NUMBER 107

MARCH 2019RESOURCE MATERIAL SERIESFEATURED ARTICLESINTERNATIONAL STANDARDS FOR THE TREATMENT OF DRUG USE DISORDERS
TREATMENT AND CARE FOR PEOPLE WITH DRUG USE DISORDERS IN CONTACT WITH THE CRIMINALJUSTICE SYSTEM: ALTERNATIVES TO CONVICTION OR PUNISHMENT
Anja Busse（UNODC）
IN-PRISON SUBSTANCE MISUSE TREATMENT PRINCIPLES AND MODALITIESASSESSMENT OF IN-PRISON DRUG TREATMENT
Dr. Sheldon Zhang（United States）
THE STRATEGY AND EXPERIENCE OF EUROJUST REGARDING ANTI-CORRUPTION MEASURESACQUISITION OF EVIDENCE ABROAD AND THE QUESTION OF ITS ADMISSIBILITY
by M. Sc. Boštjan Lamešič（Eurojust）
ANTI-CORRUPTION MEASURES OF THE INDEPENDENT COMMISSION AGAINST CORRUPTION, HONG KONG
SPECIAL ADMINISTRATION REGION, CHINA AND STRATEGIES AND EXPERIENCE OF ITS COMMUNITY
RELATIONS DEPARTMENTEFFECTIVE PRACTICES OF ANTI-CORRUPTION EDUCATION: HONG KONG’S EXPERIENCE
by Corinna Wong（Hong Kong）
INTELLIGENCE BASED INVESTIGATION: EFFECTIVE PRACTICES TO COMBAT CORRUPTION
by Dato’ Sri Ahmad Khusairi Bin Yahaya（Malaysia）

THE UNITED NATIONS ASIA AND FAR EAST INSTITUTE FOR THE PREVENTION OF CRIME AND THE TREATMENT OF OFFENDERSRESOURCE MATERIALSERIES NO. 107

UNAFEI
Akishima, Tokyo, Japan

March 2019

Takeshi Seto
Director
United Nations
Asia and Far East Institutefor the Prevention of Crime andthe Treatment of Oﬀenders(UNAFEI)
2-1-18 Mokuseinomori, Akishima-shi, Tokyo, Japan
unafei@i.moj.go.jp

CONTENTS
INTRODUCTORY NOTE ㌀
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vi

PART ONEWORK PRODUCT OF THE 170TH
INTERNATIONAL TRAINING COURSE
TREATMENT OF ILLICIT DRUG USERS
Visiting Expertsʼ Papers
International Standards for the Treatment of Drug Use Disorders
by Ms. Anja Busse (UNODC) ㌀
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㌀3



Treatment and Care for People with Drug Use Disorders in Contact with the Criminal
Justice System: Alternatives to Conviction or Punishment
by Ms. Anja Busse (UNODC) ㌀
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㌀9



In-Prison Substance Misuse Treatment Principles and Modalities
by Dr. Sheldon Zhang (United States) ㌀
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㌀17



Assessment of In-Prison Drug Treatment
by Dr. Sheldon Zhang (United States) ㌀
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㌀29

Participantsʼ and Observersʼ Papers


An Introduction to Treatment and Rehabilitation for Illicit Drug Use Offenders in
Malaysian Prisonsby Mr. Suhaizak Ab. Wahab (Malaysia) ㌀
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㌀40



Treatment of Illicit Drug Users in Malaysia: Focus on Parole
by Mr. Syahrul Amri Bin Abd Mutalib (Malaysia) ㌀
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㌀48



Drug Rehabilitation in Maldivesby Mr. Abdul Sattar Abdul Hameed (Maldives)㌀
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㌀56



Treatment of Drug Offenders in the Mauritius Prison Service
by Ms. Joanna Figaro-Jolicoeur (Mauritius) ㌀
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㌀61



Treatment of Drug Offenders in the Mauritius Prison Service
by Mr. Deepak Roomesh Gunnoo (Mauritius) ㌀
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㌀66



The Rehabilitation of Illicit Drug Users in Correctional Facilities: A Strategy of
Effective Stakeholder Cooperation and Collaborationby Ms. Nanja Limbo (Namibia) ㌀
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㌀77



Illicit Drugs and Treatment of Offenders in Sri Lanka
by Mr. Nishantha Shanthilal Hapuarachchi (Sri Lanka) ㌀
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Treatment of Illicit Drug Users in Hong Kongby Mr. Lam Yuen Tak (Hong Kong)㌀
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Treatment of Illicit Drug Users in Korea
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㌀ 106

iii

Reports of the Course

Effective Treatment Modalities and Interventions for Incarcerated Drug Users
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㌀ 111



Diversion Options and Treatment Methods in the Community Setting
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㌀ 114

PART TWOWORK PRODUCT OF THE 21ST UNAFEI UNCACTRAINING PROGRAMMECOMBATING CORRUPTION THROUGH EFFECTIVE CRIMINAL JUSTICE
PRACTICES, INTERNATIONAL COOPERATION AND ENGAGEMENT OF
CIVIL SOCIETY
Visiting Expertsʼ Papers
The Strategy and Experience of Eurojust Regarding Anti-Corruption Measures
by Mr. M. Sc. Boštjan Lamešič (Eurojust) ㌀
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㌀ 119



Acquisition of Evidence Abroad and the Question of Its Admissibility
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㌀ 132



Anti-Corruption Measures of the Independent Commission against Corruption, Hong
Kong Special Administration Region, China and Strategies and Experience of Its
Community Relations Department
by Ms. Corinna Wong (Hong Kong) ㌀
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㌀ 145



Effective Practices of Anti-Corruption Education: Hong Kongʼs Experienceby Ms. Corinna Wong (Hong Kong) ㌀
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㌀ 154



Intelligence-Based Investigation: Effective Practices to Combat Corruption
by Dato’ Sri Ahmad Khusairi Bin Yahaya (Malaysia) ㌀
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㌀ 166

Participantsʼ Papersiv

What Effect Does Corruption Have on the Higher Education System in Kazakhstan?
by Mr. Dulat Omar (Kazakhstan) ㌀
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㌀ 173



Investigation, Prosecution and Adjudication against Illicit Property of Public Officials
in Nepalby Mr. Gokul Banstola (Nepal) ㌀
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㌀ 177



Migration in Niger: A New Matrix for Corruption
by Mr. Moussa Sada (Niger) ㌀
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㌀ 186



Combating Corruption through Effective Criminal Justice Practices, International
Cooperation and Engagement of Civil Society in Timor-Lesteby Mr. Henrique Lopes Soares (Timor-Leste) ㌀
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㌀ 192



Mutual Legal Assistance within the Investigation of Criminal Corruption Offencesby Ms. Anna Dzhavaha (Ukraine) ㌀
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㌀ 196



Investigation of Top-Corruption in Ukraine
by Mr. Oleksii Geiko (Ukraine) ㌀
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㌀ 203



Combating Corruption Through Effective Criminal Justice Practices in Viet Nam
by Ms. Hoang Hai Yen (Viet Nam) ㌀
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㌀ 209



Combating Corruption through Effective Criminal Justice Practices, International
Cooperation and Engagement of Civil Society: The Zimbabwean Perspectiveby Ms. Charity Matumbi (Zimbabwe) ㌀
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㌀ 213

Reports of the Programme

Effective Measures for Gathering Information to Detect and Investigate Corruption
Offencesby Group 1 ㌀
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㌀ 218



International Cooperation for the Purpose of Confiscating Illicit Profits andRecovering Damages
by Group 2 ㌀
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㌀ 221



Preventive Measures against Corruption in Cooperation with Civil Society and thePrivate Sector
by Group 3 ㌀
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㌀ 224

APPENDIX㌀
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㌀ 227
㌀
Presentations of the 170th International Training CourseInternational Standards for the Treatment of Drug Use Disorders
by Ms. Anja Busse (UNODC) ㌀
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㌀ 229



Treatment for People with Drug Use Disorders in Contact with the Criminal Justice
System: Alternatives to Conviction or Punishment
by Ms. Anja Busse (UNODC) ㌀
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㌀ 300



Prisons, Drug Use, Treatment & Drug Policy
by Dr. Alexander David Wodak (Australia) ㌀
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㌀ 374



Drug Policy and Harm Reduction
by Dr. Alexander David Wodak (Australia) ㌀
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㌀ 396



In-Prison Substance Misuse Treatment Principles and Modalities
by Dr. Sheldon Zhang (United States) ㌀
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㌀ 407



Assessment of In-Prison Drug Treatment
by Dr. Sheldon Zhang (United States) ㌀
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㌀ 428

Group Photos
170th International Training Course ㌀
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㌀ 445



21st UNAFEI UNCAC Training Programme ㌀
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㌀ 446

v

INTRODUCTORY NOTE
It is with pride that the United Nations Asia and Far East Institute for the Prevention of Crime and theTreatment of Offenders (UNAFEI) offers to the international community the Resource Material Series No.
107.
Part One of this volume contains the work product of the 170th International Training Course, conductedfrom 22 August to 20 September 2018. The main theme of the 170th Course was Treatment of Illicit Drug
Users. Part Two contains the work product of the 21st UNAFEI UNCAC Training Programme, conductedfrom 10 October to 15 November 2018. The main theme of the 21st UNCAC Programme was Combating
Corruption through Effective Criminal Justice Practices, International Cooperation and Engagement of Civil
Society.
The 170th Course offered participants an opportunity to deepen their understanding of relevant theories
and practices to facilitate the treatment of illicit drug users and breaking the cycle of drug dependence.
Dependence on drugs entails a complex multifactorial health disorder characterized by a chronic andrelapsing disease with social causes and consequences. It is a result of a long series of biological andenvironmental factors that can be prevented and treated in a health-oriented framework. Therefore, it isnecessary not only to instruct users to desist from using drugs but also to have awareness that it is a disease
that can be recovered from by continuous treatment and support. With the aim of promoting desistance fromdrug use, this training programme offered participants an opportunity to deepen their knowledge andunderstanding of effective systems and practices for withdrawal from drug use.
The 21st UNCAC Programme took a comprehensive look at measures to combat corruption. Specifically,
this programme focused on: (1) effective anti-corruption investigation, prosecution and adjudication incooperation with relevant agencies (including special investigative techniques, whistle-blower and witness
protection, utilization of financial intelligence units, etc.); (2) international cooperation (mutual legal assistance,
extradition, joint investigations, and asset recovery); and (3) preventive measures against corruption incooperation with civil society and the private sector.
UNAFEI, as one of the institutes of the United Nations Crime Prevention and Criminal Justice
Programme Network, held these training programmes to offer participants opportunities to shareexperiences, gain knowledge, and examine crime prevention measures in their related fields, as well as tobuild a human network of counterparts to further international cooperation, which is vital to addressing theseissues.
In this issue, in regard to both the 170th International Training Course and the 21st UNAFEI UNCAC
Training Programme, papers contributed by visiting experts, selected individual presentation papers fromamong the participants, and the reports of each programme are published. I regret that not all the papers
submitted by the participants of each programme could be published.
I would like to pay tribute to the contributions of the Government of Japan, particularly the Ministry ofJustice, the Japan International Cooperation Agency, and the Asia Crime Prevention Foundation forproviding indispensable and unwavering support to UNAFEIʼs international training programmes. Finally, I
would like to express my heartfelt gratitude to all who so unselfishly assisted in the publication of this series.
March 2019

Takeshi Seto
Director of UNAFEI

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PART ONERESOURCE MATERIAL SERIES
No. 107

Work Product of the 170th International Training Course
Treatment of Illicit Drug Users

UNAFEIVISITING EXPERTSʼ PAPERS
INTERNATIONAL STANDARDS FOR THE TREATMENT OF DRUG USE
DISORDERS
Anja Busse＊

I. INTRODUCTION
This article describes the policy background, purpose, content as well as the dissemination process of theInternational Standards for the Treatment of Drug use Disorders (UNODC/WHO, 2016).
Drug Use Disorders (DUDs) are a public health, developmental and security problem both inindustrialized and developing countries. They are associated with health problems, poverty, violence, criminal
behaviour and social exclusion. Prevention of illicit drug use and treatment of drug use disorders are essential
demand reduction strategies of significant public health importance. Therefore, the implementation ofadequate programmes is key in ensuring an appropriate response to the need for evidence-based prevention
and treatment interventions of people at risk or affected by drug use disorders and their negative health andsocial consequences.
The International Standards for the Treatment of Drug Use Disorders1 (the Standards) were prepared in
the framework of the UNODC-WHO Programme on Drug Dependence Treatment and Care2 to support UN
Member States in their efforts to develop and implement effective and ethical services and systems for thetreatment and care of drug use disorders. The Standards were launched as a draft for field testing during the2016 Commission on Narcotic Drugs (CND).
Prior to the Standards, UNODC and WHO had already jointly published the Principles of Drug
Dependence Treatment (the Principles)3 (UNODC/WHO, 2008) which specify general requirements forcomprehensive drug dependence treatment that is accessible, affordable, evidence-based, diverse andcompliant with human rights and ethical standards. Building on the Principles, the Standards describe arange of effective treatment interventions that can be implemented in a variety of settings (outreach,
outpatient treatment, short-term inpatient treatment, longer-term residential treatment to sustained
recovery management) with a view to the implementation of a full continuum of care for the treatment ofdrug use disorders at the service and the systems levels.
About 275 million people worldwide or 5.6% of the global population aged 15-64 years have used drugs at
least once in the year 2016 and 31 million people globally suffer from drug use disorder. Cannabis remains themost widely used illicit drug worldwide while opioids are responsible for most of the negative health impactof drug use. There are an estimated 11 million people who inject drugs (PWID) and are thus exposed tofurther health and social risks. 1 in 8 persons who inject drugs is living with HIV, and every second person
who injects drugs has Hepatitis C. There remains a discrepancy between the number of people who actually
receive treatment for drug use disorders and the number of people who need it as globally only 1 in 6 persons
in need of drug use disorder treatment has access to it4. Women with drug use disorders are even more
underrepresented in treatment. 1 in 3 persons who use drugs is a woman, but women account only for 1 in 5
Ms. Anja Busse is Programme Officer at the Prevention, Treatment and Rehabilitation Section at the United Nations Office on
Drugs and Crime. She can be contacted at anja.busse@un.org. The information and views set out in this article are those of theauthor(s) and do not necessarily reflect the official opinion of the UNODC.
1
UNODC/WHO (2016). International Standards for the Treatment of drug use Disorders. Draft for Field Testing. Available
online at: http://www.unodc.org/documents/International_Standards_2016_for_CND.pdf
2
http://www.unodc.org/unodc/en/treatment-and-care/our-projects.html
3
United Nations Office on Drugs and Crime and the World Health Organization, Principles of Drug Dependence Treatment(Vienna, Austria, 2008).
4
United Nations Office on Drugs and Crime, World Drug Report 2018 (Vienna, Austria, 2018).
＊

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RESOURCE MATERIAL SERIES No. 107

people in treatment5.
Limitations inherent in the data regarding drug use in general, and treatment specifically, must be
considered. Reporting practices on drug use tend to be weak, and the data for drug use disorder treatment isgreatly affected not only by the demand for it but also by the extent to which treatment services areavailable and accessible, and supported through public funding.

II. DEVELOPMENT OF THE STANDARDS AS PART OF THE INTERNATIONALDRUG POLICY CONTEXT
A. Commission on Narcotic Drugs (CND) Political Declaration and Plan of Action 20096
In the Political Declaration and Plan of Action on International Cooperation towards an Integrated andBalanced Strategy to Counter the World Drug Problem (2009), Member States expressed great concern
regarding the consequences of drug use and drug use disorders for people who use drugs, their families andtheir communities. Member States restated their commitment to work towards the goal of universal accessto comprehensive prevention programmes and treatment, care and related support services and recognizedthat a lack of quality standards hinder the effective implementation of demand reduction measures based on
scientific evidence, therefore requesting the development and adoption of appropriate health-care standards.
In response, the UNODC and WHO jointly created a Global Programme on Drug Dependence Treatment
and Care in 20097. This programme supports UN Member States in their efforts to develop effective
treatment policies, systems services through capacity building and technical assistance. As part of theircollaboration, UNODC and WHO developed initially the Principles and then the Standards as guidance toMember States on the provision of ethical and evidence-based drug-use-disorder treatment and careinterventions to be implemented as a continuum of care in a variety of settings within a comprehensive druguse-disorder treatment system.
B. CND Resolution 59/4 ‒ Development and Dissemination of International Standards for the Treatment of Drug Use Disorders
The Standards were released as a draft for field testing at the 59th session of the Commission on Narcotic
Drugs in April 2016. In resolution 59/4 Member States noted with appreciation the work of the United
Nations Office on Drugs and Crime and the World Health Organization in developing the international
standards for the treatment of drug use disorders, and encouraged all Member States to consider expanding
the coverage and improving the quality of drug treatment systems, interventions and policies based on
scientific evidence, using the scientific evidence-based international standards for the treatment of drug use
disorders developed by the UNODC and the WHO.
C. Outcome Document of the 2016 United Nations General Assembly Special Session on the World Drug
Problem8
The United Nations General Assembly conducted a Special Session on Drugs in April 2016, during which
it clearly recognized drug dependence as a complex, multifactorial health disorder characterized by a chronic
and relapsing nature with social causes and consequences that can be prevented and treated throughscientific evidence-based treatment, care and rehabilitation. It furthermore recommended to promote andimplement the standards on the treatment of drug use disorders developed by UNODC and WHO along witha range of other concrete suggestions to improve treatment and care for people affected by drug use
disorders, for example, to encourage the voluntary participation of persons with drug use disorders intreatment programmes, with informed consent.

Ibid.
United Nations Office on Drugs and Crime, Political Declaration and Plan of Action on International Cooperation towards an
Integrated and Balanced Strategy to Counter the World Drug Problem (Vienna, Austria, 2009).
7
More information available from: http://www.unodc.org/unodc/en/frontpage/unodc-and-who-launch-joint-drug-dependencetreatment-programme.html; http://www.unodc.org/unodc/en/treatment-and-care/our-projects.html
8
United Nations General Assembly, Outcome Document of the 2016 United Nations General Assembly Special Session on theWorld Drug Problem – Our Joint Commitment to Effectively Addressing and Countering the World Drug Problem (New York,
2016).
5
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170TH INTERNATIONAL TRAINING COURSE
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D. Sustainable Development Goals
The Standards support the implementation of the Sustainable Development Goals (SDG), especially SDG 39‒ Ensure healthy lives and promote well-being for all at all ages; particularly target 3.5 ‒ to strengthen thetreatment of substance abuse, and 3. 8 ‒ to achieve universal health coverage, access to quality essential
health-care services and affordable essential medicines for all.

III. INTERNATIONAL STANDARDS FOR THE TREATMENT OF DRUG
USE DISORDERS10
A. Key Principles and Standards for the Treatment of Drug Use Disorders
Seven key principles have been outlined in the Standards as a cross-cutting requirement for the deliveryof treatment of drug use disorders, to1
1
1

Principle 1.
Principle 2.
Principle 3.

1

Principle 4.

1
1

Principle 5.
Principle 6.

1

Principle 7.

Be available, accessible, attractive and appropriate;
Ensure ethical standards of care in treatment services;
Promote treatment of drug use disorders by effective coordination between thecriminal justice system and health and social services;
Be based on scientific evidence and respond to specific needs of individuals withdrug use disorders;
Respond to the needs of specific populations;
Ensure good clinical governance of treatment services and programmes for druguse disorders;
Ensure an integrated treatment approach where linkages to complementary
services must be constantly monitored and evaluated.

B. Comprehensive Treatment Modalities and Interventions
The Standards then describe how a range of evidence-based interventions needs to be implemented
throughout a continuum of care including modalities such as outreach, screening and brief interventions,outpatient treatment, short-term inpatient treatment, longer-term residential treatment and sustained
recovery management.
Assessment and treatment planning are considered relevant for all settings, as drug use disorders can be
described on a spectrum from lower to higher severity and complexity. Treatment plans, to be developedwith the patients, would therefore need to count on a diversity of treatment and care approaches taking into
account the overall life situation of the patient including health, social, legal, educational, financial and otheraspects. It is recommended that treatment plans be developed with the help of a multi-professional team withpatient involvement. Treatment plans should be individualized and consistent with the management of otherchronic illnesses.
DUDs are often associated with other mental and somatic disorders. A comprehensive assessment should
be administered upon entry into any treatment programme that includes a full medical history, presence ofchronic and acute diseases and related pharmaceutical therapies, as well as a routine documentation of
infectious diseases including HIV, tuberculosis, and hepatitis. It is also critical to distinguish independent
metal health disorders from substance-induced disorders that will improve with abstinence.
1. Community-Based OutreachCommunity-based outreach services approach and engage with people who use drugs (PWUD) in theircommunity in an unconditional way. Outreach specifically targets PWUDs who, because of the unavailability,
inaccessibility or unacceptability of existing services are not currently receiving treatment. This treatment
modality aims to identify affected populations, engage them, provide community-based care including for the
reduction of the negative health and social consequences of drug use and dependence, and link people tooutpatient and inpatient health and social services according to their needs.

https://sustainabledevelopment.un.org/SDG3
The Standards are available for download at https://www.unodc.org/documents/commissions/CND/CND_Sessions/CND_
59/ECN72016_CRP4_V1601463.pdf
9

10

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RESOURCE MATERIAL SERIES No. 107

Outreach depends heavily on community workers; often peer workers, as they are knowledgeable of thelocal communities they serve. They should have adequate basic training in relevant health conditions andhealth and social services available in the community.
2. Screening, Brief Interventions, and Referral to Treatment
Screening, Brief Intervention, and Referral to Treatment (SBIRT) is an evidence-based practice used to
identify, reduce, and prevent drug use disorders and can be applied in different non-specialized contexts.
Health service providers, which are not specialized in the treatment of drug use disorders, can be trained todeliver SBIRT in a rapid and cost-efficient manner that causes minimal interference with the provision ofother services (WHO, 2012). For people who screen positive for drug use, a brief intervention carried out in a
non-judgmental and motivational style can be effective in altering the trajectory of people at risk ofdeveloping drug use disorders or experiencing other severe negative complications related to their drug use.
Screening may also identify a smaller subset of persons with already more significant, chronic or complex
substance use problems who will require a more extensive assessment and referral for specialized drug use
disorder treatment.
3. Short-Term In-Patient Treatment
The short-term inpatient treatment setting is ideal for persons likely to experience a severe withdrawal
syndrome following cessation of drug use, and for people whose current drug use is causing a significant riskof harm and who might only have limited social support. Short-term inpatient treatment typically takes placein an environment in which 24-hour care is available to manage the symptoms and complications likely tooccur following the cessation of drug use (management of withdrawal) or acute symptoms related to othercomorbid disorders.
There are established withdrawal protocols usually employing pharmacotherapy combined with rest,
nutrition and motivational counselling. Staff should be knowledgeable about withdrawal and able to prescribe
effective medication. They should also be prepared to offer psychological support to motivate the patient tomove past the withdrawal phase. Detoxification alone cannot be considered an effective treatment response
as the risk of relapse is high following detoxification and the risk of overdose due to decreased tolerance
increases significantly after discharge. An effective follow-up treatment plan should therefore include
strategies for patients to successfully transition to the next level of care and maximize the chances tomaintain medical and psychological health.
4. Outpatient Treatment
Outpatient treatment requires persons with drug use disorders to visit the treatment facility only fortreatment interventions. It is intended to help patients stop or reduce drug use; to minimize medical,
psychiatric and social problems associated with drug use; to reduce the risk of relapse; and improve general
well-being as part of a long-term recovery process. Its components vary considerably in terms of the level ofintensity and the interventions offered, but is nonetheless usually performed in health and social services
specializing in the treatment of substance use disorders, or within the broader context of community mental
health services. The range of treatment offered in the outpatient setting include psychological andpharmacological interventions, and social support. Treatment objectives can be best accomplished by using a
combination of evidence-based pharmacological and psychosocial interventions. Ideally, outpatient treatment
programmes for drug use disorders offer a comprehensive range of services to manage various problems
affecting patients across several life domains. Routine cooperation with allied care services is essential andshould include integration of outpatient treatment with medical services for HIV, viral hepatitis, TB andsexually transmitted infections. Routine cooperation with social support and other agencies, including
education, employment, welfare, housing, or legal assistance should also be present. Outpatient treatment andcare services can help patients in establishing a level of stability and resources in their lives that makes it
easier to follow a course of ambulatory health interventions.
5. Long‒Term Residential Treatment
Long‒term residential treatment can take place in a hospital environment, typically a psychiatric hospital,
or for example in a therapeutic community. Although traditional models of long-term residential treatment
include only psychosocial treatment methods, modern approaches may involve the use of medications todecrease drug cravings and manage comorbid psychiatric symptoms. The primary focus of treatment is onlearning skills to control cravings and on developing new interpersonal skills, personal accountability,
6170TH INTERNATIONAL TRAINING COURSE
VISITING EXPERTSʼ PAPERS

responsibility, and improving self-esteem. Additionally, the structured activities and the rules of theresidential programme help patients develop better impulse control and delay gratification while learning
skills to deal with frustration and to cope with stress. Comprehensive services including vocational skills andemployment training may also be provided in the residential setting.
Patients who are unlikely to maintain abstinence outside of a structured environment or to participate inhealth and social integration are most likely to benefit the most from long-term residential treatment. Staying
long-term in a residential setting allows patients to take a break from the chaotic and stressful environmentthat might have contributed to their drug use. At the end of a long-term residential treatment programme
the transition to the community must be carefully planned and supported. The duration of treatment
necessary to consolidate and internalize behavioural change and prepare to live a drug-free life varies foreach resident; however residents who stay at least 3 months in treatment usually have better outcomes.
Residential treatment which intends to promote therapeutic change must be distinguished from supported
accommodation that primarily functions as a housing intervention that is not providing active treatment.
6. Sustained Recovery Management
Post-discharge relapse and eventual re-admission in treatment are very common; sustainable recovery,
however, is possible, and up to 40% of persons with DUDs achieve it. Recovery management describes a longterm recovery-oriented model that follows the stabilization of abstinence achieved during outpatient orresidential treatment. The primary goal of recovery management is to maintain benefits obtained in earlier
treatment: it focuses on reducing the risk of relapse to drug use by comprehensively supporting social
functioning, well-being, and social reintegration.
Ideally, both long-term residential and intensive outpatient care should be followed by a step down to aless intensive level of care that continues long-term. Recovery-oriented continuing care is an approach tolong-term management of patients within the network of community-based supports and services. Instead ofa discharge process, in recognition of the chronic and relapsing nature of this complex disorder, there is poststabilization monitoring, recovery education, recovery and coaching, active linkage to communities ofrecovery, recovery community resource development, and early re-intervention when needed. Given thechronic and relapsing nature of drug use disorders, recovery management approaches include long-term
pharmacological, psychosocial, and environmental interventions targeted at maintaining reductions in
substance use and contact with the criminal justice system as well as maintained improvements in physicaland mental health, and social functioning.
C. Treatment Systems
An effective national system for the treatment of drug use disorders requires a coordinated and7

RESOURCE MATERIAL SERIES No. 107

integrated response of many actors to implement policies and interventions based on scientific evidence inmultiple settings and targeting different groups at different stages with regard to the severity of their druguse disorders. The public health system is best placed to take the lead in the provision of effective treatment
services for people affected by drug use disorders, often in close coordination with social care services andother community services. Case management is a strategy to support patients in accessing various services
offered in a network of community-based health and social services. Treatment services should be available,
accessible, affordable, evidence-based, and diversified. When developing a comprehensive treatment systemthat wisely allocates available resources and responds best to patientʼs needs, the key public health principle
to apply is offering the least invasive intervention possible with the highest level of effectiveness and thelowest cost possible. Investments of public funds should therefore be made according to the frequency oftreatment services needed as shown in the service organization pyramid.

IV. FIELD TESTING AND IMPLEMENTATION OF THE STANDARDSFollowing the launch of the Standards and their wide policy level acknowledgement, a process of fieldtesting was initiated in the framework of the UNODC/WHO Programme on Drug Dependence Treatment
and Care to assess further the comprehensiveness, appropriateness, feasibility, utility and evaluation
capability of the Standards in different contexts. Data so far were formally collected from 9 countries,
involving about 1,000 survey respondents, results from more than 30 focus groups, 40 expert reviews and 30
site visits. Data analysis has begun, and a comprehensive field testing report will accompany the future
dissemination of the Standards. In parallel, the Standards have already been applied by countries in thedevelopment of national level quality assurance mechanisms for drug-use-disorder treatment services.
Quality Assurance Tools for Drug Treatment Services and Systems were developed and piloted by UNODC tofurther support UN Member States in the operationalization and putting the Standards into practice.

8

TREATMENT AND CARE FOR PEOPLE WITH DRUG USE
DISORDERS IN CONTACT WITH THE CRIMINAL JUSTICESYSTEM: ALTERNATIVES TO CONVICTION OR PUNISHMENT
Anja Busse＊

I. INTRODUCTION
This article is based on the publication “Treatment and care of people with drug use disorders in contact
with the criminal justice system: Alternatives to conviction or punishment1” (UNODC/WHO, 2018).
In response to resolution 58/5 of the Commission on Narcotic Drugs (CND) entitled “Supporting thecollaboration of the public health and justice authorities in pursuing alternative measure to conviction orpunishment for appropriate drug related offences of a minor nature”, The United Nations Office on Drugs andCrime (UNODC) and the World Health Organization (WHO) have jointly launched an initiative on treatment
and care for people with drug use disorders in contact with the criminal justice system as alternatives toconviction or punishment. The Commission on Narcotic Drugs had invited UNODC ̶ in consultation withMember States and, as appropriate, other relevant international and regional organizations ̶ to “provide
guidelines or tools on the collaboration of justice and health authorities on alternative measures to conviction
or punishment for appropriate drug-related offences of a minor nature”2.
Strengthening prevention and treatment for people with drug use disorders is an essential demand
reduction strategy of significant public health importance and a cornerstone of the 2016 United Nations
General Assembly Special Session on the World Drug Problem (UNGASS) outcome document3. The
UNODC/WHO initiative on treatment and care for people in contact with the criminal justice system
contributes to the achievement of Sustainable Development Goal (SDGs) 34 targeting goal 3.5 which states,“Strengthen the prevention and treatment of substance abuse, including narcotic drug abuse and harmful useof alcohol” and SDG 165 targeting especially goal 16. 3 “Promote the rule of law at the national andinternational levels and ensure equal access to justice for all” and 16.6 “Develop effective, accountable andtransparent institutions at all levels”.
The United Nations Office on Drugs and Crime (UNODC) and the World Health Organization (WHO),
launched the initiative “Treatment and Care of People with Drug Use Disorders in Contact with the Criminal
Justice System: Alternatives to Conviction or Punishment” at the 59th session of the Commission on Narcotic
Drugs in 2016. The initiative aims to enhance the knowledge, understanding, scope and potential foralternative measures to conviction or punishment. In line with the international drug control conventions6and other relevant international instruments, including human rights treaties and UN standards and norms in
Ms. Anja Busse is Programme Officer at the Prevention, Treatment and Rehabilitation Section at the United Nations Office on
Drugs and Crime. She can be contacted at anja.busse@un.org. The information and views set out in this article are those of theauthor(s) and do not necessarily reflect the official opinion of the UNODC.
1
United Nations Office on Drugs and Crime, UNODC, and World Health Organization, WHO, “Treatment and Care of People
with Drug Use Disorders in contact with the Criminal Justice System: Alternatives to Conviction or Punishment”, 2018 http://www.unodc.org/documents/UNODC_WHO_Alternatives_to_Conviction_or_Punishment_2018.pdf
2
Resolution 58/5 Supporting the collaboration of public health and justice authorities in pursuing alternative measures toconviction or punishment for appropriate drug related offences of a minor nature.
3
UNODC 2016: Outcome Document of the 2016 United Nations General Assembly Special Session on the World Drug Problem.
Our Joint Commitment to effectively addressing and countering the World Drug Problem. https: //www. unodc.
org/documents/postungass2016/outcome/V1603301-E.pdf
4
United Nations Sustainable Development Knowledge Platform, SDG Goal 3 “Ensure healthy lives and promote well-being for
all at all ages” https://sustainabledevelopment.un.org/sdg3
5
United Nations Sustainable Development Knowledge Platform, SDG Goal 16 “Promote peaceful and inclusive societies forsustainable development, provide access to justice for all and build effective, accountable and inclusive institutions at all levels”
https://sustainabledevelopment.un.org/sdg16＊

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RESOURCE MATERIAL SERIES No. 107

crime prevention and criminal justice7, options to divert people with drug use disorders who are in contact
with the criminal justice system to treatment are being explored.
In the framework of the initiative on treatment as an alternative to conviction or punishment UNODC and
WHO further aim to provide relevant information to policymakers about the rationale and the existence of avariety of practices in line with the international drug control conventions to provide treatment and care forpeople with drug use disorders who come into contact with the criminal justice system. It has been provenuseful to support criminal justice actorsʼ understanding of how treatment of drug use disorders works and fortreatment providers to better understand how the criminal justice system works to enhance synergies
through mutual exchange and support. Opportunities can be considered at various levels to bring drug use
disorder treatment and criminal justice systems into better alignment and to help policymakers andprofessionals from both sectors understand the multiple possible perspectives of their cooperation.
With these goals in mind, UNODC and WHO jointly developed the publication “Treatment and care ofpeople with drug use disorders in contact with the criminal justice system: Alternatives to conviction orpunishment8” (UNODC/WHO, 2018) which was launched at the 61st Commission on Narcotic Drugs as anadvance copy.

II. GLOBAL SITUATION WITH REGARD TO DRUG USE DISORDERS ANDIMPRISONMENTThe UNODC World Drug Report9 reports that around 275 million people worldwide (or 5.6% of the global
population aged between 15-64 years) used drugs at least once during the year 2016. Around 31 million people
who use drugs suffer from severe drug use disorders. However, in the year 2016, only 1 in every 6 people of
the worldʼs population suffering from drug use disorders received treatment and this ratio has beenremaining constant in recent years10. Cannabis is the most commonly used drug, followed by opioids andamphetamines and prescription stimulants, then followed by ecstasy, opiates and cocaine11. People Who InjectDrugs (PWID) account for 10.6 million globally and they often experience severe additional adverse healthconsequences such as hepatitis C and HIV as a result of sharing contaminated needles12. The World HealthOrganization (WHO) reported that in 2015 around 450,000 people died due to substance use, of which 167,750
deaths resulted from substance use disorders especially due to opioid use13.
Prison populations worldwide are increasing and placing a financial burden on countries. In October 2015
it was estimated that more than 10.3 million prisoners, which included sentenced and pre-trial prisoners, were
held in penal institutions around the world14. Since the start of the 21st century the total world prison
population has increased by almost 20%. Since the year 2000, the female prison population total has increased
by 53%, while the equivalent figure for the male prison population is 19.6%15.
The three International Drug Control Conventions are the Single Convention on Narcotic Drugs of 1961 as amended by the1972 Protocol, the Convention on Psychotropic Substances of 1971, and the United Nations Convention against Illicit Traffic in
Narcotic Drugs and Psychotropic Substances of 1988.
7
These instruments will be mentioned throughout this publication and include for example the International Covenant on
Economic, Social and Cultural Rights, the International Covenant on Civil and Political Rights, the United Nations Standard
Minimum Rules for Non-custodial Measures and the United Nations Rules for the Treatment of Women Prisoners and Noncustodial Measures for Women Offenders. For compilations of relevant instruments, see OHCHR, The Core International
Human Rights Treaties (2014) and UNODC, Compendium of United Nations Standards and Norms in Crime Prevention andCriminal Justice (2016).
8
United Nations Office on Drugs and Crime, UNODC, and World Health Organization, WHO, “Treatment and Care of People
with Drug Use Disorders in contact with the Criminal Justice System: Alternatives to Conviction or Punishment”, 2018 http://www.unodc.org/documents/UNODC_WHO_Alternatives_to_Conviction_or_Punishment_2018.pdf
9United Nations Office on Drugs and Crime, “Executive summary: Conclusion and Policy implications”, The World Drug Report
2018, Booklet 1, pg. 7 https://www.unodc.org/wdr2018/10
Ibid., pg. 16
11
Ibid., pg. 7. Number of past-year users in 2016: 192 million people used cannabis; 34 million people used opioids; 34 million
people used amphetamines and prescription stimulants; 21 million used ecstasy; 19 million used opiates; 18 million used cocaine.
12
Ibid, pg. 7
13
Ibid., pg. 1
14World Prison Population List, Eleventh Edition, International Centre for Prison Studies http: //www. prisonstudies.
org/sites/default/files/resources/downloads/world_prison_population_list_11th_edition_0.pdf
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Those who suffer from severe substance use disorders are relatively insensitive to the threat of criminal
sanctions due to the compulsive nature of their disease. Drug use including injecting drug use is widely
prevalent in prisons. Within a prison population, people with drug use disorders usually make up a higher
proportion than in the general population. Associated with the closed living settings and other related
conditions such as overcrowding and limited access to health services, prisoners are at a much higher risk ofbeing affected by diseases (2 to 10 times higher) such as tuberculosis, HIV and hepatitis C than the general
population. Unsafe practices of sharing needles and syringes amongst prisoners increases the risk of these
infectious diseases16.
People with drug use disorders in prison settings often have limited or lack access to treatment services,and the available treatment programmes are of a much lower standard that what is being provided to thegeneral population.
People in prison lose their source of income and cannot support their family outside affecting the economic
status and, after release, ex-offenders have little to no opportunities for attaining employment due to theircriminal record, which entraps them in poverty and increases risk of re-imprisonment. Also, prisoners withchildcare responsibilities cannot support their children anymore. This way, imprisonment has an effect not
only on the offender but also on the broader network of their families and communities.
Prisoners often relapse to drug use upon return to the community and especially after times of no or
reduced drug use in prison are exposed to a severe risk of drug (and especially opioid) overdose associatedwith reduced tolerance, which explains a good percentage of mortality in the first two weeks after prison
release17. Offenders are often discharged from prison without health and social support, including limited
knowledge about and inaccessibility of treatment for drug dependence, overdose management and access to
medications such as naloxone and methadone in the community18.
A higher proportion of women than men are in prison for drug related offences. According to the UNODCWorld Drug Report 2018, of the 714,000 female prisoner population, 35% are incarcerated due to drug offenceswhereas of the 9.6 million male prisoner population, only 19% are incarcerated for drug offences19. Of theprison population, females who are incarcerated have lower access than males to health care and treatment
services for substance use disorders, reproductive health needs and other health requirements. Even upon
prison release females receive less support to reintegrate back into their community lifestyle and settings.
They are often faced with worse stigma and discrimination by their community compared to their malecounterparts and therefore face more challenges in regard to accessing health care and social services in thecommunity20.

III. DRUG USE DISORDER TREATMENT AS AN ALTERNATIVE TOCONVICTION OR PUNISHMENTAs the negative consequences of incarceration may affect and worsen the health and social situation ofpeople with substance use disorders and their families21 even more, prison needs to be considered as ameasure of last resort including for this vulnerable population and other alternatives in line with theinternational22 drug control conventions and other relevant international and legal instruments should be
explored first in combination with adequate access to effective services for the comprehensive treatment of
http://www.prisonstudies.org/sites/default/files/resources/downloads/wfil_2nd_edition.pdf
United Nations Office on Drugs and Crime, “Global Overview of Drug Demand and Supply”, The World Drug Report 2018,
Booklet 2, pg. 20 https://www.unodc.org/wdr2018/
17
Ibid.
18
Ibid.
19
Roy Walmsley, “World prison population list”, 11th ed. (Institute for Criminal Policy Research, 2016) and Roy Walmsley,“World female imprisonment list”, 4th ed. (Institute for Criminal Policy Research, 2017). Share of prisoners for drug offences
based on 50 Member States (UNODC, Special data collections on persons held in prisons (2010-2014), United Nations Surveys on
Crime Trends and the Operations of Criminal Justice Systems (UN-CTS).
20
United Nations Office on Drugs and Crime, “Executive summary: Conclusion and Policy implications”, The World Drug
Report 2018, Booklet 1, pg. 21 https://www.unodc.org/wdr2018/21
United Nations Office on Drugs and Crime, “Global overview of Drug Demand and Supply”, The World Drug Report 2018,
Booklet 2, pg. 20 https://www.unodc.org/wdr2018/
15
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drug use disorders such as outlined in the “International Standards for the Treatment of Drug Use Disorders23”(UNODC/WHO, 2016).
Many people who use drugs and who suffer from drug use disorders come in contact with the criminal
justice system. They could be involved in various types of drug crimes which include possession, purchase,
cultivation, supply of illicit substances and other kinds of offences such as robbery, theft, assault, and so on.
Sometimes the following types of offence categories are being considered24: Psychopharmacological offences
are driven by the influence of drugs often resulting in violent behaviour and violent property offences;
Economic-compulsive offences are property offences committed for financial drug use which is related toillicit use of controlled drugs and the fear of experiencing withdrawal symptoms by a discontinuation of drug
use and often related to homelessness and social exclusion; Systemic offences are related to negativeinteractions of the illicit drug market with the actions of supply and demand. The nature of the offence is,however, not the only factor to be considered when deciding on the use of alternatives to conviction orpunishment.
The United Nations and Member States have adopted international normative instruments that include
treaties, conventions, resolutions, and declarations that set forth international standards and norms that
address several issues ranging from drug control and human rights to treatment of criminals. Althoughpunishments (or alternatives to conviction or punishment) within a country are decided within the bounds of
the UN Member States, international instruments create exceptions such as by prohibiting inhuman ordegrading forms of punishment and encouraging the use of alternatives to conviction or punishment for
criminal offences. Mitigating imprisonment by incorporating alternative measures within a countryʼs legal
system and rationalizing criminal justice policies by observing the human rights, social justice andrehabilitation needs of the offender are all to be expected to be followed by the UN Member States.
Implementing the international legal framework enables treatment and care as alternatives for offenders
with drug use disorders who come into contact with the criminal justice.
In line with the international drug control conventions, treatment, education or social reintegration can beapplied as alternative measures to conviction or punishment in cases of offences related to personal
consumption of drugs25 or offences of drug trafficking and related conduct in cases of a minor nature26. In
addition, there are other offences, for which there is no specification under the international drug control
conventions, such as non-violent property crimes, for which treatment and care can be applied as alternatives
to imprisonment for people with drug use disorders, as appropriate cases, as stipulated in national legislation.
The Tokyo Rules27 and other international standards and norms require decision makers to also focus on thesocial and health background of the offender and his or her rehabilitative needs, so as to avoid unnecessary
use of imprisonment and maximize opportunities for treatment and social rehabilitation.
Effective alternatives to conviction or punishment can mitigate reoffending and thereby can contribute to
reduce the size of the prison population while positively influencing public safety and public health.
Community service instead of imprisonment and non-custodial community programme studies conducted in
the Netherlands28 and Florida, USA29 for example, respectively have shown that offenders are significantly
less likely to reoffend than those who were sentenced to prison.

United Nations Standard Minimum Rules for Non-custodial Measures (Tokyo Rules); United Nations Rules for the Treatment
of Women Prisoners and Non-custodial Measures for Women Offenders (Bangkok Rules)
23
United Nations Office on Drugs and Crime, UNODC, International Standards for the Treatment of Drug Use Disorders,March 2016, http://www.unodc.org/documents/International_Standards_2016_for_CND.pdf http://www.unodc.org/documents/International_Standards_2016_for_CND.pdf
24Goldstein, P.J. The drugs/violence nexus: A Tripartite conceptual framework. Journal of Drug Issues, 1985, 15, 493-506.
25
See article 3, paragraph 2 and subparagraph 4(d) of the 1988 Convention
26
See article 3, subparagraph 1 and subparagraph 4(c) of the 1988 convention
27
United Nations Standard Minimum Rules for Non-custodial Measures (Tokyo Rules), http://www.un.org/documents/ga/res/
45/a45r110.htm
28
Wermink H.T., Blokland A.A.J., Nieuwbeerta P., Nagin D. & Tollenaar N. (2010), Comparing the effects of community service
and short-term imprisonment on recidivism: A matched samples approach, Journal of Experimental Criminology 6(3): 325-349.
29
William D Bales and Alex R Piquero “Assessing the impact of imprisonment on recidivism” Journal of Experimental
Criminology March 2012, Volume 8, Issue 1, pages 71-101.
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There are seven principles outlined by UNODC and WHO (2018)30 that were adapted from various
components of the international legal framework concerning the treatment of persons with drug use
disorders in contact with the criminal justice system:
1. Drug use disorders are a public concern requiring responses that are health-centred. Individuals withdrug use disorders should not be punished for their drug use disorder but provided with appropriate
treatment.
2. The use of alternatives to conviction or punishment at all stages of the criminal justice system foroffenders with drug use disorders based on an assessment of established criteria should be encouraged.
3. Proportionality is required during all stages of the diversion and supervision process.
4. A diversion to treatment should be made with the informed consent of the offender.
5. The implementation of alternatives to conviction or punishment should respect legal and procedural
safeguards.
6. Specific attention to special groups and their access to treatment as an alternative to conviction orpunishment is required to avoid discrimination.
7. Prisoners with drug use disorders may not be deprived of their right to health and are entitled to thesame level of treatment as the general population.
The development and implementation of drug treatment and care as alternatives needs to take into
account every countryʼs individual legal system and tradition, particularly the process, timeframe and therole of judicial actors. Common challenges also exist such as different perspectives of the health and justicesectors. For example, issues such as when non-compliant conduct of an offender with substance use disorder
who has relapsed would be treated with punitive sanctions from a criminal justice perspective whereas atreatment professional would view it as a disorder requiring a treatment response. Another issue is who
decides the appropriate responses to offences. Typically, the justice system should not make treatment
decisions and treatment professionals should not make justice system decisions. However, when a personwith a substance use disorder comes into contact with the justice system, the perspectives from the view ofthe health and justice sectors should be coordinated appropriately to provide treatment and care services as
an alternative for offenders.
Treatment and care interventions can effectively mitigate drug related harm and manage harmful use ofdrugs as well as drug dependence. Such measures can be applied as well for people in contact with thecriminal justice system. The UNODC-WHO International Standards for the Treatment of Drug Use
Disorders31 explain in depth a range of treatment options which involves various pharmacological andpsychosocial interventions in in- and outpatient settings for treating harmful drug use and dependence. Thereis, though, a high likelihood that people with contact with the justice system due to drug related offences uponentry are not provided with the adequate treatment.
The criminal justice system should interact with the offender and provide opportunities for him/her tohave access to drug treatment if needed. In this regard, offenders need to be initially screened and assessed
to determine their health and social conditions and needs to offer adequate services. Non-specialist, trained
staff could conduct the initial screening, which comprises a brief process to determine indicators for whether
there is a specific condition present where the individual would need treatment and if a thorough assessment
is required. A trained health professional should conduct the assessment process since it requires acomprehensive medical and psychosocial evaluation that considers the patientʼs medical history, presence ofchronic or infectious diseases such as HIV, tuberculosis, hepatitis, etc. When the presence of harmful
UNODC/WHO (2016). Treatment and care of people with drug use disorders in contact with the criminal justice system:
Alternatives to conviction or punishment.
31
United Nations Office on Drugs and Crime, UNODC, “International Standards for the Treatment of Drug Use Disorders”,
March 2016 http://www.unodc.org/documents/International_Standards_2016_for_CND.pdf
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substance use or dependence is confirmed and once the individual shows willingness to participate intreatment interventions, arrangements could be made to initiate the treatment process involving healthexperts and criminal justice authorities as required. The treatment plan should be detailed, and thetreatments administered should be based solely on their health conditions and not on their alleged offences
during the assessment stage. If the assessment identifies the patient as being drug dependent, further drug
dependence treatment is required and should be provided where the services will be tailored to the specificissues of the patientʼ s condition. In case the treatment methods do not result in the desired outcome, aprocess should be undertaken to consider other alternative treatment options that would better suit thehealth of the offender with substance use disorder.
Implementing a system of treatment for substance use disorder as an alternative to conviction orpunishment would have to consider the diversity of each countryʼs individual legal system, policy priorities interms of drug offences, the resources at disposal and cultural aspects. Therefore, the treatments areadministered and adapted to the country in which they operate32. The availability, accessibility andeffectiveness of drug use disorder treatment services in a country is a key factor in implementing treatment
as an alternative to conviction or punishment successfully. Treatment options have been implemented invarious stages of the criminal justice proceedings ranging from pre-trial, trial/court to post sentencing33.
Diversion options incorporated in the administrative responses should be contemplated before thediversion options within the criminal justice system are addressed since they are a formal response to drug
offences. Treatment referrals for drug offenders at the pre-trial stage could avoid unnecessary involvementin the criminal justice system. For more serious cases, at the sentencing stage, the sentence could besuspended while the defendant undergoes treatment with judicial supervision. A prisoner could choose toparticipate in a treatment programme as a condition of early release at the post sentencing stage through acomprehensive assessment to create a treatment plan after release.
Many countries incarcerate people with harsh punitive measures for minor violations of the law such as
for example possessing small quantities of drugs for personal use. Such breaches of the law could instead behandled with administrative sanctions involving diversion to treatment such as brief motivational treatment,
short-term treatment and relapse prevention classes. Non-criminal justice responses could also be anotherdiversion from incarceration, for example, in 2001, Portugal removed criminal penalties for low-level
possession of all types of controlled drugs and categorized them as administrative violations under Law
30/2000.
The pre-trial stage within the criminal justice system is the point where criminal justice actors such as thepolice and prosecuting authorities, who act as the first responders to offenders with substance use disorders,
could use the opportunity to divert offenders to treatment. Therefore, criminal justice actors should be wellinformed with clear instructions and guidelines34 about drug use disorders afflicting the offenders and how tolead them to treatment. In some jurisdictions the prosecutor can direct people to treatment at the pre-trial
stage, while in other countries the police already have some authority for pre-trial diversions. Alternatives toarrest or prosecution at this stage include conditional cautions in conjunction with a referral to treatment,
prosecution suspension on condition that the offender completes treatment, and conditional bail throughparticipation in treatment. If an offender decides to quit during treatment, the prosecutor may reimpose
criminal charges and prosecute the case.
Most often alternatives to conviction or punishment are present at the sentencing stage. The offendershould fully comprehend the consequences of non-compliance with the alternative conditions set by the court
and the judicial actors must ensure that the set conditions are met appropriately and that the rehabilitativeneeds of the offender are taken into account. Courts around the world generally could offer diversion options
Inter-American Drug Abuse Control Commission (OAS/CICAD), Technical Report on alternatives to incarceration for drugrelated offences, 201533
For a more comprehensive overview of alternatives to conviction or punishment it is made reference to other documents
such as EMCDDA best practice portal, European Commissionʼ s study on alternatives to coercive sanctions (2016) or
OAS/CICADʼs technical report (2015)34
United Nations Office on Drugs and Crime, UNODC, Handbook of basic principles and promising practices on alternatives toimprisonment.
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Table 1: The table above outlines the key interventions and diversion programmes which are possible at eachstage of the criminal justice system starting from the arrest of the drug offender to incarceration
until release from prison that have been set forth by the UN Member Statesthat will need to rely on specialized drug use disorder treatment services in the community. A clinicalassessment should be conducted to determine the type and intensity of the treatment35 A key challenge at
the sentencing stage is for the court to obtain information and expertise regarding the health issues and therehabilitative needs of the offender, which need to be considered in sentencing decisions along with otherconsiderations (seriousness of the offence, protection of society, victimsʼ rights). Depending on the jurisdiction,
this can be achieved through various means, including social inquiry reports, expert witnesses, or as part ofspecialized courts and proceedings.
In some countries the establishment of special courts/dockets has proven to be an effective diversion
strategy. As an example, the Drug Treatment Court (DTC) is one such special court in Florida, USA which
has been adapted to the situation of several UN Member States. The system organization and everythingentailed between the criminal justice actors and health professional are all considered. This type of court
system includes rehabilitative goals, the judgeʼs active role, collaboration between defence and prosecution in
non-adversarial systems36. There are various treatment interventions conducted in DTCs with regular follow
up hearings which monitor compliance and advocate pro-social behaviour. Drug treatment courts are themost cost-effective when they deal with higher-risk and higher-need offenders37.
An offender at the post-sentencing stage could be diverted to treatment if serving a conditional
supervised release. Extreme caution and care and the continuity of services should be available to offenders
such as conducting comprehensive assessments, developing treatment plans, recovery management(involving relapse prevention, employment and housing aid) and other means support to ensure social
United Nations Office on Drugs and Crime, UNODC, Handbook on Strategies to Reduce Overcrowding in Prisons, 2013, p. 108.
Vîlcică, E.R., Belenko, S., Hiller, M., & Taxman, F. (2010). Exporting court innovation from the United States to continental
Europe: Compatibility between the drug court model and the inquisitorial justice system. International Journal of Comparativeand Applied Criminal Justice, 34, 139-172.
37
NADCP, Douglas B. Marlowe, Research Update on Adult Drug Courts, December 2010; http: //www. nadcp. org/sites/
default/files/nadcp/Research%20Update%20on%20Adult%20Drug%20Courts%20-%20NADCP_1.pdf
35
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reintegration38. Supervision and case management should be followed to ensure an individualʼs compliancearound the time of prison release which could be deterred by factors such as lack of housing, transportation,and negative peer relationships. The time period around prison release is a critical stage for the offendersince the stress, possibly associated with return to the community, may result in increased risks for relapse
and recidivism to drug use39. The first two weeks after prison are highly associated with the risk of death bydrug overdose mainly related to opioid use disorders.

