with total number of releases was 57.6%

in the year 1996. The re-incarceration rateof prisoners released before the expiry oftheir sentence is 25.8% (within 3 yearsafter release). The re-incarceration rate ofprisoners who are released at the expiry oftheir sentence is 46.1% (within 3 yearsafter release).

Positive aspects of early release are:i) The parole system has good effect on

prisoners’ reintegration into societythrough the supervision after release.

ii) Re-incarceration rate of the paroleesis lower than that of those who arereleased on the expiry of sentences.

iii)Many prisoners try to keep goodconduct in the prison to be grantedparole.

iv) The environmental adjustment isconducted effectively before theirrelease.

8. KenyaIn Kenya, the following early release

measures are available:a) Remissionb) Parolec) Pardon/Clemency

a) RemissionRemission is granted on the basis of

work and good conduct, and to solve theproblem of congestion in prison. Theminimum period of imprisonment requiredto be served before release is two-thirds ofthe sentence. Statistics about the numberof prisoners released on remission was notavailable.

b) ParoleTo be eligible for release on parole, the

prisoner must be sentenced to four yearsand above. The average percentage oforiginal sentence actually served byprisoners before release on parole is about90%. The prisoner themself or theCommissioner of Prisons can apply for oron behalf of a parole. The Review Board isresponsible for granting parole and it is

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composed of the Commissioner of Prisonsand Director of Probation and After Care.

In granting early release, the followingaspects are taken into consideration:

i) Victims feelings;ii) Repentance and acceptance of

blameworthiness for the crime;iii)Less possibility of re-offending;iv) Type and gravity of the offence;v) Good conduct;vi) W h e t h e r t h e p r i s o n e r h a s

accommodation after release;vii)Whether the prisoner has a job or

support system after release.

c) Pardon or ClemencyPardon is granted by the President of the

Republic of Kenya on the basis of ill health,age, and to petty offenders sentenced to 6months or less. The early release awardedunder parole and pardon are withconditions while remission does not haveany conditions. Statistical data was notavailable. The positive aspect of earlyrelease is to encourage harmony and therespect for security and management.

9. KiribatiIn Kiribati, the following early release

system are available:a) Remissionb) Parolec) Pardon

a) RemissionAs a means of encouraging good conduct,

all convicted prisoners sentenced to onemonth and over are eligible for release afters e r v i n g 2 / 3 r d o f t h e i r t e r m o fimprisonment. The percentage of prisonerswho get remission as compared with totalnumber of releases is 90%.

b) ParoleThe factors which are considered before

granting parole are:i) victims feeling;ii) type or gravity of the offence;

iii) good conduct and achievement;iv) reaction of the society on his/her

release.Prisoners sentenced to 6 months and

above are eligible for release on parole. TheParole Board has the power to release onparole and revoke parole licenses. It iscomposed of 5 members: Secretary ofCabinet who is the Chairman, a ReligiousMember, Medical officer and Social worker.The authority to apply for parole is thewarden. The percentage of parolees ascompared with total number of releases is90%.

c) PardonThe factors which are considered before

granting pardon are:i) victims feelings;ii) repentance on committing the

crime;iii) less possibility of re-offending and

risk to the society;iv) type or gravity of the offence;v) good conduct and achievement;vi) reaction of the society on his/her

release.It is awarded in commemoration of

special occasions of national importanceand significance. The President has thepower to release inmates, particularly thelong sentenced prisoners, on the advice ofCabinet. The percentage of those releasedon pardon as compared with total numberof releases is not available.

All early release measures are awardedwith conditions and the prisoner isexpected to comply with these conditions;failure to do so may result in the revocationof the release license. The statistical dataabout average percentage of sentence thatis actually served before release, and there-offending rate of prisoners releasedearlier than the expiry date, was notavailable.

10. MalaysiaIn Malaysia, remission is the only early

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release measure available. Remission isgranted to all prisoners with the exceptionof life termers and those sentenced todeath. One third of the sentence ofprisoners is set aside on the basis of goodconduct. Officers-in-charge of the prisonare the competent authority who can awardremission. Police supervision in certaincircumstances may be imposed by thecourts for a specific period of time, inaccordance with the law. Remission is usedas an incentive to reward good conduct inprison, as well as to induce compliance tolaw and order.

The statistical data about the percentageof prisoners who get remission, the averagepercentage of sentence actually servedbefore release and the re-offending rate ofprisoners released on early release, was notavailable.

11. NepalIn Nepal, the following early release

measures are available:a) Remissionb) Pardon

a) RemissionRemission is granted on the basis of

work, good conduct, learning some kind ofskill, helping prison administration onvarious accounts and involvement as ateacher for other prisoners. The minimumperiod of imprisonment required to beserved before release is 50% of thesentence. It is awarded by His Majesty theKing during the Constitution day, HisMajesty the King ’s b irthday andDemocracy day. The average percentage ofprisoners released on remission was 8.73%during the period from 1995-97.

b) PardonPardon is granted on the basis of

prisoners’ good conduct and behavior. Theauthority to award pardon is His Majesty’sthe King. The following aspects are takeninto consideration by the authorities before

granting remission or parole to a prisoner:i) less possibility of re-offending;ii) types or gravity of the offence;iii) good conduct and/or achievement.Pardon is awarded with conditions while

remission is awarded without them.Statistical data concerning the figures forre-offending rates by both prisonersreleased before expiry of sentence and atexpiry of sentence were not available.

12. PakistanIn Pakistan, the following early release

measures are available:a) Remissionb) Parolec) Pardon or Clemency

a) RemissionIt is granted on the basis of: work, good

conduct, qualifying some educationalexamination, learning some kind of skill,helping prison administration on variousaccounts, performing religious practices,blood donation, surgical sterilization,teaching other prisoners to read and write,teaching handicrafts , and specialassistance in detecting or preventingbreaches of prison discipline or regulations.The total remission period on variousaccounts, excluding on passing anexamination, blood donation and surgicalsterilization, shall not exceed 1/3rd of aninmates’ sentence.

b) ParoleIn order to be eligible for release on

parole, the prisoner must have goodconduct and be recommended by the prisonauthorities. The average percentage of theoriginal sentence actually served byprisoners before being paroled was notavailable, but is estimated to be not lessthan 50%.

Prisoners can apply for parole eitherdirectly or through a lawyer. The bodyresponsible for granting parole is theProvincial Government, while the Home

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Secretary of the Ministry of Home Affairsdecides the cases on behalf of the ProvincialGovernment. The following aspects aretaken into consideration by the authoritiesbefore granting parole to a prisoner:

i) less possibility of re-offending;ii) types or gravity of the offence;iii) good conduct.

c) PardonPardon is granted usually on special

occasions. The authority to award pardonis with the Head of State, i. e. the Presidentof Pakistan.

The early release awarded withconditions is parole, while remission andpardon/clemency are unconditionalreleases. The exact figure concerningpercentage of early releases, as comparedwith total number of releases, was notavailable. The exact re-offending rate ofprisoners released before the expiry of thesentence was not available. However,generally their re-offending rate is nothigh. The exact re-offending rate ofprisoners released at expiry of the sentencewas not available. It was approximatelyfrom 20 to 30%. The positive aspects ofearly release are to provide an incentive toprisoners for acquiring education, skill andimproving good conduct and behavior inprison, which are important factors in theirrehabilitation in the society.

13. Papua New GuineaIn Papua New Guinea, the following

early release measures are available:a) Remissionb) Parolec) Pardond) E x t r a m u r a l l a b o u r o r

employmentIn Papua New Guinea, early release

measures are seen as alleviating theproblem of prison overcrowding and as anincentive for prisoners to be of goodconduct.

a) RemissionRemission is granted to prisons as an

incentive for good behavior in prison, andt o s o l v e t h e p r o b l e m o f p r i s o noverc rowd ing . A l l p r i soners a reautomatically granted 1/3rd of theirsentence as remission, except for those whowere sentenced for escaping from lawfulcustody. Two thirds of the sentence mustbe served before one can be released. In theevent of a breach of prison discipline by aprisoner, if charged and convicted before avisiting magistrate, s/he losses 10 daysremission for any offence committed withina month.

b) ParoleIn awarding parole, the following aspects

are taken into consideration:i) victims feelings;ii) r e p e n t a n c e b y p r i s o n e r f o r

committing the crime;iii) compensation to the victims;iv) less possibility of re-offending and

risk to the society;v) type and gravity of the offence;vi) good conduct and achievement;vii)whether the prisoner has a job or

support system;viii)reaction of society on his/her release.All prisoners are eligible for release on

parole after having served 2/3rd of theirprison term. The Officer-in-Charge of aprison compiles and submits a dossier ofan inmate to the Commissioner who thentransmits it to the Parole Board withrecommendations. The Parole Board iscomposed of three members: a lawyernominated by the Chairman of Papua NewGuinea Law Society, two other membersnominated by the Commissioner ofCorrectional Services and Chief ParoleOfficer or Secretary for Justice. Thenomination has to be endorsed by theMinister of Justice. The lawyer is theChairman. The average time normallyserved by prisoners is 66.6% of totalsentence.

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c) PardonIn awarding pardon, the following

aspects are taken into consideration:i) victims feelings;ii) r e p e n t a n c e b y p r i s o n e r f o r

committing the crime;iii) compensation to the victims;iv) less possibility of re-offending and

risk to the society;v) type and gravity of the offence;vi) good conduct and achievement;vii)whether the prisoner has a job or

support system;viii)reaction of society on his/her release.Pardon is granted on special occasion

and under special circumstances, forexample, Independence celebrations,special medical grounds, and in the eventof natural disasters such as flooding orvolcanic eruptions resulting in the prisonsbeing affected. The Governor General,acting on the advice of the NationalExecutive Council, has the authority toaward pardon. Statistics on release bypardon were not available.

14. PhilippinesIn Philippines, the following early

release measures are available:a) Paroleb) Pardon or Clemency

a) ParoleParole is available only to prisoners who

have been convicted of final judgement,sentenced to an indeterminate prisonsentence of more than one year and haveserved the minimum period of theirindeterminate sentence, and if the Boardfinds that there is reasonable probabilitythat if released, the prisoner will be lawabiding and that such release will becompatible with the interests and welfareof society.

The following can apply for parole onbehalf of a prisoner:

i) prisoner himself/herself.ii) warden or officer-in-charge of a

prison.The body responsible for granting parole

is Board of Pardons and Parole. It iscomposed of the following:

i) Chairman-Secretary of Justice.ii) Acting Chairman-Under Secretary of

Justice.iii)Secretary-Executive Director of

Board of Pardons and Parole.iv) Members-Parole and Probation

Administrator, Sociologist, Educator,Lawyer, Priest and CorrectionExpert.

Statistics were not available on parolerates.

b) PardonPardon is granted under the following

circumstances:i) For commutation of sentence-the

prisoner must have served at leastone-third of the minimum of theindeterminate sentence.

ii) For conditional pardon-the prisonermust have served at least one-half ofthe indeterminate sentence.

iii)For absolute pardon-10 years musthave elapsed from the date of releaseof the petitioner from confinement, orfive years from the date of themaximum sentence.

The authority to award pardon is withthe President, through recommendation ofthe Board of Pardons and Parole, and withthe assistance of the Director ofCorrections. The following aspects aretaken into consideration by the authoritiesbefore granting Pardon:

i) subject will be legitimately employedat release;

ii) subject has a place where s/he canestablish residence;

iii) availability of after-care services fora prisoner who is old, seriously ill, orsuffering from a physical disability.

All the early release measures areawarded with conditions. Statistics werenot available.

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Positive aspects of early release are:i) To uplift and redeem valuable human

material to economic usefulness;ii) To prevent unnecessary and excessive

deprivation of personal liberty by wayof parole or the exercise of executiveclemency;

iii)To solve the problems of personcongestion.

Early release reduces or cuts theexpenses of the government incurred inprisons.

15. Republic of KoreaIn Korea, the following early release

measures are available:a) Remissionb) Parolec) Pardon or Clemency

a) RemissionRemission in Korea is granted on the

basis of work, good conduct, and havingpassed an educational examination or forlearning a skill. The minimum periodrequired to be served is one third of thesentence.

b) ParoleAll prisoners are eligible for release on

parole. Prisoners must serve one third ofthe original sentence before they can beparoled. A warden may apply for a paroleon behalf of the prisoner, while the ParoleBoard is responsible for granting parole.Members of the Parole Board are the Vice-Ministers of Justice and 9 others.

c) Pardon/ClemencyThe Minister of Justice grants pardon

on the basis of good behavior. In grantingParole, the following aspects are taken intoconsideration:

i) Repentance and acceptance ofblameworthiness for the crime;

ii) Less possibility of re-offending;iii)Good conduct.Statistics show that the re-offending rate

at expiry of sentence is 58%.

