ISSN 1020-914X

UNAFEI

NEWSLETTERUNITED NATIONS ASIA AND FAR EASTINSTITUTE FOR THE PREVENTION OF CRIME
AND THE TREATMENT OF OFFENDERS

No. 124
October 2007

Established1961
IN THIS ISSUE
Page

LETTER FROM THE DIRECTOR .............................................................................................................................. 1

THE 137TH INTERNATIONAL TRAINING COURSE ............................................................................................. 3

CORPORATE CRIME AND THE CRIMINAL LIABILITY OF CORPORATE ENTITIES
Course Rationale ............................................................................................................................................ 3
Course Summary ............................................................................................................................................ 7
Lecture Topics ................................................................................................................................................ 8
Individual Presentation Topics ....................................................................................................................... 10Group Workshop Sessions ............................................................................................................................. 12
Observation Visits .......................................................................................................................................... 15Group Study Tour ........................................................................................................................................... 16
Special Events ................................................................................................................................................ 17
Reference Materials ....................................................................................................................................... 19
Experts and Participants List .......................................................................................................................... 21

INFORMATION ABOUT FORTHCOMING PROGRAMMES .................................................................................. 24
The 8 th Training Course on the Juvenile Delinquent Treatment System for Kenyan Criminal Justice Officials .......... 24
The 10 th Training Course on Corruption Control in Criminal Justice ........................................................................... 24
Regional Seminar on Good Governance for Southeast Asian Countries ....................................................................... 24
The 138 th International Senior Seminar ........................................................................................................................ 24

ADMINISTRATIVE NEWS ......................................................................................................................................... 29
Faculty Changes ............................................................................................................................................. 29
Overseas Trips by Staff .................................................................................................................................. 29

FACULTY & STAFF OF UNAFEI ................................................................................................................................ 30

UNAFEI IS AN AFFILIATED REGIONAL INSTITUTE OF THE UNITED NATIONS

1-26, HARUMI-CHO, FUCHU, TOKYO 183-0057, JAPANTEL: 81-42-333-7021 ◆ FAX: 81-42-333-4656 ◆ E-MAIL: unafei@moj.go.jp
HOME PAGE: http://www.unafei.or.jp/

1

LETTER FROM THE DIRECTOR

It is my privilege to inform readers of the successful completion of the 137th International
Training Course on "Corporate Crime and the Criminal Liability of Corporate Entities", which
took place from 5 September to 11 October 2007.
In this Course, we welcomed six Japanese and twelve overseas participants, and one overseas observer: six from Asia, four from Africa and three from Latin America. They included public prosecutors, police officers, judges and other high-ranking public officials.
As this newsletter demonstrates, the Course was extremely productive. It consisted of individual presentations, group workshop and plenary sessions, visits to relevant criminal justice agencies, and presentations by visiting experts, faculty members and ad hoc lecturers.
With globalization, corporations are becoming larger and more powerful, and expanding
into new territories. Recent high profile scandals involving corporate crime, such as the Enron,
Barings and Livedoor cases, have highlighted the enormous harm that companies can inflict when
they break the law.
Countries are more aware of the destabilizing effect corporate crime can have on them andare taking measures to combat economic crime. In response, they are holding corporations liablefor criminal wrongdoing. In addition, the complexity of such crime has necessitated the implementation of appropriate measures such as the retrieval of electronic data, whistleblower protection,etc. States are also becoming party to international agreements to make it more difficult for criminals to evade justice by exploiting legal asymmetries.
The sophistication and growing international nature of corporate crime requires a concerted
effort by the international community. UNAFEI therefore decided to hold this Course to enable theparticipants from the respective countries to share their knowledge and experience, and come up
with effective countermeasures.
During the Course the participants diligently and comprehensively examined the current
situation of corporate crime and the criminal liability of corporate entities, primarily through a
comparative analysis. The participants shared their own experiences and knowledge of the issues,and identified problems and areas in which improvements could be made. After engaging in indepth discussions with the UNAFEI faculty and visiting experts, the participants were able to put
forth effective and practical solutions that could be applied in their respective countries.
I would like to offer my sincere congratulations to all the participants upon their successful
completion of the Course, made possible by their strenuous efforts. My heartfelt gratitude goesto the visiting experts and ad hoc lecturers who contributed a great deal to the Course’s success.
Furthermore, I appreciate the indispensable assistance and cooperation extended to UNAFEI byvarious agencies and institutions, which helped diversify the programme.
I would like to express my great appreciation to the Japan International Cooperation
Agency (JICA) for its immeasurable support throughout the Course. At the same time, a warm
tribute must be paid to the Asia Crime Prevention Foundation (ACPF) and its branch organizations

2

for their substantial contributions to our activities. Lastly, I owe my gratitude to all the individuals whose unselfish efforts behind the scenes contributed significantly to the successful realizationof this Course.
Upon returning to their home countries, I genuinely believe that, like their predecessors, thestrong determination and dedication of the participants will enable them to work towards the improvement of their respective nations’ criminal justice systems, and the benefit of international society as a whole.
Finally, I would like to reiterate my best regards to the participants of the 137th
International Training Course. I hope that the experience they gained during the Course proves
valuable in their daily work, and that the bonds fostered among the participants, visiting experts
and UNAFEI staff will continue to grow for many years to come.

October 2007

Mr. Keiichi Aizawa
Director, UNAFEI

3

THE 137TH INTERNATIONAL TRAINING COURSE"CORPORATE CRIME AND THE CRIMINAL LIABILITY OF
CORPORATE ENTITIES"

Course Rationale

1. Increasing Threat of Corporate Crime
Economic crime by a corporate entity, or its representatives acting on its behalf, is a critical issue for the international community. Large corporations wield tremendous power and influence due to their enormous resources, and thus have the ability to do considerable harm.
Especially in recent years, improvements in communications and technology have shrunk distances
between states, made state frontiers porous and opened up previously unimaginable opportunities
for commercial, political and social interaction, and consequently have dramatically expanded international commercial transactions. We now live in a world of increasing economic interdependence
where global markets provide attractive opportunities for firms to do business all over the world,
24 hours a day. This process of globalization has led not only to unprecedented opportunities forcorporate activity, but also to an increase in the potential risk of economic crime or abuse committed by corporations in the course of their business.
This Course will deal with the most common types of crime as they relate to corporate entities such as fraud, embezzlement, breach of trust, tax evasion, submission of securities reports
containing false information, insider trading, private monopolization, bid rigging, foreign bribery,bankruptcy fraud, money-laundering, etc. The Course will examine crimes involving corporations
not only as criminals but as victims, such as when an employee abuses his/her position. However,
we will not deal with corporate crimes which have no direct relation to economic crime, such asenvironmental crime and minor regulatory violations, etc.
2. Response to the Increasing Threat of Corporate Crime
It is common knowledge that many large-scale corporate scandals have occurred recently,
for example, Enron and WorldCom in the United States, Barings in Singapore and others such as
Livedoor in Japan, which were committed in the course of doing business. In developing countries, economic crime has also become a critical issue and it is likely that corporate crime will become more prevalent as these countries develop.
Following the increased threat of illegal economic activities in the course of business, theinternational community has begun to recognize that such activities are a grave threat to the political, economic, and social fabric of their respective countries, and this has led many states tocriminalize economic abuse.
Among the various types of economic abuse that have been criminalized, money launderingand concealment are two of the most damaging. Shell companies, which have no active businessand usually exist only in name as a vehicle for another company’s business operations, are often
used to launder and conceal the proceeds of crime from illicit corporate activities. Complex corporate structures can effectively hide the true ownership of the proceeds or particular transactions related to serious crime. In addition, criminals take advantage of easier capital movement, advancesin technology and increases in the mobility of people and commodities, as well the diversity oflegal provisions in different countries. Exploiting legal asymmetries, criminals transfer illegal assets
instantly from place to place through both formal and informal channels, and they may appear