IV. CONCLUSION
Treatment of drug use disorders as an alternative to conviction or punishment is an opportunity foreseenby the International Drug Control Conventions for eligible offences of a minor nature. Implementation at
national level needs to take into account a countryʼ s legal system requirements and treatment system
conditions. The key principles formulated by UNODC and WHO (2018), based on existing international
standards and scientific evidence, should be considered when implementing diversion to treatment for people
with drug use disorders in contact with criminal justice system. Ultimately the decision of whether or not tostart treatment depends on the offender keeping in mind that the justice practitioners assess eligibility fordiversion programmes under the supervision of the justice system, and the health providers assess the
medical condition of the offender providing suitable treatment approaches. Additional studies still need to be
conducted to generate future evidence and provide good practices in terms of what works best regarding theprovision of legal and health systems for treatment as an alternative to conviction or punishment in specificcontexts. In general options for diversion to evidence-based treatment of drug use disorders should beconsidered as early as possible in the justice process for people with drug use disorders.

Rules 107 and 110 of the Nelson Mandela Rules and Rule 47 of the Bangkok Rules.
Leukefeld, C, Oser, CB, Havens, J, et al. Drug Abuse Treatment Beyond Prison Walls. Addiction Science & Clinical Practice.
2009, 5(1): 24-30

38
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IN-PRISON SUBSTANCE MISUSE TREATMENT PRINCIPLES AND
MODALITIES
Sheldon Zhang＊

I. INTRODUCTION
This paper is written with correctional officials in developing countries in mind, specifically officials andprogram administrators who work in prisons or jails with inmates with substance misuse problems. It is
intended for non-academic and non-technical audiences for easy understanding. If anyone cares to read moreor explore specific topics within the literature of substance misuse research and treatment, a bibliography isprovided at the end that provides all the background materials upon which this paper is based.
A. Substance Misuse Is a Global Problem
Substance misuse has been plaguing the Western world for decades, particularly in the United States. The
misuse of illicit substances is now spreading in developing countries. It is a global problem, confronting
particular countries with growing economies. Increased wealth and the increasingly globalized economy havealso brought about unprecedented opportunities for the flow and consumption of illicit substances. So there isno need to be shy about a countryʼs substance misuse problem. We share this common challenge, from theglobal North to the global South.
Response to substance misuse, however, varies by country and more specifically by culture. What is being
presented here represents mostly Western, or more specifically, US experiences. Caution should be
exercised about how the ideas or intervention strategies presented here may or may not suit oneʼs own
country. Suffice it to say, there are no silver bullets or magic pills anywhere in the Western world. One caneasily tell just by the fact that substance misuse is still widespread in the West. With all the claims about
various effective pharmacological or psychosocial treatment approaches over the decades and so muchtreatment evaluation research, the US is now going through a serious opioid misuse crisis. It appears that theillicit drug problem in the US matches to its own drum beat, entirely independent of the accumulated
knowledge of and investment in the intervention efforts. But this doesnʼt mean we should surrender to thissocial problem.
B. The Prison System Is a Critical Front in Dealing with Substance Misuse
Historically, most countries have relied on the justice system as a primary means to respond to substancemisuse in the society. This is because the possession and use of illicit substances is criminalized in mostcountries and many substance misusers also engage in criminal activities that get caught by the police.
Although the criminal justice system is often the default solution to substance misuse, there are both benefits
and drawbacks with this response strategy. On the drawbacks, substance misuse is a complex problem
encompassing a multitude of problems̶physiological, psychological, and social̶none of which have easysolutions. To ask the criminal justice system to take on such a complex social problem may be unrealistic aswell as resource-distracting. The primary role of the justice system is to enforce the law and penalize the law
breakers. Treating substance misuse disorder requires a different mindset and response setup, one thatsometimes does not sync well with the justice system.
On the other hand, many substance misusers wind up in the justice system, being arrested for crimes
related to or caused by their drug problems. Because of the coercive nature of the justice agency, more
specifically the prison system, treatment services can be delivered to the substance misusers more
effectively and efficiently, often with little or no resistance. It will be quite different out in the community

Sheldon Zhang is Professor and Chair of the School of Criminology and Justice Studies at the University of Massachusetts
Lowell.
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where treatment compliance is often the number one challenge for community-based service providers. Highdropout rates frequently plague community-based treatment programs. Research has shown that for justicesystem-involved substance misusers (i.e., drug abusing prisoners), addiction assessment and treatment should
begin during incarceration, and prison-based treatment is most effective when aftercare services are plannedand delivered upon release. Research and evaluation studies on in-prison interventions and community
rehabilitative programs in the U.S. have made much progress in recent years and produced many promisingfindings that can be shared in countries with emerging substance misuse problems.
The prison environment also offers an excellent opportunity to screen and treat substance abusers for
infectious diseases such as HIV/AIDS, hepatitis B and C, and tuberculosis because this is the population that
often lives beyond the reach of public health services. Substance abusers are also known for their lack of carefor personal hygiene, thus making them highly susceptible to communicative diseases. Furthermore, once
inside the prison and living in close quarters with other inmates, these substance abusers can quickly spreadtheir diseases and create a public health headache.

II. GUIDING PRINCIPLES FOR IN-PRISON TREATMENT
There are a few basic principles that all program administrators or prison officials should acquaintthemselves with.
A. The Prison Environment Offers a Great Opportunity to Deliver Treatment Services Because of Its
Restrictive Structure
Most substance misusers are quite open to treatment services while incarcerated. The structured andrestrictive environment inside prison offers an opportunity for treatment staff to assist their clients to think
and reflect upon their personal or physical problems. Many addicted to substances will want to quit using andoften seek treatment services. Once inside the prison, substance misusers will have few choices but to
confront their drug problems. Many must endure and deal with symptoms of withdrawal and adjustment.
Furthermore, research has shown that substance misuse treatment need not be voluntary. Compulsory or
coerced treatment can increase treatment entry and prolong retention. Oftentimes substance misusers do
not voluntarily enter treatment until they enter the prison. Therefore sanctions imposed by justice agencies
or the prison environment can be effective tools to enroll substance misusers and expose them to treatment
options, making recovery possible.
B. Psychedelic Substance Misuse Causes Brain Damage That Has Long-Term Behavioral
Consequences
Research has shown that prolonged use of psychedelic substances causes damage to the brainʼs structureand function, resulting in abnormal/criminal behavioral outcomes. Such brain damage cannot be easily
repaired, which is why substance abusers often go through multiple relapses and drop out of treatment
programs many times. The idea of “curing” addiction through one or two spells of treatment is simply
unrealistic, and treatment outcomes therefore must consider multiple steps and measures that aim for longterm reduction in use and eventual recovery.
C. There Are No Silver Bullets or Simple Solutions, So Expect Relapses, Many Times
Unlike diseases where specific pathogens can be identified as the culprit for certain medical conditions
and specific medications can be applied to all who suffer from the same conditions, substance misuse is a far
more complex problem that can be attributed to multiple factors. The characteristics of the drug users andthe type of substance misused vary from person to person. Treatment needs to take into considerationindividual variations. Although we know a lot about what drugs can do to the brain, which in turn affect oneʼs
thought process and behavior, we know little on how to correct the causal conditions so that the patients canstop using and return to productive functioning.
To make things more complicated, substance misuse is often the manifestation of multiple problems, orcomorbidities, such as medical, psychological, social, and vocational troubles. It is generally agreed that earlyintervention can reduce lasting damage to the brain and improve chances of recovery. Therefore, it is criticalthat substance misusers in prison be identified early, their needs and risk assessed, and treatment provided
promptly. This requires the prison staff to develop and be ready to deliver treatment services. This is a18

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simple concept but oftentimes difficult to implement.
D. Treatment Must Include Risk/Needs Assessment and Adjust Treatment Accordingly
As discussed above, substance misuse is typically prompted by and a reflection of multiple personal,
mental as well as social issues. Moreover, many of these individuals have criminal records, which may or may
not be related to their substance misuse. The type of substance abused, legal prescriptions or illicit
psychedelic drugs or both, and the severity of the misuse can affect how individuals may respond totreatment regimens and their post-release reintegration into the community. Therefore at the earliest
possible time upon their arrival in prison, risk/needs assessment needs to take place to understand the typeof drugs misused, severity, prior criminal behavior and encounters with justice agencies, and prior treatment
histories among other things.
Following the risk/needs assessment, treatment plans can then be drafted for each subject; and theirproblems may require a combination of treatment options, for instance, medication plus counseling or
psychotherapy. Other services inside the prison may also be added to the treatment plan, such as drug
education, peer support groups, or self-help groups.
E. Aftercare Is Critical for In-Prison Treatment Activities
Substance misuse often requires long-term engagement with the treatment community. While the inprison treatment programs can often help inmates succeed to stop using drugs, but to maintain treatment
effects requiresfollow-up reinforcement services. Research has consistently shown that the length of stay intreatment programs is directly related to the overall success. In other words, the longer one stays in atreatment program the more he/she can benefit from the services.
Furthermore, taking the long-term perspective also means that relapses will occur to many of these
inmates, and multiple episodes of treatment thus become a normal part of their recovery process. Because of
the damage to the brain and the challenges in eradicating the personal/social/mental situations that gave riseto their substance abuse in the first place, many justice-involved substance misusers will return to prison andstart in-prison treatment programs again, and again. It is therefore important to recognize substance misuse
as a form of chronic illness that requires not only in-prison treatment but also aftercare programs after
release.
Retention in aftercare is key to treatment success because once outside the prison, these substancemisusers often find ways to leave the treatment program prematurely. Without the prison structure,
alternative strategies or incentives need to be developed to keep these substance misusers in the treatment
program. Any incentives to encourage engagement in treatment must be coupled with continuous
monitoring of the substance misusers, such as through behavioral observations by peer support groups, selfreports, and urine analysis. Knowing one is being monitored can serve as a powerful reminder that one is notalone in this struggle. On the other hand, a return to substance misuse also suggests that oneʼs previous
treatment protocol may need adjustment.

III. PHARMACOLOGICAL TREATMENT APPROACHES
Substance abuse treatment can be divided into two main categories: pharmacological and psychosocial.
Oftentimes medications are used to assist the first stage of addiction treatment because there are many
painful physiological responses to withdrawal. However, medications alone rarely can achieve long-term
abstinence. Thus psychosocial strategies are almost always used in combination depending on the resources
and the agencies providing the treatment services. In other words, pharmacological treatment is often
augmented with psychosocial interventions, based on the assumption that the latter is necessary to foster
long-term recovery.
It should be noted early that in comparison to other aspects of modern medicine, pharmacologicalresearch has been surprisingly limited when it comes to substance misuse. There are multiple reasons for thelack of investment in the research and development of medications to deal with addiction problems, a topic
beyond this presentation. Unlike the multitude of medications available for physical diseases (think about
antibiotics and pain meds), it is quite easy to go through all the medications available for substance use
disorders. Currently there are only a few medications available for opioid, alcohol, and tobacco. For the
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purpose of this presentation, we will only present the few medications for opioid dependency problems
because thus far there is no effective pharmacotherapy for the treatment of stimulant misuse, i.e., cocaine,
methamphetamine, and other amphetamine-type stimulants (ATS).
Pharmacotherapies or medication-based treatment for substance misuse can be divided into two broadfunctional categories. One category of medications is intended to serve as a substitution that can mimic orcreate similar feelings that the illegal drugs do. These medications (actually only two medications) are calledagonists or partial agonists. Essentially this group of drugs can produce some euphoria similar to that ofheroin, enough to reduce opioid cravings thus avoiding physical symptoms associated with withdrawal. These
two drugs are: methadone and buprenorphine. The other group of medications are called antagonists, whichjust like what the name suggests are designed to counter the effects of opioids. Naltrexone, the only drug
used for recovery purposes, blocks opioids from binding to their receptors, thus removing the mechanism forproducing any euphoria and other effects.
Now a few more words on how these medications are administered and their treatment impact. In the US,
methadone and buprenorphine are the only two drugs approved by the FDA for clinical use. Methadone, asynthetic opioid agonist for the purpose of substitution, has been around for decades. It can provide someeuphoria similar to that produced by heroin so to reduce withdrawal symptoms and reduce craving for illicit
opioid drugs. Methadone can also act to block the effects of illicit opioids. It is taken orally on a daily basis.
Because of its potential for abuse and overdose, it is a tightly controlled substance and patients can only
access this treatment on a daily basis at licensed and supervised settings. So one must have access to andmake arrangement in order to stick to this treatment protocol.
Buprenorphine, the second medication, is also a synthetic opioid but only a partial agonist at opioid
receptors. It helps reduce cravings and withdrawal symptoms, but does not produce the euphoria andsedation similar to that induced by heroin or other opioids. Clinically it carries less risk of respiratory
depression or overdose than methadone. Buprenorphine is also taken orally. Because buprenorphine is a safe
medication, it is approved for primary care physicians to prescribe to their patients. Oftentimes
buprenorphine is combined with the antagonist naltrexone, a formulation called Suboxone. A long-acting
formulation of buprenorphine is also available. This is the implant version in the form of small rods that are
implanted under the skin of the upper arm. Once implanted, the medication can release slowly into the bodyfor four to six months.
There are two common opioid antagonists: naltrexone and naloxone. Although both are opioid antagonists,they behave very differently and are used for very different purposes. Naloxone (or Narcan) is a fast acting
but short-term opiod blocker, and used primarily as an antidote to reverse the effects of opioid overdose. It isan emergency medicine that is meant to save lives. Once injected or snorted, naltrexone works immediately.
The person can become coherent quickly and start breathing normally. By acting fact, naloxone also wears
off fast, typically in about 30 minutes and gone in 90 minutes.
Naltrexone on the other hand is a long-lasting opioid blocker. It binds and blocks opioid receptors so thatthe drug user will not feel the effects such as sedation and euphoria of opioids. It has been around for three
decades as an opioid antagonist and is primarily used for recovery purposes. Once a substance misuser goes
through the detoxification phase, naltrexone can be an effective tool in keeping patients off opioids.
Naltrexone can be taken orally as pills and injected. The pill delivery form has a poor record of compliance.
The injection formulation, called Vivitrol, can deliver the effect for up to one month. However, compared toagonists such as buprenorphine, naltrexone has a hard time to be accepted by active drug users.
Naltrexone is most effective when the substance misusers have completed detoxification, which is ideal
for use in prison and in preparation for release. For instance, research has shown that the initiation ofextended release (slow release) injectable naltrexone prior to prison release can significantly reduce relapse
among opioid-dependent inmates. Those who received the extended release (slow release) injectable
naltrexone prior to prison release had a greater number of days in abstinence, and fewer positive urine drug
tests in the 6 months, particularly during the first two weeks following release when they are at high risk foroverdose.

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IV. PSYCHOSOCIAL TREATMENT APPROACHES
Unlike pharmacotherapies, this section presents different versions of “talk” therapies, i.e., throughtechniques of persuasion or convincing to change peopleʼs attitudes and behaviors so that they will remain
abstinent. Collectively called psychosocial strategies, they teach people to acquire new ways of thinking andskills to handle stressful situations that may trigger substance abuse.
Research has shown that overall, psychosocial treatment strategies are effective, particularly when usedin combination with pharmacological interventions. Over the decades, mental health practitioners and theresearch community continue to examine, test, and refine psychosocial intervention programs for criminal
offenders who abuse drugs. Most of these psychosocial interventions are available online in public andacademic websites should anyone be interested in obtaining free materials. We know that criminal offenders
with substance misuse problems present more challenges than their non-criminal peers, which must be taken
into consideration when devising treatment interventions both inside and outside the prison. Drug treatment
programs for prison inmates typically need to incorporate two key ingredients: (1) risk of reoffending, and (2)criminogenic needs.
There are two aspects to the risk factor in every criminal offender with substance misuse problems: (1)the risk of re-offending; and (2) the risk of relapse. For a criminal offender, “risk” is often construed as thelikelihood to re-offend; but this type of risk is often compounded by the offenderʼs likelihood of relapse into
substance misuse. The greater the substance misuse problem the more likely the person is to re-offend
regardless of other criminogenic factors. In the U.S. most criminal offenders are assessed to identify not only
their criminal propensity but also the severity of their substance misuse. Treatment plans in prison ideallyshould take both factors into consideration and match the service needs of the offender. Depending on
inmatesʼ drug use histories and types of drugs abused, some may receive a combination of pharmacologicalinterventions and psychosocial services, while others are only assigned to psychosocial programs such as
education and training programs to acquire coping skills, behavioral modification, counseling, and self-help.
Needs assessment is an extension of risk assessment. It allows for drug treatment programs to achieve
optimal allocation of resources so that the most intensive and costly services are provided to those in greatest
need. There are well known treatment needs that have long been identified by practitioners to address withcriminal offenders, such as criminal thinking, criminal associates, impulsivity, risk taking, limited self-control,
poor problem-solving skills, poor educational and employment skills, and drug and alcohol dependence. Risk
and needs assessment in American correctional institutions is mostly done through the administration ofsome instruments, either developed in house or purchased commercially. Because of the high demand for inprison treatment and other correctional activities (e.g., housing assignment or pre-release planning), risk andneeds assessment has become an industry in the U.S. where private businesses are developing and sellingassessment tools to correctional agencies. Similar to other established psychometric tests, correctional
agencies are typically charged license fees and/or per-use fee†. In California, for instance, there are about
130, 000 offenders in the state prison system, all of whom typically undergo two separate risk/needs
assessments, one at entry and one prior to release. As one can imagine, fees associated with theadministration of the assessment as well as payment to the commercial company can quickly amount to asignificant number. It is therefore important to understand the nature of these commercial risk/needassessment tools, and perhaps explore cheaper or free alternatives. There are free options. Most of themeasures in these risk/needs assessment tools are similar to one another. There are no secrets to what these
items are.
There are many terminologies and variations in treatment modalities including cognitive behavioral
therapy, contingency management, relapse prevention, and treatments combining cognitive behavioral
therapy and contingency management. Three distinct treatment modalities that have the strongest empiricalsupport are presented below.
Like many established psychometric tests, commercial risk & needs assessment instruments for U.S. prison populations, such
as LSI-R and COMPAS, typically involve two types of fees̶an annual license fee (usually a few thousand dollars) and a per-use
fee (usually around $3 per use). For example, details can be found at https://www.gifrinc.com/course/lsi-r/ for fee structures on
LSI-R, probably the most widely recognized risk & needs assessment instrument for justice-involved populations in North
America.
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A. Cognitive Behavioral Therapy
Most common psychosocial interventions are those emphasizing cognitive changes in how people
perceive events or situations and what alternative activities one may use to resolve their predicaments.
Cognitive behavioral therapy (CBT) oriented treatment modalities have probably received the most attention
in evaluation and have in general produced more consistent positive findings than any other psychosocial
approaches. Meta-analysis in other areas of mental health also suggest that CBT performs better than otherpsychosocial treatment practices, such as psychodynamic therapy, psychoeducation, physical exercise andsupportive interventions. There are numerous variants of CBT, such as relapse prevention and dialecticalbehavior therapy. CBT consists of two main components: identify and understand events and situations thatprovoke negative emotive states; and learn alternative coping skills and apply these newly acquired skills towider situations.
CBT starts with “attitude adjustment,” by changing the way criminal offenders think or perceive things.
The philosophy behind CBT assumes that people who abuse drugs usually are aware of their predicaments
but are unable to navigate through lifeʼs challenges (i.e., triggers or drug use cues) without resorting to druginduced solutions. These trigger events or life circumstances can be internal (i.e., negative physical or mental
states such as not feeling well or depressed), interpersonal (i.e., peer pressure or negative social encounters)or situational (i. e., social settings that induce stress or pressure). CBT-oriented treatment activities help
substance misusers to recognize these stress-inducing or high-risk situations, acquire thinking strategies andcoping skills through modeling and practicing. A CBT practitioner often presents multiple scenarios (inaddition to eliciting specific situations from participants) that trigger substance-using behavior, identifies
problematic thoughts and response strategies in the past that led to drug use, then introduces different waysof thinking and problem solving strategies, frequently through role-playing and modeling. CBT participants
will then rehearse and practice these newly acquired thinking skills and behavioral techniques.
B. Contingency Management
Contingency management (CM) focuses on exploiting the principle of operant conditioning, that is,behavior is shaped by its consequences. If positive behaviors are quickly reinforced through incentives, CM
believes that such behaviors will likely repeat themselves. Psychologists have long studied how animal or
human behavior changes in anticipation of anticipated outcomes. By offering alternatives to drug use, people
with substance misuse problems are believed to be able to accept non-drug incentives and avoid relapse. CM
therefore seeks alternatives or behavioral substitutions, mostly through incentives, to encourage or maintain
desired behavioral changes and prevent relapse. Numerous studies have been conducted to examine theefficacy of contingency management and findings are supportive in general.
Under CM procedures, a treatment participant is rewarded with an incentive following a clean drug test,
typically through urinalysis. The incentive is used to reinforce the positive behavior of staying clean and asubstance misuser is believed to maintain his/her abstinence in anticipation of further rewards. There are
two major types of CM procedures. One is the voucher-based reinforcement therapy (VBRT), in which asubstance misuser receives a voucher worthy of a monetary value each time he/she is tested clean.
Consecutive clean tests can increase the value of the voucher. First instance, the first time a clean urinalysis
is worth $1.00. The second test, if found clean, the voucher will be worth $1.50, and the third consecutive clean
test will be worth $2.00. After three clean tests, the program participant will earn a total $4.50. However if the
fourth test turns dirty, the voucher will be worth $1.00, reset to its starting value. The idea is that as thevoucher becomes more valuable with each successive clean test, the program participant will be incentivized
to stay clean, hoping to cash in for a sizable cash award at the end.
Another common CM protocol is the prize-based procedure, where each clean urinalysis is rewarded witha chance to win something from a bowel filled with paper tickets or slips for various prizes. After a program
participant provides a negative drug test, he/she will get to draw a prize from the prize bowel. Oftentimes
the ticket or slip contains nothing more than a few encouraging statements, such as “good job”. The majorityof the slips in the bowel contain low value prizes. However, as the participant turns in consecutive clean urine
samples, he/she is afforded additional chances to draw prizes, thus increasing his/her chances of winning“big” prizes, e.g., a $100 gift card. But a dirty test will reset to only one draw from the bowl.
Meta-analysis research has also confirmed the effectiveness of contingency management in promoting
abstinence. Greater effectiveness tended to occur in studies where there was greater researcher involvement
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and in shorter treatment duration. CM was found to be more effective in treating opiate use and cocaine use,
relative to tobacco and polysubstance abuse. Although the effect seems to disappear over time, CM can beused as an adjunct to other treatments because of its effectiveness in keeping participants in the program.
C. Motivational Interviewing (MI)Motivational interviewing is a counseling style whereby the therapist seeks to help program participants
to explore and resolve their own ambivalence towards drug treatment and rehabilitation. MI-type counselingis non-judgmental and non-confrontational. The counseling style places the participant at the center to takecharge of his/her own life. The client is encouraged to set goals and explore ways to avoid their destructive
lifestyle. As suggested by the name, this type of counseling helps clients find self-motivation to change
behaviors that are not consistent with their goals and objectives. Typically, the therapist uses open-ended
questions to encourage participants to realize their agency.
Often grouped in therapeutic interventions called Motivational Enhancement Therapy (MET), MI
procedures are typically brief and used in conjunction with other behaviorally oriented treatment activities.
MI starts with an assessment of the program participant, then the therapist uses the information to stimulate
discussion and self-motivation. The treatment consists of brief sessions, during which participants make aplan for change and devise strategies to maintain abstinence.
Although some found that MI was only effective in treatment retention not outcomes, other metaanalyses find that MI in general produces significant, albeit low to moderate range of, impacts on outcomes.
Still others found that MI was able to produce significant outcomes that were robust across many
moderators, including feedback (motivational enhancement therapy), delivery time, manualization, delivery
mode (group vs. individual), and ethnicity.
Because MI is brief and manualized, it can be applied in settings where there are few other treatment
resources. There are many free materials online and anyone interested in learning or practicing motivational
interviewing techniques can obtain instructions and manuals at the U.S. government agency (such as NIDA)
websites‡. In fact among the different variants of CBT, contingency management strategies appeared tohave the clearest evidence for its effectiveness, followed by relapse prevention, and motivational
interviewing. However, the effectiveness of contingency management tends to disappear once the incentive
structure is gone. Furthermore, because financial incentives and frequent drug tests are importantcomponents of the protocol, contingency management is often beyond the means of community agencies; andcost-efficient strategies must be developed for contingency management to be implemented on a wider scale.
D. Other Common Psychosocial Interventions
There are of course many more psychosocial interventions than the three briefly described above. A large
number of these treatment modalities are variants of CBT, such as dialectical behavior therapy (DBT) andmoral reconation therapy (MRT). DBT focuses on learning about oneʼs triggers that lead to negative states ofmind and learning to apply different coping skills to break the sequence of events, thoughts, feelings, andbehaviors that cause relapse. DBT assumes that the identification of triggers and effective coping skills can
produce and reinforce desired behavior and prevent relapse. MRT on the other hand was developed
specifically to help criminal offenders to adjust their anti-social thinking. Following conventional CBT
principles, MRT helps ex-offenders through several phases to identify and process events and environmentsthat cause criminogenic stress, acquire and practice alternative behavioral solutions, and apply their new
skills to a wide range of stressors.
One other strategy that has been widely practiced in the U.S. among the substance misuse community iscalled the twelve-step program, which was originally proposed by Alcoholics Anonymous (AA)̶a self-help
style of support groups for alcoholics. There are AA groups practically in all corners of the U. S., where
mentors are helping mentees abstain from drinking. There are also 12 traditions to go along with the 12 stepsof changes that govern behavior of AA members. The 12-step program first emerged in the 1930s and,
although there have been changes over the decades, the essential elements remain. As summarized by the

For instance, numerous instructional and assessment materials about motivational interviewing and motivational
enhancement therapy can be downloaded for free on NIDAʼs website: https://www.drugabuse.gov.
‡

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American Psychological Association, the process involves the following§:







admitting that one cannot control oneʼs alcoholism, substance misuse or compulsion;
recognizing a higher power that can give strength;
examining past errors with the help of a sponsor (experienced member);making amends for these errors;learning to live a new life with a new code of behavior;helping others who suffer from the same alcoholism, substance misuses or compulsions.

Following the examples of AA, other self-help groups among substance misusers of various addictive
behaviors have emerged over the decades, such as Cocaine Anonymous, Gamblers Anonymous. These selfhelp groups are widely available in most American communities. However, evaluation of their effectivenessusing rigorous designs, i.e., randomized controlled trials, is rather limited. While the 12-step philosophy is
widely applied, the actual implementation and treatment procedures are difficult to standardize across.

V. CONCLUSION
Research has shown that treatment for substance misuse disorder is effective, but there is no singularapproach that works the wonder. Most treatment professionals in the West would advocate for acomprehensive approach that starts with risk and needs assessment, and then match treatment services
with identified needs. Because of the nature of the population, post-release monitoring and surveillance arealso important components of the treatment planning. Research has shown that effective treatment programsfor criminal populations tend to have the following characteristics: (1) intensive and behavioral that aim at
taking up most if not all offendersʼ daily schedule and providing positive reinforcement for pro-social behavior;(2) focused on high risk offenders; (3) matching treatment modalities and services with identified needs; and(4) providing pro-social contexts to bridge offenders released from prison to outside law-abiding lifestyles.
Treating prison inmates with substance misuse problems is no easy task. For prison officials and programadministrators, there are two take-home points from this paper.
A. Avoid Reinventing the Wheel
Much literature and clinical procedures have been developed, tested and standardized in the U.S. as wellas in many Western countries. Psychosocial interventions do not contain proprietary ingredients that, if
packaged together, can somehow deliver guaranteed results. There is no need to purchase any commercial
training manuals or packages. Be very suspicious if someone advocates a commercial product or encourages
oneʼs agency to purchase a so-called name brand in the substance misuse treatment field. As demonstrated in
the above review of promising psychosocial interventions for substance misuse, U.S. government agencies on
health services, using tax-payersʼ money, have funded numerous clinical programs with manualized
procedures and treatment principles. These materials are almost always posted online for all to download
free of charge. For instance, NIDAʼs official website contains a wealth of information about CBT that can be
downloaded for free. Similar CBT training manuals can also be found at another U.S. government agency, theNational Institute of Alcohol Abuse and Alcoholism (NIAAA)＊＊.
However, there is no shortage of companies, many of them in the U.S., that are eager to sell or promote
packaged programs for a fee. Many companies also try to get listed on government agency websites as a way
to increase their “legitimacy”. Free manualized treatment protocols (and assessments) can be obtained so thatwell-established psychosocial interventions can be implemented with little or no cost. While it is important todevelop culturally-sensitive programs, the theories underlying the above-mentioned treatment modalities arecommon across all societies, and have been tested and standardized through numerous clinical studies withdifferent social and ethnic groups. More importantly, these psychosocial principles are simple enough forordinary people to master, thus providing cost-effective treatment to peer support groups in places where
For a quick overview and lesson of the the 12-step program, a good source is provided by VandenBos, G. R. (2007). APA
dictionary of psychology, 1st ed. Washington, DC: American Psychological Association.
＊＊
Specific instructions on how to conduct CBT training can be found at NIDAʼs website: https: //archives. drugabuse.
gov/TXManuals/CBT/CBT1.html. Similar CBT training manuals can also be found at NIAAAʼs official website: https://pubs.
niaaa.nih.gov/publications/MATCHSeries3/.
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there are few mental health professionals.
B. Use Rigorous but Inexpensive Evaluation Strategies to Improve Treatment Programs Over Time
Evaluation research should be a standard component in all agencies that provide substance misusetreatment services. Furthermore, psychosocial interventions that are often culturally responsive tend to vary
somewhat from place to place. Once a psychosocial intervention takes on a local flavor, it should be evaluated
so that incremental improvements can be made. By rigorous, we do not mean expensive. In fact, conventionalrandomized controlled trials (RCTs) are probably the least expensive evaluation design with the simplest
statistical procedures to prove a point. There is no need for fancy statistics, simulations, or struggles withmatching subjects or controlling for covariates. To the medical world, RCTs are the most basic design toprove the efficacy of a treatment protocol. Social sciences are catching up. Many treatment topics can bebrought into evaluation: single vs. group counseling, single sessions vs. multiple session interventions,strategies to improve retention, or days in maintaining abstinence. Any adjustments in program design or
treatment activities, as trivial as scheduling preferences or appointment reminders through cell phone texts,
can be evaluated using RCT designs. The key objective of a randomized controlled trial is to create acondition for “objective” or “non-judgmental” comparison, and prevent cherry picking.
Criminal offenders remain arguably the most afflicted segment of the population and receive the least
treatment. For instance, in the U. S., about half of prisoners meet the clinical criteria for a diagnosis ofsubstance use disorders, but only 10% of them receive treatment. Much of the treatment has been thecheapest options, such as mutual support, peer counseling, and drug education. This is because prison
inmates rarely raise much sympathy or public concerns for adequate funding. However, the vast majority ofthese inmates, except for those lifers, will return to the community where their substance misuse problems
will again place the public and themselves in danger of further criminal offenses. It behooves all agencies
inside the criminal justice and social service sectors of the government to pay attention to these substancemisuse offenders because, if untreated, they can cost a lot more money and headaches to the justice system aswell as the community.

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ASSESSMENT OF IN-PRISON DRUG TREATMENT
Sheldon Zhang＊

I. INTRODUCTION
This paper is written with correctional officials in developing countries in mind, specifically management
staff and treatment program administrators who work in prisons or jails with inmates who have substancemisuse problems. It is intended for non-academic and non-technical audiences. However, some prior exposure
to research methods training will be helpful in understanding the materials. If anyone who wants to readmore or explore specific topics within the literature of substance misuse research and treatment, additional
resources can be provided.
A. Evaluation Research†
Evaluation research, in a nutshell, is any systematic assessment to determine if something is of value or
worthwhile. Just like what the word̶“evaluation”̶means, it seeks to attach a value to something, be it an
object, program, person, service, activity, need, policy, or piece of technology. Its goal is to produce knowledge
that can be used immediately, or useful feedback. Evaluation research is not meant to discover generalizableknowledge, but to improve or make better use of something in existence. Also, the word “research” means
systematic endeavors to examine or study, not judgment based on anecdotal stories or some haphazard
personal observations or subjective assessment.
There is nothing mysterious about evaluation research because it uses all the standard research methods
in social science. In the Western world, evaluation research is a booming business and employs many people
who specialize in this field and make a living doing it for various government agencies and community
organizations. This is because we live in a world where governments have to answer to tax payers about how
their money is spent, or foundations or private donors want to account for their investment in social
programs, and philanthropists want to know if their money achieved their intended goals. Such evaluative
questions require researchers to frame their research questions that can put a relative value (not necessarily
in monetary terms) and construct their data collection methods specifically to answer them.
The most fundamental question any evaluation researchers ask about an intervention program (ortreatment services) is: does it work? Yes, this is a very simplistic way to describe evaluation research. And
evaluation research differs from other types of research. It is intended to generate practical and specificknowledge that seeks to enhance decision making regarding a particular program or a particular type ofservices. The end goal is improvement of the program being evaluated over time. One unique feature ofevaluation research is its tendency towards continuous monitoring and assessment, in which programadministrators can provide feedback to guide another round of evaluation, thus making continuous program
improvement possible.
B. Why Bother to Evaluate Your Treatment Program?
Why not? There are two ways to think about treatment evaluation. First, you firmly believe what you aredoing (your services and treatment protocols) is effective and there is no need to waste any resources on
evaluation. In this case, what you are doing is not much different from activities carried out by faith-basedorganizations, whose work does not require empirical verification. There are actually many social service
providers and treatment programs that share such believes. They seek neither validation nor verification for
Sheldon Zhang is Professor and Chair of the School of Criminology and Justice Studies at the University of Massachusetts
Lowell.
†A free online introduction to evaluation research can be found at: http://www.socialresearchmethods.net/kb/evaluation.php;
another general overview paper is at: https://www.ideals.illinois.edu/handle/2142/3666.
＊

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what they do. This is perfectly fine in todayʼs pluralistic society. These organizations are organizing theirsocial services around their belief system.
Second, if policy makers or government administrators appreciate the complexity of human behavior andmaintain a healthy dose of skepticism towards claims made by others, evaluation can be a valuable tool for
program implementation and improvement. These program managers typically want to strengthen thequality of their programs and improve outcomes, or simply have a curious mind that wants to see evidence ofeffectiveness in any particular treatment protocol before making a long-term commitment to resource
allocation.
Evaluation by definition seeks to prove if something is working or how effective a particular treatment
approach works; and if effective, for whom. Substance misuse is a complex social as well as personal problem.
Most treatment approaches work for some but not others, in one context but not in others. Program
evaluation answers basic questions about a programʼ s effectiveness, and evaluation data can be used to
improve program services.
Frankly speaking, evaluation research can be threatening, as it is often mistaken for auditing. Because
evaluation research involves a detailed examination of administrative and financial records to document what
has been done and how much money was spent at what stages. Most people do not like to have their work
inspected. Thatʼs just human nature.
We can have a long conversation about the best ways to plan an evaluation study. It often depends on theorganizational culture and the leadership of an agency. In general, it is important to bring in the stakeholders
early, preferably at the planning stage of any new initiatives or treatment programs. Without the buy-in fromthe organizational leadership and stakeholders, any externally imposed evaluation efforts can be easily stalled
and even sabotaged.
C. How Much Does Evaluation Usually Cost?
As a rule of thumb, the evaluation component should be about 10% of the total program budget. It isdifficult to overemphasize the importance of evaluation, which enables continuous improvement of a program
both in its efficacy and cost-effectiveness. It often costs more when a new program is implemented as
opposed to an on-going evaluation of an existing treatment program. Oftentimes when a new treatment
protocol has a potential for widespread implementation, dedicated funding for evaluation is usually required.
In the US, typically government agencies or large private foundations fund these large-scale evaluation
studies with wide implications. The 10% mentioned here is just for routine on-going program assessment andfeedback for small and incremental improvement.
However, most, if not all, evaluation research literature and researchers themselves will tell you themoney devoted to program evaluation is grossly inadequate, particularly in the criminal justice system. Letʼsjust say most government agencies or program administrators do not think it is necessary to spend themoney. As discussed earlier, treatment program administrators usually believe what they are doing is helpful
and the limited resources should be best devoted to the delivery of services. However, studies time and again
have shown thatʼs not the case. Substance misuse is more than just an addiction disorder. It is supported andenabled by a host of complex social and personal factors, making treatment particularly difficult. For instance,
naltrexone is an effective blocker to opioid receptors and has been around for three decades. How come suchan effective opioid antagonist has not made much dent to the heroin addiction problem in the US or anywhere
else in the world? This is because heroin users will do anything to avoid taking the pill or getting the injection.
They want to feel the euphoria provided by heroin. Adherence to treatment protocol has remained achallenge. The same goes to methadone and buprenorphine. Without psychosocial interventions and othersupport (familial and peer), pharmacotherapies are not that effective.
D. Must an Agency Have Professionally Trained Researchers?
No. Evaluation research can be done by trained government staff or prison management. However, thisshort answer must be contextualized. As long as one has capable research-oriented and well-trained staff, one
does not need to spend much money to hire outside consultants or research team to conduct treatment
evaluation. Further, one can spend some money to set up an evaluation system with key performanceindicators built into routine administration data collection. Routine statistical procedures can also be30

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established so cost for additional data processing can be kept to minimum.
The key is to establish an assessment-oriented data system to enable on-going feedback for the
performance of a treatment program. For large organization with a dedicated research division, this task canbe easily accomplished. For small justice agencies or administrative jurisdictions that operate small prisonsand jails, the best approach is to team up with others of similar sizes and pool together resources to enableevaluation of treatment programs.
E. Prison Settings Have Unique Advantages for Evaluation Research
One of the main challenges for evaluation research on substance misusers is the attrition problem̶study
participants drop out at high rates from the program making the remaining sample biased towards motivatedsubjects. Because of the coercive nature of the prison environment, treatment services can be delivered tothe substance misusers more effectively and efficiently, and the follow-up evaluation can be carried out easily
also. Inside the prison, inmatesʼ movements are monitored and any disciplinary problems are recorded. If any
contraband drugs are suspected of being smuggled into the prison, urine samples can be collected with little
resistance. In general, attrition is typically not a problem for evaluation research inside the prison. What isoften cited is the tension between service provider/evaluator and prison management. Because of different
occupational mandates, prison officials are most concerned about safety and order of the inmates. Lockdowns
due to riots, inmate disruptive behaviors, searches for contraband or removal of inmates to different cells can
all cause disruptions to treatment service delivery and evaluation activities.
Assessment of in-prison treatment programs inevitably needs to extend beyond the prison walls.
Ultimately it is the behavior outside the prison that demonstrates the treatment effects inside the prison. It isquite different out in the community where treatment compliance is often the number one challenge forcommunity-based services. High dropout rates often plague community-based treatment programs. Research
has shown that for justice system-involved substance misusers (i.e., drug abusing prisoners), addiction
assessment and treatment should begin during incarceration, and prison-based treatment is most effective
when aftercare services are followed upon release.
There has been much discussion on how to improve retention both in treatment phase and follow-up
phase for this population, such as the use of familial network and social media as venues to keep in touch withstudy participants. However, study participants may not want to be found if the research team represents
the justice agency, or worse, prison officials. Suffice it to say, much planning is needed once inmates are
released into the community, and the follow-up phase of the evaluation needs to develop multiple strategies inreaching the study participants.