16. Solomon IslandsIn Solomon Islands, the following early

release measures are available:a) Remissionb) Parolec) Pardon or Clemency

a) RemissionR e m i s s i o n i s g r a n t e d a l m o s t

automatically to all prisoners who keepgood conduct and industry. The minimumperiod of imprisonment required to beserved before release is 30 days. Theaverage percentage of original sentenceactually served by prisoners before beingreleased on remission is 1/3rd. The officerin charge of prison is the competentauthority to award it. Statistics were notavailable.


parole, the prisoner must satisfy thefollowing requirements:

i) A prisoner having good conduct andindustry and has been sentenced to 6months or more . They must ,thereafter serve 6 months, in intervalsof not less than 6 months, after thefirst consideration and denial ofparole.

ii) The life sentence prisoner must haveserved 5 years, and in the case ofdenial, their case can be reviewedafter every 3 years.

The percentage of parolees, as comparedwith total number of releases, is about 1%to 2%. The average percentage of originalsentence actually served by prisonersbefore being paroled is about 80 or 90%.The following can apply for parole on behalfof a prisoner:

i) prisoner himself/herself;ii) warden or officer-in-charge of a prison;iii)others/relatives, doctor, any family

members).

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The body responsible for granting paroleis Ministry of Police & National Security.The Minister makes the decisions on theadvice of the Trial Judge or the ChiefJustice.

c) PardonPardon is granted on merit, good conduct

and industry, provided the prisoner serves5 years of their sentence. The authority toaward pardon is the Governor General, onthe recommendation of the Committee ofPrerogative of Mercy. The following aspectsare taken into consideration by theauthorities before granting pardon to aprisoner:

i) victims feelings;ii) repentance on committing crime;iii) compensation to the victims;iv) type or gravity of the offence;v) good conduct and/or achievement.The early release awarded with

conditions is Parole and Pardon onCondition, while Remission and FreePardon are unconditional releases. The re-offending rate of prisoners released beforethe expiry of the sentence is 1%, while there-offending rate of prisoners released atthe expiry of the sentence is 10%.

17. ThailandIn Thailand, the following early release

measures are available:a) Remissionb) Parolec) Pardond) Penal Settlement

a) RemissionRemission is granted on the basis of:

work, good conduct, qualifying someeducational examination, learning somekind of skill, helping prison administrationon various accounts, performing religiouspractices, etc. His Majesty the King grantsremission on special occasions, e. g., Royalbirthday celebrations. The minimumperiod of imprisonment required to be

served before release is 6 months. In 1997,16.5% of prisoners were released onremission.


parole, the prisoner must satisfy thefollowing requirements:

i) Convicts must show good conduct andprogress in education.

ii) Serve 2/3rd of the sentence or 10years in case of life imprisonment.

The following aspects are taken intoconsideration by the authorities beforegranting remission or parole to a prisoner:

i) less possibility of re-offending;ii) good conduct and/or achievement;iii)whether the prisoner has residential

accommodation after release;iv) whether the prisoner has a job or

support system.The average percentage of original

sentence actually served by prisonersbefore being paroled was not specified.

The Warden or Officer-in-Charge of aprison can apply for parole on behalf of aprisoner. Director-General grants thep a r o l e u n d e r t h e s u g g e s t i o n o fDepartmental Parole Board. This Board iscomposed of 7 officials: Deputy Director-General and other relevant officials,Director of Probation Bureau, Director ofParole Division and representatives fromDepartment of Public Health, Police, andProsecution. The percentage of parolees intotal releases is 0.9%.

c) PardonPardon is granted on important events,

such as the King’s Birthday Anniversary,Royal Marriage etc. The authority to awardpardon is with the King. In 1996, 22.5% ofreleases were on pardon.

d) Penal SettlementPrisoners are selected to practice

farming and agricultural schemes. Theyare given land for living with their families

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and allowed to live there as long as theywant. However, they can not sell the land.To qualify for a penal settlement, theprisoner must satisfy the followingconditions:

i) Good behavior;ii) Diligence;iii)Showing good result in education and

work;iv) Serve 1/4th of the sentence;v) The remaining term not less than 2

years or 7 years in case of lifesentence. The early release awardedwith conditions are remission andp a r o l e , w h i l e p a r d o n i s a nunconditional release. Percentage ofearly releases as compared with totalnumber of releases is 40%.

The re-offending rate of prisonersreleased before expiry of the sentence wasnot available. The percentage of recidivistin newly admitted prisoners is 14%.Positive aspects of early release are:

i) To save the budget costs of runningand maintaining prisons.

ii) To reduce overcrowding in prisons.

B. SummaryAfter having discussed, the actual

situation of the 17 countries representedin the 109th International Training Courseat UNAFEI, it was discovered that therewere some similarities and differences inthese countries, which are summarizedbelow:

a) RemissionRemission is practiced in all the

Participant’s Countries except Fiji,Philippines and Japan. The period remittedalso varies from one country to the other,ranging from one-fourth as in the case ofBangladesh, one-third as in Botswana,Ghana, Kenya, Kiribati, Malaysia, PapuaNew Guinea, Pakistan and Korea, to halfof the sentence as in Nepal. In all thesecountries, it is awarded as an incentive forgood conduct and behavior.

In the case of remission, prisoners areassured their earliest date of release,contrary to parole. There is no investigationabout the prisoner’s background, livingconditions, victims feelings or the need foradjusting the environment prior to release,again, as opposed to parole. In somecountries, remission is used to solve theproblem of prison overcrowding, howeverin such situations, the factors regarding there-integration and rehabilitation ofprisoners and public safety are ignored.There is no supervision in the case ofprisoners released under remission.

b) ParoleIn countries such as Botswana, Fiji,

Indonesia, Japan, Kenya, Kiribati, Korea,Pakistan, Papua New Guinea, Philippines,Solomon Island and Thailand, parole ishighly structured. However in the case ofHong Kong, the terminology used for paroleis ‘Release Under Supervision’ and in Fijiit is known as a ‘Compulsory SupervisionOrder’.

There are bodies responsible for decidingthe release or revocation of parole licenses,as well as for supervising parolees. Thereare a number of factors taken intoconsideration before release on parole e.g.conduct and achievement in prison, victimsfeelings, whether the prisoner will haveaccommodation and a support system afterrelease and most importantly, the risk ofre-offending and the safety and security ofthe community.

In terms of facilitating prisoner’s re-integration and rehabilitation in thecommunity, parole is considered a goodsystem because it takes into considerationall important factors for the rehabilitationof the prisoner and also the safety of thesociety. A prisoner released under paroleremain under supervision till the expiry oftheir sentence.

However, in most of the participant’scountries, parole is not being properly usedbecause of the process involved before

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deciding release. Most countries can notafford it because it involves a lot ofinvestigation, and needs more manpowerboth inside the prison and in thecommunity.

c) Environmental AdjustmentAdjustment of the environment to which

the prisoner will enter after release is veryimportant i f they are to be ful lyreintegrated and rehabilitated in to society.In order to make the right decision aboutan early release, whether under theremission or parole system, the decisionmaking bodies have to know about wherethe prisoner will go after release andwhether they will pose a danger to society.Therefore, the environment to which theywill return is required to be adjusted beforetheir release. The use of communityresources e.g. Voluntary Probation Officersas in the case of Japan, Philippines andThailand, seems to be important, as theyare from the community and can be helpfulin the rehabilitation process. The use ofcommunity members in the after care ofreleased prisoners is seen as the rightdirection because they act as a cushionbetween the prisons, the prisoners and thecommunity.

d) PardonPardon is granted automatically to

prisoners by the Heads of State incommemoration of national days andevents, and on humanitarian grounds suchas pardon for sick and aged prisoners.However no consideration is taken intoaccount for the safety of the community,prisoner conduct or achievement. It is aprivilege accorded to prisoners by politicalfigures or monarchs which has nothing tod o w i t h t h e r e i n t e g r a t i o n a n drehabilitation of prisoners. Generally thereis no supervision after release. However,in case of the Solomon Islands andPhilippines, pardon is with conditions.

e) Statistical DataNo concrete data was available for

almost all of the participants’ countries,except Japan, regarding prisoners releaseon remission, parole and other early releasemeasures. The re-offending rate during theperiod of early release to the expiry ofsentence was also not available. The non-availability of the statistics makes the taskof the authorities difficult when decidingcases of early release. It is important thatprisoners are supervised as per theconditions of their release until the expiryof their sentence.

f) Decision Making BodiesIt was observed that all the early release

measures have a body or bodies responsiblefor administration. In the case of remission,it was found that either Officers-in-Chargeof prisoners or the Head of State orProvince is responsible for awarding it.

On the other hand, parole issues areeither handled by Parole Boards as inBotswana, Japan, Papua New Guinea; aReview Board in Indonesia, a Board ofPardon and Parole in the Philippines.These boards are composed of three toseven members depending on the country,and are drawn from the Probation Office,social workers, law and courts, police,medical fields and members of the public.It was also observed that some of theseb o a r d s m e m b e r s a r e p o l i t i c a la p p o i n t m e n t s , w h i l e o t h e r s a r eindependent of political influence and/orthe prisons or correctional bureaus.

IV. PROBLEMS IN THE EARLYRELEASE SYSTEM

A. Problems in Participants’Countries

1. BangladeshIn Bangladesh, the early release

measure that exists is Remission. Theremission period is 1/4th of the sentence,however, this period is not considered

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sufficient for the purpose of motivatingprisoners to improve their behavior andconduct which may be helpful in theirrehabilitation in to society. In 1980, acommission was formed by the governmentto look into the problems existing in theprison system and concerned officialssubmitted their recommendations,including the enhancement of theremission period from 1/4th to 1/3th ofsentence. This issue has not yet been givenpriority for consideration and still pendingwith the government.

2. BotswanaIn Botswana, the following two problems

are noted in regard to parole:i) Inadequate Tra ined Sta f f f o r

Supervision: There is a problem insupervision and follow up of releases.This deprives the Board of knowingwhether the releases re-offend or notduring the period, and whether theypractice what has been taught to thembefore their release.

ii) Lengthy Procedure: The procedureinvolved is lengthy and it usually takes6 months to decide a case.

3. FijiThere is no formal after care system in

Fiji. Prisoners are released based on twoearly release measures: the Extra MuralPunishment (EMP) and the CompulsorySupervision Order. Under the CompulsorySupervision Order, there is no supervisionand the releasee is required only to reportto the police station nearest to their placeof residence on the first week of everymonth until their term expires. Because ofthis procedure of supervision, it has beennoted that those who are released do notcomply with the conditions imposed, andthe supervising police officer just reportsthis and the releasees are re-arrested andsent back to prison. The purpose ofrehabilitation is not achieved.

4. GhanaJust like Fiji, the supervision of the

releasees rest with the police, and thereleasees are required to report to thenearest police station at a specified time.As there is no formal aftercare system on‘Release Under License’ the rehabilitationand re-integration into society is not takeninto consideration.

Another problem is public perception.Public perception is positive only for minoroffenders and in the case of child molesters,sexual offenders and murderers, perceptionis negative. The public wants thesedangerous offenders kept in jail andexecuted.

5. Hong KongIn Hong Kong, there appears to be no

problems in the early release measuresbecause there is a good system ofmonitoring the after-release program of thereleasees. The success rate under the‘Release Under Supervision’ is 100% andsince its introduction in 1987, there wereonly 25 inmates who have availed the saidprivilege (to 1996).

6. IndonesiaPublic perception regarding the early

release of prisoners, especially thedangerous ones, is negative because thepublic believe that prisoners should be keptbehind bars so that they may not pose adanger/threat to the society.

Another problem is the limited numberof trained staff, which affects thesupervision of the releasees and becauseof this, the response to the need of theparolees.