4

finally as legitimate assets available in any part of the world.
In recognition of the fact that serious and sophisticated crimes are frequently committed,
through or under the cover of legal entities such as corporations, international agreements havebeen made in which each state adopts such measures as may be necessary, consistent with its
legal principles, to establish the liability of legal persons for participation in corporate crime.
The principle that corporations cannot commit crime (societas delinquere non potest) used
to be widely accepted, although, the debate on whether legal entities can bear criminal responsibility has shifted to the question of how to define and regulate such responsibility.
Each country has its own legal framework defining criminal liability of legal persons. For
example, in Japan this kind of penal provision is called "Double Punishment". In order to apply
this Double Punishment provision to a corporate entity, investigative authorities have to first determine the identity of the natural person(s) who, acting on behalf of the corporate entity, committed
the crime. When such person(s) have been proven to have committed the crime then the criminal
liability of the legal person is presumed. In addition, in recent years in Japan, amendments havebeen made to the legislation to increase the penalties on legal persons for economic crime.
In addition, in order to properly investigate corporate crime, the authorities have to conduct
investigations with the help of mutual legal assistance and other measures in cooperation withother agencies.
In this Course, we will focus on the current situation of corporate crime and the responseto the increasing threat in the respective countries.
3. Practical Issues in Investigation, Prosecution and Adjudication
An economic crime involving corporate activities is often complicated and sophisticated sothat investigators need sufficient knowledge and experience of accounting, finance and taxation,etc. The Government needs to train investigators and organize special task forces or units to handle corporate crime.
There remain many difficult issues in regard to substantive and/or procedural laws concerning corporate crime which have not been agreed upon by judicial precedents. Investigators andprosecutors have to examine the interpretation closely prior to indictment in some cases.
It is sometimes essential that the investigative authorities conduct the investigation of alarge scale corporate crime in cooperation with other authorities; therefore, a close relationshipwith such authorities, founded on mutual trust, is indispensable to accomplish the task.
Corporate crime is usually committed secretly so that it is difficult for the investigative
authorities to fully grasp the situation. It is true that there are some cases in which an investigative authority can obtain information from a secret informant inside the corporation, but most people are afraid to come forward because of reprisals from the corporation, which is very often theiremployer.
In order to secure a conviction, in a case involving a corporate crime, it is often necessary
to obtain material and electronic evidence (financial statements, e-mail correspondence, etc.).
Therefore, it is necessary for investigative authorities to seize and analyse, in an effective andthorough manner, the vast quantity of such evidence.
In addition, it is also critical for investigative authorities to take statements from witnesses andsuspects in the investigation of corporate crime. In this regard, some countries’ judicial systems
allow for the possibility of mitigating the punishment of an accused person and/or the possibilityof granting immunity from prosecution to a person who provides substantial cooperation with theinvestigation or prosecution.
Especially in regard to the finding of facts in the trial of corporate crime, there is an enormous amount of evidence and disputes on legal and/or factual matters so that a vast amount oftime and effort is required by judges, prosecutors, defendants and defence attorneys.
As globalization and the development of information technology make corporate activities
more transnational, the geographical range of investigation has been widened to include foreign

5jurisdictions; international cooperation is therefore essential to properly execute the investigation.
We will focus on these practical issues of corporate crime in this Training Course.
Objectives
This Training Course aims at examining and analysing the current situation, problems andchallenges in the investigation, prosecution and trial of corporate crime. The objectives and theirsubtopics are as follows:(1) Liability of legal persons and criminalization in relation to corporate crime(a) Liability of legal persons: (i) current situation of criminal liability of corporate entities
in respective countries, (ii) legal framework of criminal, civil and administrative sanctions, (iii) various kinds of criminal liability, (iv) others(b) Criminalization in relation to corporate crime(NB: Participants are requested to refer to the current situation and legal framework of thecriminal liability of corporate entities in their respective countries).
(2) Current situation and issues concerning corporate crime listed below in the respective
countries:• Economic crime committed by a corporate entity or representatives acting on its behalf• Fraud, embezzlement, breach of trust, etc.
• Tax evasion• Submission of securities reports containing false information, spreading rumours, market manipulation, insider trading, etc.
• Private monopolization, unreasonable restraint of trade, illegal acts of trade associations, bid rigging, price fixing, etc.
• Foreign bribery• Bankruptcy fraud• Money laundering• Others(NB: Participants are requested to focus on any one or more of these offences for the purpose of preparing their individual presentation papers. Please note that domestic corruption
in the public sector is excluded from the scope of this Training Course, since it has little
direct relation with corporate crime.)(3) Issues concerning the investigation(a) Specialized investigative authorities and training methods for investigators(b) Cooperation between investigative authorities concerned at the state level(c) Acquisition of information on corporate crime: (i) complaint, (ii) mass media, (iii) confidential informants, (iv) whistleblower protection, (v) others(d) Material and electronic evidence: (i) identify, obtain and preserve, (ii) obtain relevant
computer data and recovery of deleted data, (iii) forensic analysis, (iv) others(e) Measures to obtain statement evidence: (i) techniques of interrogation, (ii) plea bargaining, (iii) immunity(f) Special investigative techniques: (i) electronic and other forms of surveillance, (ii) undercover operations, (iii) other special investigative techniques, (iv) use of special investigative techniques at the international level(4) Issues concerning the prosecution(a) Mitigating punishment of an accused person who provides substantial cooperation in6

the investigation and/or prosecution(b) Granting immunity from prosecution to a person who provides substantial cooperationin the investigation and/or prosecution(c) Considerations in the prosecution of a corporate entity(5) Issues in the trial and adjudication(a) Disclosure of evidence before the trial(b) Clarification of disputes before the trial(c) Effective methods of fact finding: (i) witness protection, (ii) expert witnesses, (iii)
others(d) Sentencing process(6) International cooperation(a) Current situation of, and problems and challenges in, the investigation, prosecution andtrial of the above-mentioned offences, in relation to international cooperation(b) Problems and challenges in obtaining and providing mutual legal assistance(c) Problems and challenges in the use of other types of international cooperation: i) joint
investigations, ii) law enforcement cooperation (e.g. exchange of information).
(NB: Extradition issues are excluded from the main scope of this Course, which focuses onpractical issues pertaining to the investigation, prosecution and trial of corporate crime).