II. EVALUATION DESIGNS
A. Basics in Evaluation Research
Evaluation research can be divided into two broad categories: process evaluation and outcome evaluation.
Process evaluation focuses on the implementation and operation of a treatment program. Outcome evaluation
focuses on the impact of a treatment program. There are ways to further divide evaluation research into
different specialty areas. For instance, cost-benefit analysis is also commonly associated with outcome
evaluation so that we not only look at the impact of a treatment protocol but also whether it is cost effective.
A treatment can be effective in bringing about the anticipated reduction on substance misuse, but if it is too
expensive, it will be difficult for wide implementation. Furthermore, before an evaluation begins, theresearcher typically also examines whether a program is ready for evaluation. This is called evaluability
assessment. Evaluability refers to the state of a program that has completed (or nearly completed) its
intended design and is ready to produce the intended outcomes.
B. Key Performance Indicators
One of the key tasks in evaluation research is the establishment of key performance indicators. There are
multiple ways to construct these indicators and most of the time the process is unique to each organization.
Here are a few common indicators for one to consider.
Recidivism. This is probably the most important outcome indicator that most, if not all, justice agencies
are concerned about. Although services may vary in their treatment goals, orientations or durations, justice31

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agencies are all concerned if, following the treatment services, these prison inmates will get rearrested andreturned to prison. The central question is whether the treatment will result in fewer criminal activities,
particularly those related to substance misuse. There are more nuanced ways to look at the recidivism
indicators. One can look at the overall re-arrest rates, or how different programs or durations may result indifferences in re-arrests.
Recidivism, a central theme in most correctional evaluation studies, can be defined in different,
methodologically valid, ways. One can look at re-arrests, irrespective of convictions. One can look at theseverity of new arrests. One problem with official arrest records is that most crimes are neither detected nor
acted upon by authorities. Official arrest records often show little difference between treatment andcomparison groups. This is because within the short follow-up period arrests do not occur enough times forthe comparison to be valid. This is not to discredit the use of official data, but to point out the importance ofincluding self-report measures to complement official statistics.
Self-report data can provide much richer information on the spread and frequency of criminal behavior
among the offender population. Besides, self-report methods have been shown to be reliable with aremarkable degree of uniformity between self-reported answers and official data. A more recent study of
drug dealers that traced self-reports of arrests from interviews through criminal records found about an 80%
match between the two data sources. Still, an 80% match still leaves out 20% inaccuracy. Besides, this is only
US experience. There is little research in non-English countries on the reliability of self-report criminal data.
However, self-report data collection relies on the offenderʼs memory, which fades over time and also
fluctuates depending on the intention of the respondent.
For prison management purposes, one can also look at any unfavorable movement of an offender, once
released, in and out of parole supervision or back to prison. Depending on the post-release conditions in eachcountryʼs correctional system, inmates can be released outright without any further monitoring by the justiceagencies, or one may be supervised for some length of time after release, such as parole supervision in the US.
If inmates are released with supervision condition, then recidivism can be extended to include any condition
violations, suspension from parole due to absconding, or newly convicted offenses.
Relapse in substance misuse. For substance abuse treatment programs, this is probably the mostimportant outcome indicator. Relapse is an easy concept to understand but not always easy to measure. The
best way and probably the most valid way is to obtain biological samples such urine at predeterminedintervals or random schedules. To use biological samples to ascertain oneʼs drug use, a programadministrator needs to have access to qualified laboratory facilities and the money to pay for the analysis of
bio-samples (urine, hair, saliva, etc.). Although urine analysis has become much cheaper these days, it can still
add up if one operates a large prison and aftercare program. Over time, there need to be dedicated resources,
staff and money, to capture accurate information on relapses among patients who have gone through thetreatment program. These bio-samples also need to be collected frequently over the observation period assome illicit substance passes through the body quickly.
Aside from biological samples, researchers also use self-reports to ask study participants to report theirdrug use in different time periods, while incarcerated or post release. Self-reports are inexpensive to collectbut not very accurate. There are many factors that can influence oneʼs recall accuracy.
Other outcome indicators. Aside from recidivism and relapse, there are other outcome indicators that a
researcher should consider. These include prosocial activities, such as job training, gainful employment,
school attendance, stable residence, reunification with family and children, and participation in other prosocial
activities. Although peripheral to the core mission of the prison management, these are also powerfulindicators that can foretell the prognosis of an offender in his reintegration effort. Relapse and recidivism areindicators of particular events while these prosocial activities can reflect a more stable personal growth andimprovement in recovery.
Program “effectiveness” means a lot of things to different people; at the minimum it means more thanmere measurement in most evaluation research as arrests or parole/probation violations. Therefore,
evaluation researchers need to work with stakeholders, treatment participants, and service providers toagree up and develop a set of outcome measures.
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C. Data Collection
Data for an evaluation study needs to be planned out up front. For prison management or any otherjustice agencies, there are typically two major data sources. The first is the official management information
system. Typically, a prison data system maintains criminal records and his/her stays in the prison. Upon theentry of the inmate into the prison, the data system also keeps tracks of his/her movements through different
quarters, such as substance abuse treatment units or regular inmate units, medical histories, and any
disciplinary records. The prison record keeping also contains some criminal history and backgrounddemographics about the inmate. Depending on the sophistication and longevity of the prison management
information system, the data may be of great value for various evaluation considerations, which allow for both
historical (trends over time) and biographical (patterns within individuals) analyses.
The second data source is typically provided by treatment service providers. In the US and many
Western countries, substance misuse treatment services are contracted out to particular agencies specializedin treating substance abuse disorder among the criminal population. These treatment providers always
maintain records of service utilization. These data can provide information about the numbers of inmates
who have used the treatment services, the specific services used, and the outcomes of these service contacts.
Once the data sources are identified, an inspection of what data are kept is necessary. Routinely collected
data are the easiest place to start planning the evaluation. However, when routine administrative data orservice data are not adequate, additional collection must be planned with all stakeholders involved. Prison
officials and substance abuse treatment staff are generally reluctant to alter their routine activities andprobably will find ways to resist inputting or gathering the data outside their job classification.
Closely associated with planning the data collection is the determination of observation period. Usually thelonger the observation period the more we can find out about the effects of a treatment protocol on its
participants. But there is also a pragmatic side to all evaluation efforts̶the amount of money that can
support observation over time. As a rule of thumb, 6 months following the exit of a treatment episode is theminimum required for outcome evaluation purposes; typically, one year is needed to examine recidivism rate
for prison populations.
D. Common Designs
When someone says a treatment program is effective, one should always ask: compared to what? In otherwords, there needs to be a comparison of sorts. Without any comparison or contrast, there is no way to tell ifsomething is working. There is quite a bit of science in constructing ways to do such comparisons. The
following lists the three most common ones.
1. Pre-and-Post Test
This is probably the easiest evaluation design. Essentially one conducts a baseline assessment of a cohortof prison inmates at the entry of their treatment program. Then at the end of the treatment or a few months
following the completion of the treatment, another assessment is conducted to detect any differences on themain outcome indicators.
A pre-and-post evaluation design using official and/or self-report methods is an easy way to enter theevaluation research business. Within the prison environment official records are easy to utilize for evaluation
purposes, although self-report data may face challenges in validity and reliability. However, depending on thequality and independence of the research evaluator, there are no insurmountable barriers to collecting selfreport data. Self-report data collection is routinely done in the US and other Western countries. However, thismay not be the case in other countries.
While easy to understand and implement, pre-and-post test as an evaluation design has many limitations.
First, research has shown that patients who participate in treatment tend to be more motivated than nonparticipants. This selection bias is very difficult to overcome because one cannot tell if the improvement in
the end can be attributed to the motivation factor or the treatment effect itself or some other factors. Second,
without a comparison, there is no way to tell if the treatment protocol has produced anything better than thestatus quo (or existing) treatment services or no treatment at all. In other words, the results one obtains froma pre-and-post design stand alone with no external reference.

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2. Randomized Controlled Trial (RCT)The most rigorous evaluation design is the use of randomized controlled trial (RCT). In this design, alleligible patients are randomly assigned to either the treatment group or the control group, hence randomized
controlled trial. This is the strongest research evaluation. Its strength lies in the ability of researchers to infercause ‒ the program caused differences in outcomes rather than preexisting differences. One can infer thatgroups that are truly equivalent in all aspects going into the interventions have different outcomes only if theinterventions have different impacts on the participants.
Randomized experiments are highly valued because they allow for such causal inferences, but they are
not infallible. Random assignment must be thoughtfully implemented so that truly randomly equivalentgroups are set up, and the equivalence of the groups must be protected over the course of the experiment sothat the random equivalence has not eroded before the causal inference can be made.
There are several ways to establish and protect randomly equivalent comparison groups. First, one must
avoid differential consent. Differential consent can lead to a subtle self-selection bias that corrupts random
equivalence from the start. If consent to participate in the new intervention or remain in status quo program
takes place after random assignment, there can be differences in the characteristics of inmates that consent
to the different options. Inmates that refuse to consent to one condition or another may differ in attitudes,
prior experiences with substance abuse treatment, or any number of ways not immediately apparent. If
inmates who consent to the new treatment protocol tend to be slightly more functional, slightly more incontrol of their prison activities or more amenable to controlling this time, or different in any number of ways,
then the random assignment is defeated. Inmates not consenting to be part of the new program may infuse anelement of self-selection that could be related to outcome differences. The inferences that any differences
between the new treatment and status quo are due to the program and not preexisting dispositions will bethreatened.
Therefore, consent must be obtained before random assignment. Those refusing consent will beeliminated from both groups. The comparison groups will be formed from exactly the same pool ofconsenting inmates. There will be no possibility of differential consent. Consent letters (or instructions) will
explain that two approaches are being compared. Inmates will be asked to consent to be randomly assigned
to one, and to agree to cooperate with program and evaluation requirements. Consent will be requested at thetime of the first assessment.
Second, on must avoid resentful demoralization of controls. Consent to be assigned to alternative
treatment programs can be accomplished without provoking “resentful demoralization of controls” that
occurs in some studies. In this situation, the alternatives can be described evenly and honestly as different
approaches without values attached. In other words, it is important not to suggest in any way that one
treatment approach is superior to another, or one treatment protocol is more current than the other. Suchvalue-loaded descriptions of any treatment protocols will unwittingly influence inmatesʼ preference to one
treatment program over the other. Inmates are asked to consent to cooperate with either approach. In bothprograms, they will be required to participate fully in all program activities.
Third, one should avoid instrumentation differences. Probably the most common threat to validity in a true
RCT design is from instrumentation differences that correspond with group assignment. Even when thesame measurement tools are employed, if they are “calibrated” differently or applied differently in one groupthan in another, differences may stem from the measurement process rather than the treatment. For
example, a prison guardʼs judgement of an inmateʼs substance misuse severity may be very different fromthat rendered by a professional treatment staff. If the intake assessments for inmates participating in a study
are conducted by different sets of personnel using different instruments, the outcomes could easily beinterpreted as tainted by instrumentation bias. Therefore, assessment instruments should be the same forboth treatment and control groups and carried out by the same trained personnel.
Fourth one should avoid contamination between treatment and control groups. Another concern inprotecting the random equivalence of the comparison groups has to do with preventing the re-assignment ofinmates from one condition to another or interaction between the two groups. This is sometimes difficult toimplement and will require commitment from the prison management to ensure both assignment conditions
are not crossed. If the inmates can be kept separate physically, i. e., locked up in different facilities, then34

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contamination can be prevented.
Fifth, whenever possible, one should strengthen random equivalence by assigning within key strata. We
know from logic, simulations, and mathematical laws that random assignment always results in equivalentgroups if the pool is large enough to overcome the heterogeneity within it. Overall this will surely be true, butless certain for breakdowns within prisons or service areas, and on key characteristics. Within group
distributions on a small number of key characteristics that may strongly affect outcomes need not be leftentirely to chance. For example, if marital status has a strong influence on outcomes and we know thatmarried inmates are less common than unmarried inmates, it would be desirable to have roughly equal
numbers of married inmates receive each treatment without tainting random assignment. Since service areas(i.e., prison settings) have different populations that may react differently to the treatment options, it would bedesirable to have roughly equal numbers of married inmates in treatment and control groups within each of
the seven areas. Random assignment is preserved and the chances of differentially skewed distributions (onthese key characteristics) within treatment groups reduced, when inmates are randomly assigned totreatments within prison and marital status groupings.
Therefore, once the eligible pool of participants is established, key characteristics known to be strongly
related to outcomes need to be identified. If marital status or gender or age of offending onset are key
predictors of outcomes, one will need to create sufficient strata, within which random assignment takes place.
This approach strengthens statistical tests between randomly equivalent groups, provides opportunities forstronger subgroup analyses (i.e. by prison, by gender, by marital status, or by age of first offense), without inany way compromising the random equivalence of groups and the opportunity to make causal inferences.
Although RCT is an easy concept, there is a lot to be discussed in terms of proper execution of the design.
The aforementioned represents a very rigorous form of RCT. Not all prison institutions are set up to do themthis way. However, simple random assignment with sufficient participants can still produce results withmuch greater confidence than any other evaluation designs.
3. Comparison Group and Case Matching
When an RCT design is not possible, researchers often fall back on a quasi-experimental design of using
other inmates for comparison purposes. The use of comparison groups is an old strategy in evaluation
research. When RCT is not possible, researchers must find something to compare to in order to establish theefficacy of the treatment protocol. There are different ways to construct oneʼs comparison group. The mostcommon method is sometimes called quasi-experimental design, essentially constructing a comparison groupusing some recruitment criteria. For a long time, case matching (or blocking) is the method, in which
researchers select a group of subjects that are the same as the treatment group on some key descriptive
characteristics, such as gender, age, prior incarceration, marital status. Using this method, a group of similar
inmates is then used to compare with the treatment group.
Prior to computer-assisted statistical analysis, case-matching was often done manually. As one can see, as
the number of descriptive variables increase, it becomes very difficult, if not impossible, to do the matchingby hand. In recent years, researchers employ a technique called propensity scoring to create a statisticallyequivalent comparison group in order to detect discernible patterns and treatment effects. Essentially apropensity scoring index is created through statistical analysis that simultaneously consider all known
descriptive variables among the non-treatment subjects, thus using all the information available to compare
the treatment subjects against this statistically equivalent group.
Propensity score matching offers the most robust alternative to a true randomized controlled trial
because of the sophisticated statistical procedures. In a non-randomized, comparative study, the estimatedtreatment effect is likely to be biased due to confounding variables. This bias is called the treatment
assignment bias. The best method for eliminating this bias is by random assignment of the treatment ascommonly practiced in clinical trials. But such a rigorous design is often impossible or impractical to
implement in criminal justice research, especially incarceration settings. The propensity score method is astatistical technique to approximate the randomized assignment design.
Researchers who developed this technique have shown that by matching on the propensity score
calculated from multiple confounding variables, the distribution of these variables will be the same in the
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treatment and the control group. Just like random assignment, matching on propensity score will balance thetwo groups on the confounding variables. The major strength of the propensity score method is its dimension
reduction capability in the sense that it can achieve multivariate matching by using a single score (i.e., thepropensity index). If done properly, researchers have shown the bias reduction of propensity score matching:sub-classification based on the quintiles of the estimated propensity scores can reduce 90% of the bias in themean difference. In the 1990s, the propensity score method gained wide popularity among social scientists.
One major shortcoming of the case matching method (or propensity score indexing) is that it can only
provide some control over descriptive variables (e.g., race, gender, age, and prior incarcerations), known to berelated to recidivism or relapse in substance misuse. Some researchers argue that, given sufficient sample
sizes, these case matching variables can be easily controlled through multivariate statistical procedures.
More importantly, drawing samples (irrespective of the sampling techniques) means some loss of information
about the population. Therefore, if one has access to the entire target population, say, the entire substancemisuse population in the prison system, one can conduct parametric analysis by using the entire treatment
participant population and the entire non-treatment population. By using the population data, assessment of
the program, impact should be more precise and stable.
The case-matching method, or using the entire non-treatment population for comparison purposes, still
faces the issue of selection bias̶the possibility that those who are enrolled in the treatment services are
somehow qualitatively different (e. g., either due to self-motivation or favorable prognosis by the prison
management staff) from those who do not participate. There are, however, statistical methods to mitigate theproblem of selection bias through different weighting schemes. There are also other factors that may
mitigate the selection bias. For instance one can examine whether there are any special administrative
incentives, perks, or advantages associated with providing the treatment protocol. Second, how the in-prison
treatment services are distributed and whether all substance misuse inmates have access to them. If theservices are not evenly distributed across all prisons in the jurisdiction, access to these services varies fromprison to prison, so many other substance misusers still rely on other forms of treatment or no treatment at
all. The comparison population then is made up of inmates who may be equally motivated but unable toaccess the new treatment protocol. In this case, the assessment of the new treatment protocol comparesagainst the status quo treatment services.

III. CONCLUSION
Evaluation research is important for developing and improving substance misuse treatment in prison andcommunity. Although many treatment strategies have been developed in the West, evaluation researchcontinues to show their many limitations. It is important to point out that evaluation research, particularly
those involving criminal justice agencies in the US and many Western countries, has long been plagued byweak designs and poor execution. There is still much room for improvement in terms of evaluation researchon substance misuse treatment inside prison or out in the community. Unlike the medical world where
research and evaluation are very much the backbone that supports and enhances our improvement intreatment technologies, procedures, and medications, substance misuse treatment inside prison or in thecommunity does not catch much attention from policy makers.
There are two major problems in our assessment of substance misuse treatment inside prison or out inthe community. First, design weaknesses in most evaluation research have hampered building knowledge on
the effective treatment. Most of what we know about treatment comes from meta-analysis, that is, analyzing
a body of literature to detect the treatment effects overall. An important movement that has been building
momentum in the US and other Western countries is the use of true experimental trials of intervention
programs in the criminal justice system to find out what works. These researchers argue that much of ourpast research has been plagued by weak research designs. Few question the rigors of randomized controlled
trials, but such designs remain the exception rather than the norm in criminal justice research. Few of us in
the trenches are ever afforded the luxury to implement a true experimental design to evaluate a correctional
program.
Justice agency officials often oppose the “randomized administration of justice” or reject the idea on thebasis that it is unethical to withhold services or certain types of treatment from eligible offenders. Evaluation
researchers thus often adjust their designs to accommodate the demands or resistance of program
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administrators. Oftentimes researchers become involved well after the program has already been in
operation or well beyond the point of making any suggestions for programmatic changes to accommodate
research activities. As a result, evaluation studies in correctional fields come in all shapes and forms; andfindings are often so mixed and even confusing that they make little sense to either the public or policy
makers.
Second, aside from the lack of rigorous designs, many evaluation studies are also plagued by small samples
or highly localized populations to assess program effectiveness, making generalization to the larger
population difficult. The sample size problem arises because correctional programs are often funded for small
numbers of offenders in a catchment area either due to limited budgets or for “demonstration” purposes.
Although sound in the logic that any large-scale operations should begin with rigorously designed
demonstrations, few of these correctional efforts ever survive to see widespread replication in any
jurisdiction irrespective of their outcomes. The lack of statistically significant findings (either positive or
negative) in many evaluation studies is thus exacerbated by these small samples that are often low inrecidivism anyway. Although statistical procedures can mitigate some of these design handicaps, theinherent problem of small samples and small participant populations is intransigent for making impact
statements on a system-wide basis.
Finally, evaluation research is what we have been able to advance substance misuse treatment. Throughdecades of research, we have come to recognize that there are no silver bullets for substance misuse, andeffective treatment often consists of multiple strategies, ranging from risk/needs assessment topharmacotherapy to psychosocial therapies. Moreover, what is effective for one inmate population may not
be so effective in a different setting. Appreciating the complexity of the substance misuse problem is the firststep towards effective treatment.

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Rosenbaum, Paul R. and Rubin, Donald B. 1984. “Reducing bias in observational studies using subclassificationon the propensity score.” Journal of the American Statistical Association, 79, 516-524.
Rubin, Donal B. (2001). Using propensity scores to help design observational studies: Application to thetobacco litigation. Health Services & Outcomes Research Methodology, 2, 169-188.
Rubin, Donald B. and Thomas, Neal (2000). Combining propensity score matching with additional adjustmentsfor prognostic covariates Journal of the American Statistical Association, 95, 573-585.
Stern, E. (Ed) (2005). Evaluation Research Methods. Thousand Oaks, CA: Sage Publications.
Zaccaro, Daniel J., Wolfson, Mark and Preisser, John S. (2000). Use of propensity scores in a non-randomized
community trial: Evaluating the enforcing underage drinking laws program. ASA Proceedings of the
Epidemiology Section, 74-79
38

170TH INTERNATIONAL TRAINING COURSE
VISITING EXPERTSʼ PAPERS

American Statistical Association (Alexandria, VA).
Zanutto, Elaine, Lu, Bo and Hornik, Robert (2005). Using propensity score subclassification for multiple
treatment doses to evaluate a national antidrug media campaign. Journal of Educational and Behavioral
Statistics, 30, 59-73.

39

PARTICIPANTSʼ AND OBSERVERSʼ PAPERS
AN INTRODUCTION TO TREATMENT AND REHABILITATION FORILLICIT DRUG USE OFFENDERS IN MALAYSIAN PRISONS
Suhaizak Ab. Wahab＊

I. INTRODUCTION
Illicit drug use in Malaysia has been known as one of the most serious problems that exists. The problem
has caused adverse effects on families, public safety and the economy of the country. (Mahmood Nazar, 2005),
and also contributed to the incremental degradation of health statistics. The health risk of illicit drug use
offenders is quite different from other addiction because it physiologically changes the body and brain evenafter the individual has stopped taking drugs. Illicit drug use also has a big potential to twist behaviour tocriminal behaviour because of drug misuse. Their are huge consequences to the health risk of individuals anddevastating impact on physical and mental health as well as psychosocial well-being and criminal behaviour.
(Norliza, 2014).
In Malaysia, the laws that govern the drug issues are many, namely the Dangerous Drug Acts 1952,
Dangerous Drug Act (Forfeitures of Property) 1988, Dangerous Drug Act (Special Preventive Measures)
1985, Drug Dependants (Treatment and Rehabilitation) Acts 1983, Act 234 Dangerous Drugs Act 1952, Act
283 Drug Dependants (Treatment and Rehabilitation) Act 1985, Act 638 National Anti-Drugs Agency Act
2004 (AADK, 2018). These laws and regulations provide complete information on drugs starting from thedefinition of drugs, their illicit use, enforcement and punishment and last but not least the right to be treated
and rehabilitated. As far as the differences of legal system were concerned, Malaysia has banned illicit use of
all types and categories of drugs or substances including the use of Kratom leaves.
The illicit use of drugs is often referred to as drug or substance abuse in Malaysia, especially by scholars.
In Malaysia the terms refer to the use of drugs against the benefit of medication and by the person who not
authorized by the law. As far as illicit drug use offenders in Malaysian Prisons were concerned, most of theoffenders in Malaysian Prisons consumed (but not limited to) opiates (heroine, fit, pokteh) the drugs that are
famous and frequently used, as well as stimulants (methamphetamine, ecstasy, ice, syabu, yaba) followed byless than a third of the respondents other drugs such as marijuana, depressants and kratom as well
(Norbayusri Burhanuddin, Nordin Muhammad, 2015).
Except for Kratom that falls under the Poison Acts 1951, those were among the drugs that fall under thedefinition of dangerous drugs in the First Schedule of Dangerous Drugs Act 1952 in Malaysia. According tosections 6, 14 and 15 of the Dangerous Drugs Acts 1951, it is expressly mentioned that any act of possessing,consuming and administering dangerous drugs within the definition in the first schedule of the act areconsidered as guilty under the Acts and liable for the specified period of imprisonment and specified amountof fine. Thus, the illicit drug user is considered an offender at the first place and later on will be treated as apatient as per decision by the judges/magistrates during the trial by referring to the severity of the case.
However, this scenario will not be applicable for those who were surrendered or volunteered themselves tobe treated in the registered rehabilitation centre as in accordance with Section 8 Drugs Dependants(Treatment and Rehabilitation) Acts 1983.
The function of Malaysian Prisons is to help rehabilitate the prisoners, as well as to control and isolatethem from jeopardizing the public in general (Nicholls T.L., 2005). Since offenders are in involuntary legal
custody by order (not by will), the prisons authorities have no abilities to chose their ʻcustomersʼ to put themin treatment. Therefore, Malaysian Prisons have to treat all kinds of offenders with different types of drug

Prison Department of Malaysia. This individual paper is for the JICA course 2018. The use and publication other than for thispurpose is prohibited without the express consent of the authority of the Prison Department of Malaysia.
＊

40170TH INTERNATIONAL TRAINING COURSEPARTICIPANTSʼ AND OBSERVERSʼ PAPERS

issues with their own ways. Therefore, they must live according to the rules and regulations laid out for themincluding the method of treatment; thus their movements were limited (Jabatan Penjara Malaysia, 2010). Withso many illicit drug use offenders coming in, it has created challenging factors to treat and rehabilitate themso as to follow the principle that every single case of an illicit drug use offender is unique.
Needless to say, ever since the British introduced incarceration (later adapted as the correctional system)in Malaysia, they never cease the effort to treat and rehabilitate drug abusers. This is to align with the visionof the Prison Department of Malaysia to be pioneers in corrective services and the mission, to produce
productive citizens through effective rehabilitation, conducive environment and strategic integration. The
objective of its existence is to ensure all inmates undergo safe custody until the date of discharge, to ensure
all inmates are treated according to rules and regulations, to ensure all categories of inmates are rehabilitatedthrough effective rehabilitation programmes and to prepare inmates for effective reintegration into society(Zulkifli &. N., 2017).
Effectiveness of the rehabilitation process applied to the inmates is always a current topic of society andlocal authorities. Thus, they have high expectations for these offenders to be rehabilitated during theirsentence in prison, especially those illicit drug users. Research over the last two decades has consistently
reported the beneficial effects of treatment for the drug abuser in the criminal justice system. Treating druginvolved offenders provides a unique opportunity to decrease substance abuse and reduce associated criminal
behaviour. (Redonna, 2010).

II. ISSUES, CHALLENGES AND POSSIBLE SOLUTIONS IN TREATMENT AND
REHABILITATION PROGRAMMES IN MALAYSIAN PRISONS
A. Maintaining the Recidivism Rate
Malaysian Prisons have regulated standard benchmarking of rehabilitation success in prison based on therecidivism rate. Currently the prison department has determined to adhere their rate of recidivism notexceeding 10% in order to indicate that rehabilitation programmes including for those offenders involved inillicit drug use. In Malaysia the recidivism rate refers to ex-convicted who reoffend and returned back toprison within 3 years after being released (Zulkifli &. N., 2017). The chart below shows the recidivism
achievement up to year 2017.

(Source: Prison Department of Malaysia)
The results showed the rehabilitation programme managed to effectively control the rate of recidivism(inmates relapsing into criminal behaviour), with 8.7% recorded in 2015, below the 9% level set by the Home
Ministry (Zulkifli, 2016).
Currently, the recidivism rate in Malaysia is the lowest in Asia. But the problem that needs to be
41

RESOURCE MATERIAL SERIES No. 107

pondered is whether the trend is increasing or decreasing. This is among the problems faced by Malaysia.
In prison, the majority of prisoners are illicit drug use offenders and drug-related criminals. As far as thedrug-related crime is concerned, most of the recidivism rate is contributed by them. According to theresearch, the trend of illicit drug use offenders is likely to increase in Malaysian Prisons. This indirectlyreflected the increment of government administration cost (Jamal Ali, Sallahuddin Hassan, Noor Al-Huda
Abdul Karim, 2014). It is something that Malaysian Prisons need to be aware of as it will be exceeding thecurrent benchmarking.
As a possible solution prison authorities were of the opinion to separate normal non-drug-related crimeand drug-related crime, which mostly consists of illicit drug use offenders. They would be identified as
relapse offenders rather than recidivists. This would maintain the current rate of recidivism. So far Malaysian
Prisons were not going to benchmark the rate of relapse offenders among the illicit drug use offenders.
Therefore, they would be attended accordingly in terms of treatment and rehabilitation in order to avoid
relapse.
B. Mental Health, Depression and Offendersʼ Readiness to Change
Mental health and depression were interrelated when mental state of illicit drug use offenders isconcerned. Depression is classified under mood disorders as the mood in a major depressive episode is often
described by the person as depressed, sad, hopeless, discouraged, or ʻdown in the dumpsʼ (DSM-IV, 1994). A
mental disorder and depression are common among Malaysian offenders, and there is a growing population ofmental health problems where prisoners may be undetected and treated with this issue (Brugha, 2005).
Offenders exhibit higher levels of anxiety and depression than the general population, along with lower levelsof self-esteem, specifically among certain groups of offenders with substance abuse problems (Picken, 2012).
The depression among adults showed biased recall towards negative information relative to non-depression
adults (Saralah, 2016).
There are several cases in Malaysian Prisons showing that offenders have such symptoms. This was thechallenge that needed to be faced by the prison authority since this kind of offendersʼ condition would affectthe effectiveness of treatment and the rehabilitation process. Furthermore, readiness to change among themcannot be captured accurately when these issues are not resolved. Among others, the prison authority does
not yet initiate any treatment and rehabilitation module for the offenders who are in the state of mental
incapability and depression, and rather refers them to the hospital that is beyond the prison authorityʼsjurisdiction. As a solution, the prison authority has requested several psychiatrists from the Ministry of
Health to attend to them, and to construct such modules. Recently, the health minister has agreed to place
several psychiatrists within the prison walls to cater to such issues, which form a good kick-start. It is hopedthat treatment and rehabilitation of illicit drug use offenders is done holistically throughout the country.
Research shows that the majority of prisoners use drugs prior to custody (Boys, 2002). Therefore, thereadiness to change is important and needs to be enhanced among prisoners before they are released fromprison. Readiness to change is a crucial element influencing illicit drug use offenders to seek out, follow andcomplete treatment. In order to change their behaviour of drug abuse, prisoners should reach a state ofreadiness and willingness to change.
Stages of Change are conceptually defined as a sequence of transitions through which people progress as
they initiate and maintain behaviour change (Miller, 1996). Stages of Change are central concepts in the transtheoretical model (Prochaska, 1986). However, motivation to change problem behaviours is not equal withmotivation for participating in treatment. Many prisoners go through the treatment under pressure from theenvironment of the prison because the treatment programme in prison is compulsory. Although prisoners
enter the treatment programme every day, they still may not be ready to change and a relapse may occur.
Therefore as a solution, if a prisoner presents motivation, a quick assessment of the Stages of Change
Readiness and Treatment Eagerness Scale (SOCRATES) had been introduced and applied in Malaysian
Prisons to cater to the issues together with the established instrument BDI (Beck Depression Inventories),
AQ (Aggressive Questionaires) and some others. (Mohd Fadzil, Wan Marzuki, 2012)42

170TH INTERNATIONAL TRAINING COURSEPARTICIPANTSʼ AND OBSERVERSʼ PAPERS

III. ILLICIT DRUG USE OFFENDER REHABILITION AND TREATMENTPROGRAMME
A. Structured Programme: Integrated Human Development Programme
The programme was started in year 2003 and has been enhanced ever since. This is the structured
programme that was intended for all offenders in Malaysian Prisons but separated by specific modules
according to offendersʼ categories including illicit drug use offenders. The objectives of the programme were
to develop Attitudes, Skill and Knowledge of the offenders during their incarceration. The programme
consisted of 4 phases which have been simplified as follows:
PHASE

CONTENTDURATION

PHASE 1(Disciplined Emphasis Phase)

Psycho Education

2 Months

PHASE 2(Character Building Phase)

Therapeutic Community and Halaqah(Islamic-oriented Programme)
Academic

6 Months

PHASE 3
(Skill Enhancement Phase)

Nurturing Skills (Vocational & Industrial
Training)

Until qualified for
4th Phase

PHASE 4
(Reintegration Phase)

Community Programme - (Parole, Community
Rehabilitation Centre, Vocational ProgrammeOutside Prison Walls)

Until released

Malaysian Prisons depend on this programme in order to achieve the intended output of rehabilitation.
Therefore, this programme reflects on how Malaysian Prisons will achieve their recidivism rate (Zulkifli O.,
2014).
B. HUNT Modules
As a leading rehabilitation institution in this country, the Prison Department of Malaysia is responsible for
implementing drug treatment for the drug offenders where they undergo their sentences through the Human
Development Program applying a psycho-education module called HUNT. The module was introduced to the
Prison Department in year 2017. The module was constructed by the prison officers with qualified Substance
Abuse Psychology Counseling Masters Degrees. Modules consist of 17 chapters focusing on the earlyrecovery rehabilitation for illicit drug use offenders. The domains focused on are as follows: This module,
among others, evaluates the readiness to change and severity of addiction among the offenders using theprescribed instrument namely DAST-20 and URICA (Jabatan Penjara, 2017). This module was Integrated in
Human Development Program Phase 1, as mentioned earlier. The modules touched on the following items:
Stages of
Change (SOC)

The most relevantchanging process

Precontemplation toContemplation

Contemplation - Preparation

Awaness enhancement

Self-efficacy evaluation

Dramatic relief

Environmental evaluation

Self-efficacy evaluation

Balancing decision

Environmental evaluation

Self-Efficacy capability

Balancing decision

Social Liberation

The rehabilitation process then was followed by another phase of the programme that is psychosocialbased (Therapeutic Community–Phase 2), psycho-spiritual (Halaqah module‒Phase 2) and Methadone
Maintenance Therapy (MMT) for opiate medication.
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C. Therapeutic Community Programmes
Therapeutic community programmes are one of most successful programmes as far as illicit drug use
offenders are concerned. In Malaysian Prisons, it has been started since 1992 using U.S.A. frameworks by theofficers who received that particular training. This programme was based on the help of peer groups,
residential family oriented, where offenders are put together in their family (other offenders who having thesame interest) to undergo the drug rehabilitation process (Penjara, 2014). Among the modality objectives, theframework is as follows:
1. Developing offenderʼs autonomous decision making
2. Developing the offenderʼs life objectives
3. Enhancing sensitivity towards himself and others
4. Developing self-efficacy and reducing self-defeating outlook
5. Developing communication and confrontation skills
The decision to implement TC is on the ground that based on the result showed by the research that reincarceration rates were lower among those who received TC treatment compared without TC treatment(Prendergast, 2004).
D. Methadone Maintenance Therapy
This is the one and only pharmacological treatment that has been implemented for illicit drug use
offenders in Malaysian Prisons. This programme started in 2009 where synthetic drugs called methadone
were used to replace opioids to reduce dependency. This programme is purposely focused on the reduction ofharm caused by the offender who has stopped using drugs but is physically and psychologically dependent on
the substance, especially opioids. Since the programme was monitored by the Ministry of Health, the rate ofeffectiveness of the programme throughout Malaysia rest with them. However, the therapy was very
effective for the offenders in Malaysian Prisons (Penjara, 2014).
E. Rehabilitation Outside Prison Walls
Besides the programme implemented inside the prison perimeter, there are several methods used by
Malaysian Prisons to exhilarate the rehabilitation process of the offender that is outside the prison walls,
called the reintegration process. This process is the next stage of the rehabilitation process that has been
mentioned earlier. It shows that the rate of recidivism among the illicit drug use offenders who haveundergone this process was below 1%. The rehabilitation programmes were:
1. Parole System
Unlike some countries that use court-ordered parole, this system was issued by Malaysian Prisons withclose supervision by Parole Board Authorities. It was established in 2008 where offenders were put ouside
the prison walls to have a normal functioning life with their families, but under prison authority supervision.
Their parole date lapsed once their imprisonment period is over and they were released. In Malaysia, unlike
other countries, the parole order was granted with the suggestion of the Malaysian Prisons, not direct
issuance of the judiciary. Therefore prisoners must undergo the imprisonment process before the parole
order was granted, subject to their good behaviour and compliance with other compulsory conditions.
Therefore, parole duration in Malaysia is determined on the remaining days left to the release date. Once theimprisonment period ends, the parole duration is over. Their parole period is part of the imprisonment period.
This method of rehabilitation was the best practiced pre-aftercare programme provided by Malaysian
Prisons since by-laws have no authority whatsoever to regulate the life of offenders once they are released;
therefore it is hard to implement real-time aftercare services.
2. Community Rehabilitation Program (CRP)
A centre has been established outside the prison perimeters to gather offenders and undergo skills andvocational training together with the society. Here, their skills (including farming, manufacturing andagriculture) were either nurtured or enhanced to enable to offenders to sustain themselves after release fromprison. Unlike the Parole System that requires offenders to sustain their own lives during the programme,
44170TH INTERNATIONAL TRAINING COURSEPARTICIPANTSʼ AND OBSERVERSʼ PAPERS

offenders at this centre would be closely monitored by prison officers within required proximity. Although
the severity of the crime and the period of imprisonment are the factors that separated offenders in theparole system and CRP, nevertheless the objectives were the same: to promote strong self-efficacy of theoffenders to face the community in order to avoid relapse and reoffending.

IV. CONCLUSION
The main objective of drug treatment of the Prison Department is to rehabilitate and to treat as well as toprevent relapse among drug offenders. Prisoners are the products of the prison and the nation who arewilling to change their negative behaviour towards becoming an excellent individual. Prison authorities haveplayed their part well in overcoming such issues and will keep going until it keeps the Malaysian nation ingood condition. In doing so, countless efforts have been done, numbers of suggessions have been taken into
account, and several research projects have been set up. Currently Malaysian Prisons authority hassuggested alternative punishment for illicit drug use offenders namely Day Parole, Home Detention,suspended sentence and compulsory attendance order as alternative rehabilitation. The researcher believes
this is a way to decrease the chances of re-arrests, reducing the costs associated with incarceration, providingthem with the choice of changing substance abusing behaviour, to overcome overcrowding and to strengthen
drug treatment among drug offenders. However further studies have to be done and serious discussions
among agencies in the criminal justice system have to be made before it can be implemented.

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Blume, A. W. (2001). Motivating drinking behavior change depressive symptoms may not be noxious.
Addictive Behaviors Journal.
Boys, A. F. (2002). Drug Use and Initation in Prison : Results from a National Prison Survey in England andWales. Addiction Journal.
Brugha, T. S. (2005). Psychosis in the community and in prisons : A Report from the British National Survey of
Psychiatric Morbidity. American Journal of Psychiatric.
Cassandra Perryman, G. D. (2016). “Changes in posttraumatic stress disorders symptoms during and after
therapeutic community drug and alcohol treatment”, Therapeutic Communities. The International
Journal of Therapeutic Communities, Vol. 37 Issue: 4.
Chan, T. &. (2017, 3 23). NCBI US National Library of Medicine National Institute of Health. Retrieved 11 11,
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David Wright, &. W. (2000). Treating Post-Traumatic Stress Disorder In A Therapeutic Community: The
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De Leon, W. H. (2009). The therapeutic community for addictions: an evolving knowledge base. Journal of
Drug Issues.
DSM-IV. (1994). Diagnostic and Statistical Manual of Mental Disorders. Washington, DC: American
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Fauziah. (2011). Gender differences among drug Abusers in the process of Readiness to Changes. World
Applied Sciences Journal 12. Special issue of social and Psychological sciences for human development.
Fielding, T. G. (2002). Los Angeles County drug court programs: initial results. Journal of Substance Abuse
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Treatment.
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Malaysia Berhad.
Jabatan Penjara, M. (2017). Modul Pemulihan Dadah (Drug rehabilitation Modul) HUNT. Selangor: Jabatan
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Jamal Ali, Sallahuddin Hassan, Noor Al-Huda Abdul Karim. (2014). Kos Ekonomi Penyalahgunaan Dadah(Economical Costing on Illicit Drug Use). Selangor: National AntiDrug Agency.
Mahmood Nazar, M. H. (2005). Estimation of drug users and injecting drug users in Malaysia. Department of
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Miller, W. R. (1996). Assessing drinkersʼ motivation for change: The Stages of Change Readiness andTreatment Eagerness Scale (SOCRATES). Psychology of Addictive Behaviors.
Mohd Fadzil, Wan Marzuki. (2012). Modul Pelaksanaan Alat Ukur Psikologi Jabatan Penjara Malaysia(Implimentation of Psychological Tools in Prison Department of Malaysia). Kajang: Prison Department of
Malaysia.
Nicholls T.L. (2005). Jail Screenin Assessment Tool (JSAT) : Guidelines for Mental Health Screening in Jails.
Mental Health, Law and Policy Institute, Simon Fraser University Journal.
Norbayusri Burhanuddin, Nordin Muhammad. (2015). ADULTHOOD DIFFERENCES AMONG DRUG
OFFENDERS IN THE LEVEL OF DEPRESSION AND READINESS TO CHANGE. PREVENT 2015.
Norhayati. (1995). Penagihan Semula Dadah : Hubungan Antara Individu Dalam Keadaan Berisiko Tinggi
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Norliza, N. A. (2014). A Review of Substance Abuse Research in Malaysia. Med J Journal Vol 14.
Nunnally, J. C. (1978). Psychometric theory (2nd ed.). New York: NY: McGraw-Hill.
Penjara, J. (2014, July 14). Portal Rasmi Jabatan Penjara Malaysia. Retrieved Mei 1, 2018, from TerapeuticCommunity in Prison: http://www.prison.gov.my/images/carta/bahagian.htm
Picken, J. (2012). The Coping Strategies, Adjustment, and well being of male inmates in the prison
environment. Internet Journal of Criminology.
Prendergast, H. W. (2004). Amity Prisonbased therapeutic community: 5-year outcomes. Prison Journal.
Prochaska, J. O. (1986). Transtheoretical therapy: Toward a more integrative model of change. Psychotherapy:
Theory, Research, and Practice.
Redonna, K. B. (2010). Treating Drug Abuse and Addiction in the Criminal Justice System: Improving Public
Health and Safet. US National Library of Medicine.
Saralah, D. (2016). Comparison of Depression between Remanded and Sentenced Inmates. Journal ofAdvanced Research in Social and Behavioural Sciences.
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UK Prison Reform Trust. (2013). Prison Reform Trust Submission Transforming Management of Young
Adults in Custody.
Wan Shahrazad. (2011). Psychopatological profile and readiness to changes among drug addicts in Malaysia.
World Applied Sciences Journal.
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Psychoactive Drugs.
Yahya, &. M. (2002). Penagihan Dadah & Perlakuan Jenayah: Pengaruh Faktor Psikososial dan Institusi.
Jurnal psikologi Malaysia.
Zulkifli. (2016). The Sun Daily. Kuala Lumpur: The Sun Daily.
Zulkifli, &. N. (2017). The Relationship Between Leadership, Locus of Control and Self-Efficacy in Complying
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Zulkifli, O. (2014). Integrated Human Development Program. Kajang: Malaysia Prison Department.

47

TREATMENT OF ILLICIT DRUG USERS IN MALAYSIA: FOCUS ON
PAROLE
Syahrul Amri Bin Abd Mutalib＊

I. INTRODUCTION
In the past, prisons were purely custodial and punitive but today the emphasis is on rehabilitation andtreatment of offenders. Thus it is imperative that the prisons remain safe and secure to ensure that the prison
can fulfil the multiple goals of punishment, deterrence and that of rehabilitation, reformation andreintegration. Over the past decade, prisons have progressively re-affirmed their role to take on the charge ofbeing agents for rehabilitation, moving away from being mere custodians of the offenders under their charge.
To discharge this mission effectively, prisons have embarked on a deliberate and rigorous review of theircapabilities in operations, rehabilitation and community engagement.
The Prison Department of Malaysia has also moved forward and continuously innovates in order to assist
the prison administration in dealing with modern culture through criminology, penology and overall social
control. This includes developing programmes and treatments to help inmates change their criminal
behaviour through evidence-based interventions, and preparing them for their eventual return to thecommunity.
A. Scope of Prison Department
The Prisons Department is under the Ministry of Home Affairs (KDN) where it works in ensuring safe
custody of prisoners and detainees, as well as continuous rehabilitation programmes for prisoners. The
Prisons Department of Malaysia currently has 37 Prison Institutions, 4 Henry Gurney schools, 13 State
Prisoners Offices and 52 Parole District Offices.
B. Scope of Parole and Community Service
When the parole system was first established by the Malaysian Prisons Department more than a decadeago, there were concerns over how the authorities would manage the risks involved, particularly thoseregarding public safety and security. The parole system in Malaysia was introduced in 2007 and the Prison
Act 1995 was amended to establish the system in Malaysia. It received royal assent on 24th January 2008 andwas published in the gazette on 7th February 2008. However, it only became enforceable on 30th June 2008.
In July 2008, the pioneer batch of 64 convicted prisoners was released on parole.
The legislative intention of introducing the Malaysian parole system was to alleviate prison overcrowding
and operating cost, reduce recidivism and to rehabilitate the prisoners to ensure successful reentry andreintegration into society through the role of the family, employers or community members. Thus, to realize
the parliamentary intention, the values and principles of the Parole Division of the Malaysian Prison
Department are embodied in its mission statement and are evidenced by its objectives to ensure a continuityof effective rehabilitation programmes and to give prisoners a second chance to go through the process of
integration of their lives into the community. In addition, it is also the Departmentʼs vision to ensure thewelfre of the society and to reduce recidivism by assisting and guiding the prisoners to live as individuals who
respect the laws and regulations of the country.
The Prison Act 1995 defines “ parole” as the release of prisoners to serve any part of the imprisoment
sentence outside the prison pursuant to a parole order. By section 46A “ prisoners” means a prisoner who isreleased on a parole order made by a Parole Board. Section 46I (Prison Act) provides that a prisoner is

Prison Department of Malaysia. This individual paper is for the JICA course 2018. The use and publication other than for thispurpose is prohibited without the express consent of the authority of the Prison Department of Malaysia.
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170TH INTERNATIONAL TRAINING COURSEPARTICIPANTSʼ AND OBSERVERSʼ PAPERS

deemed to continue serving his sentence of imprisoment during the period of parole that begins on the date ofrelease on parole as specified in the parole order and ends upon the expiration of his sentence of imprisoment,
taking into account so much of his sentence as shall remain after deducting from it such part of remission ofsentence granted, or when the parole order is suspended or revoked. As such, parole in Malaysia is viewed as
an extension of the custodial period, as the prisoners will be placed in the community under the correctional
authority and supervision of the parole officers.
The parole system in Malaysia is administered by the Ministry of Home Affairs. Two governmental
offices are concerned with administration of the parole system: (1) the Parole Board, (2) the Malaysian Prison
Department.
1. The Parole Boards
Recently there are three Parole Boards in Malaysiaʼs parole system. A Parole Board shall consist of thefollowing members who shall be appointed by the Yang di-Pertuan Agong:a) A Chairman, from amongst members of the Judicial and Legal Service;b) A senior prison officer;c) A senior police officer;d) Three members of the public.
With a view to encouraging good conduct and industry and to a facilitate reformative treatment ofprisoners, a Parole Board shall have the following powers:a) To make a decision whether to release a prisoner on parole;b) To suspend or revoke a Parole Order;c) To add or vary and conditions of a Parole Order;d) To hold an inquiry on any matter related to parole;e) To examine any prisoner for the purpose of soliciting additional information related to a parole
application or any other reason that the Parole Board deems fit; andf) To exercise and perform such other functions and duties as the Minister may derermine.
The Parole Board shall examine and evaluate the parole dossiers1 received from a prison officer in respectof such prisoner and any other report prepared by any prison officer in relation to an appication for release onparole.
2. Malaysia Prison Department
In Malaysia, the parole system is a newly established programme in order to enhance the rehabilitation
programme for convicts. The parole system is designed for inmates who show exemplary behaviour during
incarceration. It is seen as an incentive which inmates must earn in order to enjoy it through demonstrating
positive adjusment and fulfilling the requrement stated in the programme.

1

Dossier means document represent prisoner report all the activity and attitude in the prison.

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RESOURCE MATERIAL SERIES No. 107

Ogranization Structure of Parole and Community Service, Malaysia Prison Department

Source: Malaysia Prison Department
The Malaysia Prison Department through the Parole and Community Services Division has implimented
the system by setting up 14 State Offices and 52 Parole District Offices in the country.
Organization Structure of State Parole and Community Service

Source: Malaysia Prison Department
The parole system in Malaysia requires that to be considered for parole release, prisoners must be
sentenced to a year and above of prison and have completed half of the amount of punishment decided by any
court. Subsequently, the parole officer placed in the prison institution is entrusted with preparing evaluation
forms for submission to the Parole Department Headquarters for scrutiny and then passes them on to the
Parole Board. Once they have identified the prisoners, they will be given a briefing. The briefing is given
initially upon admission, later as part of the module in Phase 1, Human Development Program. A month
before release, briefing is given through the Pre-release Parole Module. The parole officer will be entrustedwith interviewing inmates selected to be released on parole to obtain a release plan, conducting fact finding
and contacting the residence of family or relatives and employers who agree to accept prisoners in their daily
lives. After obtaining information on the prisoners, the parole officer at the prison institution will prepare acomplete report on whether the convict is qualified to be granted parole. If the convict is found to be eligible
for parole, the parole officer will determine the risk level, which is minimum, medium or maximum throughrisk assessment. This is intended to decide on the frequency of contact, meeting and trips to the residence
and workplace of the parolee by the parole officer. Besides this, the risk assessment also helps the parole
officer outline a suitable programme for the parolee.

50170TH INTERNATIONAL TRAINING COURSEPARTICIPANTSʼ AND OBSERVERSʼ PAPERS

II. MONITORING & SUPERVISION
A parolee who is released by the parole order must comply with the conditions laid down in the parole
order. The parole order will be issued by the board after being satisfied with the report lodged by the paroleof the institute as well as the support of the Parole and Community Services Division, the Head Office. Termsof the parole order shall be read on the day of release and every condition shall be understood by the parolee.
More than 20 conditions have been set by the Parole Board and among the conditions that the parolee must
adhere to are as follows:i. Parolee is prohibited from engaging in criminal activity;
ii. Parolee must not leave the designated area without the permission of a parole officer;
iii. Parolee is prohibited from using any prohibited or intoxicating substance;
iv. Parolee shall comply with any directions from parole officers;
v. Parolee is prohibited from using any illicit drug.
Parole is granted to those inmates who have successfully completed and surpassed the comprehensive
assessment by the prison authority and an internal committee evaluation followed by an external evaluation.
While they are on parole, the parolees will be supervised and monitored by parole officers in their specificdesignated area2. In the event of breach of terms and conditions imposed on them while under parole, it willlead to the revocation of their parole order.
Supervising and monitoring drug offenders is a big challenge to our officers compared to those with othercriminal backgrounds. The current trend of drug abuse has changed; synthetic drugs are more commonlyused compared to opiate-based ones. Although there has been rejection from their families and the society inthe process of reintegration, there are many who are willing to support and cooperate. The parolees
themselves need the driven power to adapt, be ready to change and enhance their resilience in order todetermine and restore their success.
The parolee him/herself also shall have a job that guarantees earning a living; jobs are arranged or agreed
by the District Parole Officer. They will also be involved with any personal training and development
programs that fit into their respective capabilities.
All parolees are prohibited from possessing or using drugs and also associating with criminal associates
who are in the public domain. The conditions contained in the parole order depend on the prisonerʼs offence
and the criminal effect committed by the prisoner against the surrounding community. The more likely theprisoner will return to drug abuse, the more stringent the conditions will be allocated to them.
Each parolee must also undergo a prescribed recovery programme as stated in the parole order. Parole
Officers shall arrange rehabilitation programmes either in individual, group or rehabilitation programmes
within the community. Parolees must report once a week as arranged by the parole officer. The presence ofintervention is compulsory and action will be imposed if the parolee fails to attend the Parole Office. For
parolees involved in drugs must undergo urine testing as part of their intevention programme.

III. COMMUNITY-BASED TREATMENT FOR DRUG OFFENDERS
The implementation of prison rehabilitation programmes is an important basis in overall recovery where
every prisoner needs to go through several phases and have his progress evaluated in each phase to beelevated into the next phase.