7. Japani) Ineffective Supervision for Short-term

Parolees: In Japan, the problem in theparole system is that the term ofsupervision is considered too short (inthe case of a short original sentence)for the prisoner’s rehabilitation and re-

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integration into society. The statisticsfor the year 1996 show that 3.3% ofparolees were supervised for only lessthan one month, and 45% supervisedfor a period of less than 3 months.When the period of parole supervisionis only a month, parolees receiveguidance only twice from the VolunteerProbation Officer in charge. This wouldnot allow enough opportunity for theVolunteer Probation Officers to extendsufficient support to effectivelyrehabilitate the releasee. No specialprogrammes or measures are availableto deal with such short-term parolees,however some intensive supervisionmethods yielding positive results needto be devised.

ii) Problems concerning Administration ofParole of Arsonists and Sex Offenders:T h e p e r c e p t i o n o f J a p a n e s eRehabilitation Aid Hostel officials isharsh towards arsonists and sexoffenders, which usually results in therejection of those types of offenders asresidents. This rejection is often thereason for denial of parole to thoseprisoners. Since arsonists and sexoffenders in general pose a threat to thesociety, it is inevitable that they areperceived negatively. Howeverindividual examination of suchoffenders reveals that not all of themdemonstrate a high risk of recidivism.For instance, if the motive of thecommission of arson is one’s owngrudge, then by improving therelationship between parties mayreduce the chance of recidivism.Similarly, in the case of an individualinvolved in a gang rape case only dueto one’s inclination to go along with therest of the peer group, with no sexualproblems of one’s own, the possibilityof recidivism of the said individual isnot always high; provided that theundesirable association with the peer

group is discontinued, leading theoffender to lead a more independent lifeo f t h e i r o w n . T h e r e f o r e , t h ephycological aspect of the commissionof the crime should also be taken intoconsideration, and the rehabilitationservices may consider the case on anindividual merit basis.

8. KenyaThere are several areas for reform in

Kenya. Firstly, public perception regardingthe early release of prisoners is negative,because not all who were released haveshown reformation and sometimes causetrouble in the community.

Secondly, The procedure involved inreviewing the cases of long-term prisonersis lengthy: reviewed every ten years. Thusonly a limited number of cases are acceptedin each year.

Thirdly, prisoners are not screenedproperly for early release, because in mostcases, the release scheme is done to solvethe problem of prison overcrowding.

Finally, because of a limited number oftrained staff, only few releasees are givensupervision and aftercare.

9. KiribatiIn Kiribati, the total prison population

during the year 1997 was 82. The prisonerswho are released on parole are supervisedby the police. In fact, this is not a propersystem of supervision, because the paroleesare only required to report to the policeafter specific periods of time. Therefore, theparole system is confronted with theproblem of introducing proper supervisingmeasures.

10. MalaysiaThe only system that exists is remission

and it is not confronted with any problems.

11. Nepali) Lack of Equal Opportunity: In Nepal,

all prisoners are entitled to fifty percent

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(50%) remission on the condition thatthey must have good conduct whileserving their sentence in prison.Remission is granted on three NationalFestivals namely; Constitution day, HisMajesty’s The King Birthday andDemocracy day. These three NationalFestivals occur in the months ofNovember, December and February.With this procedure, some prisonerswho are supposed to be released onremission after completion of their 50%imprisonment term will not bereleased, for example, if a prisoner getsa sentence of 6 months in the month ofJanuary, he will serve the totalimprisonment and will not be able toavail remission. However, if a prisonerwho gets 6 months imprisonment in themonth of September gets remission,they will be released in the month ofDecember, i.e., on the His Majesty theKing’s birthday. This procedure is notproviding equal opportunity to allprisoners, who are eligible for levelingremission.

ii) Lack of Proper Screening of Inmates:All types of prisoners are being releasedon remission without taking intoconsideration the types or gravity oftheir offence. Since there is no properscreening of the inmates, dangerousoffenders are also getting the benefitof early release and thus pose a threator danger to the society.

12. PakistanPublic perception about dangerous

offenders and their early release of isnegative. The public do not want to seeprisoners, especially hardened criminals,move freely in the society and pose a dangeror threat to them. Because of this, the lawsregarding early release on parole andprobation are not fully utilized. Thecompetent authorities hesitate to decide onearly release cases because of this negative

perception.Another problem is the procedure of

early release is lengthy because manyoffices/department are involved in thedecision making process. Because of this,the inmates cannot fully take advantageof this system. As with the others, there isalso a problem in supervision of thereleasees because of the limited number oftrained staff in Pakistan.

13. Papua New GuineaThe procedure of processing early

release on parole is very slow because thereis only one Parole Board throughout thecountry. It takes almost a year before a caseis decided by the authorities. Similarly, thesupervision of the releasees is affectedbecause of the limited number of trainedstaff.

14. PhilippinesIn the Philippines, the early release of

prisoners is confronted with the followingproblems;

i) Youth offenders are welcomed easily,while adult offenders are lessaccepted by communities becausethey are perceived to have fulldiscernment of their offences andwrongdoing.

ii) Weak linkages between and amongmembers of corrections because of thefragmented correctional system.

iii) Indequate database and statistics onprisoner’s recidivism.

iv) Inadequate budget for the aftercareprogram of released prisoners.

15. Republic of KoreaThere appears to be no problems in the

early release system.

16. Solomon IslandsIn Solomon Islands, public perception

regarding the early release of prisoners isnegative because the victim’s feelings aregiven importance. There is also a problem

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in the supervision of releases because ofthe limited number of trained staff. Someprisoners do not receive aftercare andsupervision, and therefore their chances ofre-offending increases.

17. ThailandThe problems in the early release of

prisoners are as follows:i) There is negative perception about

the early release of prisoners becausethey believe that the punishmentimposed on the offenders is lenientand that a prisoners are released tooearly.

ii) There is a problem in supervisionbecause of the limited number oftrained staff.

B. SummaryWhile discussing the problems existing

in the various types of early releasesystems in the participants’ countries, ithas been observed that the most commonearly release measure available isremission. Generally, remission is grantedto prisoners subject to their good conductand behavior in the prison, but in a fewcountries, such as the Solomon Islands andPapua New Guinea, it is awardedautomatically without fully taking intoconsideration the factors of conduct orbehavior, or gravity of the offence.

The other commonly used early releasemeasure is parole. However, it is observedthat while granting parole, the chance ofre-offending the prisoners is basicallytaken into consideration, but factors suchas their living conditions, employmentopportunities and family support etc. areless considered. In fact, in most of theparticipants’ countries, proper supervisionof or aftercare services for, the parolees wasnot available. In the absence of suchservices, the chance of re-offendingincreases. However, statistics regardingthe re-offending rate during the period ofsupervision were not available in almost

all of the participants’ countries, exceptJapan and Hong Kong. On the basis of theabove discussion, problems existing in thevarious early re lease systems inparticipant’s countries are as follows:

1. Improper Selection of Prisoners forEarly Release

It has been noted that in most of theparticipant’s countries there are problemsin the selection of candidates for their earlyrelease. Important factors which are to beconsidered from the point of view of therehabilitation of the prisoners, are oftenignored. In some of the participatingcountries such as Kiribati, Malaysia andPapua New Guinea, the award of remissionis automatic. In such situations, the chanceof release of high-risk prisoners increasesand the question of the safety of societyarises.

2 . Absence o f Adjustment and/orImprovement of Living Environment

In all the participating countries exceptJapan, Philippines and Thailand, thefactors of adjustment and/or improvementof the living environment to which theprisoners will return after their releasefrom prison are not considered beforegranting remission or parole. In theabsence of such adjustment, the chance ofr e - o f f e n d i n g i n c r e a s e s a n d t h erehabilitation of prisoners become difficult.

3. Improper Composition of DecisionMaking Bodies

It was also noticed that in most of theparticipating countries, the composition ofthe decision making body is not organizedin view of the prisoners rehabilitation. Insome cases, it is the minister in charge ofthe prison, a politician, who is thecompetent authority to decide the cases ofearly release. In some other cases it is aboard composing of two, three or moremembers nominated by the Minister or theGovernment. In such situations, the

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question arises about the independenceand competency of the decision makingbody. If the decision making body is notindependent, nor professionally competent,it may draw the wrong conclusions aboutthe merit of the case; which may effect therehabilitation processes as well as thesafety of the society. It was also reportedthat in some of the participants’ countries,there are complaints about the misuse ofpower by the competent authorities, suchas asking for bribes for making a favorabledecision, etc.

4. Lengthy ProcedureIt has been observed that in many

countries such as Botswana, Fiji, Nepal,Pakistan, Papua New Guinea, SolomonIslands and Thailand, that there arelengthy procedures involved in deciding thecase of early release. This situation not onlydelays the rehabilitation process, but mayalso contribute to the overcrowdingproblem.

5. Lack of Supervision and AftercareIt has been noted that almost all of the

participating countries are confronted withthe problem of the inadequacy of trainedstaff. Because of this, the prisonersreleased under parole, or other earlyrelease systems under supervision, can notbe properly supervised which ultimatelyincreases the risk of re-offending.

6. Public PerceptionIn some countries, public perception

about the early release of prisoners isnegative. The public wants to see theoffenders, especially those who commitserious crimes, behind bars. In suchsituations, the competent authorities showtheir reluctance in issuing orders for earlyrelease.

V. COUNTERMEASURES

A thorough examination of the actual

situation and problems existing in the earlyrelease systems in the participantscountries revealed that the followingimportant factors are not taken intoconsideration when awarding early releaseto prisoners.

A. Selection of Prisoners for EarlyRelease

In many countries, it has been noted thatcriteria for selecting the candidates forearly release under remission and paroleis not appropriate. In some countries,remission is automatic, but in othercountries the only criteria is good conductand behavior in the prison, without takinginto consideration the risk of recidivism.While in case of parole, apart from goodconduct and behavior, the risk of re-offending is given importance, but otherimportant factors are ignored. It istherefore suggested that the competentauthorities, before granting remission andparole or similar early release measures,should also consider the following factorssuch as:

i) The criminal record.ii) Type and gravity of the offence.iii)Achievement in prison.iv) The safety of society.v) Family support.vi) Job opportunities.vii) Environmental adjustment.The observance and application of the

above mentioned factors places the decisionmaking body in a better position to balancethe positive effect of the early release, i.e.reintegration and rehabilitation of theprisoners in to society against the risk ofrecidivism that may pose a danger to thesociety.

After selecting the prisoners for earlyrelease, the question arises as to when tobe released. As regards the timing ofrelease, it has also been observed that theminimum period required to be served inthe prison before release on remission andparole differs from country to county,

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ranging from 3/4th of the sentence in thecase of Bangladesh; 2/3rd in the Botswana,Ghana, Kenya, Kiribati, Korea, Malaysia,Papua New Guinea and Pakistan; and 1/2in Nepal. However, no specific period canbe fixed for any prisoners. Here theimportant factor is that the timing of earlyrelease should be selected in such a waythat the prisoners should have completedsome portion of the sentence in prison as apunishment according to the gravity of theoffence; because it creates a deterrent effectfor the prisoner as well as for others insociety. The remaining portion may beserved in the society under supervision.The other factor to be considered is theprospects of the prisoners’ re-integrationinto society.

B. Adjustment and Improvement ofthe Living Environment

It has also been observed that in all ofthe participants countries, except Japan,Philippines and Thailand, competentauthorities do not consider the adjustmentor improvement of the living environmentof the prisoners at the time of making adecision about early release.

In fact, the living environment plays avital role in the reintegration andrehabilitation of a prisoner after release.The living environment does not only meana place of living, but also includes otherfactors such as the family, friends orassociates, financial situation etc. Forexample, in the case of drug addicts, thecompany of friends or relatives in whichthe addicts associate and the take drugs,play a significant role. Such associationsencourage drug use and it becomes verydifficult for the addicts to leave their habits,despite their willingness. If such anenvironment is changed and improved,there is greater chance of reformation inthe release and this will ultimately help intheir reintegration and rehabilitation intosociety. Therefore, it is very necessary thatbefore releasing a prisoner, the adjustment

and/or improvement of the l ivingenvironment be taken into consideration.