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Course Summary

Lectures
In total, six lectures were presented by visiting experts, three by ad hoc lecturers and six
by the faculty of UNAFEI. Three distinguished criminal justice practitioners from abroad served
as UNAFEI visiting experts. They lectured on issues relating to the main theme, and contributed
significantly to the Course by encouraging discussions after their own lectures, participating in thediscussions of other programmes, and conversing with the participants on informal occasions.
Additionally, distinguished senior officials of the Government of Japan delivered ad hoc lectures.
The lecturers and lecture topics are listed on pages 8 and 9.
Individual Presentations
During the first two weeks, each Japanese and overseas participant delivered an individual
presentation, which introduced the actual situation, problems and future prospects of his/her country. These papers were compiled onto a Compact Disc and distributed to all the participants. The
titles of these individual presentation papers are listed on pages 10 and 11.
Group Workshop Sessions
Group Workshop sessions further examined the subtopics of the main theme. In order to
conduct each session effectively, the UNAFEI faculty selected individuals to serve as group members for the sub-topics, based on their response to a questionnaire previously distributed. Selectedparticipants served as chairpersons, co-chairpersons, rapporteurs or co-rapporteurs, and faculty
members served as advisers. Each group’s primary responsibility was to explore and develop theirdesignated topics in the group workshop sessions. The participants and UNAFEI faculty studied
the topics and exchanged their views based on information obtained through personal experience,
the individual presentations, lectures and so forth. After the group workshop sessions, reports weredrafted based on the discussions in their groups. These reports were subsequently presented in theplenary meeting and report-back session, where they were endorsed as the reports of the Course.
Brief summaries of the group workshop reports are provided on pages 12 to 14.
Visits and Special Events
Visits to various agencies and institutions in Japan helped the participants obtain a morepractical understanding of the Japanese criminal justice system. In addition to the Course’s academic agenda, many activities were arranged to provide a greater understanding of Japanese society and culture, with the assistance of various organizations and individuals, including the Asia
Crime Prevention Foundation (ACPF). For more detailed descriptions, please refer to pages 15 to18.

8Lecture Topics

Visiting Experts’ Lectures
1)

Mr. Paul Pelletier• Prosecuting Corporate Crime: The US Perspective• U.S. Corporate Fraud Prosecutions: Case Studies

2)

Mr. Johan Vlogaert• Fighting Fraud and Corruption: How the European Union Protects its Public Funds: Part I• Fighting Fraud and Corruption: How the European Union Protects its Public Funds: Part II

3)

Mr. Lawrence Ang• Effective Measures Against Corporate Crime and Corporate Liability in Singapore• Effective Measures Against Corporate Crime and Corporate Liability in Singapore: Case
Studies

UNAFEI Professors’ Lectures
1)

Ms. Kayo Ishihara, Professor, UNAFEI• Prosecution in Japan2)

Mr. Jun Oshino, Professor, UNAFEI• The Criminal Justice System in Japan: The Courts

3)

Mr. Ryuji Tatsuya, Professor, UNAFEI• Institutional Corrections in Japan4)

Mr. Haruhiko Higuchi, Professor, UNAFEI• Challenges of the Koban (Police Box) System in the 21st Century

5)

Ms. Tae Sugiyama, Professor, UNAFEI• Community-Based Treatment of Offenders in Japan6)

Mr. Takeshi Seto, Deputy Director, UNAFEI• Money Laundering and International Cooperation

Ad Hoc Lectures
1)

Mr. Hiroyuki Yagi
Director, Tokyo District Public Prosecutors Office, Special Investigation Department• Investigation and Prosecution by the Special Investigation Department-Focusing on Corporate Crime

2)

Mr. Yoshifumi Asayama
Judge, Tokyo District Court, Criminal Affairs Department, 8th Division• Various Problems Regarding the Prosecution of Economic Crimes - Centering on Tax Cases

93)

Mr. Kiyotaka Sasaki
Director for Strategy and Policy Coordination, Securities and Exchange SurveillanceCommission, Coordination Division• Market Misconduct and the Direction of the SESC

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Individual Presentation Topics

Overseas Participants
1)

Mr. Tsaone Chris Mokone (Botswana)• Country Report

2)

Ms. Mabel Alves de Faria Correa (Brazil)• Country Report

3)

Mr. Trimulyono Hendradi (Indonesia)• Money Laundering in Indonesia: Present and Future

4)

Mr. Agung Purnomo Soenarto (Indonesia)• Country Report

5)Mr. McSyd Hubert Chalunda (Malawi)• Country Report

6)

Mr. Francisco Montes de Oca Penaloza (Mexico)• Organized Crime and Corporate Crime

7)

Mr. Mohamed Ahmed Abani (Niger)• Country Report

8)

Mr. Maximo Armando Navarro (Panama)• Criminal Liability in Relation to Corporate Crimes and Issues Concerning the Investigationof Money Laundering in Panama

9)

Mr. Alex Manolito Canedo Labador (Philippines)• Country Report10) Ms. Sadhana Singh (South Africa)• Country Report11) Mr. Jayantha Chandrasiri Jayasuriya (Sri Lanka)• Legislative Provisions Relating to Corporate Crime: The Sri Lankan Experience12) Ms. Bhornthip Sudti-autasilp (Thailand)• Country Report13) Ms. Sitang Tangsiri (Thailand)• Investigation and Prosecution of Corporate Crime in Thailand

11Japanese Participants14) Mr. Takeshi Hashimoto• Corporate Sanctions against Legal Persons in Japan
15) Mr. Hiromitsu Iizuka• The Role of the Japan Fair Trade Commission in Measures Against Corporate Crime
16) Mr. Mikio Matsuoka• Country Report17) Mr. Hideaki Nakamoto• The Relationship Between Criminal Procedures and Administrative Procedures in Economic
Crime18) Mr. Noboru Shimizu• The Law Concerning Money Laundering in Japan, Including Case Studies19) Mr. Yukitoshi Yokoyama• Measures for Obtaining Evidence of Economic Crimes in Japan12

Group Workshop Sessions
Group 1ISSUES CONCERNING THE LEGAL FRAMEWORK ON CORPORATECRIME, CORPORATE LIABILITY AND MISUSE OF CORPORATEVEHICLES
Chairperson
Co-chairperson
Rapporteur
Co-Rapporteur
Members

Mr. Mikio Matsuoka
Mr. Alex Manolito Canedo Labador
Mr. Tsaone Chris Mokone
Ms. Bhornthip Sudti-autasilp
Mr. Agung Purnomo Soenarto
Mr. Hideaki Nakamoto(Japan)(Philippines)(Botswana)(Thailand)(Indonesia)(Japan)Advisers

Prof. Kayo Ishihara
Prof. Koji YamadaProf. Tetsuya Sugano(UNAFEI)(UNAFEI)(UNAFEI)