2

Designated area means the gazette area that gives the authority to the parole officer to supervise.

51

RESOURCE MATERIAL SERIES No. 107

Human Development Plan Framework

Source: Malaysia Prison Department
In an effort to achieve the said mission and objective, the Malaysian Prison Department has introduced
Pelan Pembangunan Insan (Human Development Plan), a comprehensive and integrated rehabilitation
system. The new system targeted mainly on the rehabilitation of spiritual and physical needs of inmates
through change in attitude and increase in skills and knowledge. The Human Development Plan is arehabilitative process for inmates that is conducted through four key programmes, namely, Induction
Program (Phase 1: 2 months), Personality Enhancement Program (Phase 2: 6 to 12 months), Skills Program(Phase 3: duration is subjected to Period of Imprisonment) and Pre-Release / Community Program (one year
before release). In addition, several rehabilitative modules are used for the different categories of offenders
such as Drug Offenders Module for drug-related offenders and Sexual Module for sexual offenders.
However, in contrast to the parolee recovery that has been released through the parole system where theapproach adopted is based on Community-Based Treatment where the approach used is based on social
support group that helps in the recovery of parolee outside the prison wall. Factors that encourage theimplementation of Community-Based Treatment are the following:a. To ensure the stability of society through rehabilitation and to reduce repeated criminal behaviour;b. To provide support and guidance to inmates in respecting law and order of the country;c. To ensure continuity of the rehabilitation programme and more effective supervision in the hope ofgiving prisoners a second chance to carry on life through the process of reintegration into society.
The involvement of Non-Government Organizations (NGO) and the involvement of private companies in
the Corporate Smart Partnership is a programme that assists in the Community-Based Treatment in which
the support provided to help a parolees be more confident.
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There are several approaches used in assisting parolee recovery for those involved with drug activities.
The method of recovery is also different from the type of drug used and also the level of drug use over a
period of time. Each parolee needs to undergo a psychological test for the purpose of knowing the level of
addiction for a parolee. Each parolee needs to undergo 2 phases, which are during imprisonment and when it
is beaten. Parole officers should review both test reports before determining the level of intervention thateach parolee needs to go through.
A. Cure and Care Programme: Social Support Groups Module / Recovery Programme in the Community
This Programme is designated for drug users or drug-related offenders especially for parolees. Allparolees must be involved in weekly sessions run by Parole Officers in collaboration with the National AntiDrug Agency.
The main objectives are:i. Providing a safe haven for discussion group clients to practice social skills;
ii. Having recovered clients serve as role models;iii. Promote and expand the support system;
iv. Provide education so that clients have the skills to cope with social problems faced.
Among the modules and technique are Cycle Stop (Stop The Cycle), identifying techniques used to reduce
addiction and its effects, Thought-Stopping skill to cut (block) triggers facing the parolees and External
Trigger. Components and elements contained in the Recovery Module will help the Parole Officer to better
plan implementing the C & C to parolees. This programme can be a reference to the Parole Officer in theexecution to parolees to undergo the programme smoothly and adapt to society after serving of the Parole
Order after release.
B. Methadone
Parolees with a history of heroin-type drugs will be helped to overcome addiction using the method of
methadone. The parolee involved in the programme has been identified during the rehabilitation programmein the prison again and when undergoing parole order, this methadone programme will proceed based on therecord obtained from prison. Parole officers will ensure the parolee recovery involved with the methadone
will continue until the sentence is completed or until the dose is reduced. Parole officers will also work withpharmacists from government hospitals to ensure a parolee who join the programme daily and will be inaccordance with established procedures.
C. Interventions
Parolees need to undergo an intervention programme scheduled once a week as set forth in the rules.
Parole officers shall prepare and organize a programme schedule for each parolee in the recovery phase; theplanned monitoring of the parolee is under the parole officer. Intervention is a method of reviving parolees
and recognizing the level of parolee recovery under the supervision of parole officers. Among the activities
are individual counselling3, group counselling, support programmes and other appropriate parole
programmes.
D. Spiritual Programmes
One of the forms of recovery that can affect the parolee recovery is to have a spiritual recovery
programme. Parole officers should plan this spiritual programme as a continuation of parole recovery inprison. The spiritual approach is very important in parolee recovery because it helps in enhancing identity as
well as the paroleeʼs confidence in drawing closer to the Creator. In order to run this programme, parole
officers need to cooperate with volunteer religious teachers or religious departments to run the spiritualprogramme for parolees based on a weekly schedule.
E. Others Programmes
In addition to the programmes mentioned above, there is another programme for collaboration with local
companies. The Corporate Smart Internship (CSI) programme was is created for the purpose of enhancing

3Counselling sessions run by counsellors from the prison department or by rehabilitation officers.

53

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parolee skills in the field of work. Indirectly, this programme provides parole space to build confidence torecover where continuous recovery is the departmentʼs primary objective in ensuring the parolee can berehabilitated. Among the fields of employment are agriculture, manufacturing and other fields that have an
impact on the job sector. The programme started in 2017, and up to 661 parolees have participated in the
programme.
Indirectly, this programme has benefited the company especially in the cost savings of operations andlabour which involves foreign workers who need a lot of costs in the documentation process. For parolees, aswell as enhancing skills in the employment sector, moral support and guidance have had a positive impact on
the ongoing recovery.

IV. THE CHALLENGES
A. Dual Roles of Parole Officers
In Malaysia, the dual roles in surveillance and rehabilitation process do potentially pose challenges intrying to achieve their goals of helping the prisoners successfully reintegrate into the community andprotecting the society from at-risk individuals i.e. Section 46K (e) of Prison Act 1995 provides that it is a dutyof a parole officer to organize or direct a prisoner to undergo a programme for rehabilitation. As a parole
officer, early planning for each programme should take into consideration all the requirements for therecovery of the parolee.
B. Providing Social Services
In line with the social service model which focuses on the clientʼs needs such as employment and housing,parole officers often have difficulty to reconcile their role with the conflicting objective of the surveillance andcontrol approach. It is a challenge for parole officials to ensure that all the requirements and rules set may be
implemented at a time.
C. Willingness of Parolees to Participate in Treatment
The willingness and openness of parole in receiving treatment is an important aspect of recovery. Thisfactor needs to be in every parolee and not just fill in the programme slot without the need to change. The
role of parole officers is also important where continuing support in ensuring the parolee can follow theappropriate recovery programme. This support actually helps to increase confidence in parolees to recoverand avoid negative thoughts.
D. Support from the Community
A study reveals that the main reasons for detainees floating with the wrong influence are due to lack ofsupport from community networking and friendship. Recent studies by the parole department show that
prisoners return to their old habits due to the unwillingness of the community to accept them, as well as
refusal by family members. One of the challenges faced by parole officials is to deal with the public stigma of
former prisoners despite knowing that they have been restored. Eventually the former prisoner had to accept
the fact that they were not needed by the community and returned to friends who better understood them.
E. Translating Theories or Principles into Practice
It is a challenge for parole officers to design a programme and supervision plan to hold prisoners
accountable and focus on their change as they need to address the prisonerʼs specific criminogenic needfactors, i.e. early identification with a predilection for criminal behaviour risk. Another factor that needs to bethought about is the psychological development among the criminal or drug user whereas for parole officers,
skills in psychology are needed to understand the character of the parolee.
F. Right Philosophies, Attitude and BackgroundThe background of parole officers in the rehabilitation and surveillance of prisoners must possess theright philosophies and attitude to balance their dual roles in facilitating successful reintegration of prisoners
into the society. Parole officers with background in social work and behavioural sciences were more likely toreport that prisoner treatment needs were integrated into supervision requirements and activities. However,certain characteristics of staff working in correctional environments such as appropriate educational
qualification, experience in working with prisoners, professional values such as empathy, tolerance, integrity
and flexibility, a firm but fair approach, good listening and communication skill, may result in successful
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reintegration of the parolees into the community.

V. CONCLUSION
One of the challenges faced by the authorities is the use of alternatives to imprisonment. Challenges areinevitable but for the sake of public safety and peace, various alternatives to imprisonment should be
implemented. A comprehensive initiative has to be undertaken to ensure success. Programmes involving
strong community participation have to be implemented. Although alternatives to imprisonment arecomparatively inexpensive and efficient, they must be imposed carefully. Besides the well-being of theoffender, the safety of the public should be of paramount concern.
REFFERENCE
1. Malaysia Prison Department
2. Prison Act 1995 (Act 537) And Regulation
3. Human Development Plan Module, Malaysia Prison Department
4. Cure & Care Module, Malaysia Prison Department
5. Rehabilitation Module for Parolees, Malaysia Prison Department

55

DRUG REHABILITATION IN MALDIVES
Abdul Sattar Abdul Hameed＊

I. OVERVIEW OF LEGAL FRAMEWORK ON DRUG OFFENCES IN MALDIVESIn recent years drug trafficking and drug abuse have escalated in the Maldives mainly due to increased
exposure to the outside world. Official recognition of the problem arose when the first ever incidence on drug
use was reported back in 1977 when a person was arrested with 350 grams of hashish.1 As a result, the firstprincipal legislative Act of the Maldives dealing with narcotic drugs and psychotropic substances, (Law No
17/77 - The Drugs Act) was passed the same year in order to help the legal system deal with it, and to act asa deterrent.
The law (Drugs Act) was amended in 1995 (Section 2 of the law) to award life imprisonment, and 25 years
is given for offences of trafficking of prohibited drugs by either, cultivation, manufacture, exportation,
importation, selling, buying, giving or possession for sale of one gram or more. For the offence of consumptionof prohibited drugs under section 4 of the law, using or possession for personal use of less than one gram, thepenalty is imprisonment, banishment or house arrest for a period between 5 and 12 years, or referral torehabilitation with the possibility of a suspended legal sentence. Further amendments to the law on drugs
were made in 2001, facilitating confidential interviewing with drug users for the purpose of research forgovernment. Alcohol is not included in the law on drugs. It is controlled under the law of Islamic Shariʼah.
Drug use and drug abuse became an increasing concern, even after enacting a rigid law for its prohibition.
Commonly abused substances since then have been hashish oil / cannabis and heroin / diamorphine. In 1996,
a total of 241 cases of substance abuse were reported to the police. In 1998, over 450 arrests were made fordrug abuse and related offences. The first major seizure of cocaine was made in September 1993 at MaléInternational Airport when 8 kilograms of cocaine was found concealed in the false bottom of a suitcase in thepossession of a foreign national. The Statistical Yearbook of Maldives 2011 reported that a total of 783 persons
in 2006 and 1187 persons in 2007 have been detained by the Maldives Police Service in relation to drug use
offences.
According to a 2012 UN report2, there are 7,500 drug addicts in the Maldives. However, critics say the real
figure is much higher. One thing that is certain is that drug abuse and related offences are more compared toany other crime in Maldives and drug addiction touches nearly every family of the country.
A. The New Legal Response to the Drug Use Issue
After 27 years from the enactment of the Act 17/77 a survey done in 20043 showed that drug offenders
and people charged with drug offences constitute at least 80% of the prison population and often face very
long periods of imprisonment, even for the possession of small amounts of narcotics.
In summary, it was agreed that the law present at that time (17/77) was harsh, costly andcounterproductive. They are harsh in the sense that mere users face very long periods of imprisonment
without access to treatment for their addiction, and with no prison-based incentives or a properly structured
parole system. They are costly because of the long periods of imprisonment. They are counterproductive inthat they appear to consolidate or even to create criminal careers; and, given the levels of drug use, they do
not seem to be acting as a deterrent. Young people thus become a burden on the countryʼs development
Chief Judge, Drug Court, Republic of Maldives.
Mariyam Shazly and Hassan Zilaal, Drug offender Treatment in Maldivesʼ,2
UNODC, ʻNational Drug use survey Maldives-2011/2012ʼ, 2003.
3
Profesor Richard Harding and Dr.Neil Morgan, ʻStrengthening custodial services in Maldivesʼ, 2004.
＊
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process rather than making a positive contribution to it.
As a result, a bill was submitted to Parliament in 2009 that reduces jail terms for drug use, and devotes
more funds to rehabilitation efforts. This bill was passed and came into force on 31st December 2011 as the
new Drug Act (Law number 17/2011). Under this Act, the National Drug Agency (NDA) a government
agency responsible for the implementation of policies relating to the legislation was established, while its
work is overseen by the National Drug Control Council established under the new Drug Law, NDA is
managed by a Chief Executive Officer (CEO) who reports to a ten-member Advisory Board appointed by the
President. One of the special features of the new legislation is that it establishes a specialist court̶a court
having the jurisdiction in matters related to drugs accorded to it.
B. New Features of the Drug Act 2011
The main focus of the new Drug Act is to move away from taking a punitive approach against “small
scale” drug offences. The law recognizes three main categories of drug offences, that is, the use, peddling andtrafficking of drugs, and provides measures to motivate drug dependent persons to enroll in treatment andrehabilitation programmes with a view to facilitate their reintegration into the community as responsible
citizens and at the same time stipulating offences and punishments relating to the misuse of drugs andmatters relating thereto. Among many objectives, the Act attempts to reduce the level of drug dependency,
to identify those who are in the early stages of drug dependency and to assist them in obtaining measures
which will enable them to overcome their dependency on drugs, to establish a mechanism for the
rehabilitation of drug dependent persons, believing that drug dependent persons are not just criminals but
those in need of rehabilitation as they have, through the use of drugs, developed a psychological or physicaldependence upon the effect of those drugs, and to invest law enforcement agencies with special powers to
reduce the number of drug dependent persons and to prevent trafficking of drugs in the Maldives.
1. Drug Court
The Drug Court, established in 31st March 2012 under Drug Act 2011, was aimed to grant legal andjudicial recognition to the treatment mechanism, while interlinking the treatment mechanism with thegeneral justice system.
Mainly four categories of offenders are eligible for drug court treatment programmes. Those categories
are, (i) drug users, (ii) peddlers, (iii) drug dependent people whose drug dependency contributed to thecommission of a criminal offence, (such as theft and robbery) and (iv) people who were serving a jail term for
drug abuse.
The specialty of drug court is that, all eligible cases will proceed only if certain conditions are met, mainly(i) the person pleaded guilty to the offence, (ii) the person is willing to be subjected to an indicative
assessment, (iii) if the person has agreed to participate and complete a prescribed treatment programme andto obey other conditions set by the court. Moreover, in all prescribed treatment programmes the offender will
be called to appear before the court for status hearings to check on how he has cooperated.
The court suspends jail sentences subject to the completion of a rehabilitation programme. However, thesentence should be served if the person does not act according to the rehabilitation rules and orders of the
Drug Court and the treatment centre.
Six years into force, a total number of 6,368 cases has been submitted to the Drug Court by the end of theyear 2017. Out of these, in 3,976 cases rehabilitation orders were made. So far 1,542 people have completed
their rehabilitation programmes who spend an average of 7-10 months in the rehabilitation treatment
programmes and have been released to the community by suspending their jail sentences. At the same time
878 drug offenders have been terminated from the rehabilitation programme and sent to jail to complete thejail term sentence4. The other 1,556 are either on rehabilitation treatment or waiting for the programme tostart. The figure below shows the percentages of people who have completed and been terminated from therehabilitation programme.

4

Statistics collected from annual Reports of Drug court 2013, 2014, 2015, 2016 and 201757

RESOURCE MATERIAL SERIES No. 107

2. Drug Treatment Centres
The National Drug Agency has the responsibility under the Drug Act 2011 to implement effective andefficient drug prevention, treatment and rehabilitation programmes for the drug users and to effectively reintegrate them back to the society. Currently there are 5 drug treatmnet centres established in Maldives that
all function under the National Drug Agency, namely:
Name of the facility

CapacityOn treatment

1. Drug Treatment and Rehabilitation Center

172

172

2. Drug Treatment and Detoxification Center -1

19

16

3. Drug Treatment and Detoxification Center -240

13

4. Community Service Center

270

301

5. Halfway House

15

15

516

517

total

DTRC was the first drug treatment centre established in Maldives, which was in 1997. It was also the only
drug treatment centre in Maldives before the enactment of the Drug Act 2011, with a capacity of 70 people atthat time.
The rehabilitation centres conduct rehabilitation programmes which include information classes,
counselling sessions for the offenders (as well as to their parents), religious information sessions, regular drug
testing and mandatory attendance checking on selected dates (the offenders has to just appear in the
rehabilitation centres and sign an attendance register). During the time of the rehabilitation process it is also
mandatory to appear at the drug court before the Judge for hearings called status hearings. The main
purpose of these hearings is to check the status of the ongoing treatment for the respective person and to
warn him or her for any disobedience and also to applaud them for continuing the programme in a successfulmanner.
C. Has There Been Any Change in Drug Abuse and Related Offences?
Here I include a number arrest records5 from the Maldives Police Service in cases of drug use and related
offences; the purpose is to see whether there is any difference or any trend observed after the enactment of
the 2011 Act.

5

Statistics for past years, (website), https://www.police.gov.mv.

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The statistics show that there is a gradual decrease in the number after 2013. This does not conclude thatitʼs the effect of the 2011 Act. There are other measures to calculate the effectiveness of the rehabilitation
system.
For the purpose of this paper, a sample of 100 clients was taken who have successfully completed
rehabilitation programmes and were released to the community by the end of September 2014. Criminal
activity/arrests of these 100 people have been checked by using a portal (software / website) createdbetween the Maldives Police Service and drug court which shows the records of any arrest at any time.
Findings: Out of the 100 people, 13 have been arrested for different criminal offences after the completionof rehabilitation and graduation from the drug court. 9 of them were arrested for an offence related withdrugs. 87 percent had no record of arrest after the graduation. It is a success that 87 out of 100 can becleansed from drug addiction and brought back to the community who are deemed to contribute to thesuccess of the whole country.

II. THE CHALLENGES IN THE SYSTEM
A. Inadequate Treatment Facilities
Availability of adequate treatment facilities has been a concern since the start. Inadequacy in respect oflack of capacity in the rehabilitation centres is one challenge to be notified under this heading. As noted
earlier in this paper there are 1,556 people even now ordered to conduct a rehabilitation programme by the
drug court; however, it has to be noted that the total number of people that can be accommodated by all theabove treatment centres is only 516 at a given time. And according to the National Drug Agency, including
the 2 treatment centres, the total number of people currently undergoing the treatment programmes is 517.
This shows about 1,000 offenders ordered to undergo rehabilitation treatment programmes are waiting fortheir turn to start the programme.
Inadequacy in respect to capacity is not the only challenge: availability of qualified professional staff
specialized in the area of drug rehabilitation is another important problem. It has to be noted that except two,
all other treatment centres are located in the capital city area. Even if the offenders wanted, it is a challenge
for the them to get the rehabilitation treatment, because they have to move to Male (Capital City) for 7-10
months leaving behind their families and their respective islands. Some people opt to go to jail for 3 years.
B. Slow Prosecution Procedures
The annual report of the drug court for 2015 shows that it takes an average time of 14 months from thetime of the execution of the offence to prosecute the case. Isnʼt this too long a period for an intervention likerehabilitation? During this time the offender, without any rehabilitation or treatment, might have repeatedlycommitted crimes just because he is a drug addict. It has to be noted that this delay in prosecution has
started to take a good turn after the new Criminal Procedure Rules which came in to effect in July 2017.
C. Labelling
Labelling the offenders as criminals even after completion and getting over the drug addiction is another59

RESOURCE MATERIAL SERIES No. 107

challenge. Even after a successful rehabilitation process the society still does not accept the person as sober.
Even the families of the respective people feel reluctant to accept him. This is discouraging to the ones to theones who undergo rehabilitation. They know this is the view of the society; therefore, the only motive forthem to undergo the rehabilitation is just to get rid of the jail sentence.
D. Clearing Other Criminal Records
Their concern is, if they successfully complete the rehabilitation process, will that clear their past criminal
records. The current Act stipulates that it does not. One might have another criminal conviction for which hehas to undergo a jail sentence. In such a case, even if that person completes the rehabilitation process
successfully, he has to go immediately to jail to serve the jail sentence for the other conviction. This again
blurs the original purpose for the whole rehabilitation process.

III. CONCLUSION
Drug addiction touches nearly every family and is a big worry to the whole country. In response to the
problem of drug use, Maldives introduced severe penalties for drug use and related crime in 1977. However,the problem of drug use and drug-related offences did not minimize to any extent. Thus, as encouraged by theinternational drug control conventions, treatment as an alternative to criminal justice sanctions was believed
to be more effective than imprisonment in encouraging recovery from drug dependence and reducing drugrelated crime. As a result, in the year 2011 a new drug act was enacted engraving this view.
Though researchers have found that rehabilitation is the best and most effective intervention comparedto the traditional adjudication of drug-related offences, what is observed is 37 percent of the drug users sent
to rehabilitation programmes are sent back to jail for their inability to complete the programmes, and 13
percent of the people who complete the programmes continue the criminal behaviour they had previously
adopted. Still we find 87 percent of the people do not go back to criminal activities. In my view it is quite agood result. And the ones who fail do not fail because rehabilitation is a bad intervention; it may be because of
the inadequate facilities and due to other challenges of the rehabilitation process in Maldives.

60

TREATMENT OF DRUG OFFENDERS IN THE MAURITIUS PRISONSERVICE
Joanna Figaro-Jolicoeur＊

I. DRUG SITUATION IN MAURITIUS
Substance abuse and illicit trafficking is a matter of serious concern throughout the world. Even the
Republic of Mauritius has not been spared to that scourge. Situated in the Indian Ocean, it is a small islandwith a population of approximately 1.35 million1.The country is facing an unprecedented situation from drugtrafficking and drug use, posing a threat to its national security and public health. Mauritius recorded, in 2016,
an estimated market value of about 10m USD on seized drugs. Cannabis is one of the most popular drugs
available in the Mauritian market, with an increase of 4% compared to year 2015, due to its easy cultivationon our island2. Since 2013 there is an emerging demand for new psychoactive substances. The supply isabundant due to the ease with which these drugs are imported and cheap price which leads to its easy
availability among the young public.
The country has passed a number of laws in order, on one hand, to curb drug trafficking, money
laundering and financial crime and, on the other, to provide evidence-informed policies and interventions toprotect and promote the health and well-being of its citizens. The Dangerous Drug Act 2000, the HIV andAids Act 2006, the Financial Intelligence and Anti Money Laundering Act 2002, henceforth known as
FIAMLA, POCA (2002), the Bank of Mauritius Act 2004 are examples of this legislation.

II. CURRENT SITUATION
Problematic drug users are among the most vulnerable among prisoners and are over-represented within
the prison population, often due to a growing trend towards the criminalization of drug use and possession
and the use of custodial sentences for drug-related crime.
Effective delivery of drug interventions is key ̶ until drug addiction can be broken, offenders remain
dysfunctional and incapable of engagement with programmes that, collectively, help them lead law-abiding
lives on release. Prison represents the first opportunity for offenders to have their drugs-misuse problems
addressed in a coherent, structured way.
Against this backdrop, the Prison Service is tasked with addressing the needs of individuals who are both
dysfunctional and often unable to engage effectively with others. The demand for drug interventions,
therefore, places the prison system under considerable pressure.
Since implementation of Methadone Maintenance Therapy (MMT) in 2006 in the community, the Prison
Service ensured continuity of methadone therapy to detainees already induced at community level.However
since December 2011, a methadone induction unit has been set up for induction and dispensing of methadone
for People Who Inject Drugs (PWID). Drug rehabilitation programmes are delivered in different prison
institutions to those people.
A team of healthcare workers comprising of Prison Doctors and Nurses provides round-the-clock medical
service, assisted by a full time psychologist, Prison Welfare cadre, and trained Prison Officers, at reducing the
Hospital Officer, Mauritius Prison Service, Mauritius.
Indexmundi.com. (2018). Mauritius Demographics Profile 2018. [online] Available at: https://www.indexmundi.com/mauritius/demographics_profile.html [Accessed 23 Apr. 2018].
2
Statsmauritius.govmu.org. (2018). Statistics Mauritius - Crime, Justice and Security Statistics - Year 2016. [online] Available at:
http://statsmauritius.govmu.org/English/Publications/Pages/CJS_Stats_Yr2016.aspx [Accessed 22 Apr. 2018].
＊
1

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RESOURCE MATERIAL SERIES No. 107

supply of illegal drugs into prison ̶ through a range of practical supply reduction initiatives ̶ and at
reducing the demand for drugs among prisoners through effective treatment interventions, clinicallymanaging their withdrawal from drug dependency, providing rehabilitation, and support to remain drug-free.
About 60% of those admitted into prison are problematic drug-misusers (PDMs) with about 75% reportingsome drugs-misuse; With an annual through-flow of about 7,500 offenders, an average of 4,500 drug-misusing
prisoners may be in custody during the course of a year, with about 1,200 being present at any one time, outof which 11.4% are HIV positive cases. The total prison population as at March 2018 was 2,354 and 13.9%
were on MMT.
The Mauritius Prison Service manages 7 prisons for men and 2 for women, a rehabilitation youth centre
and a correctional youth centre. In 2017, the prison recorded an admission rate of 7,517 out of which 3,027
averred to be intravenous drug users. During that same year 317 were convicted due to offences directly
related to drug:
Offence

Number

1. Drug Possession/Use211

2. Drug Dealing61

3. Drug Trafficking

33

4. Drug Importation

12

III. CHALLENGESi.

Prisons are not therapeutic institutions;ii. The prison staff and administration often do not have the capacity to respond adequately to the healthproblems of drug users;iii. Many drug users in prison are serving short-term sentences or are on remand, which means the time
available for therapeutic interventions is often limited;iv. Diversion of methadone is becoming a recurrent feature in prison;v. Few cases of overdose have been reported;vi. Impersonation during methadone dispensing;vii. Sharing of unsterile injecting equipment.

IV. WAY FORWARD
Due to the chronic relapsing nature of drug dependence and the need to address social and psychologicaldimensions, achieving abstinence for many people is often a lengthy and difficult process. The period of time
when a prisoner is incarcerated represents an opportunity to intervene in the cycle of drug use and crime
and to reduce the harms of drug use.
Therefore, to address the underlying causes of addiction, a proposal is made for the establishment ofresidential rehabilitation based on the principle that a structured, drug-free environment provides anappropriate context for treatment. The programme will be developed to assist drug users in developing
appropriate skills and attitudes to make positive changes towards a drug-free way of life. Thus, TherapeuticCommunities (TCs), a subset of residential rehabilitation characterized by an emphasis on accepting personal
responsibility for decisions and actions, will be established.

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The objective of drug dependence treatment is the achievement and maintenance of physical,
psychological and social well-being through reducing the risk-taking behaviours or practices associated withdrug use or through abstinence from drug use.
Action to reduce prison populations and prison overcrowding should accompany ̶ and be seen as anintegral component of ̶ a comprehensive strategy to prevent HIV transmission in prisons, to improve prison
health care, and to improve prison conditions. This should include:# The development of non-custodial strategies to reduce the over-incarceration of drug users and toestablish government targets for reducing prison overcrowding generally;# Multi-sectoral collaboration among law enforcement, health, judiciary, human rights, social welfare
and drug control institutions to assist in developing frameworks of action to support people who use
drugs;# Setting up of a drug court to expedite referral of drug users to the Drug Detention and Therapeutic
Centre;# To establish a drug and detention treatment centre under the jurisdiction of the Mauritius Prison
Service exclusively for the purpose of rehabilitation and treatment of substance use disorders;# Capacity-building of officers selected to work in this centre.
In view of the increasing number of detainees on methadone, and to curb the problem of diversion, aseparate institution should be identified to accommodate methadone recipients in prison. This measure would
enable the provision of comprehensive services in terms of support and rehabilitation. The creation of aseparate harm reduction unit with trained and adequate personnel is highly important to provide care,treatment and support to these groups of detainees.
Nongovernmental organizations are also lending a helping hand in the harm reduction programme. Close
links between prison and public health services will be strengthened for prisoners to have access to an
appropriate quality of healthcare.

V. CASE STUDY
The Prison Department receives admission on a daily basis and for several offences. Recurrent cases thatare received are those related to drugs. On admission, detainees go through an induction programme where
the detainees are informed about their rights and privileges and prison rules during the period ofincarceration and at the same time the Prison Staff obtain baseline information on the detainees regarding
their health status and behaviour patterns. This programme is conducted with a panel of Prison cadre namely
Prison Officers, Welfare Officers and the health care team.
The drug problem remained a priority issue in the Mauritius Prison Service. So far, several stakeholders
are collaborating with the prison service to address the drug issue among detainees, including Non
Governmental Organizations (NGOs), during the incarceration period and on discharge.
Since each detainee has a specific perception and attitude towards his offence it is important to modify
their risky behaviour. Therefore, the Transtheoretical Model describes the process of behaviour change andaccounts for an individualʼs readiness to make and sustain behaviour changes. This model is useful as it helps
planners design programmes based on an individualʼs readiness, motivation, and ability. It was developed by
Prochaska and DiClemente in the late 1970s, to monitor the steps in changes and focuses on decision making3.
During the Induction Program, the inmates are encouraged to join the Drug Rehabilitation Program indifferent Prison institutions. But the study was mainly focused on the Beau Bassin Prison. On three3

Wayne, W. 2016.Behavioural Change Model. Boston University School of Public Health. (accessed on 26 Apr 2018)

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RESOURCE MATERIAL SERIES No. 107

consecutive days, intravenous drug users were identified on admission. 35 detainees started an awarenessprogramme for about three weeks. The programmes were carried out by Prison health professionals,
Welfare Officers and NGOs.

VI. SELECTION CRITERIA
The main criteria were to identify people who inject drugs on admission. The 35 participants were maleconvicted detainees with more than 6 monthsʼ imprisonment. All 35 detainees attended the awarenessprogramme.
The Transtheoretical Model of Change comprises 5 stages4:i.

Pre-contemplation

ii. Contemplationiii. Preparation
iv. Action
v. Maintenance

A. The Pre-contemplation PhaseAt this stage the individual has no intention to change. Two detainees among them previously embarked
on unsuccessful attempts. This previous experience made an impact on the actual situation as they werediscouraged.
Education is of utmost importance to pull the detainees out of ignorance. With the support of NGOs,
awareness and sensitization classes were conducted. The time spent from pre-contemplation to move to thenext stage depends on each individual. 5 detainees were identified as being very participative and showing
willingness to change. As the Methadone Induction Program enrolled batches of 5 participants at a time, thefive detainees were selected to step ahead. The project milestones were explained to them and all theiruncertainty was being clarified. The 30 remaining participants were involved in other sensitization
programmes; Alternative activities were established to encourage these clients to give up their previous
habitual behaviour patterns until the next intake of methadone induction therapy in prison.

Extension.purdue.edu. (2018). [online] Available at: https://extension.purdue.edu/extmedia/HHS/HHS-792-W.pdf [Accessed 26
Apr. 2018].
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B. Contemplation
In the contemplation stage people are more aware of the personal consequences of their bad habits, andthey spend time thinking about their problem. Although they are able to consider the possibility of changing,
they tend to be ambivalent about it. In this stage, the individual weighed the pros and cons of quitting drugs
or modifying their behaviour. The five detainees were moving toward healthy behaviour.
C. Preparation Phase
The 5 detainees are prepared to adopt another lifestyle. Psychological support is provided in order to help
them to set goals and priorities to change. They were given one hour individual counselling sessions per day.
A detainee worksheet was introduced to assist them during this phase. The five detainees were asked to
identify barriers that prevent them from stopping drug abuse. A team of 3 trained Prison Officers was
entrusted to work according to the detaineesʼ particular problems. For example, some wanted to change cellso as to avoid gangs whereas others preferred to avoid remaining idle in the yard so as to avoid visual
triggers induced by other drug using inmates. The hospital staff assisted the detainees to work on
introspection. At the sight of drugs, they postpone their decision to change. So they were placed in anothercell during the night and placed in the day care rehabilitation unit to avoid exposure with detainees involvedin drug use. More information was given to them about the Methadone Induction programme in prison.
D. Action Phase
In this stage, the 5 detainees start implementing direct action in order to accomplish their goals. The main
action that was focused on was to stop injecting drug. They were placed in the self-care unit designed for
those on methadone. Health-related posters were placed in their dormitories and pamphlets were distributed.
After a couple of days, it was noted that two detainees presented with withdrawal symptoms: muscle
cramps, body pain, and runny nose etc, which was a good sign prior to start methadone therapy. They werereferred to the medical section to evaluate their health status and eligibility for induction to the methadone
programme. After assessment, they were found suitable for enrolment for the programme. Both of themstarted the harm reduction programme. According to their behavioural pattern and to urine tests performed
after six months of the project, the other 3 inmates were maintaining drug-free lifestyles.
Emotional support and family bonding is important during that phase. Welfare officers arranged forregular visits and even close contact visits were allowed at time.
E. Maintenance Phase
The prime concern of this phase was to involve the social environment of the detainees in order to acquire
efficient rehabilitation. Welfare Officers were requested to contact their family members. NGOs were
working with the participants and their families. At the end of the project the detainees were compliant withthe treatment. Regular follow-up to assess the 3 participants that were not induced on methadone reveal thatthey were maintaining drug-free lifestyles. They were encouraged to motivate other detainees to join theharm reduction programme.

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TREATMENT OF DRUG OFFENDERS IN THE
MAURITIUS PRISON SERVICE
Deepak Roomesh Gunnoo＊

I. SITUATIONAL ANALYSIS ON SUBSTANCE ABUSE IN MAURITIUS
Mauritius is a small developing island1 in the Indian Ocean with a population of around 1.35 million andwith a population growth rate of 0.59%. Of this population 43.75% is composed of the age group 25-54, bothmale and female included. With a 5% of GDP expenditure on education, the total population literacy rate is
92.7%2.
According to Natarajan (2016)3, developing countries are more prone to various types of crimes ranging
from very simple to the most complex offences including sex trafficking, murders and drug trafficking. The
author further stated that most serious offences around the world have been recorded in developing
countries. As in all developing countries, the incidence of crime is fairly high in Mauritius. During the year
2016, statistics4 showed a decreased of 3% in the number of drug offences perpetrated in 2016 in contrast to2015, resulting in the stabilization of the drug offence rate to 2.7 per 1000. In 2016, out of the 3,370 drug
offences reported, 57% were gandia (Cannabis) related offences, 25% heroin related offences, 5% forsedatives/tranquilizers and 1% for buprenorphine. The remaining 12% represented other types of drugs
which included mainly synthetic cannabinoid, methadone and hashish. During a study carried out in 2015 by a
Non-Governmental Organization (Pils. mu, 2018)5, it was reported that more than half of Mauritians
interviewed (N = 600) stated their lives were somehow directly or indirectly influenced by the drug problem
across the island. Furthermore, the organization stated that drugs topped the list of social problems in the
country due to the fact that more and more complex types of drugs including synthetic substances werebeing easily introduced into the drug market. As mentioned earlier, Cannabis is more rampant over the islandand is consumed by people from all walks of life in the Mauritian society. This is because most Cannabis
consumed by Mauritians is being cultivated and produced locally. However, the perception of the Mauritian
population towards Cannabis is diverse as it generates mixed emotions and feelings.
 36% think that cannabis is harmless if a reasonable amount is consumed;
 33% think that cannabis is harmful; 34% think that cannabis must not be considered as a crime and must be treated just like cigarettes
and alcohol; 46% claim that the law must make a difference between cannabis and other illegal substances;
However, the use of heroin and other intravenously administered substance are still rampant over theisland.

Senior Hospital Officer, Mauritius Prison Service.
http://www.ssr.org/DevelopingCountries
2
Indexmundi.com. (2018). Mauritius Demographics Profile 2018. [online] Available at: https://www.indexmundi.com/mauritius/demographics_profile.html [Accessed 22 Apr. 2018].
3
Natarajan, M. (2016). Crime in developing countries: the contribution of crime science. Crime Science, 5(1).
4Statsmauritius.govmu.org. (2018). Statistics Mauritius - Crime, Justice and Security Statistics - Year 2016. [online] Available at:
http://statsmauritius.govmu.org/English/Publications/Pages/CJS_Stats_Yr2016.aspx [Accessed 22 Apr. 2018].
5
Pils. mu. (2018). [online] Available at: http: //pils. mu/wp-content/uploads/2017/03/TNS-Image-and-perception-of-drugs-inMauritius.pdf [Accessed 22 Apr. 2018].
＊
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II. LEGAL FRAMEWORK TO ADDRESS SUBSTANCE ABUSE IN MAURITIUS
A. Political Will
Political activities have an influence on national policies targeting the fight against drug abuse andtrafficking6. Therefore it is obvious that political will is an indispensable factor towards tackling drug
problems in a society. In June 2017, according to a Government Press release7, the Prime Minister Hon
Pravind Kumar Jugnauth reiterated his determination and commitment to deploy all means to combat thesurge of drugs which is causing enormous harm to the Mauritian society.
In the same breath, Dr. Abdool Reychad, consultant, United Nation Office on Drug and Crime (UNODC),
expressed satisfaction regarding the fruitful discussions with the Prime Minister on issues of drug trafficking
and crime, approaches to prevent drug proliferation targeting both local and foreign drug dealers and their
networks as well as drug consumers.
In that context, the elaboration of the National Drug Control Master Plan was the focus of a three-day
workshop held from 31 May 2017 to 02 June 20178 under the aegis of the Prime Ministerʼs Office incollaboration with the UNODC. Various stakeholders including government officials and Non Governmental
Organizations participated in discussions. In January 2018, the Prime Minister announced the setting up of a
National Drug and HIV council to strengthen the fight against drug abuse, drug trafficking and drug lords,
and HIV/AIDS9.
B. Dangerous Drug Act
Thanks to committed political will, the legislature has enacted law enforcement policies against drugtrafficking and abuse. The Dangerous Drug Act10 was enacted in year 2000 and later amended in 2003. The
fundamental aim of the Act is as follows:
To consolidate the law relating to dangerous drugs and to make further and better provision for thecontrol of dangerous drugs, the treatment of addiction, the prevention, detection and repression of drugtrafficking, the prevention of laundering of drug money in Mauritius, the sentencing of drug-traffickers,
seized assets of drug offenders to be vested in designated institutions, restriction of bail and minimum
penalties in respect of certain serious drug offences and the punishment of persons making false
statements in relation to drug offences.
C. Drug Control Master Plan for Mauritius
The National Drug Control Master Plan shall empower institutions, communities and individuals in their
response to drug trafficking and use through law enforcement, prevention, harm reduction and treatment fora safe and healthier Mauritius while maintaining human rights.
The master plan shall target specific areas, namely drug supply reduction, drug demand reduction, harm
reduction and coordinating mechanisms among the various drug fighting stakeholders.

III. INCARCERATIONAs a main component of the criminal justice system, the Mauritius Prison Service is entrusted with the
Ryder, D. (2008). Political and legal institutions and their influence on drug policy: an Australian perspective. Drug and Alcohol
Review, 27(4), pp.374-379.
7
Govmu.org. (2018). Republic of Mauritius- UNODC pledges assistance to elaborate Drug Control Master Plan for Mauritius.
[online] Available at: http: //www. govmu. org/English/News/Pages/UNODC-pledges-assistance-to-elaborate-Drug-ControlMaster-Plan-for-Mauritius.aspx [Accessed 24 Apr. 2018].
8
Govmu.org. (2018). Republic of Mauritius- Elaboration of a Master Plan to fight drug scourge in Mauritius. [online] Available at:
http: //www. govmu. org/English/News/Pages/Elaboration-of-a-Master-Plan-to-fight-drug-scourge-in-Mauritius. aspx [Accessed
26 Apr. 2018].
9lexpress.mu. (2018). PravindJugnauth: «Un National Drug and HIV Council sur pied cette année». [online] Available at: https://www.lexpress.mu/article/323880/pravind-jugnauth-un-national-drug-and-hiv-council-sur-pied-cette-annee [Accessed 24 Apr.
2018].
10
Apps.who.int. (2018). [online] Available at: http://apps.who.int/medicinedocs/documents/s18370en/s18370en.pdf [Accessed 24
Apr. 2018].
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RESOURCE MATERIAL SERIES No. 107

main duty of keeping prisoners in custody after they have been convicted by the Judiciary. An averageamount of Rs 775 was spent daily to maintain a detainee in 2016 on the Island of Mauritius11.
A. The Mauritius Prison Service
The Mauritius Prison Service (MPS) is a public service and is under the aegis of the Ministry of Defense
and Rodrigues. The MPS comprises ten penal institutions, including one in Rodrigues and one modern prison
named Eastern High Security Prison. Prison institutions are classified as high, medium and low security
prisons in terms of security rating. The more the security is high, the higher the wall, barbed wire fencing,security checks, dog surveillance, use of metal detectors and the more searches of prisoners and premises. On
the other hand, a low security prison will be one which provides low security measures, open conditions forinmates and opportunity for outside labour and contact visits with relatives. It also includes one prison forfemales and one for juveniles. The Mauritius Prison Service12 is accountable for protecting the public bykeeping detainees in safe custody while exercising a duty of care. In order to meet national and international
norms, changes are brought at regular intervals. It aims at achieving this through investment in staff
development and support. It also aims to manage their resources effectively and efficiently, to work to clear
objectives, to value diversity and to provide a healthy environment where rehabilitation takes place. These
are the main missions of the Mauritius Prison Service.
B. Statistics on Drug Offenders Detained in Penal Institutions
Table showing the number of persons (male) convicted for drug offences from 1990 to 2016
Year

HeroinGandiaOpium

Others＊

Total

Total numberof Detainees

Percentage

1990

62

92

6

2

162

969

16.7

1991

74

88

0

10

172

998

17.2

1992

95

61

1

3

160

887

18.0

1993

177

74

0

0

251

1025

24.0

1994

255

97

0

5

357

1162

30.7

1995

326

110

1

6

443

1276

34.7

1996

338

127

2

6

473

1428

33

1997

242

139

3

11

395

1378

29

1998

124

161

0

14

299

1228

24.35

1999

153

123

1

7

284

1044

27.2

2000

234

128

-

7

369

1305

28.2

2001

310

154

-

12

456

1672

27.2

2002

369

136

-

16

521

2110

24.7

2003

404

121

-

9

540

2295

24.1

2004

372

97

-

222

691

2400

28

2005

344

50

-

249

643

2323

27

2006

315

59

-

202

576

2423

23

2007

227

40

-

311

578

2626

22

2008

305

97

-

352

754

3032

25

2009

162

67

-

431

660

3517

18

Statsmauritius.govmu.org. (2018). Statistics Mauritius - Crime, Justice and Security Statistics - Year 2016. [online] Available at:
http://statsmauritius.govmu.org/English/Publications/Pages/CJS_Stats_Yr2016.aspx [Accessed 26 Apr. 2018].
12
Prisons. govmu. org. (2018). Mauritius Prison Service - Goals and Objectives. [online] Available at: http: //prisons. govmu.
org/English/AboutUs/Pages/The-Minister.aspx [Accessed 24 Apr. 2018].
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2010

103

111

-

398

612

3551

17

2011

97

104

-

340

541

3250

17

2012

53

43

-

381

477

2905

16

2013

102

96

-

126

324

2710

12

2014

57

113

-

91

261

2437

11

2015

116

115

-

-

231

2725

8.47

2016

110

129

-

65

304

3434

8.55

Source: Mauritius Prison Service13
Table showing the number of persons (Female) convicted for drug offences from 2001 to 2016
Year

HeroinGandiaOpium

Others＊

Total

Total numberof Detainees

Percentage

2001

15

06

-

-

21

59

35.6

2002

17

04

-

03

24

99

24.2

2003

18

07

-

09

34

103

33

2004

17

04

-

08

29

78

37.2

2005

17

04

-

08

29

80

36.3

2006

10

02

-

16

31

93

33.33

2007

10

-

-

08

18

87

20.7

2008

16

01

-

16

33

103

32

2009

11

02

-

12

25

123

20

2010

14

01

-

12

27

112

24

2011

11

15

-

14

40

122

33

2012

7

7

-

23

37

125

30

2013

7

-

-

19

26

124

21

2014

7

2

-

6

15

92

16

2015

5

6

-

14

20

86

23

2016

9

2

-

4

15

112

13.4

Source: Mauritius Prison Service14
C. Induction Procedure
1. History Taking through Motivational Interviewing
The main purpose of induction procedures is to take over the convicted person who is about to discover
the penal world. The induction process mainly revolves around interviewing the detainee to elicit relevant
information in connection to his or her substance abuse history. On the very first night, the detainee isconfined according to his/her physiological needs.

Prisons.govmu.org. (2018). Mauritius Prison Service - Total number of persons (male) convicted for drug offences from 1990 to
2016. [online] Available at: http: //prisons. govmu. org/English/statistics/Pages/drug-offences-Male. aspx [Accessed 25 Apr.
2018].
14
Prisons.govmu.org. (2018). Mauritius Prison Service - Number of persons (Female) convicted for drug offences from 2001 to
2016. [online] Available at: http://prisons.govmu.org/English/statistics/Pages/drug-offences-Female.aspx [Accessed 25 Apr.
2018].
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2. Health Screening
On admission to the prison, every detainee is seen by a doctor who assesses the detaineeʼs general health.
All detainees are offered Provider Initiated Counselling and Testing as screening procedures for HIV. Subject
to clinical observation by the Prison Medical Officer, further pathological and radiological tests are requested
as and when needed. The same process is observed when he is released. During the period of detention,
whenever the need arises, the detainee can be seen by the doctor at the prison hospital or dispensaries forany health problem. In addition, detainees requiring specialist treatment are referred to public hospitals.
D. Sentence Planning
A sentence plan is made for prisoners serving long-term sentences. Sentence planning is in fact a planabout how a detainee will spend the time in prison. It is concerned with addressing the different needs ofdetainees while making optimum use of their time in prison. It aims at providing programmes to suit theirneeds, to keep them busy, to prevent them from being idle and to help them to lead a useful life after theirrelease from prison. The sentence plan is the key tool for identifying what an offender will do during theirsentence, based on an assessment of the factors associated with their offending, thus enabling prison
authorities to achieve the aims of the sentence.
It is also concerned about placing prisoners in institutions with varying degrees of security. The first day
a person is imprisoned, he is detained in a high or maximum security prison depending on the gravity of thecase. When reaching fifty percent of his term of imprisonment, he is transferred to a medium security prison
and at the last stage of imprisonment; he is once more transferred this time to a low security prison, thereby
planning for his release and facilitating reintegration in the society. Unfortunately, no such facility is available
for women. However, rehabilitation programmes exist; they are also employed outside prison walls. A new
open facility for women is now open to ease detention of female detainees in view of enhancing therehabilitation process.