C. Composition of the DecisionMaking Body

It was observed that in many countries,the composition of the decision makingbody for granting early release is notappropriate. In some cases, it is theMinister of Justice or minister concernedwith the portfolio of prisons, but in othercases it is a Parole Board comprising of two,three or more members nominated by theMinister or the Government. In most of thecases, it is only one person who makes thedecision. In fact, the professionalcompetency of the members is ofparamount consideration, becauseawarding an early release to a prisonermay have positive as well as negativeeffects. It is, therefore, very important thatthe composition of the decision makingbody be comprised of professionals fromrespective fields such as psychology, socialwork, police or prison administration, toensure that the decision making bodymakes the right decision about earlyrelease; keeping in view the safety ofsociety and also the rehabilitation aspectsof the prisoner. Such composition will alsoensure the independence of the body.

D. Reviewing Lengthy ProcedureIt has been noted that in some countries

like Botswana, Nepal, Solomon Islands,Papua New Guinea and Thailand, theprocedure for early release is lengthy. It issuggested that:

i) The laws/rules governing earlyrelease must be reviewed andevaluated with the intention of takingadvantage of the said privilege.

ii) There must be a specific timetable tocomplete the procedure and a speedyreview of the cases of those who areto be released.

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E. Reinforcement and Training ofSupervising Staff

Supervision and aftercare is necessaryto ensure the rehabilitation of releasedprisoner.

Therefore it is suggested that:i) There is a need to improve the

professional skill of the probation/paro le s ta f f engaged in thesupervision activities.

ii) The Volunteer Probation Scheme betaken into consideration by thosecountries where such schemes are notbeing used.

iii)Training of staff is necessary for thesupervision of the released prisoner.

F. Improving Public PerceptionIt has been noted that in most of the

participants’ countries, the publicperception about the early release ofprisoners is negative for dangerous orhardened criminals, but positive for minoroffenders. In fact, the early release systemwhich is being used with the objective ofthe rehabilitation of the offenders in tosociety needs wider publicity.

In participant’s countries, the public donot realize the importance/advantage of therehabilitation aspects of the early releasemeasures. They think that all criminalsmust be kept behind the bars. Perhaps inthis way, they feel a sense of security fromthe realization that prisoners releasedbefore the expiry of their imprisonmentmay pose a danger or threat to them. Ithas been observed that not every prisoneris a threat to society. There are varioustypes of offenders, with dif ferentbackgrounds and offences, and thus theyshould not be considered equally. There isa need to emphasize the important aspectthat there are different types of offenders.Only those prisoners who are dangerousand pose a threat to society should not bereleased, in order to protect society.However, non-custodial measures could beconsidered for low risk offenders.

The advantage of early release systemssuch as remission or parole may be takeninto consideration with the sole objectiveof prisoner rehabilitation. There is also aneed for educating politicians on thissubject, so that they may extend their fullcooperation in making new laws for earlyr e l e a s e s y s t e m s , o r f o r m a k i n gamendments of the existing laws asrequired.

Therefore, there is a need to create agreater public awareness about theadvantages of the early release system forthe purpose of the rehabilitation and re-integration of prisoners in society. Thepublic should also be made aware of thecost of keeping and maintaining offendersin prison. It may also be emphasized thatimprisonment separates the prisoner fromtheir family and this may have a negativeeffect on their personality and behavior.

VI. CONCLUSION

In most of the participants’ countries, theprison system is confronted with risk ofrecidivism. The conclusion drawn on thebasis of the above discussions, is that thepolicy of exercising proper early releasemeasures for suitable prisoners seems tobe the correct policy. However, it isemphasized that while exercising theoption of early release, the authorities mustdifferentiate amongst the various types ofoffenders, the gravity of offences and therisk of recidivism, keeping in view thesafety of society and the rehabilitationprospects of the prisoners.

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GROUP 3

REHABILITATION AND CORRECTIONAL PROGRAMMES INTHE COMMUNITY TO PREVENT RECIDIVISIM BY

DISCHARGED PRISONERS: THE ACTUAL SITUATION,PROBLEMS AND COUNTERMEASURES

I. INTRODUCTION

The search for effective measures for therehabilitation of the offender has led thecriminal justice world to look beyond thewalls of the prisons for programs in thecommunity, which are effective incomplementing the rehabilitative efforts ofthe penal institutions.

Rehabilitation, the philosophy that hasgained root in modern penology, is in itselfa very useful concept. The prisons however,are choked with cases which could havebeen best dealt with outside it; eitherthorough alternative non-custodialsentences or by preventing the re-offendingof some of the convicts through treatmentprograms while they were on release fromprison. Studies and experience have shownthat the prison setting is not always idealfor preparing the offender to reintegratesuccessfully into society. They can be worse-off on release.

It has also been felt that the ultimateaim of correctional programs is the

Chairperson Ms. Josephine Muthoni Murege (Kenya)Co-Chairperson Ms. Fumi Muraoka (Japan)Rapporteur Mr. William Kwadwo Asiedu (Ghana)Co-Rapporteurs Mr. Yoon, Bo-Sik (Republic of Korea)

Mr. Mamoru Suzuki (Japan)Members Mr. Sairusi Gauna Tuisalia (Fiji)

Mr. Hideharu Maeki (Japan)Mr. Satoshi Nakazawa (Japan)Mr. Mamoru Takatsu (Japan)

Advisers Professor Tomoko Akane (UNAFEI)Professor Shoji Imafuki (UNAFEI)

rehabilitation of the convict-prisoner insociety. By keeping the prisoner away, theyare further removed from society, thusmaking readjustment very difficult.Therefore, community-based treatmentprograms have been commended as havingmore hope for rehabilitation than theprisons.

Accordingly, some countries haveevolved packages of community-basedtreatment programs. So much importancehas been placed on non-custodial measuresthat various international forums havebeen convened to design and recommendmeasures for effective treatment programsin the community.

Rather than see issues as domestic, withthe need to implement local prescriptions,the world community has, through variousforums, treated the search for effectivemeasures as a global concern. The effortsof the world community have resulted inthe formulation of the Standard MinimumRules for Non-custodial Measures (the

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Tokyo Rules ) drafted by UNAFEI andsubsequently adopted by the GeneralAssembly of the United Nations, for theguidance of all communities in thetreatment of offenders.

Since our scope of discussion is limited,we intend to discuss community-basedprograms for discharged prisoners. Thegroup’s plan is to conduct a comparativestudy of the various types of programs inactual use for preventing dischargedprisoners from re-offending, and forpromoting their reintegration into society.We will also consider the categories ofdischarged prisoners who benefit fromspecific programs and the roles played byformal and informal organization. An in-d e p t h s t u d y o f t h e p r o b l e m s o fimplementation follows. The group furthera t t e m p t s t o p r o p o s e p r a g m a t i ccountermeasures that take the socio-political and economic situations of thevarious countries into consideration.

II. GENERAL ISSUES

A. Discharged Prisoners in SelectedCountries

The scope of the discussion is on earlyand full-time release of prisoners as far asit relates to their supervision, aftercare andguidance. Whenever practicable, youngoffenders serving prison terms will bediscussed in the course of the study. It willb e c o m e a p p a r e n t t h a t d i f f e r e n tterminologies are used for systems andproblems that are essentially similar.

The discussion is based on the practiceof countries not only of group members;Fiji, Ghana, Japan, Kenya and Korea, butalso four countries with programs of whichinformation is available: Hong Kong,Papua New Guinea, Philippines andThailand. These practices will be discussedfor identification of shortcomings andcountermeasures. The discussion on theearly release of prisoners focuses onfollowing systems:

(i) Parole in Japan, Korea, PapuaNew Guinea, Philippines andThailand;

(ii) Remission in Ghana (withlicense), Kenya (for long-termprisoners) and Thailand;

(iii) Release Under Supervision inHong Kong;

(iv) Extra Mural Punishment (EMP)and Compulsory SupervisionOrder (CSO) in Fuji;

(v) Release on License in Kenya (foryoung offenders).

III. PROGRAMMES IN ACTION

A. Operation of Various Programsfor Different Categories ofDischarged Prisoners

1. Working Definition of Supervision,Aftercare and Guidance

Supervision in the context of community-based corrections involves the institutionof control measures to prevent theoffenders from re-offending. Aftercareinvolves measures to help them to reformand reintegrate into society by meeting thematerial and immaterial needs ofdischarged prisoners. Guidance generallyinvolves counseling the dischargedprisoners and teaching them life skills inorder to overcome the many obstacles andfrustrations they would come across afterrelease.

2. Classification SystemIn Japan, the classification system has

been in operation since 1971. Probationofficers use Needs/Risk Assessment toclassify parolees. This system wasimplemented to classify and treatindividual discharged prisoners accordingto their limited resources of ProfessionalProbation Officers. Parolees are classifiedinto two groups: Groups A requires moreattention and intervention by probationofficers, and Group B does not present any

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acute or serious problems. Factors inclassification to be considered are:unemployment, no fixed residence, drug oralcohol abuse, recidivism, poor attitudetoward supervision and association withorganized criminals. Cases are reviewedoccasionally for possible re-classification.As of December 1997, 22.3% of adultparolees throughout Japan were classifiedas Group A.

Meanwhile other countries do not haveclassification systems for parole and otherforms of early release.

3. Supervision, Aftercare and Guidancefor Early Released

ConditionsSupervision is largely based on

conditions. The objectives that aresupposed be achieved include theprevention of recidivism and facilitation ofrehabilitation and reintegration.

(a) JapanA r t i c l e s 3 4 o f t h e O f f e n d e r s

Rehabilitation Law of Japan stipulates theconditions for granting parole as:

(i) To live at a fixed residence andengage in an honest calling:

(ii) To be of good behavior;(iii) To keep away from persons who

are of criminal or delinquenttendencies; and

(iv) To ask their supervisor forpermission in advance forchanging residence or going on along journey (exceeding a week).

In addition to general conditions, theparolee is also required to abide by specialconditions such as no gambling, overindulgence in alcohol and dealings withdrugs. Special conditions vary widely asthey are designed to meet the individualneeds of each parolee.

(b) KoreaThe parolees of Korea are subject to

supervision these conditions:(i) Refrain from committing crimes;(ii) To live at a fixed residence;(iii) Report to probation office once a

month and sometimes more ifnecessary; and

(iv) To be of good behavior.

(c) Papua New GuineaIn Papua New Guinea, the parolee

immediately reports to the office of theParole Service. The other conditions are:reporting to a Parole Officer or VoluntaryParole Officer as and when required by theoffice of the Parole Service; keeping thepeace and being of good behavior; followingany direction or instructions given by aParole Officer; and not changing the placeof residence unless s/he has given theParole Officer reasonable notice of theintention to do so, as well as the reasonsfor the proposed change.

The Parole Officer must give permissionfor the change of residence and the paroleemust comply with any orders given by theParole Officer in relation to the change ofresidence. The Parole Officer must benotified in reasonable time of the intentionof the parolee to change their employment,the reasons for wanting to do so and thenature and place of his /her proposedemployment.

The parolee must give reasonable noticeto the Parole Officer of any contracts, debtsor financial undertakings they propose toincur or enter into which might have asignificant effect on their income or familysituation. They shall allow a Parole Officeror Voluntary Parole Officer to enter theirhome, during reasonable hours, inexecuting their duties. The parolee inPapua New Guinea may be further orderedby the Parole Board to follow specialconditions of the Parole Order. The Boardhas discretion in imposing additionalconditions. The goals of the Board areensuring compliance of the order and thegood conduct and welfare of the parolee.

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These additional conditions may include:residing in a named place for the period ofparolee, refraining from entering a namedtown, actively looking for employment orfor a legal means of supporting the paroleeand their family, undertaking alcoholcounseling, family counseling, marriagecounseling and avoiding contact with anamed person. They may also be orderedto refrain from using alcohol or illegaldrugs, or be required to participate in otherrehabilitative programs offered in thecommunity and view videos on law andorder.

The parolee is however, exempt frompaying compensation, doing communitywork or paying a fine since these arealternative punishments at the sentencinglevel.

(d) ThailandPrisoners who benefit from early release

in Thailand, either through parole orremission, are given conditions on theirearly release. They are to refraincommitting crimes, from entering areasdetermined by the competent authority andare required to report in person to acompetent authority as designated by theDirector-General of the Department ofCorrections.

They are to continue with the occupationarranged and supervised by the competentauthority, to resume their formeroccupation or take the occupation arrangedand supervised by close friends or relations,and to practice their religion.