Report SummaryGroup One agreed to conduct its discussion on the above topic according to the following
agenda: i) current situation of corporate crime in participating countries; ii) nature and causes ofcorporate crime; iii) liability of legal persons under international agreements/documents; iv) legal
framework of corporate criminal liability in participating countries; v) other types of liability legal
persons are subject to in regard to corporate crime; vi) individual liability of natural persons; andvii) misuse of corporate vehicles.
After lengthy discussions, the group concluded that the increasing transnational nature ofcorporate activities sometimes has a negative impact on society, allowing corporations to commit
economic crimes with highly sophisticated and complicated modus operandi. Faced with this challenge, each segment of the criminal justice system must come up with effective solutions to address the problem. Furthermore, the international community has to work hand in hand to curb
corporate crime. Although the legal systems of the participant countries regarding liability of legal
persons vary, the group concluded that it is important to punish legal persons effectively and appropriately. The Group made the following recommendations.
1. It is necessary to raise awareness among the public and law enforcement authorities inregard to the liability of legal persons for criminal wrongdoing. 2. A variety of sanctions should
be available against legal persons. 3. To prevent, deter, and combat corporate crime, legal sanctions should be imposed on legal persons. 4. Legal persons and offenders should be deprived ofthe proceeds of corporate crime and laws on confiscation/forfeiture should be strengthened. 5.
International cooperation, in terms of international agreements, and coordination through formal
and informal channels should be improved. 6. Sharing of technical investigative expertise should
be enhanced among the international community. 7. Legal measures that may contribute to the prevention and detection of misuse of corporate vehicles and corporate crime, such as a registration
system for companies and obligations on financial institutions, should be strengthened.

13Group 2ISSUES CONCERNING THE INVESTIGATION AND PROSECUTION OF
CORPORATE CRIME
Chairperson
Co-Chairperson
Rapporteur
Co-Rapporteur
Members

Advisers

Mr. Jayantha Chandrasiri Jayasuriya
Mr. Yukitoshi Yokoyama
Ms. Mabel Alves de Faria Correa
Ms. Sadhana Singh
Mr. Francisco Montes de Oca Penaloza(Sri Lanka)(Japan)(Brazil)(South Africa)(Mexico)Mr. Hiromitsu Iizuka
Mr. Maximo Armando Navarro(Japan)(Panama)

Prof. Shintaro Naito
Prof. Tae Sugiyama
Prof. Ikuo Kamano(UNAFEI)(UNAFEI)(UNAFEI)

Report SummaryGroup Two agreed to conduct its discussion in accordance with the following agenda: i)characteristics of investigations into corporate crime: the current situation in each country; ii) effective measures against corporate crime; iii) cooperation between investigative authorities at thestate level; and iv) cooperation between foreign investigative authorities.
After discussing the above issues the Group made the following recommendations.
1. A basic guideline document should be developed for the investigation of financial/commercial/economic crimes involving corporate entities that have a serious impact on a country’s economic
and social stability. 2. Effective interviewing techniques for victims, witnesses and suspects should
be developed. 3. Cooperation between prosecutors or police officers and the administrative investigative authorities at the state level that have power to conduct administrative investigations into
corporate crime should be established or strengthened. 4. Coordination between the police and theprosecution from the beginning of the investigation should be improved. 5. Cooperation with foreign countries to develop joint investigations between law enforcement agencies of different countries (to ensure a close working relationship to fight corporate crime) and the enforcement ofmutual legal assistance (to share information and collect evidence), etc. should be established orstrengthened. 6. The expertise of administrative investigative authorities, police officers and prosecutors involved in the investigation of corporate crime should be enhanced.
In addition to the above recommendations, it was noted that the majority of countries do
not have special investigative techniques to investigate corporate crime and such mechanisms, andany changes to the existing systems, would require extensive discussion and agreement between
various state agencies in accordance with the domestic laws in respective countries. Therefore, theGroup suggested the following two measures: a) an investigation to assess whether special investigative techniques, in accordance with the domestic law, could be applicable in the field of corporate crimes; and b) a comparative study should be undertaken into the legal framework ofvarious countries to determine the most appropriate legal tools to support the investigation of corporate crime.

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Group 3ISSUES CONCERNING THE TRIAL AND SENTENCING IN CORPORATECRIME CASES
Chairperson
Co-Chairperson
Rapporteur
Co-Rapporteur
Members

Mr. Mohamed Ahmed Abani
Mr. Takeshi Hashimoto
Mr. McSyd Hubert Chalunda
Mr. Trimulyono Hendradi
Mr. Noboru Shimizu
Ms. Sitang Tangsiri(Niger)(Japan)(Malawi)(Indonesia)(Japan)(Thailand)

Advisers

Prof. Jun Oshino
Prof. Ryuji Tatsuya(UNAFEI)(UNAFEI)

Report SummaryGroup Three agreed to conduct its discussion according to the following agenda: i) the current situation of corporate trials in the respective countries; ii) the rules of evidence in the different jurisdictions, including the hearsay rule, documentary evidence and electronic evidence; iii) fairand speedy trials, including disclosure of evidence, clarification of disputes and utilization of forensic analysis or expert witnesses for fact finding; iv) sentencing procedures in participating countries; and iv) effective sanctions against corporate crime.
After lengthy discussions, the Group made the following recommendations. 1. There is noneed to establish or create special courts in respective countries to deal with corporate crime cases.
However, it is useful to establish specialized departments to deal with such cases, such as tax evasion, in order to ensure speedy and fair trials. 2. Every country should have legislation to provide
for the use of electronic evidence to avoid the evidence being challenged in court. 3. As far as
possible, original documents should be used as evidence in courts. Copies of documents should be
used only under strict conditions to avoid the use of tampered evidence. 4. Preparation proceedings
before the actual trial, for the clarification of disputes and disclosure of evidence, are vital inorder to reduce unnecessary objections and ensure a speedy trial. 5. The court should maintain alist of qualified forensic analysts and experts that can be called to give testimony, rather than theparties calling their own analysts and experts; this would avoid possible conflicts of interest between opposing experts. The list would be prepared by the court in consultation with relevant bodies. However, the parties should not be bound to use the analysts and experts on the list. 6.
Countries should have qualified and competent jurists and legal personnel to handle corporate
crime cases in order to ensure a fair and speedy trial. Countries should strive to have a continuoustrial process, without adjournments, to enable a speedy trial process. 7. The judgment and sentencing should be pronounced within a reasonable time after the trial. Preferably, the judgment andsentence should be delivered together at the end of the trial. 8. In order to avoid disparities insentences and speed up the trial, it is useful to establish sentencing guidelines. However, judges
should not be bound by the guidelines. 9. In deciding whether to punish individuals and/or corporate entities who commit corporate crime, and which sanctions (including criminal, civil, and administrative) should be imposed, all the circumstances of the case should be taken into account.