IV. REHABILITATION OF DRUG OFFENDERSThe MPS offers a range of rehabilitation programmes to inmates with a view to provide them with new
skills to facilitate their integration in society after release. The programmes range from educational,
vocational, spiritual and also life skills.
Since January 2012, the Mauritian authorities have launched a raft in the prisons of the island, to allow
inmates to acquire skills, to regain their freedom. 1,060 prisoners in six prisons in Mauritius are now
benefiting from this programme of rehabilitation through labour, which has an annual government envelopeof 7 million rupees. Inmates eligible and subject to strict discipline where the work is honoured are paid at therate of Rs 20-30 per day for their efforts in learning of a work which is an effective passport for personal
reintegration into civilian life.
Training workshops with the key qualifications, such as cooking, baking, masonry, tailoring, carpentry, arethus provided to prisoners of Mauritius to eventually reduce the recurrence rate, once outside.
A. Lotus Center
The Lotus Center is an in-house rehabilitation centre which saw the light of day in 1985. However, due to
its reduced activities, the project was re-engineered in 2018 by the prison authorities in collaboration with the
National Agency for the Treatment and Rehabilitation of Substance Abusers (NATReSA), the National AIDS
Secretariat and various Non-Governmental Organizations15.
The Lotus Programme is a Residential Rehabilitation and Day Care programme in prisons across theisland which aims at helping detainees to be free from addiction, encouraging them to participate inrehabilitation programmes to gain greater self-awareness to live a drug free life, and preparing their re-entry
in the community with the involvement of stakeholders. It is a new era in the Prison Department where an
integrated approach is adopted to treat substance abusing detainees based on medical and therapeutic
Le Mauricien. (2018). RÉHABILITATION DES DÉTENUS: Réouverture du Lotus Centre à la prison centrale - Le Mauricien.
[online] Available at: https://www.lemauricien.com/article/r%C3%A9habilitation-des-d%C3%A9tenus-r%C3%A9ouverture-dulotus-centre-%C3%A0-la-prison-centrale/ [Accessed 26 Apr. 2018].
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community models combined with a multi-disciplinary concept.
In the same line, a new Lotus Center was put in operation in October 2017 in collaboration with the
Ministry of Health & Quality of Life at the Eastern High Security Prison which is the most recent penal
institution of the island having a capacity of around 1,000 detainees. According to the Health & QL Minister,
who proceeded for the inauguration in presence of the Commissioner of Prisons, his Ministry is working inclose collaboration with the Prisons Department to better handle detainees who use drugs. The Lotus
Programme, he added, will help the Prison Department achieve one of its goals, that is, making detainees
drug-free and substance misuse-free so that they can have better opportunities when they leave the prisonsand there is less chance of them reoffending on their release16.
B. Non-Governmental Organizations
In order to sustain the activities of the Lotus Center in view of addressing the needs of illicit drug users
among Mauritian detainees, the support and collaboration of various NGOs are sought due to their expertisein relevant fields.
C. Sensitization and Awareness Campaigns
Sensitization and awareness campaigns are mostly run by Prison Hospital Staff. As from the induction
phase, awareness is raised among newly admitted detainees, and they are sensitized about the salient healthissues orbiting around their incarceration. As an ongoing educational programme for detainees, prison nurses
are called upon to deliver health education to inmates undergoing the rehabilitation programme in the Lotus
Center. Issues such as the function of the human body, pathology in connection with substance abuse, HIV /AIDS, non-communicable diseases among others are discussed with inmates.
D. Vocational Training
Various skills are provided to prisoners. The aim is to reshape them and provide others with new skills.
They can use these skills to earn a living on release. Numeracy and literacy are also provided to those whoare in need. And where an in-prison business partner is involved in providing work, they will help design thevocational skills delivery that supports that, exactly as they would outside. Moreover, these partners employ
some of the prisoners on their release.
A prison that is a place of work and industry will instil in offenders the disciplines of working life: order,
timekeeping, working within deadlines, being managed and overseen. These are skills that employers want,
for they comprise the elements of responsibility which make lives normal. When allied to vocational skills, exoffenders who have gained these ʻlife-skillsʼ ̶ the fabric of responsibility ̶ become more attractive potential
employees and better husbands, parents, neighbours and friends.
Facilities are provided to prisoners who wish to study further. The MPS provides prisoners who are
studying advanced courses with electronic tablets and internet facilities.

V. THERAPEUTIC TREATMENT OF DRUG OFFENDERS IN PENAL INSTITUTIONS
Prison contains the largest concentration among the most at risk population which are over-represented
within the prison community. The marginalized and vulnerable groups such as injecting drug users,
commercial sex workers, mentally ill and HIV/AIDS inmates are all compounded within prison. The majorityof prisoners have multiple health problems.
There are high turnover and mobility rates among the detainees. The average stay is short and the return
rate is high, thus making the prison population a significant vector of inward and outward transmission of
HIV and other infectious diseases. Imprisonment is a unique opportunity for all aspects of health promotion,
health education and disease prevention. Thus, prison health staff has to take an active role in the prevention,
as well as the care, of mental and physical health problems and provide the foundation of a healthy
environment. As a major service provider of a high-risk group population, prison could seize this opportunity
Govmu.org. (2018). Republic of Mauritius- Mauritius Prison Service must contribute to eradicate drug problem, states Minister
Husnoo. [online] Available at: http: //www. govmu. org/English/News/Pages/Mauritius-Prison-Service-must-contribute-toeradicate-drug-problem,-states-Minister-Husnoo.aspx [Accessed 26 Apr. 2018].
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to attend to their health care needs and provide care support and treatment programmes aimed at reducing
and changing high-risk behaviour patterns during incarceration and after release.
A. Substance Abuse
Problematic drug users are among the most vulnerable among prisoners, and are over-represented within
the prison population, often due to a growing trend towards the criminalization of drug use and possession
and the use of custodial sentences for drug-related crime.
B. Harm Reduction Strategies
1. Methadone Substitution Therapy
Since November 2006, about 5,000 drug users have been induced on methadone at the national level, andprisons had registered about 3, 310 that have been detained and that 346 among them are currently on
Methadone Substitution Treatment in prison. Since December 2011, detainees were induced on methadone at
the prison level and 324 among this group have already been induced. There is a weekly intake of 5 induced
on methadone. Diversion of methadone is becoming a recurrent feature in prison. About 115 cases ofdiversion of methadone have been reported since implementation.
C. Treatment of People Living with HIV/ AIDSThe Mauritius Prison Service has hosted 51.9% of national cumulative HIV positive cases, among which
about 33% are injecting drug users. The daily average of HIV/ AIDS inmates in prison is about 394,
representing 16.4% of the actual prison population. Prison had registered 1,508 detainees on anti-retroviraltreatment (ARV) and that 300 among them are still serving prison sentences. HIV diagnosed detainees are
given adequate treatment and follow up. Patients are seen regularly by HIV physicians; pathological tests arerequested on each subsequent medical consultation and treatment is tailored for each patient.

VI. CHALLENGES
A. Inadequate Resources
The treatment of illicit drug users in prison is a multi-disciplinary approach and involves complex
activities such as prevention, screening, sensitization, and treatment, care and support. The Mauritius Prison
Service has established an effective therapeutic psychosocial approach that relies on funding from externalorganizations like the Global Fund to sustain the treatment of drug offenders in its various penal institutions.
B. Lack of Trained Personnel
The involvement of prison personnel, especially the prison hospital staff, is indispensable for the optimum
delivery of care to drug offenders. The prison staff is trained in correctional services and general healthservice but is not adequately trained to provide specific and up-to-date care and support to illicit drug users
detained in prisons.
C. Gang Affiliation and Peer Pressure
The affiliation to prison gangs among detainees is a current practice. In so doing, detainees are most of thetime subject to peer pressure which influences the treatment of patients. Irrespective of their intrinsic
motivation, detainees who have opted to benefit from substance abuse treatment often halt their treatment
due to peer pressure.
D. Availability of Illicit Drugs and Relapse
There are a significant number of traffickers detained in prisons. Hence the availability of illicit
substances allows drug users to obtain their daily dose with ease. The fact that these people are sustaining
their addiction, they are not interested in health services and treatment offered to them by the MPS. On theother hand, illicit drug users who have been recruited in substance abuse treatment programmes are often
subject to relapse due to the availability of their preferred illicit substances.
E. Access to Prevention Commodities
Illicit drug users are prone to developing adverse health conditions such as blood-borne communicablediseases namely HIV and Hepatitis. Furthermore, some detainees often engage in high risk sexual activities
which may have health related consequences. Illicit drug users do not currently have access to preventioncommodities, such as sterile needles and syringes and condoms for safer sex.
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F. Aftercare and Recidivism
The high recidivism rate17 in the Mauritius Prison Service impacts greatly on the treatment of drug
offenders in the various penal institutions of Mauritius. Detainees who have successfully completed theirsubstance abuse treatment in the prison are not taken care of when they are reinstated in the society. Withan accrued negative perception of the society towards ex-detainees, these persons often revert to their illicit
activities and come back to prison where they are influenced by their peers and restart illicit drug use.

VII. WAY FORWARD
In order to curb the negative pressure exerted by the above-mentioned challenges, with a view ofpromoting the treatment of illicit drug users in the Mauritius Prison Service, the prison staff has come up
with a few potential solutions to address these challenges.
A. Advocacy
The MPS has a dedicated Strategic Planning and Research Unit which needs to co-opt active participationof a staff member from the prison health care team to participate in research, the analysis of current situationand drafting of reports and documents for submission to higher authorities, policymakers, and unilateral,bilateral, international organizations. There is a need to advocate with judicial legal authorities in view ofpromoting alternatives to imprisonment such as non-custodial care of illicit drug consumers.
B. Capacity-Building of Staff
The MPS should train its personnel, especially the health care personnel in substance abuse, motivational
interviewing techniques, counselling, and social work among others to empower them to deliver optimum
health care service to the detainees. Therefore, capacity-building and empowerment should be thefundamental pursuits of the MPS to be better equipped to treat illicit drug users. With an optimal advocacy
level, the MPS may consider application for scholarships or training with international organizations in thefield under study.
C. Training of Peer Support
One of the best ways to fight gang affiliation and peer pressure is the implementation of an intramural
peer support network18 for each institution. These peer support groups will be responsible to create a healthy
relationship between inmates thereby instilling the element of trust among them. In this way, the applicationof health processes to treat illicit drug users may be more accepted.
D. Supply Reduction
The application of more rigid security measures to halt the entry of illicit substances inside prisons shallbe a focal activity of the Mauritius Prison Service. Decreasing drug supplies will certainly entail an increasein the need for medical care to palliate withdrawal, resulting in more detainees soliciting health care service.
E. Setting Up Harmonized Programmes Including Stakeholders
Consultative workshops must be held involving the various stakeholders fighting the drug scourge andaiming at giving out treatment and care to illicit drug users. There shall be a harmonized programme toshare confidential information of patients with external agencies such as rehabilitation centres, the national
HIV/AIDS units in view of reducing loss to follow up and to sustain treatment initiated in prison once a
detainee is released, which could represent an effective and efficient aftercare bridge.
F. Setting Up of a Dedicated Rehabilitation Centre
The setting up of a comprehensive centralized rehabilitation centre for the provision of care support andtreatment of illicit drug users detained in prison should be considered. The centre shall be a drug free unit
whereby clients shall be cared for in their cognitive, affective and physiological dimensions.

Globaljournals. org. (2018). [online] Available at: https: //globaljournals. org/GJHSS_Volume11/9-Trends-in-Incarceration-andRecidivism-in-Mauritius.pdf [Accessed 26 Apr. 2018].
18
Pacenterofexcellence.pitt.edu. (2018). [online] Available at: http://www.pacenterofexcellence.pitt.edu/documents/prison%20
based%20peer-15.pdf [Accessed 26 Apr. 2018].
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VIII. CASE STUDYAs the treatment of illicit drug users revolves around therapeutic intervention coupled with strong
psychosocial support, the application of the Health Belief Model is an ideal approach to cater for the healthneeds of illicit drug users incarcerated in the Mauritius penal institutions.
The Health Belief Model (HBM) is a psychological model that attempts to explain and predict healthbehaviours (UniversiteitTwente, 2017)19. This is done by focusing on the attitudes and beliefs of individuals.
The HBM was first developed in the 1950s by social psychologists Hochbaum, Rosenstock and Kegels
working in the U.S. Public Health Services. The model was developed in response to the failure of a freetuberculosis (TB) health screening programme. Since then, the HBM has been adapted to explore a variety oflong- and short-term health behaviours, including sexual risk behaviours and the transmission of HIV/AIDS
and drug addiction.
This present case study reports the intervention of prison hospital officers to address the issue of drug
addiction among a group of five prison inmates with history of substance abuse. The intervention was
extended on a six months period and was conducted in collaboration with the Prison Medical Officer, prison
psychologist and welfare officers. The programme encompassed medical care to cater for physiologicalsymptoms such as withdrawal and psychosocial support to enhance their morale.
The five inmates were recruited in the programme through peer contact tracing method and the inclusion
criteria were firstly, a history of substance abuse through intravenous use, and secondly, their remaining
sentence to be served should be more than six months representing the span of the programme and toprevent loss to follow up.
The programme was based on the application of the Health Belief Model, and all the constructs of themodel were applied in a very efficient and effective way. The HBM was spelled out in terms of fourconstructs representing the perceived threat and net benefits: perceived susceptibility, perceived severity,
perceived benefits, and perceived barriers. These concepts were proposed as accounting for peopleʼs “readinessto act.” An added concept, cues to action, would activate that readiness and stimulate overt behaviour. A
recent addition to the HBM is the concept of self-efficacy, or oneʼs confidence in the ability to successfully
perform an action. This concept was added by Rosenstock and others in 1988 to help the HBM better fit thechallenges of changing habitually unhealthy behaviours, such as being sedentary, smoking, or overeating anddrug abuse.
The programme was launched through a focus group discussion whereby it was carefully explained andthe participants were reassured.
During that initial phase of the programme, all participants were encouraged to discuss their perceived
susceptibility with regard to their risky behaviour and their health. At first, they all averred that they areused to injecting drugs, and they found no reason to worry because they have been doing that for over a
couple of years and that nothing bad happened to them. The participants were then embarked on asensitization and awareness programme for two weeks where adequate information and education werecommunicated to them. As the perception of threat is dependent on the level of knowledge, the participants
were able to shift from a low perceived threat to a high one, thus increasing their perceived severity andsusceptibility about intravenous drug use.
The participants were aware of the impending dangers of injecting drugs, and they averred they wereprone to the very serious HIV infection which could affect their health with detrimental impact on their lives
and activities of daily living. Besides, they were also very much aware of the threat of the Hepatitis C virus
and the various physiological impacts of injecting drugs. On the other hand, they were also aware of harmful
health effects that may include inflamed and/or collapsed veins, puncture marks / track lines, skin infection
̶ abscesses, cellulitis, necrotizing fasciitis, bacteria on the cardiac valves, endocarditis, and other

UniversiteitTwente. (2017). Health Communication | Health Belief Model. [online] Available at: https: //www. utwente.
nl/en/bms/communication-theories/sorted-by-cluster/Health%20Communication/Health_Belief_Model/
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cardiovascular infections, swelling of the feet, ankles, and legs secondary to poor peripheral blood flow.
While the above are general injection-related health effects, there are some other dangers common to
drugs prepared with many adulterant chemicals, binders and other toxic substances. Black tar heroin, forexample, which is named after its tar-like consistency, contains a large amount of additives and contaminants.
These can cause local inflammation, clog blood vessels and contribute to widespread damage to the liver,kidneys, lungs and brain. The participants were very much aware of the severity of the consequences of
injecting drugs and that has given rise to a very strong perceived severity about injecting drug.
The next construct to be explored was their perceived susceptibility. Due to their increased perceived
severity, the participants were concerned about their state of health. They believed that since they regularly
indulged in injecting drugs, they were prone to develop adverse health problems. Furthermore, they had
shared needles with their friends, putting them at higher risk of contracting the HIV and the Hepatitis C
viruses. The participants were anxious of contracting HIV/AIDS and Hepatitis. They feared they would
develop the conditions and were very apprehensive of the need to undergo anti-retroviral treatment.
On the whole, all the five participants had a high perceived threat with regards to their health-related
behaviours. Since they were all aware of the threats they were facing and showed interest in modifying their
behaviour, the Methadone Substitution Therapy was proposed to them. It is to be noted that MST induction
is carried out in the prison setting itself and therefore would be easily accessible to the participants. After
explaining the benefits of such treatment to the participants, it was observed that their perceived benefits ofquitting intravenous drug abuse and starting Methadone Therapy had increased. They were encouraged dueto the fact that they could stay away from all the dangers of injecting drugs and at the same time they could
palliate their cravings for drugs and the high feeling.
Now that they had very high perceived benefits, the programme was becoming more challenging because
these participants were evolving in a prison setting and that various barriers could hinder their behaviour
modification. The issue was discussed with them, and it was obvious that they had a high degree of perceived
barriers. They stated that they fear not being able to sustain their actions and that they could in a certain
way find it difficult to adapt to their new lifestyle. They also averred of having tried to stop using intravenous
drugs but could not manage the withdrawal effectively due to the cost implication with regards to food andmedicinal items. The participants were reassured that they shall be given all the necessary facilities andsupport to help them embark on their health behaviour modification.
In order to facilitate the detainees to effectively and successfully be induced on MST and quit injecting
drugs, the programme coordinator advocated for certain privileges from the prison administration, whichwere acceded to. Thus some modifying variables were identified and addressed. The participants werehoused in a self-care dormitory away from other detainees. They were given facilities such as late nighttelevision, refrigerator, kettle and additional milk and food items. Thus they were placed away from peerpressure and they felt more comfortable. That enhanced their motivation to quit injecting drugs.
As cues to action, various strategies were employed. Health-related posters were placed in their
dormitory to remind them of the dangers of drug abuse and of the advantages of quitting and that ofMethadone Substitution Therapy. As the participants had a fairly high perceived severity and susceptibility
and benefits and at the same time their perceived barriers were reduced, the intensity of the cues to action
could be lower. Once in a while, rehabilitated drug addicts were invited to motivate the participants.
During the implementation phase of the programme, that is, around the second month, the participants
were placed on the MST and were followed by the Medical Officer, while the Psychologist and the Welfare
officers provided psycho-social support to them. The detainees were not indulging in injecting drugs andwere very adherent to MST. They showed very little signs of withdrawal due to their tailored treatment
plan. By the end of the fifth month, the participants stated that they were not thinking about drugs but about
their future, and they thanked the prison personnel for their support. They were released from prison andthey maintained their treatment as their self efficacy was very high.
However, due to harsh societal conditions for released detainees, two of these participants relapsed into
injecting drugs and were re-incarcerated.
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As a conclusion, according to Taylor (2006)20, the development of the Health Belief Model was ofpioneering significance in the early 1950s. Systematic analyses using the full range of components that it
today incorporates might cast light on the impact of social and other factors associated with inequalities inhealth, and the reasons why individuals and groups may not take up health improvement or protection
opportunities.
However, the HBM is not in itself clearly or adequately specified, and the available evidence indicates thatin practice its application appears to be inadequate for such purposes. Further, although the HBM may be
used to derive information that may then prompt interventions designed to change health beliefs andbehaviours, using the model itself cannot inform decision making as to how such interventions might best be
structured.
The value of the ʻperceived threatʼ element serving as a central indicator of behavioural motivation in the
HBM has been questioned. So has the phenomenological orientation of its design. Notwithstanding
components like perceived barriers and demographic and socio-economic descriptors, as normally applied
this model may be taken implicitly to assume that people are rational actors, driven by their conscious
perceptions of the world. This may misleadingly suggest that health behaviours can always best be
understood as being under volitional control, rather than in a large part determined by combinations ofcircumstantial reality and individualsʼ habitual, emotional, unconscious and/or otherwise non-rational
reactions to the external world. The research identified provides evidence that the overall explanatory powerof the HBM is limited, even simply as compared to that of alternative social cognition models.

prezi.com. (2018). HEALTH BELIEF MODEL. [online] Available at: https://prezi.com/1jprhmxjqg0j/health-belief-model/[Accessed 24 Apr. 2018].
20

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THE REHABILITATION OF ILLICT DRUG USERS IN
CORRECTIONAL FACILITIES: A STRATEGY OF EFFECTIVESTAKEHOLDER COOPERATION AND COLLABORATION
Nanja Limbo＊

I. INTRODUCTION
Namibia is a developing country in the SADC region of sub-Saharan Africa with a population of 2.5 million
people; furthermore it is a vast country with 14 regions and borders countries such as South Africa, Angola,
Zambia and Botswana. Like many other countries in the region, it is faced with a rising problem of illicit drug
use and drug trafficking, which has significantly contributed to social problems such as crime, family
disintegration and unhealthy lifestyles. Additionally, Namibia has one of the largest coastal ports, hence a lotof cargo is transported via Namibia to the neighbouring countries and thus is viewed as a drug transit
country as well.
In 2009, then Minister of Health and Social Services, Honourable Richard Kamwi, raised a concern
regarding drug use in the country, as he said, “Especially worrying, is Namibiaʼs gradual transition from atransit route for illicit drugs to a consumer country.” The minister was making reference to the increase inpatients with drug-related problems. Subsequently his concern was raised again on the Namibian
Broadcasting Channel on the 24th of July 2018, by a psychiatrist from the Mental Health Unit at the Ministryof Health and Social Services. According to Dr Lahja Hamunyela, an addiction specialist and psychiatrist, it
was found that 80% of patients admitted at the mental unit and mental regional wards, developed mental
illness linked to drug abuse.
It is further reported that the most prevalent illicit drug in Namibia is Cannabis, and it is estimated thatits consumption is at an average of 60%, while other illicit drugs such as cocaine, mandrax, heroine and crystal
meth are also prevalent at a smaller scale. (Kazembe and Neema, 2015).
Moreover, according to statistics provided by the Mental Health Unit at Windhoek Central Hospital, it
was found that during the period of January to December 2017, a total of 346 patients were admitted due tomental and behavioural disorders induced by multiple drug use and use of other psychoactive substances,while a total of 33 patients for the same period were admitted due to mental and behavioural disorders
induced by alcohol use. It should be noted that the above statistics are not indicative of Namibia as a whole, as
it is only reflecting one health facility. (Health Information System, Windhoek Central Hospital, 2017).
In cognisance of the above concerns the government of Namibia has put in place various mechanisms totry to curb this problem with various levels of success. One of the central role players in this fight is the
Criminal Justice System sector which includes Namibian Correctional Service that is primarily charged withthe responsibility of implementing rectification programmes with the end goal of effective social reintegrationof offenders and reducing recidivism. In order to accelerate the effective implementation of rehabilitationinterventions and treatment of offenders, the government of Namibia enacted the Correctional Service Act,
Act No. 9 of 2012, to replace the Prison Act, 1998 (Act 17 of 1998).
Although the Namibian Criminal Justice Systemʼs approach to the management of offenders with illicit
drug use problems is generally strict, the Criminal Procedure Act, Act No.51 of 1977, provides for alternative
treatment of accused persons who are found to have committed criminal acts but not criminally responsible
by reason of mental illness or mental defect under section 77-79. Such individuals may include illicit drug
users. These sections of the CPA allow the courts to refer offenders for mental observation and if foundNanja Limbo holds the position of Senior Superintendent: Structured and Support Rehabilitative Programmes, Namibia
Correctional Service and is Psychology graduate registered as a Psychological Counsellor with the Health Professional Councilof Namibia.
＊

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unable to appreciate the wrongfulness of their offence based on reports from the psychiatrist, to be declared
as State President Patients, thus sentenced to undergo treatment in line with their mental disorder. Bearing
in mind the above mentioned, this paper discusses the treatment methods for offenders with illicit drug use
problems that the Namibian Correctional Service has implemented following the introduction of the Offender
Risk Management Correctional Strategy (ORMCS) in 2010. The paper will also share insight into thesignificant characteristic of cooperation and collaboration with various strategic partners within the Criminal
Justice System.

II. REHABILITATION INTEREVENTIONS OF ILLICT DRUG USERS IN
NAMIBIAN CORRECTIONAL SERVICE FACILITIES: A CASE STUDYJack＊ is a repeat offender with a prior conviction for possession of Cannabis in 2012 and was sentenced to
six monthsʼ imprisonment or with an option to pay a fine. His mother paid his fine. However in June 2015,
Jack＊ committed his second offence and was charged with one count of malicious damage to property and asecond count of theft. He was 30 years old when he was sentenced to two years and nine monthsʼ
imprisonment. Upon admission to the correctional facility, Jack＊ was observed to have severe night sweats
and anger outbursts. The medical personnel arranged with the local hospital to have him admitted, and it was
discovered that he was experiencing extreme withdrawal symptoms from his mandrax use. He wasstabilized and kept under observation for four days. The correctional facility took note of his condition andrequested his transfer to a correctional facility that had the required professionals to treat his condition.
He was transferred to a facility in Tsumeb, which had psychological counsellors, social workers andmedical personnel able to manage his condition. Upon assessment of his risk factors, the areas ofDrug/Alcohol Use, Employment/Education, Anti-Social Thinking and Anti-Social Associates were found tobe high, and these areas were flagged to be attended to in his correctional treatment plan. However, due toJackʼs immediate need for treatment of his physical withdrawal symptoms, his level of medical care wasintensified, and the facility collaborated with the local hospital for his admission, in order for a medical doctor
to regularly monitor his progress. Furthermore, the facility engaged his family to render emotional support,
considering that he had committed an offence against a family member. The Case Management Officer(CMO) responsible for his case file also liaised with the social worker at the hospital, to obtain feedback on his
progress since he was concurrently receiving counselling while at the hospital. Jack was released from thehospital after three weeks and the CMO referred him for continuation of counselling by the Programme
Officer to ensure that he was adjusting well to the correctional environment and to consolidate his
understanding of his drug use problem.
Jack＊ served his sentence and maintained good conduct in the facility; he developed pro-social habits suchas participating in rehabilitation programmes. He worked at the garden and attended a cognitive-based
rehabilitation programme called Managing My Substance Use (MMSU), which he completed successfully andhe was also educated on aftercare services available in the community, which he could approach when facedwith challenges. He was released in July 2017 on earned remission and returned to his family in Grootfontein.
However, due to good stakeholder relations with the local social worker in Grootfontein, it was reported
that Jack＊ had relapsed six months after his release, during the festive season. He had met up with old
associates and used mandrax. He overdosed on the mandrax resulting in him being hospitalized. During his
stay in the hospital, Jack＊ voluntarily approached the social worker for assistance concerning his drug
dependency problem and during the consultation with the social worker, he spoke about the aftercare
services that were discussed during the MMSU programme in the correctional facility. He further indicatedto the social worker that he wanted to gain balance in his life and to stop using drugs. The social worker
called the programmes division at the correctional facility to get more information on the programmes
offered in the facilities and to report that Jack＊ had volunteered to check into a rehabilitation centre. She also
indicated that he was attending aftercare meetings with a local support group in addition to undergoingfamily therapy with his mother and sister to help him with his drug use problems.

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III. TREATEMENT OF ILLICIT DRUG USERS IN NAMIBIAN CORRECTIONALFACILITIES
A. The Strategy of Offender Rehabilitation in the Namibian Correctional Service
The Namibian Correctional Service implemented the Offender Risk Management Correctional Strategy(ORMCS) in 2010, with the aim of transforming the service from the primarily punitive approach to thatprioritizing the rehabilitation and empowerment of offenders with the aim of successfully reintegrating backinto society as productive and law abiding citizens. Considering the new perspective of the Namibian
Correctional Service towards rehabilitation, the service engaged in a range of strategic partnerships andresearch in order to develop and adopt reformative initiatives that are evidence-based and have provenability to reduce recidivism. The implementation of the ORMCS focused on the critical role of the CaseManagement Process and improved Unit Management structures. In addition the strategy also incorporated
the Risk, Needs and Responsivity Principle as a management approach to ensure that all offenders enteringcorrectional facilities were to be screened, assessed and assisted in line with their individual risk and needs toaddress their criminogenic factors and minimize their chances of re-offending (Nafuka and Kake, 2015).
Ultimately the approach considered criminogenic factors of offenders from an individual perspective,
meaning offenders were to receive services in line with their specific risk and needs; thus the approach madeprovision for the treatment of illicit drug users.
B. Effective Coordination and Collaboration of Illicit Drug User Treatment for Offenders
The new approach to offender management has specifically improved treatment of offenders with illicit
drug use problems, as the Namibian Correctional Service has established partnerships with various service
providers in the areas of the Criminal Justice System, Health Care and Social Welfare Services. In addition,
the Namibian Correctional Service has invested extensively in capacity-building and employing professional
staff to offer specialized services to offenders in line with the rehabilitation philosophy that the service
adopted.
Evidence regarding capacity-building and specialized staffing is visible as, according to statistics provided
by the Namibian Correctional Service in 2009, it was reported that the service had employed 13 social
workers and 1 clinical psychologist (Nakuta and Cloete, 2012). However, much has improved over the years,
as currently the service has 1 clinical psychologist, 2 intern clinical psychologists, 13 psychologicalcounsellors, 39 social workers, 3 medical doctors, 1 occupational therapist, 40 nurses and 13 HIV/AIDS
counsellors that are registered with the Health Professional Council of Namibia. The above is evident that the
Namibian Correctional Service finds it imperative to provide quality multi-disciplinary health care services tooffenders.
Furthermore, recognizing the importance of collaboration with stakeholders, it should be mentioned that
the Namibian Police Force and the Namibian Correctional Service has an administrative arrangement
regarding the management of offenders awaiting trial. Thus the provision for health care, social welfare andlegal services is availed to offenders while they are in police custody, as stipulated by the Namibian Police
Force Operational Manual. Bearing in mind that the judicial sector tends to be overwhelmed with cases, it isunfortunate that offenders experience lengthy periods as persons awaiting trial, and by the time they get
sentenced, they may no longer display severe symptoms of withdrawal from drugs, meaning if an offender is
to be arrested while displaying acute withdrawal symptoms, the police and the judicial courts may refer theoffender to relevant health care service providers for detoxification treatment and where deemed necessary
the courts may apply provisions from section 77-79 of the Criminal Procedure Act, Act 51 of 1977 that allows
for the offender to be referred for mental evaluation; if found to have a mental disorder induced by drug use,the offender can be declared a State President Patient, and be housed in a forensic psychiatric unit or acorrectional facility with the required professional staff to treat the mental disorder.
The Offender Risk Management Correctional Strategy is an effective approach to rehabilitation that iscomplementing the national efforts of fighting crime and reducing recidivism; however, its success depends
much on stakeholder cooperation and essential collaboration that lead to the smooth provision of treatment tooffenders in accordance with their risk and needs.

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C. Stages of the Strategy within the Correctional Facility and the Role of Stakeholder Collaboration
for Illicit Drug Users
1. Admission Process
Offenders entering the correctional facility are received at the admission office to process warrants ofcommittal and other documents. During this stage offenders have 48 hours to undergo a health screening by
the medical staff as provided for in the NCS Health Policy (2016) in accordance with national Primary HealthCare standards. This process enables correctional and medical officers to identify offenders displaying acutewithdrawal symptoms for referral to medical centres, thus the Ministry of Health and Social Services renders
its services by admitting offenders in hospitals to stabilize and detox. Furthermore, correctional officers also
notify family members on offendersʼ conditions and may arrange for visitation as family reconstruction is
encouraged.
2. Reception and Assessment Unit
Offenders are housed in the Reception and Assessment Unit for a period of 90 days, as a mechanism ofconducting extensive individual screening, assessment and observation with the aim of identifying thecriminogenic factors. Medical officersʼ conduct comprehensive health screening, while offenders receive
rehabilitation activities such as Orientation Programmes. The programmes focus on psycho-social education
with content on illicit drug abuse, treatment intervention and preventive measures. Officers and relevant
external stakeholders facilitate the delivery of this programmes to help offenders adjust in a correctional
environment.
Recognizing the importance of assessment, offenders are assessed to establish their individual risk andneeds in order to develop a treatment plan that will address those criminogenic factors, while serving theircustodial term. In the instance of an illicit drug user, the strategy provides for the timely referral of theoffender to treatment interventions pertaining to their needs; furthermore the 90-day observation period
offers sufficient time for officers to observe and identify offenders who may not disclose their drug use
problems in order to offer crucial assistance. It should be noted that all assessment conducted required
specialized assessment tools that are standardized to the Namibian norms. Hence the aspect of being
evidence based is of great importance to the Namibian Correctional Service.
3. Unit Management, Case Management and Programming
During this stage, offenders are classified into either the Maximum, Medium, Low-Medium and Minimumsecurity levels, based on the assessment conducted in the Reception and Assessment Unit. The security
levels are not solely determined by the offence but also considers the offenders risk and needs when
conducting assessment.
Most offenders spend their custodial terms within the units; hence extensive components of rehabilitative
programmes and activities are offered to offenders. Case Management provides offenders with daily
motivational support, as Case Management Officers oversee individual needs of offenders such as family
contact and facilitate offendersʼ access to rehabilitation programmes in accordance with the treatment plansthat address the risk and needs. Therefore, an illicit drug user may be referred to attend programmes thatare in line with the treatment plan, such as the Managing My Substance Use Programme that is currently
being delivered in four correctional facilities.
Programming in the Namibian Correctional Service is comprehensive, as the strategy provides foroffenders to access programmes that address their criminogenic factors, such as cognitivebased, educational,
vocational, religious care, and recreational programmes. The success of programming is reliant oncooperation and collaboration, as specialized officers offering programming often engage external
stakeholders to ensure quality services are delivered to offenders that are on par with the services in thecommunity. Additionally, stakeholders are the driving factor to providing offenders with treatment,intervention and activities that are aimed at reforming offenders. Such strategic stakeholders are the office of
the Ombudsman, Judicial Courts, Ministry of Gender Equality and Child Welfare, Ministry of Health andSocial Services, United Nations Office on Drugs and Crime (UNODC), Prison Fellowship, Local Religious Care
Providers and Community-Based Organizations forge a strong framework in rehabilitating offenders.
4. Community Supervision
Considering that treatment for illicit drug users is an ongoing process, offenders may reach the end of80

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their sentence and still require additional treatment to ensure the effective rehabilitation and successful
reintegration into society as law-abiding citizens. Hence, this stage focuses on the support and supervision of
offenders in the community when released from the facility on earned remission, full parole and probation.
Community Supervision Officers monitor the reintegration process of offenders, and where applicable ensurethat offenders with release conditions comply. In addition, offenders with illicit drug use problems may berequested to attend aftercare programmes in the community and provide proof of attendance and progress to
the Community Supervisor. However, when non-compliance is noted, the officer may recommend for
conditions to be changed and refer the offender to a rehabilitation centre or social worker. Community-basedorganizations such as Lifeline Namibia assist offenders by providing therapeutic counselling to illicit drug
users, whilst Turning Point Organisation offers accommodation for offenders whose treatment requires them
to be placed in an environment that is supportive to their treatment versus returning to their community
where they may become vulnerable to relapsing and re-offending. Other stakeholders are the Namibian
Police Force, Prison Fellowship and the Ministry of Labour, Industrial Relations and Employment Creation.
While the Ministry of Health and Social Welfare is critical as the Etagameno Resource and Rehabilitation
Centre may admit offenders who urgently require treatment.
5. Community Service Orders
The Namibian Correctional Service oversees offenders that are sentenced to community service orders
by undertaking community service duties instead of serving a custodial term. This form of diversion offers
offenders with alternative convictions while being rehabilitated. Community Service Orders Officers
supervise offenders to ensure compliance with the service order is enforced. The Community Service Orders
Officers do not work in isolation as they collaborate with the judicial courts, the Ministry of Gender Equality
and Child Welfare, the Ministry of Health and Social Welfare, the Namibian Police Force, Regional Council
Offices and Community Based Organizations, in order to secure centres where offenders can render theirservices.
D. Offendersʼ Responsivity to Programming
In response to the growing concern of substance abuse including illicit drugs in the country, the Namibian
Correctional Service developed a programme that would address the risk and needs of offenders who either
committed an offence due to being under the influence of substances or had a substance use dependency
problem. Hence the service introduced Structured Core Programmes such as the Thinking and Living Skills
Programme (TLS) that focused on replacing maladaptive cognitive patterns and promoting pro-social
behaviour, while the Managing My Substance Use programme is implemented to specifically assist in thetreatment of offenders with illicit drug dependency problems. The programme is based on Marlattʼs
Cognitive Behavioural Relapse Prevention Model, which focuses on addressing the lifestyle imbalances
caused by the dependency problem and how to develop a relapse prevention plan. The relapse prevention
plan often involves different stakeholders that provide support to assist the offender to not relapse to
substance use.
While the efforts of the Namibian Correctional Service towards the provision of programmes iscommendable, the service has realized that a significant number of offenders in correctional facilities could
not benefit from rehabilitation programmes due to low literacy levels and English proficiency, which is thecountryʼs official language. Hence the aspect of responsivity has become a priority in order to improvetreatment of offenders (Chiremba, et al., 2012).
The Responsivity Principle is concerned with the types of appropriate treatments that match each
offendersʼ general learning styles based on cognitive-behavioural and social learning approaches. In addition,
the principle also looks at the specific responsivity levels of offenders in order to tailor treatment to address
specific cognitive learning interventions such as motivation, language and educational levels (Andrews, et al,1990).
Taking the above into consideration, offenders with illicit drug use dependency problems have beenreferred to attend Managing My Substance Use programme, where they receive cognitive intervention by
Programme Officers, who are specialized staff in areas such as psychology and social work. However, a large
number of offenders do not qualify to attend the programme to due language barriers, as the programme isdelivered in English and most offenders have low literacy levels. Subsequent to the above findings, theNamibian Correctional Service applied the responsivity principle by tailoring interventions to the needs of81

RESOURCE MATERIAL SERIES No. 107

illicit drug dependency users that could not be in programmes, through offering interventions delivered bytranslating concepts targeting offendersʼ risk factors in the offendersʼ vernacular and on other occasions,inviting external stakeholders such as the Ministry of Health and Social Welfare and NGOʼs to offer treatmentthat could not be offered by the correctional officers. The Namibian Correctional Service has embraced theimportance of collaborating with strategic stakeholders, as it is in the nationʼs interest to have rehabilitatedand law-abiding citizens.
E. Legislation Supporting Rehabilitation Interventions and Treatment for Offenders
Namibia, being a member state of the United Nation (UN), has ratified several UN Conventions relating toillicit drugs and trafficking treaties such as the 1988 UN Convention against Illicit Traffic in Narcotic Drugs
and Psychotropic Substance. On a national level Namibia has worked on amending the Combating of theAbuse of Drugs Bill and Prevention of Organized Crime Act, Act 29 of 2004 among others. (Kazemba andNeema, 2015)
The Criminal Justice System has recognized the importance of offender rehabilitation and has over theyears made critical amendments to various statutes, the most significant change being the repeal of the
Prison Act, Act 17 of 1998 which was replaced with the Namibian Correctional Service Act, Act 9 of 2012.
This change led to the transformation of the service and implementation of the ORMCS.
Moreover, the treatment of illicit drug users now features prominently on the national agenda, as thecountry strives to comply with the Nelson Mandela Rules, also known as the United Nations Standard
Minimum Rules for the Treatment of Prisoners. As a result, the service has strengthened stakeholder
relations with several ministries, agencies and organizations in order to improve treatment programmes,
preventive measures and decrease drug use in the country drastically through the provision of detoxification
treatment, admission to rehabilitation centres, aftercare support groups and community-based prevention
campaigns. One of the prominent community-based initiatives is the Be Free campaign that is overseen by
the Office of the First Lady of Namibia: the First Lady is an active advocate on drug control. The country also
adopted the National Drug Control Master Plan, which according to His Excellency Simon M. Martuta,
Ambassador and Permanent Representative of the Republic of Namibia to the United Nations, entailed an
approach of combating drug abuse and illicit drug trafficking through multi-agency coordinating frameworks
with the aim of mitigating and reducing drug abuse and illicit drug trafficking, among other crimes. (Martuta,2015).
Supporting the adoption of the master plan, the Namibian Correctional Service, focused on promoting
treatment interventions for offenders suffering from substance dependency by employing increasing
numbers of specialized staff like psychologists, psychological counsellors, social workers and medical
personnel. It can proudly be stated that all thirteen (13) correctional facilities in Namibia are staffed withregistered medical personnel and registered rehabilitation officers overseeing the psycho-social aspects ofoffender rehabilitation. In addition, the Namibian Correctional Service Health Policy (2016) has been aligned to
the Namibia Standard Treatment Guidelines of the Ministry of Health and Social Welfare, (2011), whentreating offenders, and applied the section on Psychiatric Disorder on Drug and Substance Abuse, whenfacilitating the treatment of offenders with illicit drug use problems.
Recognizing that each statute is an essential part of the successful treatment of offenders, it is fair tomention that the following statutes such as the Abuse of Dependence Producing Substance and Rehabilitation
Centres Act, Act 41 of 1971, Mental Health Act, Act 18 of 1973, National Health Act, Act 2 of 2015 and the
Namibia Correctional Service Health Policy, 2016 have been well integrated resulting in the timely treatmentof illicit drug users and the general offender population. Furthermore, the provision of laws supporting
offender rehabilitation service delivery has improved, and initiatives such as commemorating International
Day against Drug Abuse and Illicit Trafficking has been conducted in correctional facilities with the supportof the United Nation Office on Drugs and Crime and the Ministry of Health and Social Welfare to name a few.
In regard to offenders released from correctional facilities whose risks and needs were not fully addressed
prior to release, there are provisions to attach conditions to their remission or parole release, which may
require them to attend aftercare programmes in the community, such as joining Circle of Friends, Blue Cross
and religious community support groups.

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F. Challenges and Possible Solutions to Improving Treatment for Offenders with Illicit Drug Use
Problems
The NCS is faced with internal and external challenges that affect the process of effective treatment. Theinternal factors affecting the treatment of illicit drug users is the effective responsivity to treatment, as
offenders may not be willing to disclose their drug use problem for fear of persecution or stigmatization.
Treatment may fail due to offenders concealing critical information that would improve their response to
their drug use treatment. However, the NCS has implemented rehabilitation and recreational activities thatcreate platforms for educational campaigns on topics such as drug abuse within correctional facilities andcommunity outreach programmes. The UNODC and the Ministry of Health and Social Welfare have been
supportive in commemorating days such as the No Tobacco Day, International Day against Illicit Drug Use
and Trafficking and World Suicide Day. Furthermore, the professional staff has provided support to offenders
through individual and group therapy treatment within the correctional facilities.
The external challenge is the limited rehabilitation centres in the country, as Namibia currently has
Etagameno Resource and Rehabilitation Centre, which is a state owned and Okonguarii Psychotherapeutic
Centre that is privately owned. Hence when offenders are released and require further treatment inrehabilitation centres, this often does not materialize because the state-owned centre can only admit 80
individuals on an annual basis between the ages of 18-39, while the private centre is costly for most offenders.
Furthermore, it case of intensive care, the country only has one fully staffed mental health centre with a bed
capacity of 200, while 70 beds are allocated to the Namibian Correctional Service, functioning as a forensic
mental health centre. Thus, for a population of 2.5 million, the available services are not able to address thedemand for treatment.
Based on the above, stakeholders such as the Ministry of Health and Social Welfare that is responsible forthe state-owned rehabilitation centre, has introduced alternative treatment programmes, such as the
Resource Centre that offers day treatment programmes, prevention programmes and aftercare programmes
offered by social workers. In addition, 19 aftercare programmes were active in the regions, offering
immediate support to offenders in their regions.

IV. CONCLUSION
The Namibian Correctional Service has been able to provide essential treatment to offenders with illicit
drug dependency problems in accordance with its philosophy of rehabilitation. Furthermore, collaboration ofstrategic partners in the Criminal Justice System, Health Care and Social Welfare Sector has been the driving
force to the implementation of the Offender Risk Management Correctional Strategy.
The strategyʼs effective treatment of illicit drug users in corrections is greatly reliant on continuous multidisciplinary cooperation, because with the establishment of these partnership areas, research is improved asdata is obtained and can direct future reforms, which are in line with the Namibian Correctional Serviceʼs
evidence-based approach.
Recognizing the challenges in treatment provision, the service has invested greatly in educational andvocational skills training, with the aim of improving literacy levels and increasing opportunities to accesscognitive rehabilitation programmes that address the criminogenic factors of individual offenders.
Furthermore, understanding that treatment is a continuous process, the service also invested in employing
Community Supervision Officers with social sciences backgrounds, to supervise and provide motivational
support during the reintegration phase. In doing so, officers would be able to review progress and based ondata collected, the service would assess the effectiveness of the programmes currently available in the
Namibian Correctional Service and if need be review or introduce new programmes based on best practices
from other countries.
It is realized that the Namibian Correctional Service is still in the phase of transformation, as the goal is to
reduce recidivism; however the milestones achieved thus far are much appreciated because implementing
the strategy was a taxing expenditure on the Namibian country. However, the advocacy for rehabilitation
supersedes any cost, because the country gains individuals that are able to contribute to national
development.

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REFERENCES
Andrews, D.A, Zinger, I., Hoge, R. D., Bonta, J. Gendreau, P. Cullen, F. T. (1990). Does Correctional Treatment
Work? A Clinically Relevant and Psychologically Informed Meta Analysis. 369-404.
Chiremba, W. Nafuka, N.E and Martin, M. (2012). Implementing a Risk Management Correctional Strategy:
The Transformation Journey of the Namibian Correctional Service. Paper Presented at the African
Correctional Service Association 2nd Biennial Conference in Kampala, Uganda, October 2012 and theInternational Corrections and Prisons Association 14th AGM and Conference in Mexico City, Mexico,
October 2012. http://www.researchgate.net/publication/273124879
Maruta, S. M (2015). Statement Paper at the 13th United Nations Congress on Crime Prevention and Criminal
Justice H. E. Simon M. Maruta Ambassador and Permanent Representative of Namibia to the United
Nations Office. April 2015. www.undoc-org/documents/congress/documentation/HLSstatements/transfer/namibia
Ministry of Health and Social Sciences. (2011). Namibia Standard Treatment Guidelines. 550-551 http://www.
mhss.gov.na
Ministry of Health and Social Services. (2017). Statistics on substance use related admissions for 2017, Mental
Health Centre, Windhoek Central Hospital
Nafuka, E. N. & Kake, P. (2015). Acta Criminogenica: Southern African Journal of CriminologyImplementation of the Offender Risk Management Correctional Strategy (ORMCS): from a punitive to arehabilitative approach. 101-113 http://journals.co.za/content/crim/2015/sed-1/EJC179743
Nakuta, J and Cloete, V. (2011). The Justice Sector and the Rule of Law in Namibia https://www.nid.org.na>
images>pdf
Namibian Correctional Service. (2016). Namibian Correctional Service Health Policy. Namibia.

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ILLICT DRUGS AND TREATMENT OF OFFENDERS IN SRI LANKA
Nishantha Shanthilal Hapuarachchi＊

I. INTRODUCTIONth

On 20 November 2004, it was another day for the Capital of Colombo, in Sri Lanka. In the afternoon,
there was widespread news throughout the country, that a High Court Judge was shot dead. The whole
judiciary and the People of Sri Lanka were stunned by this news because this had never happened before.
SarathAmbepitiya was a Sri Lankan judge, serving as the Judge of the Colombo High Court when he wasassassinated. The assassination, planned by a drug lord, Mohammed NiyasNaufer alias PottaNaufer,sentenced by the Judge, gripped the nation and forced the government to crack down on drug trafficking andorganized crime.
He was shot dead by assassins at his home along with his bodyguard, Police Inspector UpaliBandara, on
November 20, 2004. At the time of his death he was one of the most senior Judges of the High Court and was
expected to be promoted to the Court of Appeal. The Chief Justice described Ambepitiya as “the most fearlessjudicial officer we had. His death is a great loss to the judiciary”.
Later on, five men were indicted over the murder of Ambepitiya. This included the alleged mastermind,
Mohammed NiyasNaufer alias PottaNaufer on charges of conspiracy to commit murder; and SujithRohanaRupasinghe, SumindaNishantha, Udara Perera and Lasantha Kumara, who were alleged to havecarried out the murder. On July 4, 2005, amid high security and following a three-month trial, a High Court
Trial-at-Bar reached a unanimous verdict finding the five men guilty of murdering Ambepitiya and his
bodyguard. All five were sentenced to death by hanging; this sentence was affirmed by the Supreme Court of
Sri Lanka on appeal1.
This assassination indicates the illicit drug trafficking in Sri Lanka is strong and lucrative. The culprits arein the mafia and ready to do anything to gain their profits and potential hindrances to be eliminated, so theyassassinated the Drugs Court Judge in Colombo. With this background, the treatment of illicit drug offenders
should be considered.

II. WHAT ARE ILLICIT DRUGS?
In Sri Lanka, illicit drugs are called “Dangerous Drugs”. This regime is governed by several Ordinancesand Acts and Gazettes of Parliament namely;








Customs Ordinance No. 17 of 1869
Poisons, Opium and Dangerous Drugs Ordinance No. 17 of 1929
Cosmetics, Devices, and Drugs Act No. 27 of 1980
Conventions against Illicit Traffic in Narcotic Drugs and Psychotropic Substances Act No 1 of 2008
Precursor Control Authority Regulations, Gazette Extraordinary 1653/7 May 10th 2010
Tobacco Tax Act No. 8 of 1999
Tobacco Tat Act Regulations, Gazette Extraordinary 1610/28 17th July 2009

In section 48 (1) of Poisons, Opium and Dangerous Drugs Ordinance No. 17 of 1929 defines the Danger
Judge, Civil Appellate High Court of Galle, Sri Lanka.
https: //en. wikipedia. org/wiki/Sarath_Ambepitiya (accessed on 27-05-20180 and Supreme Court Judgement, THE
ATTORNEY-GENERAL v. POTTA NAUFER AND OTHERS (AMBEPITIYA MURDER CASE) [2007] 2 SLR 144＊
1

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Poisons, Opium and Dangerous Drugs Ordinance No. 17 of 1929, which says;“(1) the drugs, substances, articles or preparations, specified for the time being in Groups A, B, C, D and
E in Part I of the Third Schedule, shall be deemed to be dangerous drugs;”
Thus, the Poisons, Opium and Dangerous Drugs Ordinance of 1929 which has undergone many
amendments, most recently in 1984 (Act no. 13) is the principal statutory enactment regulating poisons,opium and dangerous drugs in the country. Part I, third schedule of this ordinance provides a wide range of
dangerous drugs which are not listed here. In the category B, is the most dangerous drugs are scheduled.
This list includes heroin, cocaine, morphine or opium and various other illicit drugs. Other statutes with
provisions relating to drugs include:

The Penal Code (Ordinance no. 2 of 1983 as subsequently amended) in particular Chapter 14 which
covers public health and safety.