(e) FijiThe conditions or release in Fiji are: (1)

the prisoner released on CompulsorySupervision Order shall at all timesproduce the order when demanded by amagistrate or police officer, (2) they shallabstain from any violation of the law, (3)they shall not habitually associate withnotoriously bad characters such as reputedthieves, law breakers, receivers of stolen

properties and the like, (4) they shall notlead an idle or dissolute life, (5) they shallreport personally to the person named asresponsible for their supervision withinseven days after release, (6) they shall notchange their place of residence withoutprior notification of such change to theirsupervisor and (7) they shall, during thefirst week of every month, report in personto the person named as being responsiblefor their supervision.

(f) GhanaThere are only three conditions for

release on licensee in Ghana. The licenseeon their immediate release has to reportto the police with their license. Thereafterthey report to the police periodically ontheir movements and change of address.For the unexpired period of the originalsentence, and while at liberty, the licenseemust not be convicted of any criminaloffense involving fraud or dishonesty.

(g) Hong KongThe conditions of release under

supervision in Hong Kong are: (1) theprisoner released shall comply with theconditions of their release specified in theorder, (2) s/he shall comply with thedirections of their supervising ProbationOfficer on matters concerning workplacement and rehabilitation and (3) s/heshall immediately notify their supervisingProbation Officer of any change in address.

(h) PhilippinesThe conditions for release in the

Philippines are: (1) the released prisonershall be placed under the supervision of aParole and Probation Officer so that s/hemay be guided and assisted towardsrehabilitation, (2)s/he shall report in personto the Parole and Probation Office asspecified in the Release Document forsupervision, (3) s/he shall comply will theterms and conditions appearing in theRelease Document and (4) s/he shall not

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transfer from the place of residencedesignated in the Release Documentwithout prior written approval of theBoard.

Duration and Routine Process ofSupervision

(a) JapanIn the case of a person serving life-

imprisonment in Japan, the parole periodis for the rest of their life unless s/he isparadoned in the course of the paroleperiod. In all other cases, the averageduration of supervision is five months.There was no data on duration ofsupervision for most counties.

In Japan, the Probation Officer takesinto consideration all informationpresented at the various interviews,together with the data in the case records,to assess the individual’s needs andproblems which require special attention,and to eventually work out a treatmentplan. The Professional Probation Officerand Volunteer Probation Officer, who isworking under the supervision of theProfessional Probation Officer, work intandem according to the treatment plan.

The methods of supervision are: (1)Volunteer Probation Officer is to observethe behavior of the parolee by maintainingclose contact with parolee. The paroleevisits the Probation Officer or the VolunteerProbation Officer twice a month. In turnthe Probation Officer or the VolunteerProbation Officer visits the parolee once amonth; (2) the Professional ProbationOfficer and the Volunteer Probation Officergive the parolee such instructions as aredeemed necessary and pertinent to makethem observe all the conditions given and(3) the Professional Probation Officer andthe Volunteer Probation Officer take othermeasures necessary to make the parolee alaw abiding member of society.

The Volunteer Probation Officer submitsa regular monthly progress report to the

Probation Office. In the addition they senda report whenever an unusual incidentoccurs, in relation to the parolee. Whenconsidered necessary, judging from thereport of the Volunteer Probation Officeror information of the police or parolee’sfamily, the Probation Officer visits theparolee, sends a letter to the appear at theProbation Officer or other local offices. TheChief of Probation Office has power tosummon and interrogate, even though s/he has no power of arrest. The Chief ofProbation Office can have the parolee, whois in breach of the conditions of their parole,arrested under a warrant (in advance) bya judge.

(b) Papua New GuineaIn Papua New Guinea, supervision of

parolee is conducted by a Parole Officerfrom the Attorney General’s Department.If a parolee is going to stay far away fromthe probation centers, s/he is required toreport to a volunteer parole office in theircommunity. The Volunteer Parole Officerwill then work closely with the ParoleOfficer. Supervision requires alwaysascertaining that the parolee is of goodconduct and observes the conditions ofparole.

(c) ThailandSupervision in Thailand is conducted by

the Probation Officers who belong to theDepartment of Corrections of the Ministryof Interior and Volunteer ProbationOfficers. They supervise the livingconditions of the early release. They payattention to the releasee’s relationship withtheir family, neighbors and attitudetowards work. The supervisors giveguidance to the family and neighbors, aswell as the release.

(d) Hong KongSupervision of the early released is done

by Probation Officers of the Hong KongCorrectional Department’s, Secretariat for

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Security. The objectives of supervision areto assist the early releasees to berehabilitated and reintegrated into society,as well as to protect the public from theperils of re-offending.

(e) PhilippinesThe Philippines operates a system where

the Probation Officer of the Department ofJustice supervise the parolees. They areassisted by Volunteer Probation and ParoleAides whose task is to assist in supervisingparolees, pardonees and probationers.They are specifically tasked to supervisetheir charges by devoting not less than 4hours a week. They have a maximum of 5clients and must prepare and submit to theChief of Probation and Parole Officemonthly reports on their clients.

They must keep all information aboutthe job in strict confidence and in closeconsultation and cooperation with Chief,perform incidental duties periodically. TheProbation and Parole Office where theparolee reports to, will issued with a copyof the release documents of the parolee. Theoffice must then ensure that the paroleereports within 15 working days. They mustalso ensure that the parolee complies withthe terms and conditions of the release andmake immediate report to the Board of anybreath of the conditions.

(f) FijiIn Fiji, the early released prisoner under

EMP will undertake public work for 6hours each day, or not less than 30 hoursper week, at any identifiable governmentdepartment or provincial office near theirresidence until their term expires. Theywill be under the supervision of agovernment official appointed by thegovernment department or provincial officeduring their extra mural labor.

The prisoner released on CSO is underno supervision but s/he must report to thepolice station nearest their place ofresidence during the first week of every

month, until their term expires. A life termprisoner will be released on pardon and s/he will be under CSO for the averageduration of 12 months. In other cases ofCSO release, the average duration ofsupervision is the unexpired portion of thesentence to the date of discharge.

(g) GhanaA person released on license in Ghana

is supervised by the police until the termof imprisonment expires. The prisonerreports immediately after s/he leaves theprison, with a copy of the license. The policeare sent a separate copy by the prisona u t h o r i t i e s . T h e l i c e n s e e m u s tsubsequently report on their movementsto the police on fixed days. This works as acontrolling and check mechanism againstreoffending. The licensee is aware that thecommunity is monitoring him/her. Thecommunity, knowing the offenders in aparticular crime, is reassured. Of coursethere is a lot of goodwill between the policeand communities in Ghana.

(h) KoreaThe parolee in Korea is supervised by

probation officers. The duration ofsupervision is the remaining days of theoriginal sentence. This system ofsupervision was introduced in 1989. Theparolees engage in community services likesnow-clearance, rubbish collection athistorical sites and palaces. They performlibrary services like bookbinding and alsoengage in ecological activities.

Suspension and Revocation

(a) JapanThe Regional Parole Board in Japan may

suspend probationary supervision whichmeans supervision can no longer be carriedout because the Probation Office does notknow the whereabouts of the parolee. Thepenal term shall cease to run and shall berestored on withdrawal of the ruling of

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suspension of probationary supervision.Revocation takes place when the RegionalParole Board which has jurisdiction overthe parolee, upon the request of the Chiefof Probation Office, decides that the breachof conditions of the parole is serious enoughto warrant revocation. The parolee is thenrecommitted to prison.

(b) Papua New GuineaWhen a parolee is in breach of the

conditions of parole in Papua New Guinea,by either committing another offence orfailing to adhere to the parole conditions,s/he is taken to court and the parole iscancelled. Subsequently s/he is made toserve the unexpired period of the originalsentence, and any new sentence that maybe imposed for the subsequent offence. Theconsequence for breach of the conditions forearly release is re-arrest without warrantand re-imprisonment for the remainingperiod of the original sentence. S/he willface additional disciplinary charges.

(c) Hong KongIn Hong Kong a beach of supervision

conditions or a relapse with drug use(under the drug treatment programs)would result in the parolees recall forfurther treatment for twelve months fromthe date of first admission, or four monthsfrom the date of recall. A general breach ofthe conditions for early release undersupervision, or pre-release employment,may result in suspension of the order andrecommittal into prison for the unexpiredterm of the original sentence.

(d) FijiIn Fiji, a prisoner released on EMP, upon

breach of a condition of release, would bereturned to the prison to serve theremaining portion of the sentence; inaddition to any other punishment theCommissioner of Prisons would impose forbreaching the condition of release. In thecase of CSO, the releasee who breaches a

condition of release, would be apprehendedafter their CSO is revoked by the Ministerof Home affairs and Justice, and am a g i s t r a t e i s s u e s a n o r d e r o fapprehension. They would then serve theunexpired portion of the sentence from thedate of release on CSO, plus a sentence ofthree months imposed by a magistrate forbreach of condition.

(e) GhanaA person released on licensed on license

in Ghana who breaches the conditions bybeing convicted of any criminal offencei n v o l v i n g f r a u d o r d i s h o n e s t y,automatically forfeits their license and hasto serve the unexpired period of the originalsentence, in addition to any fresh sentencefor the new case.

For failure to notify police of theirmovements, change of address or failureto report as a convict on license, the licenseereceives a twelve-months term ofimprisonment or serves the unexpired termof the original sentence.

(f) Korea and ThailandAlso in Korea and Thailand, if parolees

fail to comply with any condition, they haveto be re-imprisoned for the remainingperiod of their terms of sentence.

The statistics on revocation rates areavailable in Appendix one.

Aftercare and Guidance

(a) JapanIn Japan aftercare and guidance,

referred to as the method of rehabilitationaid, is effected by helping the parolee toobtain the means of education, training,accommodation and vocational guidance.The discharged prisoner is helped to reformand adjust to their environment and isaided to return to a destination suitablefor rehabilitation.

Parolees are specifically assigned to

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Volunteer Probation Officers who counselthem in various areas of life, for instance,their human relationship with friends,family members and neighbors. TheVolunteer Probation Officers use theirabilities and knowledge to impart socialand living skills to the parolees. They areactively involved with the parolees andeven assist them in finding jobs. Sometimesthe Chief of Probation Office requestshalfway houses accommodate parolees whohave need or are designated by theProbation Office.

(b) ThailandThe service providers in Thailand are

not clearly identified. Some organizationsliaise with the Department of PublicWelfare and Labor to help releasees. Theyare not restricted to prisoners, but help ex-prisoners who call for assistance.

(c) Hong KongHong Kong’s aftercare system is

delivered by experienced aftercare workswho use a dynamic, therapeutic and out-reach methods to monitor the programs orwork of the releasees. During the period,regular contact is maintained between thesupervisor and client. The aftercare agentsprovide timely and appropriate guidanceand assistance. The agents are anxiousthat their success rate, which is measuredby the percentage of releasees whocomplete supervision, is always high.

(d) PhilippinesThe Volunteer Probation and Parole

Aides of the Philippines provide guidance,counseling and placement assistance fortheir clients. Since 1996, the Philippine’shalfway house has been offering aftercaremonitoring of i ts ex-residents incooperation with the Department of SocialWelfare and Development, the Departmentof Justice and the Department of LocalGovernment.

(e) Fiji and GhanaAlthough Fiji and Ghana have no formal

aftercare systems, there are severalattempts currently being made by thePresbyterian Church of Ghana and a fewreligious groups and district councils in Fijito provide halfway house for releasees. Inaddition, in Ghana the society is so cohesivethat a released prisoner who goes home,repentent, would be taken in quickly andhelped to be financially independent. S/heis offered help in putting up a house orpreparing a farm. The chiefs, elders,pastors, schoolmasters and the public areall agents for guidance and counseling.When a young person misbehaves,s/he is asked if there are any elders in theircommunity to advise them. Guidance andcounseling are expected to come from theelders of the community and the well-placed in society.

(f) KoreaParolees in Korea receive help from the

Probation Officers in terms of lodging,vocational training and job referrals. TheKorea Rehab i l i ta t i on Pro tec t i onFoundation provides accommodation, foodand commutation allowance to the parolee.

(g) Papua New GuineaPapua New Guinea has no aftercare

system.

4. Supervision, Aftercare and Guidancefor Full-time Released

(a) JapanJapan has no supervision system for

prisoners who serve full time. It hasaftercare for this category for a maximumperiod of six months from the date ofrelease. The Chief of the Probation Officein Japan interviews and investigates thebackground of released offenders whorequest aftercare services. Decisions arebased on the urgency of the situation andthe willingness of the released person to

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rehabilitate themself. Aftercare servicesare temporary and cover meals, clothing,travel fares, lodging and referral to publicemployment of welfare services. Issues ofaccommodation are referred to halfwayhouses which can provide lodging, boardand living guidance.