15

Observation Visits

Date

Agency/Institution

Main Persons Concerned

Sept. 25

The Supreme Court• Mr. Yuki Furuta(Supreme Court Justice)Tokyo District Court• Mr. Yuichi Okada(Deputy Chief Judge)

Tokyo District Public Prosecutors Office• Mr. Tetsuo Ito(Chief Prosecutor)

Courtesy visit to the Prosecutor General• Mr. Keiichi Tadaki(Prosecutor General)

Sept. 26

16

Group Study Tour

Date

Location

Agency/Institution

Main Persons Concerned

Sept. 20

Kyoto

• Kyoto Prefectural
Police Headquarters• None• Hiroshima Prison• Mr. Hiroyuki Yoshida• Hiroshima District
Public Prosecutors
Office• Mr. Naoki Hosaka(Director-General)• Courtesy visit to
Chief Prosecutor• Mr. Morihiro Honda(Chief Prosecutor)• Hiroshima High
Public Prosecutors
Office• Mr. Yoshio Suzuki(Superintending Prosecutor)

Sept. 21- Hiroshima
2217Special Events

September 5

September 7 and 10

Welcome Party

Japanese Conversation Classes

The overseas participants attended two Japanese conversation classes and learned
practical Japanese expressions. The sensei (teacher) was Ms. Mieko Terao of JICE.

September 13

TICP Party

A friendship party was held for the participants by the Training Institute for
Correctional Personnel (TICP). TICP trainees introduced the participants to traditional
Japanese games and put on a display of Japanese martial arts.

September 14

UNAFEI Olympics

The UNAFEI Olympic Games were held on the grounds of the Training Institute for
Correctional Personnel. The participants competed in such events as racket relay, tug of
war and the true or false quiz. Afterwards, a social was held at UNAFEI.

September 18

ACPF Fuchu Party
The ACPF Fuchu branch hosted a tour of Okunitama Shrine and a reception for theparticipants.

September 25

ACPF Minoru-Kai Party

The ACPF Minoru-Kai hosted an enjoyable party at Meiji Kinenkan in central
Tokyo where the participants were entertained by traditional Japanese dancers.

September 27

Social with Volunteer Probation Officers (VPOs)

The participants had an opportunity to exchange views with Japanese VPOs at a social at UNAFEI.

September 29 and 30

Home Visits

ACPF Fuchu Branch kindly organized dinners for the participants in the homes of
their members. The hosts were Mr. Shigeyuki Ogawa, Ms. Hiroko Maekawa, Mr. Tomohide
Namiki, Mr. Rinshi Sekiguchi and Ms. Chitose Sashida.

18

October 3

ACPF Silver Jubilee

The participants attended the ACPF’s 25th Anniversary Commemorative Symposium
and Panel Discussion on "Home Without Crime". After the Symposium the participants attended a reception hosted by the ACPF.

October 5-6

ACPF Branches Study TourThe participants were invited on local trips by six branch organizations of the
ACPF, namely: Sapporo, Aomori, Iwate, Nagano, Nagoya and Osaka. They visited local
criminal justice facilities and had an opportunity to do some sightseeing. In addition, eachbranch held a reception in honour of the participants visiting their region.

October 7

Visit to Tokyo Horse Race Course

The participants were invited to attend Fuchu Horse Race Course as guests of ACPF
Fuchu branch and Fuchu PFS (Peace, Fellowship and Service, a Non-Profit Organization).

October 10

Visit to Fuchu-Daikyu Elementary School

The participants visited Fuchu-Daikyu Elementary School where they had the opportunity to observe a Japanese school, talk to the students and teachers and take part in traditional Japanese games.

October 11

Farewell Party
A party was held to bid farewell to all the participants.

19

Reference Materials

A.

UN

1. A/RES/51/191: United Nations Declaration against Corruption and Bribery in International
Commercial Transactions.
2. A/RES/55/25: United Nations Convention against Transnational Organized Crime.
3. A/RES/55/61: An Effective International Legal Instrument against Corruption.
4. A/RES/56/260: Terms of Reference for the Negotiation of an International Legal Instrument
against Corruption.
5. A/RES/57/169: High-Level Political Conference for the Purpose of Signing the United Nations
Convention against Corruption.
6. A/RES/58/4: United Nations Convention against Corruption.
7. Bangkok Declaration.
B.

G8
G8 Recommendations on Transnational Crime.

C. FATF
1. FATF Documents on the Forty Recommendations.
2. FATF Nine Special Recommendations on Terrorist Financing.
3. The Misuse of Corporate Vehicles, Including Trust and Company Service Providers.
D.

OECDOECD DAFFE/IME/BR(97)20: Convention on Combating Bribery of Foreign Public Officials
in International Business Transactions.

E. Council of Europe
1. European Treaty Series No. 173: Criminal Law Convention on Corruption.
2. European Treaty Series No. 185: Convention Cybercrime.
3. European Treaty Series No. 191: Additional Protocol to the Criminal Law Convention on
Corruption.
F. OLAF
1. Official Journal of the European Communities L136/1-7.
Regulation (EC) No 1073/1999 of the European Parliament and of the Council of 25 May
1999 concerning investigations conducted by the European Anti-Fraud Office (OLAF).
2. OLAF Manual 25 February 2005.
3. Report of the European Anti-Fraud Office (OLAF) 2006.
G. U.S. Department of Justice
1. Memorandum from the Deputy Attorney General to All Component Heads and United States
Attorneys: "Bringing Criminal Charges against Corporations".
2. Memorandum from the Deputy Attorney General (Mr. Larry D. Thompson) to Heads ofDepartment Components and United States Attorneys: "Principles of Federal Prosecution ofBusiness Organizations" (2003).
3. U.S. Department of Justice, Criminal Division, Fraud Section: Activities Report Fiscal Year2006.
4. Memorandum from the Deputy Attorney General (Mr. Paul J. McNulty) to Heads of20

Department Components and United States Attorneys: "Principles of Federal Prosecution ofBusiness Organizations" (2006).
5. Remarks at the 22nd Annual Corporate Counsel Institute, Georgia State Bar, by Christopher A.
Wray, Assistant Attorney General, Criminal Division.
6. Remarks of James K. Robinson, Assistant Attorney General, Criminal Division to theSponsoring Partner Forum, Ethics Officer Association.
7. Fact Sheet: President’s Corporate Fraud Task Force Marks Five Years of Ensuring Corporate
Integrity.
H. Attorney-General’s Chambers Singapore
Attorney General’s Chambers Singapore, Annual Report 2005/2006.
I. Japan
1. Law for Prevention of Transfer of Criminal Proceeds.
2. Outline of Law for Prevention of Transfer of Criminal Proceeds.
3. White Paper on Crime 2000 "Economic Offenses: Current Situation and Countermeasures (PartVI)".
4. Securities and Exchange Surveillance Commission, Annual Report 2005/2006.
5. Annual Report on Competition Policy in Japan (January-December 2005).
6. National Tax Agency Report 2006.
7. Report of the Research Council on Corporate Crime - Research Regarding the Sanctions
Regime under the Anti-Monopoly Law.