The Cosmetics, Devices and Drugs Act (Act no. 27 of 1980, as amended by Act no 38 of 1984) The
Act regulates the manufacture, sale and distribution, labeling and advertising of all commercial
drugs.

The Ayurveda Act (Act no. 31 of 1961 as amended by Act no 5 of 1962) entitles ayurvedic physicians
to obtain opium and ganja for manufacture of their medicinal preparations.



The Customs Ordinance (Ordinance no. 17 of 1869, as subsequently amended) schedule B of thisordinance contains lists of substances with prohibitions and restrictions on both import & export.

III. STATUTORY REGIME
Section 52 of the Poisons, Opium and Dangerous Drugs Ordinance states: ʻNo person shall obtain or havein his possession any dangerous drugʼ. This provision establishes that a dangerous drug is an illicit drug byprohibiting use. Hence, possession of dangerous drugs creates an offence. Section 52(2) creates an offence forillicit users of dangerous drugs.
Section 53 discusses the manufacturing of drugs. It strictly prohibits manufacturing or carrying on any
process in the manufacture of any dangerous drug.
Section 54 of the Poisons, Opium and Dangerous Drugs Ordinance prohibits administering, selling,
supplying, or procuring or offering to sell, supply, or procure any dangerous drug to or for any person,
whether in Sri Lanka or elsewhere, or advertise any such drug for sale, except as permitted by, or otherwise
than in accordance with, the provisions of the Ordinance and a licence in that behalf from the Director.
Section 54A establishes the death sentence or life imprisonments for manufacturing of heroin or cocaine
or morphine or opium. Manufacture and trafficking are defined as follows:“manufacture” in relation to a dangerous drug includes any process of producing such drug and therefining or transformation of one drug into another;“traffick” means(a) to sell, give, procure, store, administer, transport, send, deliver or distribute;or(b) to offer to do anything mentioned in paragraph (a)Section 78 of the Ordinance imposes the penalty of other than a person guilty of an offence under section
54A. it says;(a) on summary conviction by a Magistrate, to a fine not less than one thousand rupees and not exceeding
ten thousand rupees or to imprisonment of either description for a period not exceeding five years or toboth such fine and imprisonment;(b) on conviction before the High Court, to a fine not less than ten thousand rupees and not exceeding86170TH INTERNATIONAL TRAINING COURSEPARTICIPANTSʼ AND OBSERVERSʼ PAPERS

twenty-five thousand rupees or to imprisonment of either description for a period not less than six
months and not exceeding seven years, or to both such fine and imprisonment”.
It is apparent that the penalties for drug offences now range from fines to death or life imprisonment. The
penalty of death (which Sri Lankan courts have interpreted as non-mandatory) or life imprisonment accrues
for manufacture of heroin, cocaine, morphine or opium and the trafficking, possession, import or export of aminimum amount of (a) 500 grams of heroin (b) 3 grams of morphine (c) 2 grams of cocaine or (d) 2 grams ofheroin. Less severe offences including the regulatory ones warrant sentences of fines or imprisonment, theamount of the fine or the length of imprisonment depend on the quantity of drug, the gravity of the offence
and the courts having jurisdiction. It should also be noted that no bail be granted on pending inquiry except
for special circumstances2.

IV. WHY SRI LANKA IS A HOT SPOT FOR ILLICIT DRUGS AND TRAFFICKING
The most significant drug problem is the trafficking of heroin from India for local consumption. In thisregard, Sri Lanka serves as a transshipment hub for heroin trafficked into the country mainly from Indian
locations. The reason being for this is the long-standing violence (Civil War) and political tension has
diminished the ability of law enforcement to address drug trafficking concerns adequately. It was debatedwhether some powerful politicians are behind and involved in drug trafficking which handicaps the
combating of drugs.

V. COMBATING THE DRUG MENACE
In Sri Lanka, the National Dangerous Drugs Control Board, (NDDCB) is the pioneer government
institution which discharges its functions with an aim to eradicate the drug menace from Sri Lanka. Amongthe other functions, providing treatment to the drug dependants and rehabilitation of drug dependants aremain roles of the NDDCB. Four treatment and rehabilitation centres are being conducted under the purview
of the board throughout the country with greater focus in Colombo, Kandy, Galle and Gampaha Districts.
Counselling service and residential treatment facilities are being provided for the drug addicts at thesetreatment centres.
In response to the growing drug problem in Sri Lanka in the 1970s, a National Narcotics Advisory Board
was established by the government in 1973 to co-ordinate the control measures. This was an ad-hoc
committee chaired by the deputy minister of Defence and consisting of representatives from various
ministries, departments and NGOs. The authority of the board, as implied in its name, was advisory infunction and scope.
In the early 1980s the government, having realized the seriousness of the problem, and in keeping withthe obligations imposed by the 1961 single convention on narcotic drugs, initiated the process of formulating acomprehensive national policy to reduce drug abuse, and to draft legislation for the establishment of a
National Dangerous Drugs Control Board3. Thus, NDDCB is the main combating and rehabilitation agency in
Sri Lanka.

VI. ARRESTS RELATING TO DRUG OFFENCES
The total number of persons arrested for drug-related offences was 8,570 from January to June 2015. Of
the persons arrested 1,795 were heroin users. 21% percent of the persons arrested were aged between 30 and
34 years.
Of the reported arrests, the majority (2,350) were arrested from Colombo District. When considering allarrests, 38% were from Western Province. Among the reported persons, 99% were male and 1% were female.
Of the persons reported 5, 732 (67%) were married and 2, 804 (33%) single. Among the total drug-relatedarrestees, 58% had studied between year 5 and 10. The prevalence of drug related arrests per million
Vide section 83(1) ʻNo person suspected or accused of an offence under section 54A or section 54B of this Ordinance shall be
released on bail, except by the High Court in exceptional circumstances.ʼ3
http://www.nddcb.gov.lk/aboutus.html
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population, based on 2012 provisional data of census among ethnic groups, Sinhalese were 476,Tamils 204,
Moor 333, Malay 270 and Burgher were 261 during the first half of year 2015. The prevalence rate of drugrelated arrests per million population among religions: Buddhists were 492, Hindus 211, Islamic 321 andChristians 235 during the first half of the year 20154.

(Source http://www.nddcb.gov.lk)
The statistics show that cannabis is the mainly used drug and heroin takes second place. 86% are users,
1% are traffickers and 3% are sellers. It should be noted 7% are drug-addicted persons. These are the people
who need rehabilitation. The 2017 and 2018 statics are not documented and published by NDDCB.

VII. TREATMENT OF ILLICIT DRUG USERS AND OFFENDERSAs previously discussed, the sentences are harsh on drug manufacturing and trafficking. Thus, they are
subjected to mandatory custodial sentences. However, those in possession of illicit drugs as users will gettreatment from rehabilitation in centres on a court order.
The total number of drug users reported from treatment facilities during the first quarter of 2016 was419. Within the period, the number of drug users has increased by 39%, compared to that of 2015. 48% of thetotal reported drug users were from the government (NDDCB) treatment facilities, 42% was from the prison
drug treatment and rehabilitation programme and 10% has reported from NGOs. The prisoner diversion
programme changed in 2011 due to enactment of drug dependents (treatment and rehabilitation) act No. 54,
2007 to implement compulsory treatment facilities in Sri Lanka. Under the above act, an exclusive treatment
programme has been designed for prisons for drug related offenders. The majority of reported drug users
had received institutional treatment facilities and among the treatment admissions 47% was from Colombo
district. When considered the entire treatment admissions, 65% was from Western Province.
414 male drug users were admitted to the treatment during this period. The number of male drug users
reported during this period had increased compared to the corresponding period of 2015. Only five females
were obtained treatment during the period.
Among the total drug users, 37% had chased the drug and 41% reported eating or drinking it. 21% of the
drug users smoke the drug. Of the persons reported 192 (46%) were single and 207 (49%) were married. Of thetotal 230 (55%) had studied between year 5 and 10.
The prevalence of drug users reported from treatment facilities per million population based on 2012
estimated of census, among the ethnic groups Sinhalese was 23, Tamil 10, Moor 19, Malay 23 and Burger 52

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Statistical report on drug related arrests in Sri Lanka (DAMS arrest report) - Volume 49.

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during the first quarter 2016. The prevalence rate of drug users per million population among Buddhists was
22, Hindu 7, Islamic 20 and the Christians 26 was represented during the corresponding quarter5.

(Source http://www.nddcb.gov.lk)

VIII. RATE OF ADDICTION
The Dangerous Drugs Control Board has said over 250,000 youth of Sri Lanka are addicted to drugs. The
Chairman Professor Ravindra Fernando said close to 50,000 youth are found to be addicted to heroin alone.
He also said that about 2,500 youth are annually subject to rehabilitation from drug addiction6. It is so pathetic
that youths of the country have engulfed with drug menace. The youth are the future of the country and thereform and rehabilitation while combating the illicit drugs are essential.

IX. TREATMENT PROGRAMME
In taking treatments, a client needs to stay three months at the centre for residential treatment. After the
residential period is over the client is required to enroll into the relapse prevention programme.
Parents/guardians are required to assist the clientʼs recovering process and help to cope with uncomfortablefeelings. Wherever possible, the residential programme incorporates activities and experiences consistent
with normal lifestyles. The clients will have a formal treatment programme during week days, lessstructured activities in evenings and on weekends. Daily activities include individual and group counsellingsessions, educational programmes, care and maintenance of the centre, work projects such as landscaping,

5
6

Statistical report on drug dependents from treatment agencies (DAMS treatment report) - Volume 100 - 1st quarter 2016
https://www.newsfirst.lk/2017/07/250000-youth-sri-lanka-addicted-drugs/(accessed on 27-05-2018)89

RESOURCE MATERIAL SERIES No. 107

creative pursuits such as pottery, welding work, carpentry and drama, stress management activities likemuscle relaxation, meditation and recreation. Television and newspapers are available for residents.

X. ABOUT CENTRESThe centre consists of counselling rooms, office buildings, vocational training units, kitchen and dining hall(s). Those are located in easily accessed and free locations. The centres provide basic but clean and hygienic
accommodation, a balanced diet, in-door and out-door recreational facilities, a group of friendly and trained
staff. The treatment programme consists of medical attention, counselling, behavioural therapy, vocational
training, in-door and out-door recreational activities. The treatment needs of each person are assessedindividually.
The centres are managed by a resident manager with a trained and well experienced counsellor, assistantcounsellors and members of treatment staff who take care of the residents. The counsellor would personally
talk to parents, spouses or guardians on admission of the client to the centre and would take them around toshow the facilities provided at the centre. There is a monthly get-together at the centre for clientʼs parents,
spouses or guardians.
Main Private Community Counselling Centres in Sri Lanka“Siyapatha” Counseling Centre
Old Ceylon Buddhist Congress Complex
Bauddhaloka Mawatha
Colombo 07
Tel : 011 309 1394

Sri Lanka Maha Bodhi Counseling Centre
Sri Lanka Maha Bodhi Society
No. 130, Maligakanda Rd, Maradana
Tel : 011 267 7626 / 011 493 50777

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XI. CASE STUDIESThe author of this document is working as a judge of Southern Province in Sri Lanka. Thus, his two casestudies are based in Southern Province. One case was on imperative rehabilitation (Compulsory) and theother case study was on voluntary rehabilitation. It is understood that rehabilitation centres are divided into
those run by the government and private-sector run facilities by NGOs8. This area is governed by the Drug
Dependant Persons (Treatment and Rehabilitation) Act, No. 54 of 2007. The Act provides voluntary9 andcompulsory treatment10 facilities in Sri Lanka. Under compulsory treatment, the person must be convicted
for a drug-related offence. The section 10(4) said Act states as follows;“Where a person is convicted and sentenced for any offence under the Poisons, Opium andDangerous Drugs Ordinance (Chapter 214) and the Court convicting such person is satisfied by evidenceon oath led before such Court that such person is a drug dependant person, the Court may, commit theperson so convicted to a Treatment Centre for such period of time as may be determined by Court taking
in to consideration the degree of dependence of such person. Such period of time may be extended on
application made by the Director of the Treatment Centre to which such person is committed. The
circumstances on which the extension is requested should be sufficient in the opinion of the Court tonecessitate such extension”

XII. STORY OF SUDATH
Nanayakkarawasam Masachchi Sudath Dhammika, 36 years, is married and having one child. He and hiswife run a fruit selling business in Sandarawala. The author interviewed him after release of undergoing therehabilitation in Kandakaduwa Rehabilitation Centre which is situated in Polonnaruwa. According to Sudath
he tried heroin to get sexual ecstasy. One of his friends told him that heroin gives a long lasting sexualpleasure, and it is a kind of treatment for premature ejaculation. His maiden taking of heroin was a bitter
experience because he vomited after taking it. He said he had gone blank. But he said that at initial stages
there was a prolonged sexual intimacy but it lasted two to three months. When he tried to stop the habit, heunderstood that he could not and he is addicted to heroin. He stole money from his own fruit stall. His wife
was curious how the business was losing money. While on heroin, Sudath was caught by a Baddegama Police
Official. He was convicted on 21-03-2016 by Baddegama Magistrate since he had no previous convictions only
Rs. 10,000/= was fined. No rehabilitation was done this time. Sudath said when he came out after paying thefine, again, he could not stop the bad habit and the feeling was unbearable. His body was pleading for heroin
all time. He said that sometimes he spent Rs.12, 000/= per day for heroin as 5mg heroin packet was Rs. 1000/=. His day to day family life was ruined and he got caught for second offence on 03-04-2017. Then he wascharged for possession of heroin 20mg11. This time, a full medical report was ordered and from the report,
Sudath was identified as drug dependant. Thereafter, Sudath was sent for rehabilitation for 12 months at
Kandakaduwa.
Sudath says that it was a blessing in disguise; though he had to separate from the family, he managed toreform and come back to society as a worthy person. He said the first six months was for rehabilitation andsecond 6 months for training. He said that at Kandakaduwa Rehabilitation Centre, he learned masonry. He
said while he was in the camp, his wife developed the fruit stall and he is doing masonry and has no bad
habits. He said that now he is completely out of bad habit thanks to rehabilitation.

By the Section 3 of Drug Dependant Persons (Treatment and Rehabilitation) Act, No. 54 of 2007
By the Section 9 of Drug Dependant Persons (Treatment and Rehabilitation) Act, No. 54 of 200710
By the Section 10 of Drug Dependant Persons (Treatment and Rehabilitation) Act, No. 54 of 2007
11
Extracted details from case record No. 94185 (B/172/2017).
8
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RESOURCE MATERIAL SERIES No. 107(Sudathʼs fruit stall)(The author was interviewing Sudath while he was working (applying potty, it is evident that masonrytraining of Kandakaduwa has changed Sudathʼs life))

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Sudath was completely rehabilitated. He was rehabilitated at Kandakaduwa Camp which is run by the
Bureau of the Commissioner General of Rehabilitation under the patronage of the Ministry of Prison Reforms,
Rehabilitation, Resettlement and Hindu Religious Affairs. According to the sources, drug addicted persons
mainly undergo rehabilitation at Kandakadu Centre in Polonnaruwa. It is a rehabilitation centre of youth
addicted to drugs at a secure residential facility. It is a place for those who are convicted and remanded for
drug abuse, drug trading and possession. These individuals will be subjected to the rehabilitation programmeaccording to their levels of education, social and economic backgrounds. They will be put throughpsychological therapy that will assist them to gradually get rid of their addiction. Through the variation of theenvironment and a conducive surrounding, and the continued medical therapy, it is expected that these
individuals will within the stipulated timeframe be able to rid themselves of their addiction. The following
training and courses are given at Kandakaduwa12.
DETAILS OF VOCATIONAL TRAINING PROGRAMMES Plumbing Course Carpentry Course (Building) Carpentry Course (Furniture) Computer Course House Wiring Course
 Masonry Course Aluminium Fabrication Course Welding Course
DETAILS OF VOCATIONAL ORIENTATION TRAINING PROGRAMMES Dhamma Anuradha Meditation Programme Brahma Kumaris Yoga Centre Meditation Programmes
 Aesthetics/Drama Therapy Programmes
 Spiritual Development Programme Sports Activities Leadership and Personal Development Programme Language Training (Sinhala, Tamil & English) Counselling & Mentorship Programme Mental Health Programme Yoga Programme Bakery Products
 Footwear Manufacturing Training Programmes
 Bag Manufacturing Training Programmes Leather Goods Manufacturing Training Programme Food Technology
 Precast Components Manufacturing Training Self-Employment Development
 Animal Products Coconut Cell Products
It is seen huge rehabilitation is done under this institution. The following are the details:
Details of Reintegrated Drug Offenders as at February 201713
Reintegrated Drugs Offenders-District Wise
S/N

12
13

DistrictLess
than 20

21-30

31-40

41-50

Above
50

Not
Known

Total

1

Colombo

02

142

290

184

91

11

720

2

Gampaha

04

164

140

43

20

04

357

http://www.bcgr.gov.lk/programsdrugaddicts.php, accessed on 07-08-2018
http://www.bcgr.gov.lk/reintegrated_drugs.php accessed on 07-08-2018

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RESOURCE MATERIAL SERIES No. 107

3

Kalutara

01

25

50

22

10

04

112

4

Kurunegala

01

37

31

09

01

02

81

5

Puttalam

02

26

18

03

02

01

52

6

Anuradhapura

-

13

15

06

-

-

34

7

Galle

-

12

06

03

02

-

23

8

Kandy

-

09

16

-

01

-

26

9

Kegalle

-

13

04

-

01

-

18

10

Hambantota

-

07

14

02

01

-

23

11

Ratnapura

-

04

01

05

01

01

12

12

Polonnaruwa

-

05

01

02

-

-

08

13

Trincomale

-

-

01

03

03

-

07

14

Badulla

-

-

01

05

-

-

06

15

Ampara

-

01

02

-

02

-

05

16

Matara

-

02

01

-

01

01

05

17

Monaragala

-

01

-

-

-

-

01

18

Nuwara Eliya

-

01

01

-

-

-

02

462

592

287

135

24

1510

Total

Employment Summary of Monitored Drug Offenders
S/N

94

Details

Total

1

Monitored

492

2

Unemployment

71

3

Labour97

4

Masonry

35

5

Fisheries

126Foreign Employment

17

7

Self Employment

24

8

Farming01

9Carpentry

05

10

Private Sector

25

11Painter

14

12

Mechanic

20

13

Driver32

14

Security Sector

08170TH INTERNATIONAL TRAINING COURSEPARTICIPANTSʼ AND OBSERVERSʼ PAPERS

15

Small Business

27

16

Jailed/Unknown Residencies/Others

104

Apart from that, the author also examined the detection details of Galle Police Division in Southern
Province. The details are as follows;
Period of 01.01.2018 to 30.06.2018 on illicit Drug detections in Galle Police Division.14
Ref. No:

Police Station

Indian Hemp cases(Ganga/Kansa)

Heroin cases

01

Galle

238

362

02

Hikkaduwa

132

48

03

Rathgama

82

58

04

Habour

62

56

05

Habaraduwa

102

62

06

Ahangama

28

22

07

Imaduwa

22

06

08

Akmeemana

46

67

09

Waduramba

12

05

10

Poddala

32

22

11

Yakkalamulla

08

-

12

Udugama15-

13

Nagoda22

07

14

Hiniduma

46

-

15

Neluwa

19

-

Total

866

715

This table shows though the rehabilitation is done, on the other hand, the addiction is also growing
drastically.

XIII. PLIGHT OF NON-DETECTION OF DRUG OFFENDERSDrug addiction is a jealous mistress; it always demands money. Thus, if offenders are safe in society, it isobvious the crime rate will increase. It ranges from Murder to minor thefts. Rehabilitation is the only solution
to curb the increasing tendency towards drug addiction. To initiate rehabilitation, all Judges were directed by
the Secretary to the Judicial Service Commission to send the convicts for drug cases for rehabilitation at
Kandakadu Centre15 for a maximum period of one-year mandatory rehabilitation. During rehabilitation the
courts are empowered to call progress reports of the detainees/offenders. It is seen that this mechanism isdoing well as Baddegama Magistrate ordered 71 illicit drug users for rehabilitation at Kandakadu in the firsthalf of this year (2018)16. The Officers in charge of Baddegama, Nagoda, Thelikada, Poddala and Wanduraba
1415

Extracted from field notes of the author.
Vide JSC Circular No 382

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RESOURCE MATERIAL SERIES No. 107

Police station say that the crime rate has rapidly come down due to rehabilitation of illicit drug users in atimely manner17.

XIV. VOLUNTARY REHABILITATIONThe Author visited the voluntary rehabilitation camp in Unawatuna which is run by National Dangerous
Drug Control Board. The Manager of the Prevention, Treatment and Rehabilitation Center of Unawatuna
informed the Rehabilitation is based on following methods;











Therapies of re-examining past experiences
Rational emotional therapy
Role-play therapy
Reversal therapyLife skill development therapy
Motivational therapy
Psychoanalysis
Affect therapy
Self-esteem building therapy
Self-confidence building therapy

The Rehabilitators should undergo a daily routine according to a time table. The duration forrehabilitation is two months which is not sufficient according to the Manageress of the Centre. It is observed
therefore no detainees were sent through the courts as the short period of rehabilitation was given. Thus, thisinstitution is mainly for voluntary rehabilitation. The author interviewed one detainee who came forvoluntary rehabilitation at the Unawatuna Centre.
Mudalige Rananath Gunawardene of Tewatta Road, Ragama, 31 years old, married, worked in the Middle
East and had earned a considerable amount of money. When he returned home, he started working as a
Medical Representative. His addiction to heroin started due to peer pressure and on the destined day, hewent to a funeral home for a sleep over. He had a chance to use heroin which was given by a friend who cameto the funeral home. First he vomited but later on his body demanded to take heroin. He spent Rs 3000/= per
day and he borrowed money to buy heroin. Then, his wife realized the change of behaviour of her husband
and questioned him. Then, he told her that he was addicted to heroin. After a long discussion, they decided toundergo rehabilitation in Unawatuna.

(Images of Unavatuwna Centre)
Rananath says that he is confident that he could escape the addiction. In the meantime, the author
inquired the Magistrate of Galle and he said that he is personally against the forceful rehabilitation as it is
The author refers the Hon Judgeʼs Report dated 20-07-2018 in this regard.
Separate Police Reports were sent to the author thought the Magistrate of Baddegama confirming the deduction of crime
rate.

16
17

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against the human rights of the prisoners. It is seen that the Section 10 of Drug Dependant Persons(Treatment and Rehabilitation) Act, No. 54 of 2007 imposes a burden on the court for mandatory
rehabilitation, yet some judges are reluctant to implement those provisions stating it is unconstitutional.
However, the author inquired prison authorities and they say they have informal programmes outside theprison for rehabilitation. The author noted that repeat offenders can be found in the prison for drug addiction.

(Author questioned a drug addicted and convicted prisoner and he said he is not undergoing rehabilitation
which is unfair by him and society wise)

XV. CONCLUSION
Sri Lankaʼs experience in dealing with drugs of abuse and with the drug abuse problem is unique in many
ways. From the sixteenth century until the middle of the twentieth century, the colonial powers regulated theuse of opium as a revenue earning measure. Since independence was achieved in 1948, various measures havebeen taken to scale down the abuse of opium, cannabis and certain psychotropic substances, but not all these
efforts have been successful. In the wake of thirty years of ethnic problems (LTTE civil war), there has been
an increase in the involvement of Sri Lankan nationals in smuggling drugs across national frontiers. The
absence of a comprehensive national policy on drug abuse has been a major constraint on law enforcement
and the development of interventions for education, treatment, rehabilitation and crop substitution. Sri Lankais fortunate to have a rich tradition of networks of non-governmental organizations and religious institutions,and these can be mobilized to discourage and rehabilitate the use of intoxicating drugs and alcohol18.
Mostly the offenders and victims of drug users are youth of the country. The Royal Park Murder case19
gives ample opportunity to rethink how horrendous the addiction of drugs is. The sale of drugs to youngsters
who frequent night clubs in Sri Lanka has led to many violent crimes. The Royal Park murder is one such
instance where a young girl died at the hands of her boyfriend in a most brutal manner. The trial court
sentenced the culprit to 12 yearsʼ imprisonment but on appeal it was converted to the death sentence. Bothoffenders and the victim were youngsters. The senseless murder of Bharatha Lakshman Premachandra,
former Member of Parliament, and Director General of Trade Union Affairs on the streets of Mulleriyawa
has been attributed to a feud that erupted due to a conflict of opinion on the drug trade as has been reported
recently in the media. The culprit, Duminda Silva, Member of Parliament, is sentenced to death.
In a spiritual manner, drug dealing is one of the greatest sins. Whether a dealer, distributor or user, therepercussions are severe and unthinkable. By using drugs the mind becomes unsound and lunatic. It is said asa result of drug addiction, oneʼs next birth, if born as a human, will be a lunatic with no conscious mind. Lord
Buddha has said that the sin follows the sinner as the cartwheel follows the bull tied to the cart. There is no18
19

Jayasuriya DC., Med Law. 1995; 14(1-2): 37-43., PMID: 766674
http://www.thesundayleader.lk/archive/20060730/spotlight.htm (accessed on 29-05-2018)

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RESOURCE MATERIAL SERIES No. 107

escape, whatsoever in this world or the next to the wrongdoer, who will face punishment inevitably20.
Bibliography
Statutes and Regulations
 The Ayurveda Act (Act no. 31 of 1961 as amended by Act no 5 of 1962
 Cosmetics, Devices, and Drugs Act No. 27 of 1980
 Conventions against Illicit Traffic in Narcotic Drugs and Psychotropic Substances Act No 1 of 2008
 Customs Ordinance No. 17 of 186
 The Penal Code (Ordinance no. 2 of 1983 Precursor Control Authority Regulations, Gazette
Extraordinary 1653/7 May 10th 2010
 Poisons, Opium and Dangerous Drugs Ordinance No. 17 of 1929
 Tobacco Tax Act No. 8 of 1999Tobacco Tat Act Regulations, Gazette Extraordinary 1610/28 17th
July 2009
Law Reports
 THE ATTORNEY-GENERAL v. POTTA NAUFER AND OTHERS (AMBEPITIYA MURDER
CASE) [2007] 2 Sri Lanka Law Reports 144
Books, Journals and Articles
 Dhammapada, CHAPTER I., THE TWIN-VERSES. 1st stanza, Oxford, the Clarendon Press [1881]
Vol. X of The Sacred Books of the East
 Jayasuriya DC., Med Law. 1995; 14(1-2): 37-43., PMID: 766674
 Statistical Report on drug dependants from treatment agencies (DAMS treatment report) - Volume
100 - 1st quarter 2016
 Statistical Report on drug related arrests in Sri Lanka (DAMS arrest report) - Volume 49
Web Access http://www.thesundayleader.lk/archive/20060730/spotlight.htm (accessed on 29-05-2018)
 http://www.nddcb.gov.lk/aboutus.html
 https://www.newsfirst.lk/2017/07/250000-youth-sri-lanka-addicted-drugs/ (accessed on 27-05-2018)
 https: //en. wikipedia. org/wiki/Sarath_Ambepitiya (accessed on 27-05-20180 and Supreme Court
Judgement,

Dhammapada, CHAPTER I., THE TWIN-VERSES. 1st stanza, Oxford, the Clarendon Press [1881] Vol. X of The Sacred Booksof the East “If a man speaks or acts with an evil thought, pain follows him, as the wheel follows the foot of the ox that draws thecarriage.”
20

98

TREATMENT OF ILLICIT DRUG USERS IN HONG KONG
Lam Yuen Tak＊

With the mission of protecting the public and reducing crime, Hong Kong Correctional Services
Department (CSD) safeguards the integrity of the criminal justice system by identifying itself as “Societyʼs
Guardian”, “Rehabilitation Facilitator” and “Community Educator”. CSD aims at helping persons in custody(PICs) reintegrate into society as law-abiding citizens after discharge. The success of their re-integration
depends on four critical success factors, namely 1) safe custody, 2) effective and timely rehabilitation
programmes, 3) determination of offenders, and 4) community support for offendersʼ rehabilitation.
CSD, as a statutory department, provides compulsory residential addiction treatment under the order of
Court. We, in accordance with illicit drug usersʼ weakness and shortcomings, implement integrated andappropriate rehabilitation programmes ranging from pre-sentence assessment and custodial rehabilitation
programmes to statutory supervision after discharge.
In order to promote messages of “leading a law-abiding and drug-free life as well as supporting offender
rehabilitation” to the society, CSD also endeavours to communicate with various stakeholders in thecommunity such as leaders and professionals from different walks of life for arranging different kinds ofcrime prevention activities. To optimize the long-term development of rehabilitation programmes for a safe
and inclusive Hong Kong, CSD will also conduct possible research project to assess effectiveness of its
programmes.

I. INTRODUCTION
Hong Kong Correctional Services Department (CSD) carried out the paradigm shift from a penal regime
to a correctional system as signified by renaming the Prisons Department to the Correctional Services
Department in 1982. We, as the gatekeepers of the last element of the criminal justice system, aim to be aninternationally acclaimed Correctional Service helping Hong Kong to be one of the safest cities in the world.
Our mission is to protect the public and reduce crime. To achieve it, we identify ourselves as “Societyʼs
Guardian”, “Rehabilitation Facilitator” and “Community Educator”. We are tasked with great responsibilities
of upholding our core values by providing a secure, safe, humane, decent and healthy environment for persons
in custody (PICs) as well as working in collaboration with the community and other organizations tocontinually improve the rehabilitation programmes and help PICs rehabilitate and reintegrate into thecommunity as law-abiding citizens after their discharge.
The success of PICsʼ re-integration into society depends on four critical success factors [i. e. 1) Safe
Custody, 2) Effective and Timely Rehabilitation Programmes, 3) Determination of Offenders, and 4)
Community Support for Offender Rehabilitation]. Safe custody and appropriate rehabilitation programmes
are the cornerstones of all internationally acclaimed correctional services. It is essential to provide a safe
custodial environment for delivery of various rehabilitation programmes to help PICs turn over a new leaf.
In response to the growing concern on the reform of offenders, CSD set up the Rehabilitation Division to
focus its work on offendersʼ rehabilitation in 1998. Since then, CSD has been striving to strengthen the coordination and connection with other concerned organizations on formulating strategies for long-term
development of rehabilitation. The Rehabilitation Division, headed by the Assistant Commissioner(Rehabilitation), provides appropriate rehabilitation programmes for all PICs including illicit drug users in
Drug Addiction Treatment Centres (DATC), ranging from pre-sentence assessment, welfare and counselling,＊

Principle Officer, Correction Services Department, Hong Kong.

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RESOURCE MATERIAL SERIES No. 107

education, work and vocational training, religious, to statutory supervision after discharge. Meanwhile, it
mobilizes outside resources for continuous rehabilitation programme enhancement, community educationand promotion to the public for their acceptance of rehabilitated persons for an inclusive society, so as tofacilitate PICs in reintegrating into society. With the effort of the CSD, the recidivism rate1 of rehabilitatedpersons has been in a downward trend with a 7.2% drop from 2008 (34.3%) to 2015 (27.1%).
This paper mainly focuses on how the CSD provides assessment, appropriate rehabilitation programmes,
supervision and community education to help illicit drug users to reintegrate into the society and to prevent
crime.
A. Screening and Assessment of Drug Addiction Treatment Centres (DATC)
Under Hong Kong Law Chapter 244 Drug Addiction Treatment Centres Ordinance (the Ordinance), Drug
Addiction Treatment Centres (DATC) are provided for the cure and rehabilitation of persons found guilty ofa relevant offence who are addicted to any dangerous drug.
Cap.244 S4(1): “Where a person is found guilty of a relevant offence and the court is satisfied that in thecircumstances of the case and having regard to his character and previous conduct it is in his interestand the public interest that he should undergo a period of cure and rehabilitation in an addiction
treatment centre, the court may, in lieu of imposing any other sentence, order that such person bedetained in an addiction treatment centre.”
1. Pre-sentence Assessment
Cap.244 S4(3): “Before a detention order is made in respect of any person, the court shall consider areport of the Commissioner on the suitability of such person for cure and rehabilitation and on theavailability of places at addiction treatment centres……”
The successful re-integration of offenders through effective rehabilitation programmes depends verymuch on giving offenders appropriate sentence and placement that can best meet their rehabilitative needs.
To ensure offenders receive the most appropriate rehabilitation programmes during their incarceration, presentence assessment are provided to young offenders and offenders who are ordered to have the assessment
report by courts. After interviewing the offenders under remand and obtaining their background informationsuch as conviction record, offence details, drug addiction history, employment or education, family situation,etc., CSD will advise the courts on the suitability of offenders to be sentenced to being detained in Detention
Centre, Rehabilitation Centre, Training Centre, Drug Addiction Treatment Centre (for those illicit drug
users), or other sentencing options, including imprisonment.
Pre-sentence Assessment provides the court with profiles of the persons awaiting sentence and makes
recommendations on the rehabilitation scheme for them. There were 2,200 cases in 2017.
B. Treatment and Programmes for Illicit Drug Users
1. Drug Addiction Treatment Centres (DATC)
Cap.244 S4(2):“…… detained in an addiction treatment centre for such period, not less than 2 months and not morethan 12 months from the date of such order, as the Commissioner may determine, having regard to thehealth and progress made by such person and the likelihood of his remaining free from addiction to any
dangerous drug on his release, and shall then be released.”
An illicit drug user, who is convicted of criminal offences, might be ordered by court to detain in DATC toreceive treatment and rehabilitation for a minimum period of two months to a maximum of 12 months,
followed by one yearʼs statutory supervision. The length of detention is determined by a Board of Review
which examines the health and progress of each person in custody and his likelihood of remaining free fromdrug abuse after release.

Recidivism rate is the percentage of re-admission (due to commission of a new offence) of local convicts within two years after
discharge.
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There are 4 institutions under the CSD providing drug addiction treatment to those illicit drug users
ordered by court to be detained in DATC. Base on sexuality and age, they will be detained in Hei Ling Chau
Addiction Treatment Centre (Male adult drug addicts), Lai Sun Correctional Institution (Male young drug
addicts), Nei Kwu Correctional Institution (Female adult drug addicts) and Lai King Correctional Institution(Female young drug addicts).
The drug addiction treatment programme encompasses 3 phases ‒ (i) detoxification and restoration ofphysical health; (ii) Uprooting psychological and emotional dependence on drugs; and (iii) Facilitating thereintegration of persons in custody into the community after release. DATC inmates undergo the treatment
and appropriate rehabilitation programmes during the detention period while a Board of Review composedby officers from different units would monitor their progress and interview with them regularly.
2. Risks and Needs Assessment and Management Protocol
Risks and Needs Assessment and Management Protocol have been implemented since 2007. It is ascientific and evidence-based evaluation of PICʼs re-offending risks (which will affect the amount and theintensity of rehabilitation that a PIC will receive during incarceration) and rehabilitative needs. After illicit
drug abusers are sentenced by courts to DATC, they will be assessed by staff to identify their rehabilitativeneeds via Risks and Needs Assessment and Management Protocol.
In accordance with the rehabilitative profiles of inmates generated by the Risks and Needs Assessment,
the CSD is able to provide better rehabilitation programmes matching and supervision for them. The sevendomains of rehabilitative needs and respective rehabilitation programmes are shown in figure 1.

Figure 1) Seven Needs Domains and Respective Rehabilitation Programmes
DATC inmates, who normally have “high” risks in the “Drug Abuse” domain, will be provided with Drug
Abuse Rehabilitation Programme and Relapse Prevention Group. The participation of inmates in the
programmes is on a voluntary basis as the effectiveness of the programmes very much depends on the extent
of their motivation and commitment. For those with low motivation, the responsivity enhancement
programme will be provided to them with a view to enhancing their responsivity to counselling andstrengthening their motivation to change.
3. Welfare and Counselling Services
While undergoing incarceration, inmates might encounter personal problems and cope with difficulties
arising from detention. Rehabilitation Officers are responsible for providing timely assistance, guidance andcounselling to them. Cultural activities, such as pop bands, essay writing competitions and hobby classes arealso promoted among inmates to unveil their talents and potential which could help them develop positive
self-image.
The “Pre-release Re-integration Orientation Course” is also organized to help inmates reintegratesmoothly into society upon their release. Through the course, assistance is provided to the pre-discharged
inmates for their better understanding of the environment that they would face to after discharge. They areprovided with societyʼs information on different themes including social welfare services, education and social
facilities, legal assistance, latest labour market information, job-interview techniques, medical services,
community resources, and interpersonal skills. Most significantly, through the knowledge they acquired, theprobability of having a smoother re-integration and resocialization process is further enhanced. With such,101

RESOURCE MATERIAL SERIES No. 107

the chance of inmates relapsing to drug or crimes would be reduced.
Another specially designed programme is the “Relapse Prevention Course” which helps inmateʼs gain
correct understanding of drug use and relapse prevention, uplift determination to stay away from drugs andrebuild family relationships that might have been ruined due to drug abuse and committal of offences.
4. Psychological Services
In order to assist inmates in adapting to imprisonment and enhance their psychological well-being,counselling and specific psychological programmes are provided to help them gain an in-depth understandingof their psychological qualities and reflection on their past criminal behaviour, as well as facilitate them inmaking positive changes and minimizing re-offending risk. Psychological counselling to inmates includes
professional assessment, counselling and treatment provided by clinical psychologists and officers of thePsychologist Services Section.
The treatment of psychological dependence is effected through work therapy as well as individual andgroup counselling which aim at helping inmates gain better insight into their drug problems and preparing
them for a pro-social and drug-free life. Furthermore, psychological programmes, for example the“Responsivity Enhancement Programme”, is provided for enhancing inmatesʼ treatment responsivity
including their motivation to change, perceived usefulness of treatment, perceived possibility of success andself-efficacy. The “Abstinence Maintenance Programme” to improve inmatesʼ efficacy in dealing withproblems of drug abuse and identifying high risk situations relating to relapse as well as developing basic
skills to deal with high risk situations, and the “Intensive Treatment Programme” to facilitate cognitive andbehavioural changes of inmates crucial in maintaining drug abstinence are also provided.
5. Education Programme
Education helps inmates to improve their academic standards, interpersonal skills and restore their selfesteem and confidence, which help their future re-integration. The Education Unit, with Education Officers,
who are qualified teachers holding bachelorʼs degrees and teachersʼ training, provides both young and adultinmates with opportunities to upgrade themselves through education and to assist their participation in
public examinations.
To help restore a positive learning habit and encourage young inmates to acquire accredited academic
qualifications, half-day compulsory education focusing on general and practical subjects, such as computerrelated and commercial, is provided for young inmates under the age of 21. The acquisition of accreditedqualifications provides inmates with the opportunity to re-examine their own talents and promoting their selfimage.
Tutorial groups and hobby classes conducted by volunteer tutors are also run in adult institutions, where
adult inmates can enroll voluntarily. They are also encouraged to participate in continuing education anddistance learning for tertiary education by making use of the resources and expertise of external accredited
educational organizations. Both young and adult inmates are encouraged to attend local and international
public examinations, such as the Hong Kong Diploma of Secondary Education Examination (HKDSE), theLondon Chamber of Commerce and Industry Examinations and other public examinations required bydistance learning courses at degree, diploma or certificate levels. Appropriate rearrangement on the daily
routine programmes of inmates is made to facilitate their preparation for examination. Needy inmates may
apply for financial assistance from a statutory fund donated by the public specially set up for their education
pursuits should they encounter financial difficulties.
6. Industries and Vocational Training (I&VT)
The CSD keeps inmates purposely and gainfully occupied for maintaining the stability of penal
institutions. Many inmates might have sluggish working attitudes or might be reluctant to find a job before
they are imprisoned. To correct their attitudes, we arrange work for adult inmates according to law withemphasis on regular living style and good working habits. In the pursuit of rehabilitation, we help them
reintegrate into society through acquisition of skills in industrial work and vocational training to enhancetheir employability. For this reason, provision of vocational training to inmates is an important component of
the CSDʼs rehabilitation regime.

102170TH INTERNATIONAL TRAINING COURSEPARTICIPANTSʼ AND OBSERVERSʼ PAPERS

For young inmates, half-day compulsory vocational training including technical, commercial and service
industry are provided to facilitate their smooth re-integration into the community. Equal importance is placedon theoretical and practical aspects of the curriculums which prepare them for pursuing further training
after release. For adult inmates, they, engaged in industrial production, are trained to acquire necessary skills.
Where appropriate, CSD helps them obtain skill accreditation by enrolling them in relevant Intermediate
Trade Tests conducted by vocational training organizations, or applying through the Recognition of Prior
Learning Scheme under the Hong Kong Qualifications Framework. Besides, in order to enhance inmatesʼ
competitiveness in the labour market with promising employment opportunities after discharge, we, inrecent years, have been adopting a proactive approach to collaborate with professional training bodies
providing more than 40 diversified and market-oriented vocational training courses on a full-time and parttime voluntary basis, including dim sum making, pet grooming, bar bending, and beauty care, etc., which keep
pace with developments in the community. To tie in with the employment situation in the market, we willcontinue organizing more market-oriented vocational training to help inmates enhance their professional
skills with recognized qualifications and be considerably well paid.
7. Religious Services
Our programmes are also enriched with religious and spiritual dimensions with the assistance of religious
bodies. Through the Correctional Services Chaplain, Honorary Chaplains and volunteers from prominent
religious organizations, a wide range of religious services such as teaching classes, counselling groups,
religious worships, masses presided by Head of the Church, and so on can be offered to the interested
prisoners regardless of their religious affiliations. We believe the effort of our religious partners can boost theharmony of the custodial environment and thus lighten the prison atmosphere.
8. Recreation Activities
A wide range of recreational activities is organized to promote the physical and mental health of theinmates so that they will be able to meet the demands of outside environment upon discharge. The activities
include basketball, volleyball, table tennis, Chinese billiards, Chinese chess, library book reading and television
watching, etc.
9. Family Support
With family support, inmates could uphold their determination to be good people. In order to improve thecommunication between young inmates and their families, and to encourage their family membersʼ
participation in rehabilitation, the Inmate-Parent Programme2 is implemented for them. Furthermore, tobuild up close relationships between inmates and their families as well as their self-esteem, Certificate
Presentations on inmateʼs academic result with their family members taking part are held in various
institutions.
10. Community Engagement
The Personal Encounter with Prisoners Scheme (PEPS) has been in place since March 1993. Being
integrated as an initiative under the Rehabilitation Pioneer Project (RPP)3, the PEPS aims to generate
attitudinal and behavioural changes among youths through activities like visits to correctional institutions
and face-to-face discussions with rehabilitated persons, e.g. DATC inmatesʼ past experience sharing during
the program. Inmates are arranged to share the detriment of drug abuse and their rehabilitation experience
with visiting students in RPP and thereby enhance their determination to start anew. By sharing their pastexperience and assuming the role of “life coach”, inmates themselves could also uplift their self-confidence andpositive self-identities as models for the younger generation. It also develops their sense of contribution to thesociety.
C. After Discharge
Reintegration into society does not cease but begins at the completion of detention period in DATC.
Various measures are administered and implemented to facilitate reintegration and engage community
The parents of young inmates are invited to the institutions to have familiarization visit to the facilities and participate ininmate-parent groups organized by rehabilitation unit officers and clinical psychologists.
3
In May 2008, the CSD launched the RPP, an integrated series of enhanced public education initiatives. The objectives of the
RPP are to promote crime prevention by advocating the importance of leading a law-abiding and drug-free life among young
people as well as enlist their support for offender rehabilitation.
2

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support for accepting the return of rehabilitated illicit drug users.
1. Statutory Supervision
Cap.244 S4(5):“The Commissioner may order that a person released from an addiction treatment centre shall, for aperiod of 12 months from the date of his release, be subject to supervision by such organization or
person……”
To facilitate inmatesʼ re-integration into society upon discharge, one-year statutory supervision isprovided for DATC inmates. Rehabilitation Officers help inmates in the rehabilitation process and thereconciliation of any conflicts with their families. They are also responsible for monitoring the case during thesupervision period. To prepare for effective supervision, Supervising Officers strive to foster a relationship ofmutual trust with inmates and their families while the inmates are still in custody. They also offer inmates
appropriate support and guidance to help them adapt to the institutional regime. Through regular contacts,
home visits, work / school visit, job referral, community resources referral, supervisions, counselling as wellas crisis intervention during supervision periods, the supervisees are assisted in leading law-abiding anddecent lives. Moreover, to ensure that they have not relapsed to drug abuse, urine specimens will be tested
regularly and surprisingly. During the period of supervision, a breach of the conditions of the supervisionorder may result in the supervisees being recalled for a further period in a penal institution. Furthermore, we
also coordinate with community partners to help bring changes to dischargees and supervisees under the“Continuing Care Project”. Since 2004, we have made over 2,000 referrals for the needy dischargees who havecompleted statutory supervision to 7 recognized NGOs with specific target groups including women, persons
with drug abuse history, clients with family issues, etc.
An initiative worth mentioning is the Half-way House Programme, which is an extension of therehabilitative efforts sustained in DATC. Following release, supervisees in need of a period of transitional
adjustment are arranged to reside in a half-way house from which they go out to work or school during
daytime and return at night. It seeks to cultivate a sense of self-discipline and good working habits in a
structured and supportive environment.
D. Prevention
1. Community Education
Facilitating changes in offenders to rehabilitate certainly and directly helps reduce re-offending behaviour
and crimes. But to move one step forward, educating the youth and students not to commit crimes byutilizing our resources and the distinct nature of the corrections profession could help crime prevention fromthe source.
To achieve this, we have been running the Rehabilitation Pioneer Project since 2008 for secondary school
students and the youth. We seek to disseminate the messages of leading a law-abiding and drug-free life aswell as supporting offender rehabilitation through a series of activities4. Among them, “The Reflective Path”
programme is a new initiative launched. We use a discontinued prison as an education site to provide
simulation of real situations in prison for participants to experience custodial life such as mock court hearings,
simulated reception procedures, short stays in dormitories and single cells, foot-drill training, simulated workgroups and end up with a sharing session by a prisoner. Our aim is to let them experience the bitterness ofprison life and thus, make this the one and only chance in their lives of being sentenced to imprisonment. In
2017, attendance was over 39,000, including young people and other participants in various activities. The
programmes were well received with positive responses.
2. Publicity Campaign
It is one of our endeavours to engage more and more community support for offender rehabilitation.
Since 1999, structured publicity activities have been promulgated to bridge persons in custody and society.
Coupled with the support of over 80 Non-Government Organizations (NGOs) to provide counselling and a
The CSD has enriched and developed more RPP initiatives, which now include education talks, the Personal Encounter with
Prisoners Scheme (PEPS), the Green Haven Scheme (GHS), visits to the Hong Kong Correctional Services (HKCS) Museum,Student Forums, RPP Extended Training Camp, and the Drama and Musical Performance of “Creation and Rehabilitation” andReflective Path.
4

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series of cultural, religious and recreational projects, activities such as “District Fight Crime Committees
District-based Publicity Activities on Offender Rehabilitation”, “Thank-you NGO Month”, “NGO Forum andAward Presentation Ceremony for Volunteers of CSDRVG” highlights the importance of collaborative efforts
with members of the community and NGOs to accept and help offenders rehabilitate. A portion of NGOs andcharity organizations also provide special counselling services for rehabilitated persons who have had
associations with gangs and triad society.
3. Research and Development
The CSD will broaden and deepen research capacity by reshuffling the resources to expand the scope anddiversity of the research studies, strengthening the capacity in data collection and analysis and enlisting
research support from external parties to identify areas of improvement in correctional practices. Local
criminals are all products of a community. We hope to work with universities and other professional bodies, tomake use of this unique database to find out common social issues, juvenile behaviour and deviancedistinctive to Hong Kong, and in the long run help the development of Hong Kong in terms of crime
prevention. Prisons may serve as a research centre to feedback important messages to the community andinspire us to improve. In 2017, a “Consultancy Study on Social Costs of Crime” was conducted with a local
tertiary institution to explore the harms that crimes could bring to society, such as the economic or otherlosses associated with criminal activity to society as an entity and individual, including those victims,
offenders and their families. This is the first consultancy study in Hong Kong and in Asia. It adopts evidencebased methodology to evaluate the effectiveness of the CSDʼs work by quantifying in monetary terms thesocial cost arising from crime and the cost saved through rehabilitation and community education. The costsaved amounts to $74.3 billion in five years.
On the other hand, in recent years, there has been a rapid change of bio-psycho-socio factors related todrug abuse (e.g. types of drug substances abused, demography of drug abusers, and changes in economic
background). In order to combat drug problems, the CSD is conducting another research project, namely the“Review and Development of Rehabilitation Programmes provided for Drug Addiction Treatment Centre
Programme” to review the matching programmes under Risks and Needs protocol, vocational training
courses and counselling programmes, particularly on exploring effective ways to tackle recallee problems,such as risk factors related to their relapse to drug.