(b) ThailandThailand does not have programs for

full-times released, except the invitation tosettle in penal colony for those selected.This system allows discharged prisoners totreat parcelled-out land as their privateproperty. While they are still serving timeon the penal colony, they can invite theirfami l ies to l ive with them. Thisarrangement continues after release, butdue to the problem of land sharing, thissystem has been stopped.

(c) Fiji, Ghana & Papua New GuineaFiji, Ghana and Papua New Guinea have

no programs of supervision or aftercare forthe full-time released.

(d) KenyaIn Kenya, in the case of a high-risk

offender, an order is sometimes made forsupervision after completion of thesentence. The Court decides the period ofsupervision. When on supervision, thereleasee is required to report to the policestation or post nearest to their home atleast once a month. The releasee’smovement and actions are monitoredclosely during this time by the police.

5. Young Offenders

(a) JapanIn Japan, Article 58 of the Juvenile Law

provides that parole may be grated to ayoung offender sentenced to imprisonment(with or without labor) when s/he was ajuvenile, after the lapse of the followingperiods: seven years in the case of a penaltyfor life; three years in the case of a penalty

for a determinate term and one-third of them i n i m u m p e r i o d i n t h e c a s e o findeterminate sentence.

Also the young offender must showgenuine reformation, which is judged bythe Regional Parole Boards, taking intoaccount the following factors: the degreeof repentance; eagerness to rehabilitate;the likelihood of recidivism and thesociety’s willingness to accept parole.

The following general conditions, asprovided by law, are automatically imposedupon a parolee from juvenile prisons: to liveat a fixed residence and engage in a lawfuloccupation; to be of good behavior; to keepaway from persons who are of criminal ordelinquent tendencies and to ask theirsupervisor for permission, in advance, forchanging residence or going on a longjourney.

In addition to these general conditions,the parolee is also required to abide byspecial conditions which the RegionalParole Board sets forth as a guide towardsa law-abiding life. Guides to rehabilitationcontain prohibitions, obligations andencouragement. Special conditions varywidely as they are designed to meet theindividual needs of each parolee.

The parole board may terminate onlyindeterminate sentence. Clause 1 of Article48 of the Offenders Rehabilitation Lawprovides that in case the minimum periodof the penalty which has been imposedupon a person under the provisions of theJuvenile Law has passed while s/he is onparole from the prison, the execution of thesentence may be regarded as having beencompleted by a ruling rendered by theRegional Parole Board, at the request ofthe Director of the Probation Office, if itdeems it proper in view of the merits s/hehas achieved while under probationarysupervision.

The Regional Parole Board revokesparole upon the application of the Directorof Probation Office. The parolee may beconfined in the prison for the original

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parole period, but s/he may be grantedparole on the revoked sentence in thefuture.

(b) KenyaKenya has a well-designed treatment

program for young offenders who go onrelease on license, either early or afterserving a full-time sentence of maximumthree years at the Borstal Institution(under prisons). In Kenya the After-CareCommittee decides on early release issues.Probation Officers have been called uponto provide the above services, through anadministrative arrangement, until the“Parole Bill” is enacted by Parliament.Supervision and aftercare services areprovided by the Home District ProbationOfficer. The immediate aim of the programis to resettle them back home so they reportto the Probation Officer immediately onrelease. Assistance usually ranges fromtools (for various trades undertaken in theinstitution), counseling and ensuring thatthey go back to school if they are off formalschool-going age. They are also assisted toget trade training in the local traininginstitutions like polytechnics. TheProbation Department has also establishedan aftercare resettlement fund thatassistant the released inmates with toolsand payment for their training, dependingupon the availability of funds. Theprobation officer actually helps the ex-inmate and their families in order tofacilitate proper reintegration.

Kenya’s conditions of supervision andaftercare for young offenders include: beingof good behavior; being truthful; reportingto the Probation Officer at least once amonth or as required, refraining fromkeeping bad company, especially bad peers;informing the Probation Officer of theirmovement ; remaining in regularemployment, school or training program;avoiding intoxicating liquor or drugs; andobserving any other condition laid down byProbation Officer.

On failure to observe any of theconditions, the Probation Officer wouldfirst issue a warning. That failing, thereleasee would be recalled by theCorrections Commissioner to the BorstalInstitute where s/he would be detained fora period not exceeding three months. Afterthis s/he would remain on suspension forthe period s/he was originally committedto serve.

6. Specialized Programs for SolvingSpecific Rehabilitative Needs

(a) Hong KongDrug addiction treatment centers are

used in Hong Kong to commit a minoroffender who is found to be a drug user. S/he is committed for a period of not morethan twelve months, with dischargedepending on progress. The program aimsat detoxifying and restoring the health ofthe offender, by attacking the basis of theirdrug use and re-integrating them intosociety. Treatment involves counseling,work and vocational training.

On release, such an offender is placedunder a year’s mandatory aftercare andsupervision, aimed at assisting socialreintegration. The correctional staff visitthe offender’s and work place to check onpossible drug use. The Hong KongCorrectional Services Department requiresthe released prisoner to submit to urinetests and notify their supervisor on changeof residence. On violation of the conditions,the Commissioner of Corrections, ifsatisfied, would issue a recall order. Theprisoner would be recalled and required toserve the remaining sentence or serve fourmonths imprisonment, whichever is longer.

(b) JapanReferred to as categorized treatment in

Japan, the Regional Parole Board classifiesparolees with special situations into sixgroups; thinner sniffing, stimulant drugabusers, gang members, sex offenders,

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mentally disturbed and long termers.Probation officers re-classify them duringthe supervision process.

(c) ThailandChemical substance abuse programs

exist in Thailand’s prison, but they havenot been extended to the community tobenefit discharged prisoners specifically.Non-governmental organizations runsimilar programs for the general public,although not discharged prisoners inparticular.

(d) Other CountriesThere are no drug or substance abuse

treatment programs in the other countries.In the countries which have some form oftreatment, the information gathered wasnot enough to warrant fuller discussion.

7. Halfway Houses

Halfway houses can be defined ascommunity-based centers where offenderscan obtain basic necessities like food,clothing and shelter. They generally caterfor probationers, parolees and dischargedprisoners.

(a) Japan In Japan, all halfway houses are run by

a private association(Juridical Person forOffenders Rehabilitation Services).Halfway houses accommodate nearly aquarter of parolees lacking a suitable placeto live.

Japan has 99 halfway houses which areunder the authority of the Ministry ofJustice. The capacity of each facility rangesfrom 10 to 110. Currently their totalcapacity is 2,267. During 1996, the numberof adult parolees who received assistancefrom halfway houses was 4,595. Thenumber of full-time discharged prisonerswho received assistance was 3139.Residents comprised 61.4 percent ofauthorized capacity of all halfway houses,

countrywide. Average term of stay inhalfway house is about 3-4 months.Resident’s of halfway houses are spoken toand treated by staff in a homelikeatmosphere. When the staff notice anyslight change in the mood of the residents,the staff take it upon themselves to resolvethe problem. Halfway houses offervocational guidance to dischargedprisoners and help them to find suitableemployment. Most residents work outsidethe halfway house on a daily basis.Employment offers them financialindependence and builds in them goodwork ethics. Guidance on life skills is alsooffered at the halfway house.

The Japanese system has a nationwidespecial type of supervision and aftercarefor discharged prisoners whose sentencesare eight years and above, including lifes e n t e n c e d p r i s o n e r s . T h e y a r eaccommodated for the first month afterrelease on parole and receive intensivegroup counseling, as assistance andguidance to help them cope with social life.The hal fway house in Japan hashistorically been operated by privatepeople.

(b) KoreaIn Korea, if the discharged prisoners

have no family or house, the KoreaRehabilitation Protection Foundationprovides accommodation, money, food aswell as training and job referrals for thedischarged prisoners. There are 72 halfwayhouses in Korea. In 1995, the total numberof discharged prisoners who received somekind of services mentioned above was18,537 (capacity for the accommodationwas not available).

(c) ThailandIn Thailand, there is only one halfway

house run by the Rehabilitation Bureau.Referred to as “Baan Sawaddee” whichmeans Greeting House in English, theHalfway house is available to all releasees.

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The assistance includes the offering ofaccommodation, meals, job placement andcounseling services. This system has juststarted, so no assessment has yet beenmade of it.

(d) Philippines1996 saw the operation of a real halfway

house for adults in the Philippines. ThePhilippines-Japan Halfway House aims atproviding residential facilities for releasedand pre-released prisoners. The occupantsreceive home life and group livingexperience. They acquire vocational andeconomic skills and are subsequentlyplaced in jobs.A multi-disciplinaryapproach by social workers, psychologists,educators and people in allied occupations,create the opportunity for emotional,mental, physical and spiritual growth,They would require these ingredients intheir eventual reintegration into the familyand community.

(e) Hong KongIn Hong Kong, accommodated in the

halfway house as a condition of theirSupervision Orders are those: releasedfrom prisons under the Pre-releaseEmployment Scheme; young offendersidentified as having special needs ondischarge from training centers ordetention centers; and those in need oftemporary accommodation supportimmediately after release from drugaddiction treatment centers. They arerequired to go out to work or attend full-time school during the day and return inthe evening.

B. THE ROLE OF FORMAL ANDINFORMAL ORGANIZATIONS

1. Public InstitutionsWhile public institutions play a major

role in community-based supervision andaftercare for discharged prisoners, differentdepartments may be tasked with jobs

a imed a t e i ther contro l l ing andincapacitating the offender, or providing fortheir needs after serving the term ofimprisonment.

In Japan, the Rehabilitation Bureau ofthe Ministry of Justice has been performingsuch role and the Probation Service is partof the Bureau. Supervision is provided byProbation Officers and Volunteer ProbationOfficers working for the Probation Service.Probation Officers offer aftercare andguidance as well. The government gives notonly financial support to the halfway housebut also supervision, so that it can provideappropriate services.

In the Philippines, the Department ofSocial Welfare and Development plays avery important role in the area ofcommunity-based treatment of offenders.The Department was instrumental increating the halfway house for adults.

In Ghana, the police have the mandateto supervise the discharged prisoners. InFiji, public authorities supervise prisonerson EMP while the police superviseprisoners released on CSO. The particularinstitutions liaise with the prisonauthorities in this respect. In the samemanner, breaches of the conditions arereported back to the prison authorities. InKorea, the Ministry of Justice controls thecorrectional service as well as the agencywhich governs parole and probation.

2. Private InstitutionsThe Cooperative Employers of Japan

play an important role by employingreleased offenders in the construction,manufacturing, service, wholesale andretail sectors. This is a very important stepin assuring reintegration, for withemployment comes confidence and self-dignity. Thereby the discharged prisoneris able to meet their material needs, paybills and live up to responsibilities. Theycan also have the means to makereparation to their victims.

In Papua New Guinea, it is the church

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that plays a role in this regard byaccommodating selected dischargedprisoners whom they had been in contactwithin the prison. The church providesbasic necessities like food and clothing. Thedischarged prisoners are given counselingand guidance, and after grounding indoctrine, they participate in anti-crimecampaigns and sometimes take up themantle of leadership in the churches.

3. The Community and Families ofVictims and Discharged Prisoners

Before parole is granted, the probationofficer conduct investigations into thefamilies of the victims, the families of theprisoners and in the community. They canprovide probation officers with relevantinformation for the rehabilitation plan.

Victim’s acceptance of a releasee backinto the community leads to theunderstanding and reintegration of thereleasees. Compensation is a method usedto facilitate victim’s understanding andacceptance of releasees. If releaseesrecognize that the victim has suffered bothphysical and mental damage, they willrecognize the seriousness of their crime.

The family of the offender, in developingcountries like Kenya and Ghana, normallywelcome the offender back, offer them theirold accommodation in the family house orhelp to build a new one. Members of thefamily help to prepare a farm or start abusiness venture and generally to begin anew life. So long as the discharged prisonergoes back to their roots, there is enoughgoodwil l for them to bui ld on inrehabilitation. The chiefs and elders offerguidance and counseling together with thehead teacher, the post-master and the localpriest. With such tremendous support, thedischarged prisoner has a great chance ofreintegrating into society.