21

Experts and Participants List

Visiting Experts
Mr. Paul PelletierPrincipal Deputy Chief for Litigation
Fraud Section,
Criminal Division,
US Department of Justice,USA

Mr. Johan Vlogeart

Head of Unit
Investigations and Operations I,
External Aid,
Investigations and Operations,
European Anti-Fraud Office (OLAF),
European Commission,
Belgium

Mr. Lawrence Ang

Principal Senior State Counsel (PSSC)
Criminal Justice Division,
Attorney General’s Chambers,
Singapore

Overseas Participants
Mr. Tsaone Chris Mokone

Head of Crime Intelligence Bureau
Criminal Investigation Department
Headquarters,
Botswana Police Service,
Botswana

Ms. Mabel Alves de Faria Correa

Police Chief/Department of Internal
Affairs Adviser
Civil Police of the Federal District,BrazilMr. Trimulyono Hendradi

Public Prosecutor
Public Prosecution Office of Tangerang,
Indonesia

Mr. Agung Purnomo Soenarto

Head of Sub Division for Evaluation andMonitoring
Attorney General’s Office,Indonesia

Mr. McSyd Hubert Chalunda

Senior Investigations Officer
Anti-Corruption Bureau,
Malawi22

Mr. Francisco Montes de Oca Penaloza

General Coordinator
Special Investigation Unit for Trespassers,
Trafficking of Minorities and Organs,
Organized Delinquency Investigation
Unit,
MexicoMr. Mohamed Ahmed Abani

Acting Deputy Prosecutor
Special High Instance Court of Niamey,
Ministry of Justice,
Niger

Mr. Maximo Armando Navarro

Senior Detective
Judicial Technical Police,
Criminal Investigation Department,
PanamaMr. Alex Manolito Canedo Labador

Chief
Law Enforcement Division,
Directorate for Operations,
Philippine National Police,
Philippines

Ms. Sadhana Singh

Senior Superintendent
Partnership Policing,
South African Police Service,
South Africa

Mr. Jayantha Chandrasiri Jayasuriya

Deputy Solicitor General
Attorney General’s Department,
Sri Lanka

Ms. Bhornthip Sudti-autasilp

Judge
The Civil Court,
Office of the Judiciary,
Thailand

Ms. Sitang Tangsiri

Provincial Public Prosecutor
Assistant Secretary to the Inspector
General,Department of Inspector General,
Office of the Attorney General,
ThailandJapanese Participants
Mr. Takeshi Hashimoto

Assistant Judge
Osaka District Court

23

Mr. Hiromitsu Iizuka

Chief Examination Expert
Examination Department,
First Examination Section,
Fair Trade Commission

Mr. Mikio Matsuoka

Judge
Nagoya High Court

Mr. Hideaki Nakamoto

Public Prosecutor
Tokyo District Public Prosecutors Office

Mr. Noboru Shimizu

Public Prosecutor
Tokyo District Public Prosecutors Office,Hachioji Branch

Mr. Yukitoshi Yokoyama

Public Prosecutor
Saitama District Public Prosecutors Office

24

INFORMATION ABOUT FORTHCOMING PROGRAMMESThe 8th Training Course on the Juvenile Delinquent Treatment System for Kenyan
Criminal Justice Officials
The 8th Training Course on the Juvenile Delinquent Treatment System for Kenyan Criminal
Justice Officials will be held from 15 October to 9 November 2007.
Eleven participants, comprising two judges, eight government officials and one children’s volunteer
officer will attend.
1.

The 10th Training Course on Corruption Control in Criminal JusticeThe 10th Training Course on Corruption Control in Criminal Justice will be held from 24
October to 21 November 2007. Approximately 18 government officials in charge of corruption
control, mainly from the Asia-Pacific region, and visiting experts, will attend.

2.

3.

Regional Seminar on Good Governance for Southeast Asian Countries
The Regional Seminar on Good Governance for Southeast Asian Countries will be heldfrom 17 to 21 December 2007. The main theme is corruption control in the judiciary andprosecutorial authorities. The Seminar is co-hosted by UNAFEI, the Office of the Attorney
General of Thailand and the United Nations Office on Drugs and Crime Regional Centre for East
Asia and the Pacific and JICA. Approximately 30 participants from eight countries, comprising
judges, prosecutors and other law enforcement officials will attend.
The 138th International Senior Seminar
Effective Legal and Practical Measures for Combating Corruption: A Criminal Justice
Response.

4.

Rationale
1. Prevalence of Corruption and Countermeasures Taken by the International Community, in
Particular, the United Nations
Undoubtedly, corruption poses a serious threat to the stability and security of societies. The
threat is even greater when corrupt practices prevail in the public sphere. Illegal diversion of
scarce resources through corrupt transactions adversely affects the quality and quantity of basic
services provided to citizens, and jeopardizes a State’s sustainable economic, social and politicaldevelopment. The prevalence of corruption both in the public and private spheres discourages economic investment, as it interferes with legitimate economic competition and obstructs the establishment of a level playing field. It breeds feelings of distrust and unfairness towards the publicauthorities and amongst private businesses. Corruption undermines the values of democracy, justiceand the rule of law, and may ultimately disrupt the foundation of a State.
In many countries, corrupt transactions take place at various levels within public authorities.
In developing countries, in particular, the situation remains serious. Bribes, often of a substantial
amount, are paid to high ranking officials and politicians for public contracts, and at a lower level,
citizens are forced to pay "surcharges" just for the provision of the most basic services, such as
the issuing of official documents. This phenomenon is rooted deeply in the society, and various
surveys show that corruption is perceived as prevalent in those countries. Moreover, globalizationin the commercial sphere has brought about the internationalization of corruption, thus making the
problem even more complex. Due to expanded legitimate international commercial transactions,corruption is no longer a domestic issue. Foreign investors have become one of the major players
in corrupt transactions, and corrupt officials often transfer illegally diverted public funds to financial institutions abroad. Further, transnational criminal organizations take advantage of corrupt

25

governments to obtain and retain illegal benefits.
Bearing in mind the enormous negative impact of corruption and its increasing transnational
aspects, the international community recognizes the importance of tackling this phenomenon collectively at an international level. Since the mid-1990s, several multilateral instruments against corruption have been adopted, among them, the Inter-American Convention against Corruption(adopted by the Organization of American States in 1996), the Convention on the Fight against
Corruption involving Officials of the European Communities or Officials of Member States of theEuropean Union (adopted by the Council of the European Union in 1997), and the Convention on
Combating Bribery of Foreign Public Officials in International Business Transactions (adopted by
the Organization for Economic Cooperation and Development in 1997). Subsequently, other regional and international instruments were developed, and various anti-corruption initiatives involving governmental and non-governmental bodies have been established.
Most importantly, on 31 October 2003, the General Assembly adopted the United Nations
Convention against Corruption (hereinafter referred to as "UNCAC" or the "Convention") whereby
setting a new benchmark for this global issue. Many states moved swiftly towards its ratificationand consequently, the UNCAC entered into force on 14 December 2005. As of May 2007, nearly
100 states have become parties to the Convention and many others are going through the ratification process. In addition, being mindful of the links between transnational organized groups andcorruption, corruption provisions were stipulated in the United Nations Convention against
Transnational Organized Crime adopted in November 2000.
Following the entry into force of the UNCAC, pursuant to Article 63 therein, theConference of the Parties was established to improve the capacity of and cooperation between
States Parties to achieve the objectives set forth in the Convention and to promote and review its
implementation. Its first session was held in December 2006, whereby three Working Groups ona review of implementation, asset recovery and technical assistance were established. Subsequentsessions, as well as the meetings of these Working Groups, will be held in order to review the
implementation of the Convention.
In addition, various bodies of the United Nations have deemed the fight against corruption
a high priority issue. In particular, the United Nations Office on Drugs and Crime (UNODC) has
undertaken a series of activities to promote the ratification and implementation of the UNCAC andto provide technical assistance to States as its top priority. Furthermore, the Global Programme
against Corruption (GPAC), which was established in 1999 in order to assist States in their efforts
to curb corruption, functions as a catalyst and a resource to help countries effectively implement
the provisions of the UNCAC.
2.