II. CONCLUSIONThe CSD, as “Societyʼs Guardian”, “Rehabilitation Facilitator” and “Community Educator”, plays a vitalrole in protecting public safety and helping Hong Kong to be one of the safest cities in the world bysafeguarding the integrity of the criminal justice system. For this, effective implementation of rehabilitation
programmes is required. Not only does it benefit offenders themselves and their families, but also ourcommunity in the long run.
On top of safe custody, the CSD implements integrated and appropriate rehabilitation programmes
ranging from pre-sentence assessment and custodial programmes to statutory supervision after discharge.
The effectiveness of facilitating offendersʼ re-integration into the community hinges not only on appropriate
rehabilitation but also on offendersʼ responsivity to counselling / treatment and their determination to startanew. Likewise, family and community support are crucial in the process of rehabilitation.
Furthermore, we proactively promote rehabilitation work by collaborating with over 80 NGOs to organize
diverse activities for inmates and disseminate the messages of “leading a law-abiding and drug-free life aswell as supporting offender rehabilitation” to society for community education in crime prevention.
The CSD will continue striving to strengthen the co-ordination and collaboration with all sectors of thecommunity, and to broaden and deepen research capacity for formulating long-term development of
rehabilitation programmes for a safe and inclusive Hong Kong.

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TREATMENT OF ILLICIT DRUG USERS IN KOREANa Gun Young＊

I. INTRODUCTION
There have been studies about the treatment of prisoners with drug dependence, because these people
are one of the most vulnerable to the temptation of drugs even if they finish their times in the correctional
facilities and are most likely to recidivate.
Therefore, it is very necessary to treat them physically and mentally while they are incarcerated. Basedon the recognition that drug addiction is a disease that must be cured. Korea Corrective Service created a
psychotherapy division at the Ministry of Justice for enhancing the efficacy of treatment and modified
relevant laws and regulations while running various psychotherapy programmes. As a result, there has been
gradual progress for the treatment of inmates with drug dependence.
However, there are still challenges lying ahead of us such as reducing the population of correctional
facilities and so on.

II. CURRENT SITUATION OF THE TREATMENT OF ILLICIT DRUGS USERS
IN KOREA CORRECTIVE SERVICE
A. Establishment of the Psychotherapy Division at the Ministry of JusticeIn Korean society, there have been constant drug involved accidents, and these have posed severe threats
to the safety of the Korean people. Inmates with a history of drugs are likely to suffer from anxiety,depression, and cause disturbances in the correctional facilities. In regards to recidivism, these people arelikely to recidivate at the highest rate. And at some point, we came to realize that drug dependence is adisease that needs treatment and care. Therefore, Korea Corrective Service introduced ʻindividual
psychotherapyʼ rather than ʻgeneral educationʼ to these inmates, putting treatment as the first priority, andestablished the psychotherapy division at the Ministry of Justice (September 2016). As a subsequent measure,
Korea Corrective Service created 11 psychotherapy centres at the correctional institutions and had relevant
teams in place at 52 correctional facilities.
B. Modification of Various Laws and Regulations
On June 2018, a new law called the “Act On Medical Treatment and Custody” was enforced, paving theway for the alternatives to criminal sanctions or imprisonment for drug users, making it possible to provide
them with community based treatment.
1. Relevant Law on Alternative Measures to Imprisonment
The Act on Medical Treatment and Custody law was enforced on June 2018. And according to the law,the court can declare a sentence of medical treatment and custody by means of judgement when necessary.
A prosecutor may apply only for medical treatment and custody without instituting a public prosecution incases as follows:(i) Prosecutors could resort to alternative measures to imprisonment
Where an accusation or complaint does not exist or is cancelled in a crime which is arguable based on theaccusation or complaint, or a victim has expressed a wish not to have the offender punished or has retracted
his/her wish to have the offender punished in a crime which is not arguable against the explicitly expressed＊

Senior Inspector, Daegu Detention Center, Ministry of Justice, Republic of Korea.

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will of the victim;(ii) Other special circumstances for the prosecutor to resort to alternative measures
Where the prosecutor makes a decision not to prosecute the suspect under the Criminal Procedure Act.
2. Establishing Internal Regulations
Korea Corrective Service established relevant regulations and manuals as the new division was created,and main contents of the regulations are as follows:
The Central Psychotherapy Committee was established to assist with counselling in regards to thetreatment for drug/behavioural addicts, sexual assaults and so on. And all the correctional facilities started tooffer customized counselling to the inmates (based on the severity of illness).
C. Running Various Psychotherapy Programmes
Previously, instructors gave lectures to inmates, transferring knowledge, and there were not specialists
involved such as clinical psychologists and counsellors. But, nowadays, there are 3 programmes (Basic,
intensive, in-depth programme), and inmates with the highest drug addiction join in the in-depth programme,
and they receive more than 130 hours of psychotherapy treatment, interacting with psychiatrists and mental
health nurses.
1. The Contents of Treatment
Specialists such as clinical psychologists conduct personal interviews with each inmate having drug
problems and help them become aware of the importance of rehabilitation through counselling, and they
continue to consult with inmates while prisoners go through all the therapy, helping them adapt to the prison
settings. There are various programmes: the effects of drugs and alcohol (knowledge about drugs, and the
pursuit of right values), drug-related crimes (understanding the connection between drugs and crimes, origins
of crimes, and the ways to avoid drug temptation), finding alternatives (what to do when temptation rises, andwork-life balance), yoga for stress relief, tea ceremony, and various treatment activities.
2. The Effects of Treatment(i) The new medical interventions of Korea Corrective Service
The new medical interventions of Korea Corrective Service have brought significant efficacy in terms ofinmatesʼ attitudes while in prison. The constant treatment helps inmates become aware of the need tochange, and this change of attitude can be a turning the point, avoiding the vicious cycle of incarceration.
(ii) The change of disciplinary cases
According to an internal study conducted by Korea Corrective Service, the rate of disciplinary cases
changed significantly from 19.7% to 4.5% after the treatment programme.
(iii) The change of self-confidence of inmates with drug dependenceWith the help of treatment programmes, inmates are motivated to find intrinsic motivation and haveconfidence to live as responsible members of society. According to the study conducted by the Korea
Corrective Service, self-confidence of inmates with drug problems saw a significant increase from 66% to 72.
9%. and that of inmates with alcohol problems went up dramatically from 63% to 74.17%.
(iv) Helping inmates find peaceful lives in correctional institutions
Various activities and counselling by the psychotherapy team help inmates relieve stress and manage
peaceful lives at the institution, ultimately realizing a just society free from crimes.
D. Case Study of Psychotherapy
According to the basic psychotherapy for the treatment of prisoners with drug dependence, which was
conducted by Daegu Detention Center (from March 21-27, 2018), we came to know that there was a bigchange of personal attitude to drugs, and prisoners became aware of the danger of drugs and their impact of
their lives.
The main contents of the programme are as follows: Fostering motivation (based on interviewing
prisoners), sharing personal opinions, setting up personal goals, problem recognition, personal review and so
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on.
After prisoners finished their programmes, we conducted subsequent prisonersʼ review whose contents
are as follows:
Prisoner A: I came to realize how dangerous drugs are and have a chance to reflect on my life again. I
would like to return to my family as early as possible, and never try drugs again, living as a responsible
member of society.
Prisoner B: I came to have an interest about the function of the brain and how drugs could affect my brain.
And this training became my turning point for a better life.
Prisoner C: I was addicted to drugs and alcohol, but I did not know how much drugs could have an impact
on my life. With the help of counsellors and staff, I came to know a lot about drugs and their harmful effect on
me. I feel very thankful for all the sincere attention to me.
E. Relevant Statistics
1. Prison Population
As of August 2, 2018, the total number of prisoners was 54,739 (35,570 convicted, 19,169 unconvicted), andthe number of drug-related prisoners was 3,548 (2,092 convicted, 1,456 unconvicted).
2. Recidivism (by Crime)
According to the statistics issued by the Ministry of Justice (Judicial Yearbook 2016, 2017), the recidivism
rate of drug-related inmates recorded highest among other crimes (42.3% in 2011, 49.6% in 2012).
F. Relevant Laws (About the Treatment of Drug-Related Inmates)
1. Administration and Treatment of Correctional Institution Inmates Act(i) Article 104 (Management of Persons who Commit Crime Related to Narcotics, etc.)(a) With respect to prisoners prescribed by Ordinance of the Ministry of Justice, such as persons who
commit crimes related to narcotics and organized violence, a warden may manage them separately fromother prisoners to maintain security and order of a correctional institution, as prescribed by Ordinance of the
Ministry of Justice, by preventing them from contacting other prisoners, keeping safe guard of them strictly,
or taking other measures.
(b) In cases of managing prisoners under paragraph (a), each warden shall not limit the basic treatment tothem.
2. Enforcement Decree of the administration and Treatment of Correctional Institution Inmates Act(i) Article 112 (Inspection of Wards, etc.)
Each warden shall have a correctional officer periodically inspect the wards and places of work ofprisoners and other places where prisoners live (hereafter referred to as “wards, etc.” in this Article):
Provided, That any warden may have a correctional officer frequently inspect the wards, etc. of prisoners
suspected of hiding the prohibited goods referred to in Article 92 of the Act and prisoners determined by
Ordinance of the Ministry of Justice, such as prisoners who committed crimes related to narcotics andorganized violence.
(ii) Article 66 (Censorship of Content of Correspondence)(a) When a prisoner who falls under any of the following cases exchanges correspondence with anotherprisoner pursuant to Article 43 (4) 4 of the Act, a warden may censor the contents thereof.
(b) Where the relevant person is a prisoner determined by Ordinance of the Ministry of Justice, such as acriminal of narcotics or organized violence under Article 104 (1) of the Act.

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III. CHALLENGES AND PROPOSED SOLUTIONS
A. Challenges
1. Overcrowding
As of June 2017, there were 57, 754 prisoners at the 53 Correctional Facilities, exceeding 22. 9% ofcorrectional capacity. (As of August 2nd, 54,739 prisoners, exceeding 14.5%) prison overcrowding is one of thebiggest obstacles for the edification of convicted prisoners and their sound rehabilitation into society, andwithout the minimum space, prisoners with cramped accommodation are likely to be violent, ultimately
leading to higher recidivism. If this situation persists, prison authorities have to focus on the management of
the facilities, rather than treatment.
2. Security Reasons which Make It Difficult for Prison Authorities to Provide Vocational Training and Jobs
to Drug-Related Inmates
According to the study, prisoners who participated in education programmes while incarcerated showed
lower rates of recidivism1. However, as for the correctional authorities, it is very hard to for each warden to
determine types of work to be assigned to drug-related inmates because the warden may manage themseparately from other prisoners to maintain security and order of a correctional institution, as prescribed by
Ordinance of the Ministry of Justice, by preventing them from contacting other prisoners, or taking othermeasures to prevent drugs from coming into the prisons.
3. Lack of Qualified Staff
Korea Corrective Service hired many talented clinical psychologists, and so on, but still, there has been ashortage of staff for the treatment of inmates, both physically and psychologically.
4. Nimby Syndrome (Not in My Backyard Syndrome)
Korea Corrective Service has tried to build additional correctional facilities but often faces strong
resistance from local citizens claiming that building new prisons in their communities violate their pursuit ofhappiness and the mere presence of them could pose big threats to their security. (Even though there was asurvey proving that crime rates near the prisons have been dramatically lower than any other regions).
B. Proposed Solutions
1. Reducing Overcrowding in Correctional Facilities
Overcrowding has been one of the biggest tasks to solve by the Korea Corrective Service. In December
2016, the Constitutional Court of Korea ruled that it is unconstitutional for inmates to live in less than one
square meter, declaring it a clear violation of a humanʼs pursuit of happiness, and basic rights. And as asubsequent ruling, the civil court ruled that the Korean Government should compensate the prisoners whoserights were infringed by living in cramped spaces.
To address this problem, the Korea Corrective Service initiated an overcrowding committee at the
Ministry of Justice while closely cooperating with prosecution and relevant authorities such as courts. As aresult, there has been a remarkable decline of prison population. Still, the present number of prisoners
exceeds its capacity by 14.5% (As of August 2, 2018)
2. Building Rehabilitation Facilities for the Treatment of Drug-Related Inmates
To maximize the efficacy of treatment, I think that it is advisable to build rehabilitation facilities andcentres so that inmates can focus on their training.
3. Forming a National Consensus
For Korea Corrective Service to push forward its projects such as building rehabilitation centres and soon, it is very important to form a national consensus. Therefore, we need to publicize the importance oftreatment for inmates with drug dependence while emphasizing better treatment of general prisoners. If
Korea Corrective Service continues to do so, the Korean people will become more aware of the needs to curedrug-related prisoners, not just punishing them.

1

A United States-based three-state recidivism study (Steurer, Smith & Tracy 2001)

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4. Inauguration of Central Correctional Agency Independent from the Ministry of Justice
For the effective management of corrective service and sound rehabilitation of inmates into theircommunity as responsible members of society, I believe that it is very necessary for Korea Corrective
Service to be a Central Correctional Agency independent from the Ministry of Justice.

IV. CONCLUSION
Inmates are the ones who are separated from the society but will eventually return to the society as
responsible members and will become our neighbours. Therefore, it is in our best interest for them to be freefrom illness and have confidence though vocational training, necessary treatment and so on.
According to the First Article of Administration and Treatment of Correctional Institution Inmates Act,the purpose of this Act is to promote correction and edification of convicted prisoners and their soundrehabilitation into society and to prescribe necessary matters concerning treatment and rights of prisoners
and operation of correctional institutions. Therefore, we have our own duty to return prisoners to theircommunity armed with confidence and good health. To achieve that goal, there are challenges lying ahead ofus. I do not think that it is an easy task.
However, if we put our hands together and move forward, I believe that we can make our society or ourworld better. Drug addiction is a disease that must be cured, and we can do better jobs if we share ourknowledge and wisdom together.

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REPORTS OF THE COURSEGROUP 1
EFFECTIVE TREATMENT MODALITIES AND INTERVENTIONSFOR INCARCERATED DRUG USERS
Rapporteur: Ms. Nanja LIMBO (Namibia)
Co-Rapporteurs: Mr. Eduardo Tomio TAKATA (Brazil)
Mr. Suhaizak AB.WAHAB (Malaysia)
Chairperson
Co-Chairperson
Members

Advisers

Mr. Deepak R GUNNOO
Ms. Keiko KOMINO
Ms. Eko K MANGERE
Mr. Masashi YAMANE
Ms. John J SMITH
Mr. Thet P SOE
Mr. Yuen T LAM
Mr. Toru NAGAI
Prof. Mana YAMAMOTO
Prof. Hidenori OHINATA
Prof. Ryo FUTAGOISHI
Prof. Hiroyuki WATANABE(Mauritius)(Japan)(Papua New Guinea)(Japan)(Samoa)(Myanmar)(Hong Kong)(Japan)(UNAFEI)(UNAFEI)(UNAFEI)(UNAFEI)

I. INTRODUCTIONth

The 170 International Training Course held by the United Nations Asia and Far East Institute for thePrevention of Crime and Treatment of Offenders (UNAFEI) is aimed at creating a platform that offersinternational views regarding improving effective treatment of illicit drug users. During group discussions,which are a major component of the above-mentioned training programme, participants were called upon toexpress their expert opinion on the following topics: A. Treatment Methods in Prison; B. Coordination andCooperation between Prison and Community Organizations. Illicit drug users are viewed as the most at-risk
population with multiple health problems encompassing the physical, mental, social and psychologicaldimensions as a result of prolonged precarious lifestyles. Furthermore, this populationʼs risk factors amplify
when entering correctional settings

II. ISSUES AND CHALLENGES
Challenges were noted to differ from country to country, yet several similarities were agreed upon duringextensive discussion sessions:
1. Lack of Trained Personnel: Treating drug users within correctional settings requires adequately
trained personnel to effectively and efficiently provide optimal treatment interventions. However, it has
been unanimously noted that lack of knowledge and training among the correctional staff in specificrehabilitation approaches will contribute to ineffective treatments and high relapse/reoffending rates.
2. Specialized Assessments: Illicit drug users require specific assessments to identify the risks and needs,
because they have multifactorial social problems and chronic health disorders. However, comprehensive
assessment tools that focus on detecting the multiple risks are lacking. Furthermore, the group noted thatmost existing assessment tools are not gender and age specific.
3. Diversity of Drug Use Programmes: Evidence-based treatments such as relapse prevention
programmes, cognitive behavioural therapy and motivational interviewing are actively utilized within thecorrectional settings. However, since drug users have multifactorial health disorders, the public healthapproach of harm reduction is lacking within most correctional treatments as most programmes are notdiverse. Additionally, currently implemented programmes lack systematic monitoring and evaluation
mechanisms to assess effectiveness of interventions and training.
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4. Lack of Community Support and Partnership: Considering that the UNODC strongly advocates foralternative treatment for drug users, the lack of strong community support and partnership withcorrectional services decreases the success rate of treatment, as an extensive part of drug use treatment
is the provision of community-based treatment programmes.

III. BEST PRACTICES
1. Training: Mandela Rules 75-76 emphasize training for correctional officers. Based on best practices
discussed, it is suggested that every country is required to conduct a training-needs analysis to haveadequately trained personnel for drug treatment programmes. Training should focus on enhancing
assessment skills and optimal service delivery. Training strategies should comprise the following:a. Specific training from external expertise: (selecting officers to attend academic training at universities
and professional training bodies to obtain relevant qualifications). Hong Kong Correctional Services
Department provides for selected officers to obtain certificates in Social Work for Correctional Service.
b. In-service training provided by internal experienced staff and external experts (legal, medical, social,community-based organizations, like DARC in Japan).
2. Drug Use Assessments: Risk and needs assessments are critical for early detection. Assessment tools for
drug users should be able to assess the risk of relapse and reoffending in order to match programmeintervention intensity, while also detecting the risks of infectious diseases (HIV, TB, and Hepatitis) andmental health disorders. The UNODC recommends the use of the SBIRT approach as a screening
protocol to identify people with drug use in non-specialized healthcare settings such as corrections. The
approach has been proven effective by SAMHSA (US)1, and it allows flexibility in utilizing assessment
tools. Furthermore, ASSIST2, DAST 203 and C-SRRS4 are considered as appropriate tools to use during
screening.
3. Diversified Programme Options: The unique multifactorial risks and needs of drug users require
diversified rehabilitation programmes as follows.
PsychologicalPharmacology

SocialCognitive Behavioural
Therapy (use virtual
reality stimulation androle play-Dr Zhang)-

Family involvement (Probation
Office Family Programme-Japan)-

Detoxification treatment(Buprenorphine-Mauritius)-

Religious support / activities--

Self Help Groups - 12
steps programmes-

Art, Physical Exercise, Cultural
Activities

Substitution
treatment
and Maintenance therapy(Methadone-Mauritius)-

Behvioural
Therapypositive reinforcement-

Educational and Vocational skills--

Alternative programme (Weekend
Release-Samoa)

RelatedPharmaceuticaltreatment (Mental Health
Treatment-Japan / Brazil)-

Cooperation with external bodies
in prison (DARC-Japan)-

It is suggested that voluntary treatment is the ultimate goal; however, mandatory treatment for drug
users within correctional facilities is equally important under special circumstances, such as life-threatening
Pg. 4 Screening, Brief Intervention and Referral to Treatment in Behavioral Healthcare, Substance Abuse and Mental HealthServices Administration, US2
Pg. 21 International Standards for the Treatment of Drug Use Disorders, UNODC
3
Pg. 363-371 The Drug Abuse Screening Test, Addictive Behaviours, Skinner. H.A. (1982)
4
Development of the Correctional Stimulant Relapse Risk Scale, Yamamoto et al (2011)
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170TH INTERNATIONAL TRAINING COURSEREPORTS OF THE COURSE

situations, etc., as stipulated in the Drug Dependence Treatment: Interventions for Drug Users in Prison by
the UNODC5.
4. Community-Based Partnership: Mandela Rules 107-108 support the early involvement of communitybased organizations in treatment programmes, in order to coordinate the offendersʼ treatment effectively.
Community partnership should be adopted as follows:a. The throughcare approach provides for continuous assessment and assistance from the first contact
with the criminal justice system for drug users. It entails providing pre-sentencing, during
incarceration and aftercare treatment and support from community and governmental agencies.
There is a publication validating the effectiveness of this treatment method in the U.K.6
b. Aftercare is an essential component to assist drug users to reintegrate into society after release. The
Volunteer Probation Officer approach in Japan could be considered as a good practice because
community members actively participant in the aftercare of drug users by establishing halfway houseservices.
c. Public awareness is instrumental to enhancing effectiveness of rehabilitation programmes for drug
users as it helps appeal for acceptance and support in the community. A good practice is engaging
community stakeholders through utilizing channels such as social media, publications, symposiums andrehabilitation ambassadors (Rehabilitation mascots, Hogo Chan and Sara Chan).

IV. CONCLUSION AND RECOMMENDATIONS
In conclusion, the best practices mentioned above are evidence based and are reported to have great
impact on the treatment of drug users in several countries. However, it is also argued that ensuring
effectiveness of recommended treatment interventions requires a systematic evaluation process. Additionally,
gender and age sensitivity should be focal considerations during the assessment and treatment phases.
The most important recommendation is for policymakers to acknowledge and align existing criminal
justice laws with current public health policies, including harm reduction strategies (Portugal is aninternational benchmark)7.

Pg. 28 Drug Dependence Treatment: Interventions for Drug Users in Prison, UNODC
Pg. 60 Drug Dependence Treatment: Interventions for Drug Users in Prison, UNODC
7
Ms Anja Busse Presentation on 3 Sept 2018 Treatment for People with Drug Use Disorders in Contact with the Criminal
Justice System: Alternatives to Conviction or Punishment
5
6

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GROUP 2
DIVERSION OPTIONS AND TREATMENT METHODS IN THE
COMMUNITY SETTING
Rapporteur: Mr. Gun Young NA (Korea)
Co-Rapporteurs: Mr. Abdul Sattar ABDUL HAMEED (Maldives)
Ms. Joanna FIGARO JOLICOEUR (Mauritius)
Chairperson
Co-Chairperson
Members

Advisers

Mr. Nishantha HAPUARACHCHI
Mr. Najeeb ULLAH
Mr. Syahrul Amri Bin ABD MUTALIB
Ms. Pareena NOKCHAN
Ms. TANIGUCHI Maki
Mr. KABE Tsuyoshi
Mr. ANDO Yo
Mr. TONE Kazumasa
Mr. Somlith MANICHANH
Prof. OTANI Junichiro
Prof. HIRANO Nozomu
Prof. KITAGAWA Mika
Prof. FURUHASHI Takuya(Sri Lanka)(Pakistan)(Malaysia)(Thailand)(Japan)(Japan)(Japan)(Japan)(Lao PDR)(UNAFEI)(UNAFEI)(UNAFEI)(UNAFEI)

I. INTRODUCTION
A. Framework of Discussion
Diversion is a form of approach in which offenders join specified programmes that help people toreintegrate successfully into society. These programmes can be done by police, prosecutors and courts
depending on each country. Many evidence-based studies imply that alternative measures to imprisonment
can produce benefits for the treatment of drug offenders. Therefore, the group discussed how the criminal
justice system could create and implement effective alternatives to imprisonment and how effective
initiatives for treatment and reintegration could be offered in the community setting.
B. Our Target
In this group discussion, alternative measures were targeted to drug users/abusers, drug peddlers anddrug users committing petty crime under the influence of drugs. Drug traffickers shall not be targeted fordiversion options in the community because drug traffickers in the community can remain a potential threat
to society.

II. ISSUES AND CHALLENGES
Drug-related crimes are considered to deserve relatively heavy punishment in many countries, even forthe crime of personal use. This is because use of illicit drugs harms not only the usersʼ mental and physicalhealth but also causes harm to society by encouraging other crimes. Also, the drug money can be used toincrease funds of organized anti-social groups. In some of the participant countries, many drug addictedpeople are not willing to get help, because drugs are considered punishable crimes, and they are afraid ofgetting involved in the criminal justice system.
To enhance the effective treatment of drug addicted people in the criminal justice system, collaboration
among inter-governmental agencies should be encouraged, but any information sharing about the people
seeking treatment outside of the criminal justice system should not take place. Therefore, the group
discussed promising ways to promote public understanding and create an environment where drug addicts
are free to visit and receive treatment, while addressing many challenges such as social stigma, staff training,
clearing obstacles to continual treatment, and lack of facilities, interagency collaboration and confidentiality.

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170TH INTERNATIONAL TRAINING COURSEREPORTS OF THE COURSE

III. BEST PRACTICES
A. Benefits of Alternative Measures and Their Impact on Relevant Stakeholders
Alternative measures to imprisonment should be taken into consideration for drug users. Alternative
measures bring big advantages in reducing prison populations and saving money for managing correctional
facilities while reducing the risk of infectious diseases. Also, it is shown that imprisonment affects the
economic status of the inmateʼs family and, what is worse, after release from prisons, people have low
prospects for employment, perpetuating the vicious cycle of incarceration.
B. Our Ideal Model for Diversion
1. Pre-Trial Stage
Pre-trial diversion can be taken into consideration at two different levels:(a) Police̶for offenders with no previous criminal records: advice, warning, fine and bail can be
implemented.
(b) Prosecutor̶for offenders with minor previous offences: house arrest, bail and suspension ofprosecution can be used.
2. Trial Stage
During the trial stage, a judge can employ various options such as fine, probation, suspension of executionof sentence, parole and so on.
3. Post-Trial StageIn the post-trial stage, probation and parole officers conduct relevant diversion options such as day parole,
weekly parole and so on. At each stage, relevant stakeholders such as police, prosecutors, and judges candecide to put the offender under community-based treatment. Community-based treatment is mainly basedon assessment that needs to be carried out prior to trial to identify the most effective method of rehabilitationin the community.
C. Other Options
Group 2 unanimously agreed that each country should implement legal reform, so that police andprosecutors are empowered to discharge an offender pre-trial or impose non-custodial measures in minor
cases. The rules should encourage the use of non-custodial sentencing options including warning, conditional
discharge, referral to non-institutional treatment and so on depending on each countryʼs situation.
The group agreed that drug misuse is a complex problem which needs a multidimensional approach, andeach country should work hard to employ and coordinate various opinions of many stakeholders in thetreatment of drug offenders. Also, judges, prosecutors, treatment personnel along with probation officers
must work together in providing alternative measures to imprisonment. To effectively cope with drug
problems, each governmental agency should closely cooperate with each other while guaranteeing theconfidentiality of people in the non-criminal justice system. Also, those seeking treatment on a voluntary basis
should be given encouragement in a way that is more tailored to the needs of each person. As the offender isconsidered a patient, a holistic approach, in terms of social, psychophysical and economical, educational
aspects is essential for selecting a proper diversion option.

IV. CONCLUSIONS AND RECOMMENDATIONS
The group agreed that drug addiction is a disease that needs to be cured and a continual monitoring
system should be in place in connection with community resources. Therefore, it is very necessary that eachcountry should utilize community resources such as volunteer probation officer systems, village mediation,village community and so on.
Summary of Recommendations:
1. Legal reforms adopting diversion methods
Since government officials cannot carry out their duties without a legal basis, it is necessary to introduce
new laws and regulations creating diversion options.
2. Training and skills development of officers
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Trained officers are prerequisites for the efficient management of community-based treatment as well as
the penal setting for the effective treatment of drug addicts, since diversion could be a new practice insome countries; the officers and personnel involved in the area need to be well trained and skilled.
3. Community outreach programmes / public awarenessContinuous education about drugs should be accessible to all interested people, since without public
support, it is impossible to implement effective community-based treatment and initiate appropriate legal
reforms adopting diversion methods.
4. Countering stigmatization and prioritizing community rehabilitation
Each government should work on eliminating stigmatization of people with drug problems, so that they
can live as responsible members of society, while making it one of their priorities to build community
rehabilitation centres and manage them efficiently.
Finally, the group recommended that all countries should join hands to solve drug problems.

116PART TWORESOURCE MATERIAL SERIES
No. 107

Work Product of the 21st UNAFEI UNCAC Training Programme
Combating Corruption through Effective Criminal Justice Practices,
International Cooperation and Engagement of Civil Society

UNAFEIVISITING EXPERTSʼ PAPERS
THE STRATEGY AND EXPERIENCE OF EUROJUST REGARDINGANTI-CORRUPTION MEASURES
M. Sc. Boštjan Lamešič＊

I. INTRODUCTION
Corruption has many complex social, political and economic implications and its criminal activity is taking
place both within state borders and beyond them. Nowadays it is not unusual for perpetrators to commit
corruption-related criminal offences in one State, hide or launder their illicitly gained proceeds in a second
State and utilise the means of communication (telephone, postal service, internet) and the financial system of athird State. In this way, corruptive criminal offences are becoming transnational. Consequently, the law
enforcement agencies and prosecution services responsible for the investigation and prosecution of suchoffences must have a thorough knowledge of international criminal law and its tools to properly address thechallenges brought up by perpetrators whose activities affect different states. They have to know how to
obtain information or evidence and assistance from another state, often in a form admissible before theirdomestic courts.
That is why anti-corruption measures not only fall within the remit of national politics and law making but
also take the form of awareness that corruption is a problem that can only be addressed effectively by acollaborative approach between international actors.
This awareness is relatively high within the Member States of the European Union,1 where 28 different
national legal systems including EU law exist. This makes cooperation between law enforcement andjudiciary challenging but necessary. Bear in mind that between Member States there is free movement ofgoods, people (no border controls), services and capital, but there is no EU police or EU prosecutor because
jurisdiction ends at the borders of the Member State(s).

II. EUROJUST AND ITS STRATEGIC AND OPERATIONAL ANTICORRUPTION MEASURESThe awareness that corruption could be tackled by a collaborative approach within the EU was also
recognised by EU Member States in 2002 with the establishment of the European Unionʼs Judicial
Cooperation Unit, or a body of the European Union which has legal personality and is capable of supporting
national authorities in the fight against corruption in its international dimension2. This Unit referred to as
Eurojust was set up by Council Decision 2002/187/JHA and further strengthened by Council Decision
2009/426/JHA. Eurojust is made up of 28 National Members who are experienced EU prosecutors, judges orpolice officers of equivalent competence3 from each Member State and who are required to have theirregular place of work at the premises of Eurojust, which is in The Hague, the Netherlands.
The main mission of Eurojust is to stimulate and improve the coordination of investigation andAssistant to the National Member for Slovenia at Eurojust, Vice Chair of Economic Crime Team of Eurojust; The Office of theState Prosecutor General of the Republic of Slovenia, District State Prosecutor.
1
Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary,
Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, the Netherlands, Poland, Portugal, Romania, Slovakia, Slovenia, Spain,
Sweden and the United Kingdom (Brexit: For the time being, the United Kingdom remains a full member of the EU and rights
and obligations continue to fully apply in and to the UK).
2
Council Decision 2002/187/JHA of 28 February 2002 setting up Eurojust with a view to reinforcing the fight against serious
crime (Official Journal L 063 of 6 March. 2002) and further strengthened by Council Decision 2009/426/JHA of 16 December
2008 on the strengthening of Eurojust and amending Decision 2002/187/JHA setting up Eurojust with a view to reinforcing thefight against serious crime ((Official Journal L 138 of 4 June 2009) hereinafter: Eurojust Decision).
3
They could be supported by their Deputies, Assistants, Seconded National Experts or European Judicial Network Trainees.
＊

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prosecution among the competent judicial authorities of the European Unionʼs Member States when they deal
with serious cross-border and organised crime4. Eurojust may also assist investigations and prosecutions
concerning a particular Member State and a non-Member State if a cooperation agreement between Eurojust
and the non-Member State has been concluded or an essential interest in providing such assistance exists5.
Such agreements may, in particular, concern the exchange of information, including personal data, and thesecondment of liaison officers or liaison magistrates to Eurojust6. Eurojust has concluded such agreementswith Switzerland, Montenegro, Norway, the United States of America and Ukraine to second their liaison
officers or liaison magistrates to Eurojust. There is also an additional tool commonly used for improving
cooperation between Member States and third States through Eurojust and this takes the form of theEurojust Contact Points in third States7, but their involvement does not provide for the possibility of
exchanging operational information, including personal data8. Eurojust is not limited to establishing andmaintaining cooperative relations only with third States, but can also conclude agreements with organisations
such as international organisations governed by public law, other bodies governed by public law based on anagreement between two or more States and with the International Criminal Police Organization (Interpol)9.
So far Eurojust is also closely cooperating with several organisations10.
Eurojust is committed to supporting the Member States prosecutorial and judicial authorities in theirefforts to fight corruption. This can be done through support at the strategic level and at the operational level.
A. Strategic Anti-Corruption Measures
Support provided by Eurojust on a strategic level refers to the hosting of meetings of the Consultative
Forum of Prosecutors General and Directors of Public Prosecutions of the Member States of the European
Union (hereinafter: Consultative Forum), at which the participants share their opinions and exchange
experiences of different topics relating to the fight against different types of crime including corruption. The
Consultative Forum has dealt with the topic of corruption and the problems faced by prosecutors incorruption-related cases with an international element in its meeting on 23 June 201111 and meeting on 11
According to Article 4 of Eurojust Decision, the general competence of Eurojust shall cover the same types of crime andoffences as those for which Europol has competence, such as terrorism, drug trafficking, trafficking in human beings,
counterfeiting, money laundering, computer crime, crime against property or public goods including fraud and corruption,
criminal offences affecting the European Unionʼs financial interests, environmental crime and participation in criminalorganisations. Additionally, for other types of offences, Eurojust may assist in investigations and prosecutions at the request of a
Member State.
5
Article 3(1) of Eurojust Decision.
6
Article 26a(2) of Eurojust Decision.
7
So far Eurojustʼs network of judicial contact points in third States totals 44, namely: Albania, Algeria (there is no active contact
point for Algeria at the moment and Eurojust is in the process of clarifying the status of the Contact Points with the Algerianauthorities, so requests for cooperation and assistance to Algeria should be channelled via diplomatic routes), Argentina, Bolivia,
Bosnia and Herzegovina, Brazil, Cape Verde, Canada, Chile, Colombia, Egypt, fYROM, Georgia, Iceland, India, Iraq, Israel,
Jordan, Japan, Republic of Kazakhstan (informal contact), South Korea, Lebanon, Libya, Liechtenstein, Mauritius, Moldova,
Mongolia, Montenegro, Niger, Nigeria, Norway, Palestinian Authority, Peru, Russian Federation, Saudi Arabia, Serbia,
Singapore, Switzerland, Taiwan (Republic of China), Thailand, Tunisia and Turkey, Ukraine and the USA.
8
Matters dealt by Eurojust Contact Points are speeding up or facilitating the execution of mutual legal assistance (MLA)
requests or extradition requests; ensuring communication between Eurojust and the concerned third State, and providing
information on the state of play of a particular case; clarifying particular provisions of the national law or legal advice related to
the legal system of the third State concerned; providing assistance on how to submit a MLA request or an extradition;
facilitating the organisation or the competent authorityʼs participation in coordination meetings or in joint investigation teams;
attendance of coordination meetings at Eurojust; identifying the national competent authorities and establishing contact withthem and with central authorities; solving any kind of problems occurring in the framework of judicial cooperation with
Eurojust; and sending queries to Eurojust National Members on specific cases or on particular provisions of the national law of
the Member State concerned.
9
Article 26a(1) of Eurojust Decision.
10
International Criminal Court (ICC), La Red Iberoamericana de Cooperación Jurídica Internacional (IberRed), United Nations
Office on Drugs and Crime (UNODC), European Judicial Training Network (EJTN), European Union Agency for Law
Enforcement Training (CEPOL), European Anti-Fraud Office (OLAF), European Union Agency for Law Enforcement
Cooperation (Europol), European Commission, International Criminal Police Organization (ICPO-INTERPOL), European Borderand Coast Guard Agency (FRONTEX), The European Monitoring Centre for Drugs and Drug Addiction (EMCDDA), European
Union Agency for Fundamental Rights (FRA), European Union Naval Force Mediterranean (EUNAVFOR MED), European
Union Intellectual Property Office (EUIPO) and European Agency for the Operational Management of Large-Scale IT Systems
in the Area of Freedom, Security and Justice (eu-LISA).
4

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June 2014.12
At the meeting held on 23 June 2011, the Consultative Forum identified the major obstacles toinvestigation and prosecution of corruption-related crimes, such as problems related to gathering of evidence
and its admissibility before courts; insufficient coordination of investigations that are ongoing in different
Member States simultaneously; difficulties in obtaining timely intelligence information; the attention of media
and the general public in cases of high-level corruption and the impact of those cases on the political situationin the country and often fragmented national systems. Best practices were also identified and recommended,
for instance the usefulness of Eurojust coordination meetings and establishment of joint investigation teams(hereinafter: JIT) in cross-border cases and their more extensive use; specialisation of prosecutors to fightcorruption efficiently; establishment of specialised prosecution units, training and instructions on specificproblems, features and legislation on corruption should be provided for prosecutors at all levels; prosecutors
should be involved early on in the investigation of the corruption-related criminal offence; prosecutors shouldclosely cooperate with financial and other experts in relevant professions; use of covert investigative
measures with respect to basic fundamental rights and increased transparency in the area of taxation anduse of public funds13. The Consultative Forum also touched upon the topic of seizure and confiscation of
criminal assets and concluded that seizure, confiscation and recovery of the proceeds of crime are crucial
tools in the fight against serious cross-border crime, in particular in the fight against corruption and money
laundering, but due to prosecutorsʼ lack of direct access to relevant registers (vehicles, vessels, real estate andbank accounts) there are many obstacles in identifying assets and asset holders in Member States and evenmore when hidden in third States. The Consultative Forum has therefore concluded that the lack ofconsolidated registers should be overcome and that direct access to them by prosecutors is essential. It wasalso proposed that the European Union should take certain measures through a clear and simple regulatory
framework to ensure the development of common standards in anti-corruption legislation and its definitions;laws and regulations in specific areas of criminal procedure and in various areas of crimes, including
corruption, should be further approximated; the reinforcement of the principle of mutual recognition;difficulties in judicial cooperation and execution of requests for mutual legal assistance could be overcome
with minimum standards of criminal procedure; common standards for the gathering and admissibility ofevidence are required and conflicts of jurisdiction must be addressed.
At the meeting held on 11 June 2014, the Consultative Forum members discussed their practicalexperiences of investigating and prosecuting complex high-profile corruption cases with an international
dimension and their views on how best to tackle corruption. They reported that most common challenges
arise from complex cross-border corruption cases involving the investigation and prosecution of informationand communications technology, defence, transportation and public procurement sectors; delays identifying,gathering and assessing evidence and in connection with the execution of requests for mutual legal
assistance; lack of a uniform approach to legislation, in particular regarding privileges and immunities and theuse of intercept evidence. Consultative Forum members also shared their best practices, such as providing
protection to whistle-blowers; providing specialised training to national authorities and stimulating crossborder coordination; access to relevant databases by national competent authorities; establishment ofmultidisciplinary teams or taskforces with the cooperation of different experts in relevant fields (tax, customs
and excise, forensic IT, finance and accounting); adoption of legislative and non-legislative measures toincrease transparency; ensuring the independence of the prosecution service and judiciary; establishment of aEuropean public prosecution office; prioritising identification and asset recovery within the EU and in third
States; raising awareness by publishing guidance and information about procedures, broadcasting trials or
publishing judicial decisions and details of confiscation measures executed; and mutual recognition of judicial
decisions.
At both these meetings of the Consultative Forum, the role of Eurojust was emphasised in facilitating andsupporting judicial cooperation in corruption cases not only between Member States but also with third
States. It was also stated that the practitioners should make more extensive use of the tools that Eurojust
Council of the European Union, Outcome report 17457/11 (Brussels, Belgium, 23 November 2011); http: //data. consilium.
europa.eu/doc/document/ST-17457-2011-INIT/en/pdf; accessed 12 September 2018.
12
Council of the European Union, Outcome report 13581/14 (Brussels, Belgium, 24 September 2014); http: //data. consilium.
europa.eu/doc/document/ST-13581-2014-INIT/en/pdf, accessed 12 September 2018.
13
Would a register of how much individuals earn and owe to tax authorities help transparency and discourage corruption?
11

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could offer, in particular coordination meetings and the establishment and financing of JITs.
Furthermore, at strategic level Eurojust contributed to the European Commissionʼs first EU AntiCorruption Report14. Eurojust provided information on its efforts in the fight against corruption, its corruption
casework, including case specifications and involvement of third States, as well as corruption cases registered
for the purpose of creating a JIT. Finally at strategic level, Eurojust has been participating as an observer in
the Camden Asset Recovery Inter-Agency Network (CARIN) and in the Asset Recovery Offices Platform(ARO) since 2004 and 2008 respectively.
B. Operational Anti-Corruption Measures
At operational level, National Members at Eurojust are able to assist national authorities in Member
States on a 24 hour/7 day basis15 through facilitation and execution of Letters of Request (hereinafter: LoR) or
European investigation orders, organising coordination meetings and coordination centres and throughestablishing and financing JITs, although their assistance and support may be given only upon request or
notification by the Member Statesʼ competent authorities.
1. Facilitation of Letters of Request or European Investigation Order
The competent authorities of Member States can send the mentioned requests to Eurojust either
spontaneously or on the basis of the information exchanged pursuant to Article 13 of Eurojust Decision. In
relation to corruption, the competent national authorities must inform their National Member “without undue
delay of any case in which at least three Member States are directly involved and for which requests for ordecisions on judicial cooperation, including regarding instruments giving effect to the principle of mutual
recognition, have been transmitted to at least two Member States16.” Requests for assistance or information
may also be received from other institutions or bodies, such as Europol, OLAF and the European Judicial
Network (EJN). In the period from 2004 to 2017, 588 cases of corruption were registered at Eurojust. Chart 1
shows the number of corruption cases registered in comparison to all registered cases broken down by year17.
Corruption cases were registered most frequently by Greece (102), Romania (58), Italy (34) and the United
Kingdom (34).
Chart 1: Registered corruption cases vs total number of registered cases by year

European Commission, EU Anti-Corruption Report, (Brussels, Belgium, 03. 02. 2014); https: //ec. europa. eu/home-affairs/sites/homeaffairs/files/e-library/documents/policies/organized-crime-and-human-trafficking/corruption/docs/acr_2014_en. pdf
accessed on 12.09.2018.
15
Article 5a of Eurojust Decision.
16
Article 13(6) of Eurojust Decision.
17
The Operations Department at Eurojust produced and analysed the relevant statistics covering the period from 1 January
2002 to 31 December 2017. There is no available data for the years 2002‒2003. The sources for the statistics are the CaseManagement System (CMS) and data available on coordination meetings and JITs. Please note that Eurojust has only
systematically collected information on coordination meetings and JITs from 2012 onwards. The data was retrieved on 20
September 2018.
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21ST UNAFEI UNCAC TRAINING PROGRAMMEVISITING EXPERTSʼ PAPERS

Chart 2: Corruption cases registered by Member State

Chart 2 shows the number of cases registered by each Member State. Ireland did not register any
corruption cases at all in this period.
A total of 117 Eurojust corruption cases involving non-EU jurisdictions were registered at Eurojust; theseare shown broken down by year in Chart 3 and by country in Chart 4.
Chart 3: Registered corruption cases involving non-EU jurisdictions by year

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Chart 4: Registered corruption cases involving non-EU jurisdictions by country in the period from 2012
to 201718

After receiving an LoR or European investigation order from domestic national authorities or a National
Member of another Member State, the request or European investigation order should be examined by the
National Member visually19, linguistically20 and for content21. Depending on the complexity of the case andpossibility of resolving issues related to the request and its swift and efficient execution, the National Member
may discuss at a preparatory meeting22 with the National Member(s) concerned an assessment of the need,purpose and objective of a coordination meeting23.
2. Organisation of Coordination Meetings
The purpose of a coordination meeting is to stimulate and achieve agreement between national
authorities on their cooperation and/or the coordination of investigations and prosecutions at national level.
In order to organise a coordination meeting, the National Member (s) have to check the availability andnecessity of the national authoritiesʼ participation at this coordination meeting24, the use of videoconferencing
for all or some of the participants as an alternative to their being physically present at the coordination
meeting, confidentiality and disclosure obligations, decide on whether interpretation services are required
On 1 July 2013 Croatia joined the EU and Eurojust, so for that reason was not considered to be under EU jurisdiction before
that date.
19
Whether the request is signed, stamped and readable because sometimes scans of copies are not very good quality.
20
Quality of translation.
21
Description of the offence; statutory qualification of the offence and evidence on which suspicion rests; what is requested(perhaps publicly available information is requested and can be immediately provided by the National Member. For instance in
Slovenia there is a register of bank account numbers assigned to legal persons but not physical persons; in order to obtain thebank account number of a physical person an LoR is needed); urgency of the case (statute of limitations is about to expire,detention, covert measures, media coverage); supplementary information for LoR possibly needed (missing information; mostly
orders/decisions by competent authority).
22
So-called Level II meeting.
23
So-called Level III meeting.
24
If one Member State only has to provide bank records, it is not necessary for its authorities to participate in the coordination
meeting.
18

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during the coordination meeting and on the venue of the coordination meeting25.
For an efficient coordination meeting to take place, the National Member should explain the assistancerequested for facilitation, support and coordination or information to their national authorities that are
participating in the meeting26 before the coordination meeting is actually held. National Member(s) should
anticipate and propose to address practical and legal issues at the coordination meeting to participants of thecoordination meeting and prepare the requested documents or evidence in advance so they can be shared at
the coordination meeting. For reasons of efficiency, the participants of the coordination meeting are asked toprepare a short presentation briefly explaining the facts of the case and focusing on explaining what kind ofevidence is in their possession and what requests they will make of other participants at the coordination
meeting27. The presentations should be sent in advance to the responsible organiser at Eurojust in order toprepare the necessary materials for the meeting.
Chart 5 and Chart 6 show the number of coordination meetings on corruption in comparison to all
coordination meetings organised broken down by year and which Member States organised and participatedin them28.
Chart 5: Coordination meetings on corruption vs all coordination meetings organised by year

In principle it should be held at Eurojust premises but it can be also elsewhere if this reduces costs, if critical participants in
the Member State concerned are able to attend and for other reasons of convenience related to the operational needs of thecase.
26
Prosecutors, judges, magistrates, police officers or others from the national authorities who are in charge of the case and the
National Members concerned. Liaison Magistrates and representatives from third States involved may be invited. If thecoordination meeting is held in The Hague, Eurojust covers catering and lunch during the coordination meeting,accommodation for one night and travel expenses for only two participants from each involved State. Simultaneousinterpretation could also be provided, which allows direct communication between the participants on legal and practical issues.
27
Whether they are planning to issue or execute requests for additional evidence, discussion of prevention and/or settlement ofconflicts of jurisdiction and related procedural steps; establishment of joint investigation teams; possibilities for transfer ortaking over the proceeding, planning of a common action day and coordination centre etc.
28
Please note that Eurojust has only systematically collected information on coordination meetings from 2012 onwards.
25

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Chart 6: Member States organising and participating in coordination meetings on corruption