In addition, interchange between thefamilies of the victims and the offender whois now discharged, can only happen insmall communities where they are

expected to live together; in the urbansector the situation is different. It is oftenseen in small and traditional communitiesthat the community leaders bring the twoparties together, and peace is made afterthe offender and his or her family.

At the same time as s/he lives among thecommunity, the released offender ismonitored as they are known by everyone.S/he is thus inhibited and this serves as acheck on the tendency to re-offend. At thecommunity level, the policeman is regardedas kin and the community cooperates withthe police in checking the movements of thedischarged prisoner. Supervision, thus, isknown as quite effective.

4. Volunteer Probation Officers and OtherVolunteers

Japan utilizes the services of volunteersin an extensive manner. With 50,000Volunteer Probation Officers, supporting700 Probation Officers, who are directlyworking with parolees in the field, it isobvious that volunteers perform the bulkof the work in controlling and monitoringthe discharged prisoners, as well as inassisting the family through counselingand guidance.

Voluntary Probation Officers in Japanpromote crime prevention programs, aswell as educate individuals and the generalpublic on rehabilitative measures and theneeds of the discharged prisoners. Theyalso promote cooperative efforts toeradicate environmental conditions whichlead to crime.

Another feature of the voluntary spiritof the Japanese is the existence andactivities of the Women’s Association forRehabilitation Aid. With a membership of194,000 nationwide, the Association isconcerned about matters of crime,delinquency, and the problems and welfareof offenders and their families. Theyprovide financial, material and moralsupport to Volunteer Probation Officers,halfway houses and also help the public to

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understand the rehabilitative ideas andefforts through discussions at meetings.Their activities are supported by ProbationOfficers in the neighborhood.

With the introduction of the parolesystem in 1991, Papua New Guinea hasbeen using Volunteer Probation Officers toassist the regular Probation Officers insupervising the parolees. Until then,Volunteer Probation Officers were assistingin looking after probationers. They receivetraining in counseling and interviewingskills and are very effective in their roles.Coming from the same community as theparolee, the Volunteer Probation Officerhas good rapport with their client. By 1986,there were 300 active Volunteer ProbationOfficers. Through their activities, they helpin getting the community to support theparo lee in ways which fac i l i taterehabilitation.

Thailand’s Volunteer Probation Officerswho number 14,000 work with ProbationOfficers of the Department of Correctionsof the Ministry of Interior. They are drawnfrom among local people who have stablejobs and fixed addresses and no criminalrecord.1 The parolees who are supervisedby the Volunteer Probation Officers aresubject to observation of the conditionsattached to their release. Although, mostof the countries studied have no VolunteerProbation Officers who substitute forregular Probation Officers, it should benoted that volunteers in many countriesimplement informal supplementaryprograms.

IV. PROBLEMS OFIMPLEMENTATION AND

SOLUTIONS

In the implementation of community-based programs for the treatment ofoffenders we considered whether the needsof discharged persons and the needs of thecommunity have been met by theprograms. We further considered if theproblems are the result of flaws in thedesign of the programs or that theprograms are not suitable for the needsthey seek to address.

A. Inadequacy of PersonnelThe issue of inadequate staff to carry out

c o m m u n i t y - b a s e d p r o g r a m s w a srecognized as common to all the countriesstudied. Japan for instance, was cited ashaving only 700 Probation Officers directlyworking with parolees throughout thenation. Supported by 50,000 VolunteerProbation Officers, the number is still notenough to offer top level service for,parolees especially, those with high risk/needs such as drug offenders, mentallydisordered offenders, sex offenders andviolent offenders who require specialtreatment programs.

This problem extends to all otheragencies involved in community correctionsin the nine countries represented, andconceivably all over the world. Manyprobation of f icers are young andinexperienced. Combined with otherproblems such as lack of good supervisorysystems, shortage of staff and poor trainingopportunities, the quality, of fieldwork andcasework suffer. Specialization is missing,especially in relevant fields like psychologyand sociology. Administration of probationservices, generally suffers from lack ofmanagerial and supervisory skills on thepart of some administrators. At the root ofthe problems of treatment staff is the lackof adequate compensation, incentive andgood conditions of service.

1 They are distinguished from the VolunteerProbation Officers who work for the Departmentof Probation. While the former supervise parolees,the latter takes care of probationers.

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B. Lack of Aftercare ProgramsMany countries are obsessed with

security at the cost of developing treatmentprograms for the reintegration of theoffender. The countries studied gave theimpression that the needs and concerns ofthe discharged prisoner are less important.

For instance, a common phenomenonthroughout the countries we studiedreveals the crippling disadvantage thedischarged prisoner faces in the job market.A bedrock of rehabilitation, employmentenables the discharged prisoner to meettheir responsibilities, yet, the lack of skillsand the stigma of imprisonment playnegative roles in ready absorption into thejob market; as most prisoners are in thefirst place unskilled and do not receiveadequate training in the prisons.

Programs like vocational training andjob placement are limited. It is very difficultto fully implement and develop resourcesfor programs o f such k ind . Thisphenomenon is attributable mainly to thevalues of the society. Kenya, for instance,has focused on protecting society from theactivities of the criminal. Aftercare servicesare hampered by lack of funding forprograms. Many useful programs have hadto be shelved because of this problem.

It is perceived by the group thatdevelopment of aftercare programs in thecommunity may require the modificationof administrative organizations. Forinstance, further involvement of socialwelfare agencies or the rehabilitation ofreleased offenders is necessary. Withprobation officers as service providers, theyare not a lways or iented towardsrehabilitation and aftercare, instead focusis towards control and monitoring.

C. Inadequacy of SupervisionSupervision tends to create loopholes for

the released offender bent on committinganother offense. The releasee is onlycontrolled and monitored for a short partof the day and in cases like Fiji, Ghana and

Kenya, reports on average once a month.Releasees are virtually on their own.Particularly, more effective and intensiveways to supervise offenders posing highrisk to the society should be exploredincluding adequate conditions.

It is very easy for parolees and othersunder supervision to run away. So manyparts or these countries are virtuallyinaccessible and record-keeping is verypoor. It is difficult to track them. In theabsence of c it izen registration oridentification systems, chances of re-arresting an escapee are bleak.

Some participants expressed the viewthat increasingly complex cases saddlesupervisors with heavy workloads. Thoughstatistics are not readily available, it isobvious that they find it impossible to paythe necessary attention to detail. Withlogistical support not forthcoming,especially vehicles and monitoring devices,the supervisors are crippled in their work.

D. Lack of Programs for SpecificRehabilitative Needs

Countries do not seem to pay muchattention to programs which address thespecific rehabilitative needs of theoffenders, outside the prison. Though thereare many categories of offenders whorequire specific treatment, like psychiatriccases, sexual offenders, violent offendersand alcoholics, we could only identify drugand substance abuse programs in thecommunities of three countries; HongKong, Japan and Thailand.

The programs do not address the specificrehabilitative needs of the offender who isin the community for treatment whichwould complement their progress toeventual social reintegration. Althoughthere appears to be no need for suchprograms, it is our view that the lack oftreatment for specific types of offenders isattributable to some forms of ignorance.Several factors, such as limited awarenessof the seriousness of the harm done by

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those offenders due to non-availability ofdata, and limited faith in criminal justiceadministration, can contribute to theignorance about special treatmentmeasures.

Even though the necessity for thesetreatment measures is acknowledged bypract i t ioners and po l i cy -makers ,considerations such as the following, deterthem from implementing these treatmentmeasures:

(i) Absence of established andeffective treatment programs.

(ii) Prohibitive cost of programs.(iii) Lack of community support for the

implementation of such programs.

E. Absence of Inter-DepartmentalCooperation and Support

Various organizations are involved in therunning of community-based correctionalprograms. Since they have similarobjectives, they are expected to cooperatewith each other. While state and privateinstitutions are likely to cooperate witheach other, for instance, the prisons andthe churches, the same cannot be saidabout governmental bodies, particularlyprobation and prison officials.

The exchange of information betweenthe two is not smooth; yet the two bodiescould complement the work of each other;the prison officer letting the probationofficial know about the nature andpeculiarities of the offender before release,and the probation officer letting the prisonauthori t ies know in advance thepeculiarities of the convicted person as theyare being brought in to serve theirsentence. The interchange of informationwould help both bodies plan theirtreatment measures in respect to theoffender. Many countries reported thisproblem of lack of inter-departmentalcooperation and mutual support.

It was observed that the prisons arereluctant to offer information about theattitudes, health situation and other

details the probation officers need, to workout case plans. Several reasons for thissituation were pointed out. In somecountries, restrictions are legally placed onthe giving of information and prisonofficials have to be careful.

Though it is desirable that programsinst i tuted in the pr isons for therehabilitation of prisoners should becarried through to the community, there isa lack of cooperation between thecorrectional and probation agencies on theprogram design. Many countries pointedout the lack of coordination amongsupervisory agencies, social welfare andsocial development services engaged insimilar rehabilitation efforts.

F. Unfulfilled Expectations

1. Victims and FamiliesVictims and their families cannot accept

discharged prisoners easily. Inadequatecompensation is a major source of thevictims and their families’ inability totolerate the releasee. Generally speaking,discharged prisoners lack funds and thesupport systems for them are insufficient.

Although some countries such as HongKong, Japan and the Philippines havesome official compensation systems for thevictim and the family, other countries likeFiji, Ghana and Kenya do not have clearlystructured compensatory systems forvictims of criminal activities.

The victim needs to see the offender payfor the crime, and observing them comeback in the community without having paidfor their criminality dose not satisfy thepsychological craving of the victim. Theurge is for the victim and their family tovisit retribution on the offender. The victimand their family are appeased when theysee the offender making restitutionthrough their earnings in the prison, orduring the period s/he is on the communitycorrectional program. Post-releaseprograms in the community however, do

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not address the psychological needs of thevictim. The victim is also not protected fromre-victimization by the offender. Theprograms fail to impose conditions whichwould restrict the offender from cominginto contact with the victim.

2. CommunityThe community’s first need is to be

protected from re-offending by the releasedprisoner. The recidivism rates all over showthat this need is not satisfied by thetreatment of the discharged prisoner in thecommunity. The need to appreciate changeand reformation in the discharged prisoneris of great importance to the community. Ifthe community-based programs do notaddress this need and released offendersare held in trepidation and fear by thecommunity, it would be impossible fordischarged prisoners to reintegrate into thecommunity.

Society also expects the dischargedprisoner to find employment and contributetheir quota to the efforts to improve thecommunity. Without the requisite skills toobtain jobs, the discharged prisonerbecomes a burden on the community. Thisis the case all over. Stigmatization is adifficult tag to cope with. Many dischargedprisoners cannot cope and prefer hangingat the fringes of society, afraid to come inand be rehabilitated.

To carry out successful community-basedschemes, the community is expected tosupport materially and non-materially, butall the countries represented complainedabout the absence of such community help.

G. Lack of Social Assistance forDischarged Prisoners

1. VolunteerVolunteerism in Japan is traditionally

high. Apart from the Volunteer ProbationOfficers, the Juridical Person for OffendersRehabilitation Services and Women’sAssociation for Rehabilitation Aid have

been supporting the operation of thehalfway house system. Declining fortuneshave created financial problems for theseassociations and their support has sufferedas a result. Membership of the WARA hasdeclined as younger people are notinterested in rehabilitation goals.

Mobilizing public interest is not easy andrequires resources which are not available.There is a lot of potential in the informalsector and such resources must be tappedfor community support of the programs.

2. Private InstitutionsThe problem of lack of skills of the

discharged prisoner is endemic. Mostp r i s o n e r s h a v e n o s k i l l s b e f o r eincarceration. They acquire no skills in theprisons nor in the rehabilitation programsin the community. Coupled with the stigmaof imprisonment, they are heavilydisadvantaged.

Business establishments in thecommunity are unwilling to offer jobs toreleased offenders because they lack therequisite skills and face antagonism of thepublic towards discharged prisoners. Theeconomic slump has worsened the situationin many countries. Private institutionswhich give job opportunities to dischargedprisoners are scarce in many countries.

V. RECOMMENDATIONS

Our recommendations are divided intotwo parts. The first part consists ofprogram design for general and specializedpackages for rehabilitation of the earlyreleased offender. The halfway house is alsoconsidered in this part. Some of theprescriptions are suitable as programs forfull-time releasees. The second partt o u c h e s o n p r e s c r i p t i o n s f o rimplementation of programs, stressingpersonnel, inter-departmental cooperationand community involvement.