Challenges Encountered by Criminal Justice Authorities in the Fight Against Corruption andthe UNCAC’s Countermeasures, in Particular, Measures and Mechanisms Related to Criminal
Justice Authorities
Needless to say, the role of the criminal justice system is crucial in the fight against corruption. Successful detection, investigation, prosecution, adjudication and punishment of corrupt offenders contributes greatly to the prevention and eradication of corruption. Also, suppression fromthe financial point of view, through depriving the offenders completely of crime proceeds bymeans of confiscation, is necessary and quite effective as a deterrent. If the criminal justice systemfails to perform these tasks properly, not only will it allow the corrupt offenders to enjoy impunity
and retain improper financial advantages, but it may also lead to preventive measures and laws
against corruption losing their deterrent effect. Further, where corrupt officials plunder publicfunds, especially in developing countries, in addition to punishing the offenders and depriving
them of their illegal benefits, it is also important that the stolen assets are returned to the statesfrom where they were illegally obtained. The criminal justice system should play a central role inthis duty as well.
However, these are not easy tasks to accomplish. First, corruption is normally committed

26

in a secretive manner between a very limited number of parties. Therefore, it is very difficult forthe criminal justice authorities to obtain information on corruption allegations and to investigate
them. Second, since those involved in corruption are often powerful, for example, high-ranking officials, politicians or rich businesspersons, they frequently try to jeopardize the criminal proceedings by using their influence to tamper with witnesses and evidence, or bribe, or put pressure on,
criminal justice personnel. Third, as corruption and subsequent laundering of proceeds frequently
involve sophisticated methods to disguise illegal transactions, it is necessary to have highly skilled
investigators to identify, trace, freeze and confiscate the crime proceeds. Fourth, increasedtransnational elements in corrupt practices and subsequent laundering of crime proceeds have madethese tasks more complex and difficult, due to national laws not being updated, jurisdictional problems and the differences in the criminal justice systems and legislation. In order for the criminal
justice authorities to successfully overcome these challenges, they need to use innovative legalmeans, both domestically and internationally. In addition, it is of the utmost importance to ensure
and maintain the integrity and necessary independence of criminal justice personnel, as a prerequisite to fulfilling their great responsibilities.
In this regard, the UNCAC introduces a comprehensive set of standards, measures and rulesthat States Parties can apply to strengthen the legal and regulatory regimes to fight corruption.
It takes a multifaceted approach to address the problem covering preventive measures,
criminalization of prevalent forms of corruption and related acts, investigative and prosecutorial
measures, and international cooperation. Furthermore, it makes a major breakthrough by requiring
States Parties to return assets obtained through corruption to the country from which they werestolen.
Once the measures stipulated in the Convention are fully implemented, criminal justiceauthorities will be empowered with useful legal weapons to detect, investigate, prosecute, adjudicate and punish corrupt offenders and to confiscate illegal benefits and return them to their legitimate owners. In addition, where there is an international element, international cooperation
between States Parties will be enhanced. This should make it much more difficult for offenders
to take advantage of the difficulties inherent in the investigation, prosecution, etc. of cases involving several jurisdictions.
A large number of United Nations Member States have become parties to the UNCAC andit has now entered into force. However, without its effective implementation both in terms of legal
framework and practice, the fight against corruption will continue to be a losing battle. Therefore,
UNAFEI, as a regional institute of the United Nations Crime Prevention and Criminal Justice
Programme Network, decided to hold this Seminar in order to review each country’s criminal justice system, and explore how it could be strengthened, with special attention to the UNCAC.
3.

The Provisions of the UNCAC Relevant to the Main Theme of this Seminar
The UNCAC applies to a wide range of acts of corruption, which are:(i) Bribery of national public officials (Article 15);(ii) Bribery of foreign public officials and officials of public international organizations (Article
16);(iii) Embezzlement, misappropriation or other diversion of property by a public official (Article
17);(iv) Trading in influence (Article 18);(v) Abuse of functions (Article 19);(vi) Illicit enrichment (Article 20);(vii) Bribery in the private sector (Article 21); and(viii)Embezzlement of property in the private sector (Article 22).
Further, it also applies to acts committed in support of corruption, which are:27(ix) Laundering of proceeds of crime (Article 23);(x) Obstruction of justice (Article 25); and(xi) Concealment (Article 24).
The UNCAC provides for a series of measures and mechanisms that may strengthen theability and capacity of the relevant authorities. Focusing on the measures and mechanisms relevant
to criminal justice authorities, among others, first, it provides for criminalization of corruption andrelated offences as above. As for the offences enumerated in (i), (ii) (active form), (iii), (ix) and(x), states are required to criminalize them, whereas those in (ii) (passive form), (iv) to (viii) and(xi), states are required only to consider their criminalization.
Second, as an institutional mechanism, the UNCAC refers to states having bodies or persons specialized in combating corruption as well as granting their necessary independence (Article36). Further, as a crucial preventive measure to be taken within the criminal justice sphere, theConvention provides for the strengthening of the integrity of the judiciary and prosecution service(Article 11). These measures could empower the relevant authorities to carry out complex and difficult investigations and prosecutions and make them less vulnerable to undue influence.
Third, the UNCAC sets out various measures to encourage persons and authorities who
have any useful information on corruption, etc. to cooperate with investigative and prosecutorial
authorities and to facilitate their reporting. They include protection of witnesses, experts and victims (Article 32), protection of a person reporting to the competent authorities facts concerning
corruption, etc. from unjustified treatment (Article 33), immunity from prosecution and mitigationof punishment for a person who participates or has participated in a corruption or related offence
and provides substantial cooperation in the investigation or prosecution (Article 37), cooperation of
public authorities and public officials with investigative and prosecutorial authorities in informing
them of their suspicions of corruption, etc. and in providing them with necessary information(Article 38), and cooperation of the private sector and nationals/residents with investigative andprosecutorial authorities to provide information or report suspicions of corruption, etc. (Article 39).
Fourth, the UNCAC provides for special investigative techniques such as controlled delivery, electronic and other forms of surveillance and undercover operations and its use at the international level (Article 50), which may enhance the investigative authorities’ abilities to detect andinvestigate corruption and related offences.
Fifth, the UNCAC stipulates a wide range of measures and mechanisms for international
cooperation, as one of the most important elements to tackle this phenomenon involving varioustransnational aspects. They include, in particular, extensive provisions on extradition (Article 44)
and mutual legal assistance (Article 46), and others such as law enforcement cooperation (Article48) and joint investigations (Article 49).
Finally, the UNCAC established measures and mechanisms to deprive the corrupt offendersof their illegal benefits and furthermore, as its major achievements, measures and mechanisms toreturn assets obtained through corruption to the country from which they were stolen. They include measures and mechanisms to identify, trace, freeze and confiscate instrumentalities and theproceeds of corruption and related offences (Article 31), as well as those through international cooperation (Articles 54, 55), and further, those for the return and disposal of assets (Article 57).
4.

Objectives
This Seminar aims at exploring ways to improve the criminal justice system to combat corruption in the respective countries, by examining and analysing the current situation, problems andchallenges in regard to the following subtopics:(1) Current situation in the respective countries of corruption and related acts, in particular, theoffences listed below (NB: for the purpose of preparing their individual presentation paper,
participants are requested to focus on any one or more of these offences), and their existing

28

legal regimes and mechanisms to investigate, prosecute and adjudicate them (including confiscation and recovery of assets):• Bribery of national public officials• Bribery of foreign public officials and officials of public international organizations• Embezzlement, misappropriation or other diversion of property by a public official• Trading in influence• Abuse of functions• Illicit enrichment• Bribery in the private sector• Embezzlement of property in the private sector• Laundering of proceeds of crime• Concealment• Obstruction of justice• Others (offences which are not referred to in the UNCAC but deeply related to corrupt
practices in the respective countries).
(2) Current situation of, and problems and challenges in, the investigation, prosecution and adjudication (including confiscation and recovery of assets) of the above mentioned offences(i) Current situation, problems and challenges, focusing on measures/mechanisms relevant topunishing the offenders effectively:a) criminalization of corruption and related acts;b) measures/mechanisms to encourage persons who have useful information on corruption,etc. to supply the information to, and cooperate with, investigative and prosecutorial
authorities (e.g. granting immunity from prosecution, witness protection, whistle-blower
protection, reporting and cooperation by other public authorities);c) special investigative techniques (e.g. electronic surveillance, undercover operations) andtheir use at the international level;d) international cooperation (e.g. extradition, mutual legal assistance, law enforcement cooperation); ande) others.
(ii) Current situation, problems and challenges, focusing on measures/mechanisms relevant to
the effective confiscation of illegal benefits and recovery of assets:a) measures to identify, trace, freeze, and confiscate instrumentalities and proceeds of corruption and related offences;b) international cooperation for the purpose of identifying, tracing, freezing and confiscating
instrumentalities and proceeds of corruption and related offences;c) return and disposal of confiscated assets; andd) others.
NB: Participants are also encouraged to include in their presentation examples of success stories
on the above issues, which could serve as best practices for other participants.
(3) Current situation of, and problems and challenges in, strengthening the capacity and abilityof criminal justice authorities and their personnel(i) Integrity and independence of the criminal justice authorities and their personnel(ii) Specialization of criminal justice authorities(iii) Others.

29

ADMINISTRATIVE NEWS

Faculty Changes
Mr. Masato Uchida, formerly Professor of UNAFEI, was transferred and appointed
Principal Programme Supervisor, Classification Division, Chiba Prison on 1 April 2007.
Mr. Haruhiko Higuchi, Professor of UNAFEI, was promoted to chief of a department at the
National Police Academy and left UNAFEI on 14 September 2007.
Mr. Ikuo Kamano, a Professor at the National Police Academy joined UNAFEI as a
Professor on 14 September 2007.

Overseas Trips by Staff
Ms. Kayo Ishihara (Professor) and Mr. Jun Oshino (Professor) visited Argentina and CostaRica from 8 to 27 July 2007. In Argentina they held a follow-up Seminar, focusing on the specific situation in Argentina. In Costa Rica, they jointly hosted with ILANUD the international
training course on Criminal Justice System Reforms in Latin America in which ten countries wererepresented.
Deputy Director Takeshi Seto visited China from 22 to 26 July 2007 to meet with personnel from various criminal justice organizations and to prepare for the 2008 Special Seminar for
Senior Criminal Justice Officials of the People’s Republic of China.
Mr. Tetuya Sugano (Professor) and Ms. Tae Sugiyama (Professor) visited the Republic of
Kenya from 28 July to 25 August 2007 and 4 August to 1 September 2007 respectively. The purpose of the trip was to observe children’s institutions, observe the conditions of the treatment ofchildren and the activities of volunteers, exchange ideas and provide advice to the staff of the
Department of Children’s Service. The Professors also gave lectures at training seminars.
Deputy Director Takeshi Seto visited Vietnam from 27 August to 1 September 2007 to present lectures on the Japanese criminal justice system at the Vietnamese Supreme People’s
Procuracy.
Deputy Director Takeshi Seto visited Hong Kong from 16 to 21 September 2007 to attend
and serve as a panellist at the meeting of the International Association of Prosecutors.
Mr. Koji Yamada (Professor) visited Manila and Baguio, the Philippines from 22
September to 2 October 2007 to attend the In-country Training Programme for the Revitalizationof the Volunteer Probation Aid System for the Philippines. Mr. Yamada gave lectures on theJapanese criminal justice system focusing on the role of Volunteer Probation Officers, and attendedgroup workshop sessions.

30

FACULTY AND STAFF OF UNAFEI

Faculty:
Mr. Keiichi Aizawa
Mr. Takeshi Seto
Mr. Motoo Noguchi
Mr. Ikuo Kamano
Ms. Tae Sugiyama
Mr. Ryuji Tatsuya
Mr. Koji Yamada
Mr. Tetsuya Sugano
Ms. Kayo Ishihara
Mr. Shintaro Naito
Mr. Jun Oshino
Mr. Simon Cornell

Director
Deputy Director
Professor
Professor
Professor, Chief of Information and Library Science Division
Professor, 137th Deputy Course Programming Officer
Professor
Professor, Chief of Research Division
Professor
Professor, 137th Course Programming Officer
Professor, Chief of Training Division
Linguistic Adviser

Secretariat:
Mr. Sakumi Fujii
Mr. Kazuyuki Kawabe
Mr. Hitoshi Nakasuga

Chief of Secretariat
Co-Deputy Chief of Secretariat
Co-Deputy Chief of Secretariat

General and Financial Affairs Section:
Mr. Hideshi Ohashi
Chief
Mr. Fumihiro Nakayasu
Mr. Ikuo Kousaka
Ms. Mariko Tsuruoka

Training and Hostel Management Affairs Section:
Mr. Seiji Yamagami
Chief
Mr. Etsuya Iwakami
Senior Officer
Ms. Yoko Hosoe
137th Assistant Course Programming Officer
Mr. Atsushi Takagi
Mr. Yuichi Shirakawa
Ms. Eiko Shibuki

International Research Affairs Section:
Mr. Yuichi Kitada
Chief
Ms. Masumi Tomita
Librarian

Secretarial Staff:
Ms. Akane Uenishi
Ms. Aiko Ota

31

Kitchen:Mr. Yuji Matsumoto

Chef

JICA Coordinator for the 137th International Training Course:
Ms. Yasuko Ono
JICA

UNAFEI Home Page: http://www.unafei.or.jp/
UNAFEI E-mail: unafei@moj.go.jp