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A. Program Design

1. General Program• It is desirable that programs are

designed in such a way as to have thefunctions of supervision, aftercareand guidance.

• As much as possible, programs are tobe based on research. It is necessarythat they have clear objectives ofo f f e n d e r r e h a b i l i t a t i o n a n dreintegration.

• In designing programs, factors suchas cons istency, adaptabi l i ty,f e a s i b i l i t y, s u i t a b i l i t y a n daffordability ought to be given primeattention.

• Management information systemsmay have to be improved to keep andmaintain up to date records ofreleasees. As far as practicable,computers should be utilized.

• Citizen identification systems couldbe improved by taking advantage oftried and tested methods like socialsecurity numbers and nationalidentification cards, so that thechance of re-offending can be reduced.

• It is important that programdesigners recognize that employmentis the key to rehabilitation for thereleased offender. With the prisonshaving failed to equip the prisonerswith employable ski l ls , i t isincumbent up on the community-based programs to focus on skillstraining to increase the chance of thereleased prisoner in getting a job.

• At various stages of implementation,programs ought to be evaluated andadapted to suit the objectiveconditions.

2. Specialized Program• Policy makers would have to explore

the special needs of the communitywhich require solution-includingt y p e s o f o f f e n c e s / o f f e n d e r s ,

prevalence of these offences andseriousness of harm done by them-through the collection of data.

• Practitioners have to contribute toidentification of the problems bye x p r e s s i n g t h e i r v i e w s a n dexperiences to policy makers, as theyare in the front line and know therealities of these problems.

• Programs should be planned toaddress the criminogenic needs ofparticular offenders. The subjects,approaches, duration and providersof services should be elaborated on inthe programs.

11.Priority would have to be placed onprograms for the high risk/needoffenders in order to reduce thechances of reoffending and effectivelyutilize limited resources.

12.Government organizations involvedin forensic science, health and socialwelfare services, particularly thosespecializing in the treatment ofoffenders with multi-faceted andserious psycho-social problems, couldfurther exchange information andcollaborate with each other inimplementing treatment programsfor special categories of offenters.

3. Halfway House13.Countries which have halfway houses

are to utilize them extensively.Countries which do not have theseare invited to consider introducingthem.

14.Halfway houses in addition toproviding boarding and lodging, mayoffer mental care, living skillguidance and job placement servicesto the discharged prisoner.

B. Program Implementation

1. Personnel15.To raise the level of efficiency, the

conditions of service of personnel

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involved in community-basedprograms, for example probation andparole officers, may have to beimproved to motivate them and alsoto attract highly qualified personnel.

16.Tr a i n i n g f a c i l i t i e s r e q u i r eimprovement to offer Probation/Parole workers access to newtechniques in carrying out theirtasks. The staff would have access toinstitutions where they can acquirehigher knowledge and qualifications.Incidentally, the various clauses ofarticle 16 of the Tokyo Rules1

advocate making training part of theconditions of service to attract and toretain staff for the demandingrequirements of the job, and offeringopportunities for improving theirprofessional competency.

• To reduce the burden on Probation/Parole Officers, countries which donot have the Volunteer ProbationOfficer system may consider itsintroduction.

• To complement the staff strength,capable Volunteer Probation Officersmay be appointed permanentProbation Officers. Incentives to

Volunteer Probation Officers must besubstantive, even if non-material.

• Efforts have to be made to seek theinvolvement of volunteers withrelevant specialization to implementspecialized programs at minimumcost.

• To achieve greater efficiency, it isimportant to maintain a closerelationship between VolunteerProbation Officers and ProfessionalProbation Officers.

2. Inter-departmental Cooperation• To reso lve the issue o f non-

cooperation and lack of inter-d e p a r t m e n t a l s u p p o r t , t o pmanagement of correctional andprobational departments may have tor e c o g n i z e t h e n e c e s s i t y f o rcooperation with each other,particularly when they belong to thesame parent organization. Thisrequires having continuous dialogueand regular meetings.

• It is necessary that personnelengaged in the delivery of programs,exchange information with eachother.

• Private institutions could beapproached to contribute towardsoffenders’ rehabilitation by offeringvocational training and employmentto discharged prisoners.

• The government may want tomotivate private institutions byoffering incentives like tax breaks.

3. Community Involvement• In the designing of programs, public

relations outfits may be incorporatedto tap the informal resources in thecommunity. The public relationsunits have to survey the communityand network with groupings andorganizations, that can be asked tocontribute to the rehabilitationefforts and which can mobilize

1 16. Staff training 16.1 The objective of training shall be to make clear

to staff their responsibilities with regard torehabilitating the offender, ensuring the offender’srights and protecting society. Training should alsogive staff an understanding of the need to cooperateand coordinate activities with the agenciesconcerned.

16.2 Before entering on duty, staff shall be giventraining that includes instruction on the nature ofnon-custodial measures, the purposes ofsupervision and the various modalities of theapplication of non-custodial measures.

16.3 After entering on duty, staff shall maintain andinprove their knowledge and professional capacityby attending in-service training and refreshercourses. Adequate facilities shall be made availablefor that purpose.

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community support, especially insmall communities where programsare sited.

• It is desirable that responsible stateagencies respect informal activitiesdone in the community in pursuit ofoffender rehabilitation, give publicrecognition and where necessary,recommend improvements.

• It is important that the victim isfirstly compensated by the offenderby means of public or privateassistance. Then the victim andoffender can be reconciled, to preventretaliation by the victim or society.This would make the offenderrecognize their antisocial behaviorand assume responsibility for thedamage they have caused the victim.

• It i s important to avo id re -victimization through effectivesupervision. It is equally importantto offer adequate psychological careand counseling to help the victimo v e r c o m e t h e t r a u m a o fvictimization.

• Reduce stigmatization from thesociety by involving the offenders invarious local community activitieslike sports and cultural events.

VI. CONCLUSION

The goal of the group was to discusseffective rehabilitative programs for thereleased prisoners for their properreintegration into society. It must berecognized that the kind of rehabilitationtreatment given to offenders differs fromcountry to country. The group has realizedthat there are no well-structured programsin most countries, as discussed in the paper.Emphasis is mainly placed on observanceof conditions of parole or license, ratherthan on specialized treatment for thedifferent categories of releases. There is,therefore, the need to come up withcomprehensive plans and strategies on how

to reintegrate these releasees througheffective programs. Emphasis should be oneffective and efficient aftercare programsif the goal has to be achieved. The essentialquestion to ask ourselves is how we canimprove the existing supervision andaftercare methods applicable today. Thereis need for international cooperation andmore research on these issues.

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APPENDIX 1

TABLE I

BREACHES OF CONDITIONS OF EARLY RELEASE IN FIJI

Year EMPBreach of Percent of

CSOBreach of Percent of

EMP breach CSO breach

1986 508 122 24.0 40 2 5.01987 637 91 14.3 42 0 0.01988 456 47 10.3 6 0 0.01989 460 86 18.7 88 2 2.31990 424 60 14.2 25 2 8.01991 358 41 11.5 55 8 14.51992 349 30 8.6 39 2 5.11993 296 31 10.5 45 1 2.21994 211 10 4.7 13 1 7.71995 204 5 2.5 11 0 0.01996 387 23 5.9 12 1 8.3

Source: Reseach in Planing Section, Prison Headquaters, Fiji

TABLE II

NUMBER OF PAROLES IN JAPAN

YearTermination

ExpirationPercent of

RevocationPercent of

of Parole Expiration Revocation

1987 17,396 15,783 90.7 1,438 8.31988 17,262 15,607 90.4 1,489 8.61989 16,427 15,017 91.4 1,207 7.31990 15,393 14,119 91.7 1,109 7.21991 14,272 13,118 91.9 979 6.91992 13,098 11,995 91.6 891 6.81993 12,745 11,655 91.4 908 7.11994 12,556 11,485 91.5 915 7.31995 12,312 11,244 91.3 891 7.21996 12,202 11,223 92.0 846 6.9

Source: Annual Report of Statistics Rehabilitation, Ministry of Justice, Japan

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TABLE III

NUMBER OF EARLY RELEASEES AND BREACHES OF CONDITIONS INTHAILAND

YearSentence

Parole Breach ofPercent of

remissiongranted condition

breachgranted conditions

1987 11,490 2,778 88 0.61988 10,871 787 20 0.21989 9,721 1,220 48 0.41990 10,392 1,768 43 0.41991 9,363 956 44 0.41992 11,321 945 54 0.41993 12,020 1,282 50 0.41994 14,003 2,088 86 0.51995 17,460 2,114 88 0.41996 17,543 805 62 0.31997 19,824 1,114 42 0.2

Source: Department of Corrections, Ministry of Interior, Thailand, 1998

APPENDIX

COMMEMORATIVE PHOTOGRAPHS

• 108th International Seminar

• 109th International Training Course

UNAFEI

THE 108th International Seminar

Left to Right:

4th Row:Khiem(Viet Nam), Boza Guerrero(Nicaragua), Kataka(P. N.G.), Sharma(India),Matsuda(Staff)

3rd Row:Kai(Staff), Mitsui(Staff), Tezuka(Staff), Sudo(Chef), Suenaga(Staff),Kaneda(Coordinator), Saito(Staff), Umemura(Japan), Fifita(Tonga), Harada(Japan),Yang(R. O. K.), Lai(Malaysia), Surasakdi(Thailand), Enkhtsogt(Mongolia),Marin Taborda(Venezuela), Todaka(Staff), Okada(Staff), Okeya(Staff), Tatsumi(Staff)

2nd Row:Komatsu(Staff), Miyamoto(Staff), Abe(Staff), Kusunoki(Japan),Al-Shihry(Saudi Arabia), Nagashima(Japan), Hokin(Japan), Özgül(Turkey),Watanabe(Japan), Osawa(Japan), Cheung(Hong Kong), Barclay Arce(Mexico),Ranjatoson(Madagascar), González(Colombia), Shrestha(Nepal),Sarkar(Bangladesh), Gounder(Fiji), Pasha(Pakistan), Olario(Philippines)

1st Row:Takayama(Chief of Secretariat), Kurosawa(Professor), Yoshida(Professor),Akane(Professor), Tauchi(Deputy Director), Dr. Gaña, Gaña(Expert for ACPF WorkingGroup), Lau(V. E.), Marine(V. E.), Fujiwara(Director), Savona(V. E.), Vlassis(V. E.),Sharma(V. E.), Huq(Course Counseller), Takahashi(Professor), Yamashita(Professor),Konagai(Professor), Imafuku(Professor), Vander Woude(Linguistic Adviser)

THE 109th International Training Course

Left to Right:Above:

Laine(V. E.), Andrews(V. E.)

5th Row:Okeya(Staff),Tezuka(Staff), Komatsu(Staff), Ueta(Staff), Todaka(Staff),Matsuda(Staff),Suzuki M.(Japan), Takatsu(Japan), Ono(Coordinator)

4th Row:Takagi(Chef), Gohda(Staff), Ishizuna(Japan), Kiyono(Japan),Maeki(Japan), Nakazawa(Japan), Szetu(Solomon Islands), Kagawa(Japan)

3rd Row:Miyamoto(Staff), Imai(Staff), Saito(Staff), Shibata(Japan), Yoon(Republic of Korea),Aranas(Philippines), Fujioka(Japan), Masire(Botswana), Murakami(Japan),Yossawan(Thailand), Suzuki A. (Japan), Matsushita(Staff), Mitsui(Staff)

2nd Row:Tewaniti(Kiribati), Nakamura(Japan), Yamanda(Japan), Osman(Malaysia),Frandono(Indonesia), Asiedu(Ghana), Udas(Nepal), Waipo(Papua New Guinea),Hemayet(Bangladesh), Yamin(Pakistan), Chung(Hong Kong), Murege(Kenya),Tuisalia(Fiji), Tatsumi(Staff)

1st Row:Ito(Chief of Secretariat), Watanabe(Professor), Sato(Ptofessor), Konagai(Professor),Tauchi(Deputy Director), Benitez(Course Counsellor), Adams, Dr. Adams(V. E.),Fujiwara(Director), Yew(V. E.), Yangco(V. E.), Iitsuka(Professor), Akane(Professor),Kurosawa(Professor), Imafuku(Professor), Vander Woude(Linguistic Adviser)

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