Representatives of non-EU jurisdictions participated in a total of 24 coordination meetings held on
corruption cases in the period from 2012 to 2017 but please bear in mind that in 2012‒2013 no third State
representatives participated in any coordination meetings on corruption.
Chart 7: Non-EU jurisdictions participation in coordination meetings on corruption cases by year126

21ST UNAFEI UNCAC TRAINING PROGRAMMEVISITING EXPERTSʼ PAPERS

Chart 8: Non-EU jurisdictions participating in coordination meetings on corruption by country

3. Setting Up and Financing of Joint Investigation Teams
The second international cooperation tool that Eurojust has to offer to practitioners in the fight against
corruption is its assistance in establishing and financing JITs. Firstly I would like to briefly present somebasic facts about JITs, such as the statutory framework and the prerequisites for their establishment; thecontent of JIT agreements; the structure and activities of JITs; and the benefits and problems associated withJITs.
A JIT is established with an agreement between competent authorities of two or more States to carry out
criminal investigations on their territory for a limited time period. The statutory framework usually
regulates the conditions under which the JIT must be set up and its working methods. There are regulations
in place for the establishment and operation of JITs between EU Member States29, other regulations govern
JITs between EU Member States and third States30 and some regulations governing JITs were adopted by
the United Nations General Assembly31.
The establishment of a JIT is required in cases where an ongoing investigation in one State requires

Convention established by the Council in accordance with Article 34 of the Treaty on European Union, on Mutual Assistancein Criminal Matters between the Member States of the European Union; Article 13; Official Journal of the European
Communities C 197/1 dated 12 July 2000 and Council Framework Decision of 13 June 2002 on Joint Investigation Teams(2002/465/JHA); Official Journal of the European Communities L 162 dated 20 June 2002.
30
I. Second Additional Protocol to the European Convention on Mutual Assistance in Criminal Matters of 20 April 1959; Article
20; Council of Europe; European Treaty Series ‒ No. 182);
II. Agreement between the European Union and the Republic of Iceland and the Kingdom of Norway on the application ofcertain provisions of the Convention of 29 May 2000 on Mutual Assistance in Criminal Matters between the Member States of
the European Union and the 2001 Protocol; Official Journal of the European Communities L 26 dated 29 January 2004;
III. Agreement between the EU and the US on mutual legal assistance; Article 5; Official Journal of the European Communities
L 291, 7 November 2009;
IV. Police Cooperation Convention for Southeast Europe (PCC SEE) of 5 May 2006 applicable between several Member States(Austria, Bulgaria, Hungary, Romania and Slovenia) and countries of the Balkans (Albania, Bosnia and Herzegovina, fYROM,
Moldova, Montenegro and Serbia); Article 27; andV. Convention on Mutual Assistance and Co-Operation between Customs Administrations of 18.12.1997, Article 24.
31
I. United Nations Convention against Transnational Organised Crime of 15 November 2000; Article 19;
II. United Nations Convention against Illicit Traffic in Narcotic Drugs and Psychotropic Substances of 20 December 1988;
Article 9;III. United Nations Convention against Corruption of 14 December 2005; Article 49.
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complex and demanding investigative activities by other States and where the circumstances of the casenecessitate coordinated and harmonised action by all the States involved. A JIT should be established at as
early a stage in the procedure as possible. Please bear in mind that the severity of the criminal offence
committed is less important than its cross-border nature. Usually the request to establish a JIT comes fromcompetent authorities of one State; it is rarely at the request of Eurojust. Before setting up a JIT, it isadvisable for the competent authorities to meet and review the case files and exchange relevant
documentation.
The content of an agreement for establishing a JIT is best defined at the beginning of operational
activities. I propose that only general elements be defined in the agreement and that the description of thefacts of the case and the type of the offence should be brief as possible. My advice would also be that rather
than citing and presenting numerous domestic material and procedural criminal provisions in the agreement,
the JIT parties should instead only state that JIT must carry out its operations in accordance with conditions
stated in Article 13 of the Convention on Mutual Assistance in Criminal Matters between the Member Statesof the European Union or another international document and the law of the (Member) State in which it
operates and by stating only the provisions of domestic legislation regarding establishment of JIT.
A model agreement32 has been developed33 to facilitate the setting up of a JIT in 23 different official
languages. National Members at Eurojust, with the help of the JITs Network Secretariat,34 can provide
assistance in drafting the JIT agreement and discussing which clauses are required to supplement or deviate
from the model agreement. Parties to the agreement are national authorities and not necessarily persons incharge of the case. Nevertheless, parties designate the persons in charge of the case as JIT leaders and othermembers of the JIT. JIT objectives are to gather evidence and share relevant information, to identify those
responsible and where appropriate to disrupt their activities and use evidence gathered for the purpose ofprosecution and the seizure and confiscation of the proceeds of crime in involved States. Parties should agree
not only on which authority should investigate but more importantly also on which authority will prosecute
whom. Parties to the JIT should also agree in which involved States JIT will operate and its duration andscope. The parties may also agree on some other details35.
A JIT consists of a team leader, team members and team participants. The team leader is usually aprosecutor or judge due to the fact that a JIT is considered a special form of mutual legal assistance. The
team should have one leader, but practice to date has shown that countries prefer multiple leaders to beappointed, i. e. one team leader for each involved State. The team leader must be informed about each
investigative measure and operational activity. Team members are mostly representatives of law
enforcement. The role, purpose and tasks of other team participants such as the National Member at
Eurojust, Europol, OLAF or FBI should be clearly designated in the agreement. National Members areentitled to participate in JITs and National Members must be invited to participate when a JIT benefits from
EU funding36. The question of whether other national authorities such as tax office, customs and excise
administration, office for prevention of money laundering, court of audit, etc. could be a member of JIT can
only be answered by domestic legislation. In Slovenia they cannot because Article 161b of the Slovenian
Criminal Procedure Act states that the agreement on the establishment and operation of joint investigation
teams in the territory of the Republic of Slovenia or other countries has to be concluded by the Public
Prosecutor General after obtaining the opinion of the Director General of the Police, meaning that only these
two organisations can participate in JITs.
This document can be downloaded from the Eurojust website: http: //www. eurojust. europa. eu/doclibrary/JITs/
JITs%20framework/Model%20Agreement%20for%20setting%20up%20a%20Joint%20Investigation%20Team/JIT-2017-MODELEN.pdf accessed on 13.09.2018.
33
Council Resolution on a Model Agreement for setting up a Joint Investigation Team (JIT), Official Journal of the European
Communities C 18 dated 19 January 2017.
34
The JITs Network Secretariat was established in 2011 in accordance with Article 25a(2) of Eurojust Decision. The Secretariat
promotes the activities of the Network, supports the National Experts in their work and since September 2013 it is also
responsible for the funding of JITs.
35
Such as possible changes to the agreement; performance assessment and work evaluation every three to six months or not atall; language of communication; communication with the media; right to carry firearms; costs/expenditures/insurance;translation/interpretation expenses; financial support for the JIT (submission of applications for EU funding ‒ dedicated form);
use of facilities (office accommodation, vehicles, other technical equipment); etc.
36
Article 9f of Eurojust Decision.
32

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21ST UNAFEI UNCAC TRAINING PROGRAMMEVISITING EXPERTSʼ PAPERSTeam members must have clear information and guidelines regarding differences in criminal legislation of
the involved States and evidence-gathering methods to ensure the admissibility of evidence. Team members
should be aware of the hierarchy and competences of other JIT members or participants. A JIT is usually
established in a State where the investigation is predominantly expected to take place but that does not meanthat all members have to be physically in same the location. JIT members can regularly meet and exchange
information in person, by exchanging emails or holding telephone conversations. In some cases, each Statecan undertake operational actions in its territory, but may act outside its territory if so agreed (housesearches and interrogations, review of seized documents; presence on the spot). The JIT organisation should
be determined on a case-by-case basis and consideration should also be given to the costs of making staff
available, the length and nature of the investigation, number of judicial bodies, etc.
One of the best advantages of JIT in comparison with MLA requests is that each involved State operates
in line with its own laws and that there is joint decision-making as to what operational activities should be
carried out and when, and which authority will prosecute whom. There is direct exchange of information
between JIT members and direct requests for investigative actions between team members, which meansthat MLA requests are not needed. As a consequence, JITs save time and money. Team members can also bepresent during home searches and the interrogation of witnesses and suspects, something which can bring
added value to the investigation of criminal offences. Informal exchange of specific knowledge takes place
between team members. When National Members at Eurojust are invited to participate in JITs, this meansthat JIT members and/or national authorities can also benefit from EU funding.
In complex cross-border cases where sometimes huge amounts of documents are gathered despite a JIT
being established, lengthy and costly translations may delay investigation and prosecution. That is why it isimportant for the team members to be fluent in the language of another involved State. If that is not possible,
then they should at least be fluent in a language that is used in communications and defined in the JIT
agreement37. JIT members should also try to benefit from funding which is available and provided by
Eurojust.
In the period from 2012 to 2017, 12 JITs on corruption (3.5% of all JITs, 345 JITs in total) were established.
Chart 9 and Chart 10 illustrate the number of new JITs on corruption in comparison to all new JITs
established broken down by year38 and by participating country.
Chart 9: Newly established JITs on corruption cases vs total number of new JITs established by year

37
38

Usually English is the language used.
Please note that Eurojust has only systematically collected information on JITs from 2012 onwards.

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Chart 10: Newly established JITs on corruption cases by year and by participating country

There was one corruption JIT with a third State (Switzerland) in 2016.
4. Setting Up of Coordination Centres
Eurojust can also offer a third international cooperation tool to practitioners in the fight against
corruption: the organisation of coordination centres. In cases where involved States have a joint action day39,
they should consider the possibility of coordinating their national authorities and immediate exchange of
operational information and/or evidence or resolving any other legal and practical issues by setting up acoordination centre. A dedicated meeting room is available at Eurojust premises for this exact purpose. Thisroom is equipped with the requisite technical equipment, such as computers, printers, telephones andvideoconference facilities (dedicated lines), which can be used by participants from national authorities,
National Members and Eurojust staff responsible for the technical facilities, other administrative matters andfor the joint press release.
The first coordination centre was organised in 2012 and coordination centres started to be used as a toolfor judicial cooperation in cross-border cases. A total of 50 coordination centres have been organised sincethen but none for a corruption case.

III. CONCLUSION
The fight against corruption does not manifest merely in implementing sets of reforms and regulations
into national and international legislation; it is also manifested in law enforcement, prosecution and judicial
proceedings. If the fight against corruption is not effective in cases when corruption-related criminal offenceswere detected, then we can say that crime does pay. Practitioners from Member States dealing withcorruption cases usually have many legal and practical issues which they need to resolve and this is where
Eurojust comes perfectly into play. The role and significance of Eurojustʼs work in the field of multilateral
judicial cooperation, coordination and exchange of information in cases involving serious cross-border crime isbeing increasingly recognised by practitioners in Member States because Eurojust is providing its effective
coordination, cooperation and support services on a daily basis to national authorities in operational cases,
mainly as follows: its ability to act on a 24 hour/7-day basis;
 facilitating transmission of information;

39

Operational activities are executing simultaneously in involved States.

130

21ST UNAFEI UNCAC TRAINING PROGRAMMEVISITING EXPERTSʼ PAPERS advising on drafting LoR and European investigation orders before their issue, including translationof these documents;
 speeding up the execution of LoR and European investigation orders; identifying and analysing legal issues and practical difficulties;
 providing possible solutions to legal issues and practical difficulties;
 collecting and analysing information coming from the Member States conducting investigations into
possible further links and new aspects of investigation;
 organising coordination meetings and setting up coordination centres; stimulating further exchange of information during and after coordination meetings andcoordination centres; developing and sharing best practices against corruption;
 raising awareness in the fight against corruption;
 avoiding duplication of investigations and prevention of the conflicts of jurisdiction and double
jeopardy (“ne bis in idem”);
 numerous formal and informal contacts inside and outside the EU; and facilitating the setting up of JITs and their funding.

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ACQUISITION OF EVIDENCE ABROAD AND THE QUESTION OF
ITS ADMISSIBILITY
M. Sc. Boštjan Lamešič＊

I. ADMISSIBILITY OF EVIDENCE ACQUIRED ABROAD IN SLOVENE
CRIMINAL PROCEDURES AND THEIR EXCLUSIONThe Slovene courts and state bodies that participate in a criminal procedure are entitled on the basis of
the first paragraph of Article 18 of the Slovene Criminal Procedure Act (hereinafter: ZKP)1 to decide whethera certain fact has been established or not, whereby they are not bound by or restricted by any special formal
evidentiary rules2. Discretionary consideration of evidence applies both to evidence that was obtained in the
territory of the home state as well as to the evidence that was obtained in the territory of a foreign state3.
The Slovene legislation does not differentiate between evidence obtained domestically and the evidence thatwas obtained abroad. In both instances the issue revolves around evidence, which, however, may have beenobtained in different ways.
It is nonetheless up to the court alone to decide which evidence it shall consider at all and how it shallconsider its credibility. A Slovene court may also decide to include in evidence materials that were notobtained in accordance with the ZKP, as it must, given the principle of material truth, truthfully andcompletely establish the facts relevant for the issuance of a lawful decision and thus ensure that the matter at
hand is investigated wholly and that the whole truth of the matter is brought to light4.
A Slovene court is indeed not bound to any formal rules on the basis of discretionary consideration ofevidence, however, the court may not establish a court decision on the basis of evidence that was obtained inviolation of constitutionally determined human rights and fundamental freedoms, nor on the basis of evidence
that was obtained in violation of the provisions of criminal procedure whereby this Act stipulates with regard
thereto that a court decision may not be established thereon, or which were acquired on the basis of suchinadmissible evidence5. Undoubtedly, foreign evidence is, in principle, admissible as per Slovene legislation;
however, the provision of the second paragraph of Article 18 of the ZKP is applicable to it as well, whichmeans that if it was obtained contrary to this provision, it must be excluded from the brief6.
There are no legally binding rules on the consideration of evidence admissibility in the European Union,
and the regulation of the field dedicated to the issue of evidence admissibility is left up to the Member States,
which is why I believe that when considering evidence obtained abroad, a Slovene court must firstly
determine whether this evidence was obtained abroad:i.

independently for the purpose of a procedure in the foreign country in accordance with its regulations,

Assistant to the National Member for Slovenia at Eurojust, Vice Chair of Economic Crime Team at Eurojust; The Office of theState Prosecutor General of the Republic of Slovenia, District State Prosecutor.
1
Official Gazette of the RS, no. 63/1994 of 13 October 1994, with amendments.
2
The principle of discretionary consideration of evidence.
3
In relation to the stated, it should be noted that the ʻterritory of a foreign stateʼ may relate to a Member State of the European
Union, or to another country that is not a member of the European Union, or ʻthird countryʼ.
4
Article 17 of the ZKP.
5
The second paragraph of Article 18 of the ZKP states: ʻThe court may not base its decision on evidence obtained in violation of
the human rights and basic freedoms provided by the Constitution, nor on evidence which was obtained in violation of theprovisions of criminal procedure and which under this Act may not serve as the basis for a court decision, or which wereobtained on the basis of such inadmissible evidenceʼ.
6
Evidence that was obtained in another country cannot be admissible if it was obtained using torture contrary to Article 3 ofthe European Convention on Human Rights or if the right to defence was violated contrary to Article 6 of the European
Convention on Human Rights.
＊

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or on the basis ofii. international legal assistance or a European investigation order, oriii. international cooperation in joint investigation teams.
In this consideration the court must further consider the following:i. whether the evidence obtained abroad was obtained legally, andii. whether it was obtained in violation of a constitutionally7 or internationally legally determined humanright and fundamental freedom.
A. ʻIndependentʼ Acquisition of Evidence
If Slovene bodies obtain evidence in the territory of the Republic of Slovenia, they are bound by national
constitutional and statutory regulations. In the same manner, foreign bodies are bound by their constitutionaland statutory regulations when detecting and investigating criminal acts in their territory. It cannot be
expected from foreign bodies to comply with foreign law when detecting and investigating criminal acts intheir own territory. Foreign bodies must comply with their own legislation and it cannot be requested fromthem to comply with foreign constitutional and statutory provisions, especially those that may only be
addressed to state bodies in the territory where a state exercises its sovereignty. We cannot expect that
foreign security or judicial bodies question themselves whether they are complying with foreign legislation
when investigating criminal acts in their own territory. When foreign bodies investigate a criminal act thatwas committed in their territory and that is punishable in accordance with their legislation, they must comply
only with their own regulations, and foreign bodies cannot and must not have an influence in this respect.
It cannot be expected in the field of international cooperation in criminal matters that all states will havetheir legislation harmonized with the legislation of the Republic of Slovenia. Insisting on complete complianceof evidentiary rules would disable international assistance in criminal matters and therewith international
cooperation in criminal matters as well. When Member States of the European Union act independently in theinvestigation of criminal acts in their territories for the purposes of their own procedure, then the principle oftrust applies for such obtained evidence, as concluded from the Convention on Mutual Assistance in Criminal
Matters between the Member States of the European Union that the Council prepared on the basis of Article
34 of the Treaty on European Union8. The Convention further implies trust in the structure and operation of
the legal systems as well as the competence of all Member States to ensure a fair trial. Given the fact thatsometimes criminal procedures take place parallelly in states, it would be practically and theoretically
impossible to expect that all foreign bodies would act simultaneously on the basis of at least two different setsof legislation when investigating criminal acts. The thought that this could or even should be done is also
contrary to the preamble of the Convention that alerts to the fact that it is in the common interest of theMember States to ensure mutual legal assistance among Member States in a speedy and efficient manner.
In Slovene case law, several decisions argue that from the standpoint that individual procedural acts
performed by a foreign body are valid despite the fact that they were not carried out in the mannerprescribed by the ZKP (e.g. judgement Kp 16/2007 of 30 May 20059 and judgement XI Ips 44415/2010 of 22
June 2010)10 or that evidentiary materials obtained and submitted to Slovene bodies by a foreign security
body have equal evidentiary value as the materials obtained by the Slovene police in accordance with theprovisions of the ZKP (judgement I Ips 290/2006 of 31 August 2006)11. The latest case law has also taken theview that acts performed by the foreign competent bodies are to be firstly assessed in the light of theirdomestic constitution and legislation, and only then it is to be assessed whether such acts are materiallycompliant with the standards prescribed by our Constitution12 (judgement I Ips 199969/2010-279 of 14
February 2012)13.
And not also a statutory determined human right and fundamental freedom, as it has already been considered.
The Convention established by the Council in accordance with Article 34 of the Treaty on European Union, on Mutual
Assistance in Criminal Matters between the Member States of the European Union (Official Journal of the European
Communities C 197/1 of 12 July 2000).
9
Summarized from the webpage: http://www.sodisce.si/vsrs/odlocitve/22347/, accessible on 20 August 2018.
10
Summarized from the webpage: http://sodisce.si/vsrs/odlocitve/2010040815245481/ accessible on 20 August 2018.
11
Summarized from the webpage: http://sodisce.si/vsrs/odlocitve/26125/, accessible on 20 August 2018.
12
Official Gazette of the RS, no. 33-1409/1991 of 28 December 1991 with amendments.
7
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Slovene case law shows that when considering the admissibility of evidence obtained from abroad, theobject of consideration must be whether the evidence was collected in accordance with the national laws of
the state where such evidence was collected, and whether such acts are materially compliant with thestandards of the Constitution of the Republic of Slovenia. We must contemplate certain institutes of theConstitution only in the sense that they are binding upon Slovene bodies and not upon foreign ones. The
object of consideration must not be foreign legislation and its compliance with the Slovene ZKP or Slovene
Constitution, as it is impossible to expect that the content of foreign regulations and the performance ofindividual procedural acts would be identical to those in Slovenia. The mere different regulation of anindividual procedural act does not automatically imply its illegality and the exclusion related thereto.
Procedural acts performed by foreign bodies must not be considered on the basis of the Slovene ZKP, but
only in light of the foreign legislation.
In a Slovene criminal procedure, the defence may propose to the court that individual evidence be
excluded from the brief, whereby the legality of the collected evidence must also be monitored by theprosecutor and the judge14. The defence may therefore object that a piece of evidence obtained abroad isillegal and that it must be excluded, as it was not obtained in an admissible manner, under the conditions andprocedure as per domestic law, namely, due to the fact that: the house search abroad was ordered by a police officer and not a judge;15
 two witnesses were not present during the performance of the house search abroad;16
 the foreign criminal procedural act does not include a legal instruction on the privilege against selfincrimination or the right to remain silent, and that foreign bodies did not explicitly state the right toremain silent17 in the record on the interrogation of the suspects18.
The response by the prosecution or the court to the defenceʼs objection could be that if the foreign
evidence was obtained independently of the request or cooperation of another state, i.e. by foreign bodies forthe purposes of their own procedure, then the procedural acts performed by the foreign body are also valid ina criminal procedure that takes place in Slovenia, despite the fact that they were not carried out in themanner prescribed by the ZKP, and that other requirements laid down either by the Constitution or the ZKP,
such as the presence of two witnesses during a house search, and the necessity of an issued court order for ahouse search, are merely procedural requirements prescribed by the Constitution and only bind Slovenebodies, and that we cannot request that a foreign state has to comply with the Slovene procedural
constitutional and statutory provisions, and that Slovenia protects human rights in its territory in accordancewith Article 5 of the Constitution19.
Summarized from the webpage: http://www.sodisce.si/vsrs/odlocitve/2012032113042029/, accessible on 20 August 2018.
The second paragraph of Article 83 of the ZKP states that a court decision may not be based on a deposition by the suspect oraccused, witness or expert, or on the records, objects, recordings, reports or pieces of evidence, the investigating judge or thejudge who carries out individual acts of investigation shall issue ex officio, or on the motion of a party, a decision excluding the
aforesaid evidence from the files as soon as he establishes that the statements or evidence of such a nature are involved. He
shall act in the same manner in respect of the information referred to in the preceding paragraph unless the public prosecutor
has already excluded it, as well as in respect of the information disclosed to the police by persons who may not be examined as
witnesses (Article 235) or who under this Act have renounced testimony (Article 236) or may not under this Act be appointed
as experts (Article 251). The parties may request the exclusion of records and other evidence only until the opening of the main
hearing and may request it in the main hearing only if they were not able do it before.
15
Article 215 of the Criminal Procedure Code states that a search shall be ordered by the court in the form of a reasoned
warrant.
16
The fourth paragraph of Article 36 of the Constitution states that a search of a dwelling or other premises may only be
conducted in the presence of two witnesses.
17
Article 4 of Criminal Procedure Code/Act states that any arrested person must be advised immediately, in his mother tongue
or in a language he understands, of the reasons for his arrest. An arrested person shall immediately be instructed that he is notbound to make any statements, that he is entitled to the legal assistance of a counsel of his own choice and that the competentbody is bound to inform upon his request his immediate family of his apprehension.
18
The tenth paragraph of Article 227 of Criminal Procedure Code states that if the accused was not instructed about his rights
under the second paragraph of this Article, or the instruction and the statement of the accused concerning the right to a
defence counsel are not entered in the record, or the interrogation was conducted in violation of the provisions of the eighth or
ninth paragraph of this Article, the court may not base its decision on the statement of the accused.
19
Article 5 of the Slovenian Constitution states that in its own territory, the state shall protect human rights and fundamental
freedoms.
13
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The prosecution or the court could further invoke the fact that foreign legislation does not require thepresence of two witnesses during a search, but that such a requirement is not prescribed by the European
Convention on Human Rights (hereinafter: ECtHR)20, either. It is my opinion that the presence of two
witnesses during a search of an apartment as required by the Slovene Constitution in Article 36, is not a basic
human right. A basic human right is ʻthe inviolability of oneʼs premisesʼ that is also protected by Article 8 of
the ECtHR21. The presence of two witnesses during a search only represents a procedural provision orcondition that police officers have to consider or meet in order to render their actions legal. The presence of
two witnesses as prescribed by Article 36 of the Constitution is only binding upon the Slovene police in the
territory of the Republic of Slovenia, whereby the purpose of the presence of witnesses is only aimed at
exercising control over the work of the police. This is the so-called procedural dimension of constitutional
guarantees, as they can only be exercised in the territory of the Republic of Slovenia. We must not forget that,
under strict conditions, the ZKP itself also allows for a house search to be carried out without the presence of
two witnesses22, which additionally points to the fact that the ʻpresence of two witnessesʼ is not a humanright, but merely a provision binding upon the police when performing its acts.
The prosecution and the court could respond to the defenceʼs objection with regard to the jurisdiction of
the body ordering the invasion of a human right, that in certain countries, other bodies are authorized toorder invasions in human rights and that it is not prescribed in the ECtHP anywhere, which body may orderinvasions in human rights (e.g. house searches), and that this is not a matter of importance, as long as there isa preliminary or subsequent judicial control over the ordered investigative act. This is also confirmed by theextensive case law of the European Court of Human Rights (hereinafter: ECHR)23.
The ECHR stated in paragraph 44 of the Judgement in Harju v. Finland24 and paragraph 45 of theJudgement in Heino v. Finland25 that the absence of a prior judicial warrant may be counterbalanced by theavailability of an ex post factum judicial review. Judicial review plays an important part in the control or theadmission of an invasion of the right to privacy and inviolability of oneʼs premises, however, it is notnecessarily the case that judicial review is regulated in the same manner as prescribed in the Slovene
Constitution that is binding only upon Slovene bodies with regard to the performance of investigative
measures in the Slovene territory. In line with this view, countries decide themselves which body and underwhich procedure they shall carry out a certain procedural act, however, the legality thereof is also to beverified by the court before or after the procedural act is carried out.
In relation to the note of the legal instruction in the record, the prosecution and the court could argue thatthe privilege against self-incrimination26 is a constitutional category that is stipulated in item 4 of Article 29 of
the Constitution27, however, the note of the legal instruction is indeed a means for the protection of thisprivilege, which is a statutory category and is prescribed in the tenth paragraph of Article 227 of the ZKP,
Ratified in Slovenia with the Act Ratifying the Convention for the Protection of Human Rights and Fundamental Freedoms
amended by protocols Nos. 3, 5 and 8, and completed by protocol No. 2 (Official Gazette of the RS ‒ International Agreements(MP), no. 7-41/1994).
21
The first paragraph of Article 8 of the ECHR states that everyone has the right for his private and family life, his home andhis correspondence, to be respected. The second paragraph states that there shall be no interference by a public authority withthe exercise of this right except such as is in accordance with the law, and is necessary in a democratic society in the interestsof national security, public safety or the economic well-being of the country, for the prevention of disorder or crime, for theprotection of health or morals, or for the protection of the rights and freedoms of others.
22
The third paragraph of Article 218 of the ZKP states that a search may be carried out without witnesses being present if
their presence cannot be secured immediately and it would be unsafe to delay the act. The reasons for the search without theattendance of witnesses shall be cited in the record.
23
Cases Smirnov v. Russia, Varga v. Romania, Işıldak v. Turkey, Kruslin v. France, Silver and Others v. the United Kingdom,
Sorvisto v. Finland, Sallinen and Others v. Finland, Heino v. Finland and Harju v. Finland.
24
Judgement was on 27 August 2018 accessible on https://hudoc.echr.coe.int/eng#{"itemid":["001-103397"]}.
25
Judgement was on 27 August 2018 accessible on https://hudoc.echr.coe.int/eng#{"itemid":["001-103394"]}.
26
The essence of this privilege is its voluntary nature.
27
Article 29 of Slovenian Constitution states that anyone charged with a criminal offence must, in addition to absolute equality,
be guaranteed the following rights:- the right to have adequate time and facilities to prepare his defence;- the right to be present at his trial and to conduct his own defence or to be defended by a legal representative;- the right to present all evidence to his benefit;- the right not to incriminate himself or his relatives or those close to him, or to admit guilt.
20

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and that this procedural provision only applies in the territory of Slovenia, which is why it cannot be expectedthat a procedural standard based on a Slovene act would be stated in a procedure before the bodies ofanother state that has a different procedural regulation when it comes to notes of instructions.
It is not relevant that the right to remain silent is written; it is, however, important that the suspects were
instructed of this right and that they had a choice whether they will testify or defend themselves byremaining silent. The instruction, in which the accused is warned that he is not obligated to testify against
himself or that he may exercise his defence by remaining silent, must be such that the accusedʼs decision onwhether he will exercise the right to remain silent or not, entirely depends on his free will28.
It is my assessment that the omission of legal instruction on the right to remain silent does not constitutea violation of the ECtHR. Article 6 of the ECtHR prescribes the right to a fair trial29. The third paragraph of
Article 6 of the ECtHR prescribes the minimal rights to which a person is entitled, if accused of committing acriminal act. The right to remain silent or the privilege against self-incrimination is not listed among theserights. Despite the fact that the right to remain silent is not expressly included in the ECtHR, the ECHR has
considered several cases when individuals complained due to the violation of their right not to incriminate
themselves. The main factor that the ECHR considered in these cases was whether it is possible to consider
all of the circumstances related to the alleged self-incrimination as repressive.
The ECHR determined that such repressive circumstances exist when an employee of a company isforced to give statements or information on company activities to official bodies that investigate potential
irregularities, whereby such obtained data are stated in a subsequent criminal procedure against such an
employee (cases of Saunders v. United Kingdom (1996))30 and I.J.L. and others v. United Kingdom (2000))31.
The ECHR made the same determination when a French citizen was fined because he refused to submitbank statements and legal deeds with regard to which the customs officials presumed they existed, but were
not able to find during a legal search of premises (case of Funke v. France (1993))32.
In the case of Jalloh v. Germany (2006)33, where police officers forced the appellant to vomit a bag of
cocaine that he had swallowed before the eyes of the police, the ECHR held that forcing a person to vomit andusing the vomited bag of cocaine as the key evidence supporting the appellantʼs conviction, was a violation of
the appellantʼs right to a fair trial and his privilege against self-incrimination. This case involved a repressive,
excessive invasion to the body that represented inhumane and degrading conduct, carried out for theacquisition of the evidence that was the basis for the decision.
The ECHR established a violation of Article 6 of the ECtHR in several cases related to police
The decision by the Slovene Constitutional Court Up-134/97 of 14 March 2002, that was accessible on 24 August 2018 on theofficial link of the Slovene Constitutional Court on the webpage: http://odlocitve.us-rs.si/sl/odlocitev/US21295.
29
The right to a fair trial:
1. In the determination of his civil rights and obligations or of any criminal charge against him, everyone is entitled to a fair andpublic hearing within a reasonable time by an independent and impartial tribunal established by law. Judgment shall be
pronounced publicly but the press and the public may be excluded from all or part of the trial in the interests of morals, publicorder or national security in a democratic society, where the interests of juveniles or the protection of the private life of theparties so require, or to the extent strictly necessary in the opinion of the court in special circumstances where publicity would
prejudice the interests of justice.
2. Anyone charged with a criminal offence shall be presumed innocent until proved guilty according to law.
3. Anyone charged with a criminal offence has the following minimum rights:(a) to be informed promptly, in a language which he understands and in detail, of the nature and cause of the accusation
against him;(b) to have adequate time and facilities for the preparation of his defence;(c) to defend himself in person or through legal assistance of his own choosing or, if he has not the means to pay for legal
assistance, to be given it free when the interests of justice so require;(d) to examine or have examined witnesses against him and to obtain the attendance and examination of witnesses on hisbehalf under the same conditions as witnesses against him;(e) to have the free assistance of an interpreter if he cannot understand or speak the language used in court.
30
Summarized from the webpage: http://hudoc.echr.coe.int/eng?i=001-58009, accessible on 21 September 2018.
31
Summarized from the webpage: http://hudoc.echr.coe.int/eng?i=001-58800, accessible on 21 September 2018.
32
Summarized from the webpage: http://hudoc.echr.coe.int/eng?i=001-57809, accessible on 21 September 2018.
33
Summarized from the webpage: http://hudoc.echr.coe.int/eng?i=001-76307, accessible on 21 September 2018.
28

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interrogations, namely, in instances when the self-incriminating statements were used in a trial as essential
ones, whereby the appellant gave these statements to the police while he was in solitary confinement
undergoing cruel detention and without access to an attorney (case of Magee v. United Kingdom (2000))34. Orin the case where individuals were sentenced because they refused to answer the questions asked by thepolice (case of Heaney and McGuinness v. Ireland (2000))35. The ECHR also established a violation of Article 6of the ECtHR in the case of Averill v. United Kingdom (2000)36, where the police gave disputable or vague
advice on the scope of the right to remain silent while the person did not have access to legal representation.
In all these cases the suspects were, more or less, actually psychologically or physically forced toincriminate themselves in some way, and in some cases, they also did not have access to adequate legal
assistance. The acquisition of such statements is undoubtedly a violation of Article 6 of the ECtHR. In
particular, the right to remain silent presumes that it is up to the prosecution to prove the charges and that it
does not resort to methods of repression or oppression to obtain evidence, thus acting contrary to the will of
the accused (case of Saunders v. United Kingdom, Heaney and McGuinness v. Ireland, J.B. v. Switzerland(2001)37 and Allan v. United Kingdom (2002)38. Given the case law of the ECHR, the consideration of whether
Article 6 of the ECtHR was violated, requires that the ʻdegree of forceʼ aimed at the acquisition of a statementof a suspect as well as access to legal representation is taken into account.
The prosecution and the court must determine by way of examining the interrogation records39 and byposing additional questions to the suspects40, i.e. accused41 at the main hearing as to whether there was any
degree of force present at the interrogation of the suspects, i.e. whether there was any indirect or direct force
or any physical or psychological violence, and whether the suspect voluntarily decided to submit theirdefence and whether they understood the meaning of their rights. Investigators must allow for the suspects
undergoing interrogation to be passive and that they decide by themselves, consciously, rationally and above
all, voluntarily, whether they will give statements or not.
Even if an individual procedural act is not carried out abroad in the manner prescribed by the domestic
law, it does not mean that such evidence must be excluded from the brief; on the contrary, I believe that such
evidence may be used in a domestic procedure, however, the court must first establish that such evidence
was not obtained in violation of a constitutionally or internationally legally determined human right andfundamental freedom42. If that were the case, it would have to be excluded from the court brief.
The main purpose of evidence exclusion is surely the prevention of illegal searches and seizures. Under
Slovene legislation, the decision on the exclusion of evidence is aimed at teaching the police a lesson withregard to its future conduct, which means the strict consideration of constitutional and statutory rights.
However, a Slovenian decision on the exclusion of evidence is not to be used as a lesson directed at foreign
Summarized from the webpage: http://hudoc.echr.coe.int/eng?i=001-58837, accessible on 21 September 2018.
Summarized from the webpage: http://hudoc.echr.coe.int/eng?i=001-59097, accessible on 21 September 2018.
36
Summarized from the webpage: http://hudoc.echr.coe.int/eng?i=001-58836, accessible on 21 September 201837
Summarized from the webpage: http://hudoc.echr.coe.int/eng?i=001-59449, accessible on 21 September 2018.
38
Summarized from the webpage: http://hudoc.echr.coe.int/eng?i=001-60713, accessible on 21 September 2018.
39
The records must show that the suspects were instructed on their status in the pre-trial procedure (that they are suspects toa criminal act, which act, that they have a right to an attorney and other rights that are laid down by the domestic legislation);
who held jurisdiction at the interrogation (presence of an attorney); duration of the interrogation (whether there was a recess,time for lunch); whether the records was signed by the suspect (and attorney); whether the suspect (and/or attorney) made any
comments on the record; it is advisable to write records as per the question/response system, as this is the only way to checkthe manner of interrogation as well as the nature of the questions, i.e. whether they were of a suggestive or captious nature.
40
According to Article 144 of the ZKP, the suspect is a person against whom the competent government agency undertook,
before the introduction of criminal proceedings, a specific act or measure because grounds existed to suspect that he hadcommitted, or participated in the commission of, a criminal offence.
41
According to Article 144 of the ZKP the defendant is the person against whom the charge sheet has become final.
42
Equality before the law, prohibition of torture, protection of personal liberty, orders for and duration of detention, protection ofhuman personality and dignity, equal protection of rights, right to judicial protection, public nature of court proceedings, right tocompensation, presumption of innocence, principle of legality in criminal law, legal guarantees in criminal proceedings, right torehabilitation and compensation, prohibition of double jeopardy, freedom of movement, right to private property andinheritance, right to personal dignity and safety, protection of right to privacy and personality rights, inviolability of dwellings,
protection of the privacy of correspondence and other means of communication, protection of personal data, right to use oneʼs
language and script.
34
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police that complied with these regulations during its work. Only their competent bodies may teach themsuch a lesson. It would be downright absurd, if Slovene bodies were to give lessons on compliance withSlovene regulations to foreign competent bodies when the latter independently act in their territory and inaccordance with their own regulations.
B. Acquisition of Evidence by Way of Requests or a European Investigation Order
If Slovene bodies acquire evidence from third countries, they must prepare a request for international
legal assistance that is usually conveyed through the Ministry of Justice to the competent bodies in thesecountries43. However, if they acquire evidence44 from another Member State of the European Union on thebasis of the Cooperation in Criminal Matters with the Member States of the European Union Act (hereinafter:ZSKDČEU-1B)45, which implemented the Directive 2014/41/EU of the European Parliament and of theCouncil of 3 April 2014 regarding the European Investigation Order in criminal matters46 in the Slovene legal
order, whereby they have been obtaining evidence as of 5 May 2018 by way of a European investigation order47.
They may submit this order directly to the competent body of a Member State and it does not have to besubmitted through the Ministry of Justice which contributes to its speedier execution.
On the basis of Article 34 of the Directive of 22 May 2017, when the implementation deadline has lapsed,the Directive shall replace the respective provisions48 of the following conventions that apply in relations
between the Member States of the EU in which the Directive is binding:i.

European Convention on Mutual Assistance in Criminal Matters of the Council of Europe of 20 April
1959 and two additional Protocols to this Convention and bilateral agreements that were concluded
based on Article 26 of the aforementioned Convention;49
ii. Convention on Mutual Assistance in Criminal Matters between the Member States of the European
Union (2) and Protocols (3) to this Convention50 andiii. Convention Implementing the Schengen Agreement51.
In addition to the ZSKDČEU-1B, the Slovene bodies have also been obtaining evidence until 5 May 2018

In cases of bilateral agreements or agreements between individual states, they may also be submitted directly (e. g.:
Agreement on Legal Assistance in Civil and Criminal Matters of 14 April 2011 (Official Gazette of the RS - MP, no. 13/2015 and16/2015) entered into by the Republic of Slovenia and the Republic of Serbia).
44
Such as obtaining information or evidence which is already in the possession of the executing authority; obtaining information
contained in databases held by police or judicial authorities; hearing of a witness, expert, suspected or accused person, victim,
third party; identification of persons holding a subscription of a specified phone number or IP address; temporary transfer of aperson held in custody to the issuing State; temporary transfer of a person held in custody to the executing State; hearing byvideoconference or other audiovisual transmission of a witness, expert or suspected or accused person; hearing by telephone
conference of a witness or expert; information on bank and other financial accounts, information on banking and other financial
operations; investigative measure implying the gathering of evidence in real time, continuously and over a certain period oftime; monitoring of banking or other financial operations; controlled deliveries; covert investigations; interception of
telecommunications and other provisional measure(s) to prevent the destruction, transformation, moving, transfer or disposal ofan item that may be used as evidence.
45
Official Gazette of the Republic of Slovenia, no. 48/2013, 37/2015, 22/2018.
46
Directive 2014/41/EU of the European parliament and of the Council of 3 April 2014 regarding the European Investigation
Order in criminal matters (Official Journal of the European Union no. L 130/1 of 1 May 2014).
47
A European investigation order is a judicial decision which has been issued or validated by a judicial authority of a Member
State (ʻthe issuing Stateʼ) to have one or several specific investigative measure(s) carried out in another Member State (ʻtheexecuting Stateʼ) to obtain evidence.
48
A non-binding interpretation of the term ʻrespective provisionsʼ of the Conventions replaced by the Directive was adopted in
the scope of Eurojust and the European judicial network, and therewith the types of measures that are not included in the areaof application of the European investigation order and regarding which the aforestated Conventions continue to apply. One ofsuch measures is the service of procedural documents, joint investigation teams, spontaneous exchange of information,
abandonment and assumption of law enforcement, return of items to their lawful owner, seizure and recovery of assets,exchange of information from the criminal records, measures of cooperation between the customsʼ bodies, etc. (Council doc. No
9936/17 LIMITE: on 18 September 2018 accessible on http://data.consilium.europa.eu/doc/document/ST-9936-2017-INIT/en/
pdf).
49
European Convention on Mutual Assistance in Criminal Matters of 20 April 1959 (Council of Europe, European Treaty Series No. 30).
50
Official Journal of the European Communities C 197/1 of 12 July 2000.
51
Official Journal of the European Union no. L 239/19 of 22 September 2000.
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based on the European Convention on Mutual Assistance in Criminal Matters52 and Convention on Mutual
Assistance in Criminal Matters between the Member States of the European Union53. Both Conventions were
ratified in Slovenia with a law54 and they were both in effect simultaneously.
When obtaining evidence under the European Convention on Mutual Assistance55, more emphasis is givenon the law of the requested state, while the contrary is true regarding the Convention on Mutual Assistancein Criminal Matters between the Member States of the European Union56, i.e. more emphasis is given on thelaw of the requesting state. The European investigation order is recognised and executed in the same manner
and under the same conditions as if the investigation measure or act was ordered by the executing state.
However, it is possible that the ordering state states which formalities must be met to ensure theadmissibility of evidence. The executing body must meet them, unless they are contrary to the fundamental
regulations of the executing state57.
In the investigation and criminal prosecution of the gravest criminal acts such as terrorism, illicit
trafficking in narcotic drugs, trafficking in human beings, counterfeiting (of products, official documents,
money), cybercrime, frauds, corruption, crime against the environment and participation in a criminalorganisation, the growingly predominant aspect is their international element, as these criminal acts are notexecuted in one state alone. Due to the more efficient detection and criminal prosecution of this type of
criminal acts, action in a single state or the submission of individual European investigation orders and/or
requests for international legal assistance is no longer enough and is not efficient. It may be inefficient mainly
due to the following reasons:i. with requests, the cooperation of foreign bodies is limited only to a specific request or procedural act;
ii. information and evidence are submitted after the request is executed (loss of time);iii. after the receipt of information, a new request must be prepared for each additional measure which
can be inefficient in terms of time and costs;
iv. participation is limited to the competent bodies of the executing state;58v. limited participation of the competent bodies of the ordering state;59vi. in principle, the investigation does not commence in the executing state.
To ensure the greatest degree of efficiency when fighting international crime, it is necessary to ensure an
unlimited and simultaneous exchange of information and evidence between the representatives of foreign
bodies that are equal and active in the investigation and criminal prosecution of the gravest criminal acts
both at home as well as abroad. This, however, can only be achieved with their close cooperation which isprovided with the formation and operation of joint investigation teams.
C. Acquisition of Evidence by Way of International Cooperation in Joint Investigation Teams
It is typical for joint investigation teams that they represent cooperation between foreign competent
European Convention on Mutual Assistance in Criminal Matters of 20 April 1959 (Council of Europe, European Treaty Series No. 30).
53
Official Journal of the European Communities C 197/1 of 12 July 2000.
54
Act ratifying the European Convention on Mutual Assistance in Criminal Matters and Additional Protocol to the European
Convention on Mutual Assistance in Criminal Matters (Official Gazette of the Republic of Slovenia, no. 25/1999) and the Act
ratifying the Convention on Mutual Assistance in Criminal Matters between the Member States of the European Union,
established by the Council in accordance with Article 34 of the Treaty on European Union (Official Gazette of the Republic ofSlovenia ‒ International Agreements no. 7/2005).
55
Article 3 of European Convention on Mutual Assistance in Criminal Matters states: ʻThe requested Party shall execute in themanner provided for by its law any letters rogatory relating to a criminal matter and addressed to it by the judicial authoritiesof the requesting Party for procuring evidence or transmitting articles to be produced in evidence, records or documents.
56
Article 4 of the Convention established by the Council in accordance with Article 34 of the Treaty on European Union, on
Mutual Assistance in Criminal Matters between the Member States of the European Union states: ʻWhere mutual assistance isafforded, the requested Member State shall comply with the formalities and procedures expressly indicated by the requesting
Member State, unless otherwise provided in this Convention and provided that such formalities and procedures are notcontrary to the fundamental principles of law in the requested Member State.ʼ
57
Article 9 of Directive 2014/41/EU of the European parliament and of the Council of 3 April 2014 regarding the European
Investigation Order in criminal matters.
58
It is the state whose competent body executes a decision or measure for another state.
59
It is the state whose competent body issued the decision or measure to be executed in another state.
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bodies in the investigation and criminal prosecution of criminal acts containing an international element basedon a time-limited agreement. The agreement is concluded on the initiative of a competent body of thedomestic of foreign state. This means that the precondition for the conclusion of the agreement is an alreadycommenced pre-trial procedure in the state that usually initiates the conclusion of the agreement. This is so
because the investigative bodies in this state already possess certain evidence and require additional
evidence or information from other countries to bring the matter to a successful conclusion.
A joint investigation team can have one or more leaders, depending on the number of participating
countries. The practice of establishing joint investigation teams is going in the direction where eachparticipating state designates its leader. In the meantime, the investigation and criminal prosecution may be
carried out in one or several or all participating states. It is also possible that some states conclude anagreement on the establishment of a joint investigation team in the investigation and criminal prosecution,
while the others participate through international legal assistance, or accede to the agreement at a laterstage.
The definition and terms for the establishment of a joint investigation team, its composition, time andgeographical aspect of operations, its purpose and manner of operations as well as organization is regulated
by several bilateral60 and international61 documents as well as Practical instructions for joint investigation
teams prepared by the Secretariat of the Network for joint investigation teams in cooperation with Eurojust,Europol and OLAF62. These Practical instructions also include a template agreement on the establishment ofa joint investigation team63.
The Member States of the European Union must notify their national representatives at Eurojust64 about
the establishment of a joint investigation team and the results of its work65. A mere notification by Member
States could not in any way contribute to the efficiency of joint investigation teams as the cooperation ofnational members in their activities and in the establishment as well66. In any case, the support of national
members and the Secretariat of the Network of joint investigation teams that are part of the Eurojust67
personnel, is of key importance when it comes to the preparation of the agreement on the establishment of a
joint investigation team, as Eurojust promotes the template agreement in which all the relevant articles are
already included that may later on be subject of discussions and negotiations among the signatories of theagreement. It should not be overlooked that regarding the latter, the Secretariat of the Network of joint
investigation teams is always available with its specific knowledge and extensive experience. When theparties agree on the agreement content, Eurojust also provides the agreement translations. However, the roleof Eurojust does not end only in the adoption of the agreement on the establishment of a joint investigationteam or in relation to changes to the agreement content; it can also continue in the very investigation andcriminal prosecution, as the competent bodies often require legal advice in the criminal prosecution of theAgreement between the European Union and the Republic of Iceland and the Kingdom of Norway on the application ofcertain provisions of the Convention of 29 May 2000 on Mutual Assistance in Criminal Matters between the Member States of
the European Union and the 2001 Protocol thereto and Agreement on Mutual Legal Assistance between the European Unionand the United States of America (Article 5).
61
Convention on Mutual Assistance in Criminal Matters between the Member States of the EU of 12 July 2000 (Article 13);
Council Framework Decision on 13 June 2002 on Joint Investigation Teams (2002/465/JHA); Police Cooperation Convention forSouth-East Europe ((PCC-SEE) Article 27); Second Additional Protocol to the European Convention on Mutual Legal Assistance(Article 20); United Nations Convention against Illicit Traffic in Narcotic Drugs and Psychotropic Substances (Article 9); United
Nations Convention against Transnational Organised Crime (Article 19) and United Nations Convention against Corruption(Article 49).
62
Issued by the Council of the European Union in Brussels on 14 February 2017 (summarized from the webpage: http://www.
eurojust.europa.eu/doclibrary/JITs/JITs%20framework/JITs%20Practical%20Guide/JIT-GUIDE-2017-EN.pdf, accessible on 14
August 2018).
63
Official Journal of the European Union C 18, 19 January 2017, p. 1‒9.
64
On the basis of Article 2 of Council Decision 2002/187/JHA of 28 February 2002 setting up Eurojust with a view to reinforcing
the fight against serious crime (Official Journal L 063 of 6 March 2002) and further strengthened by Council Decision
2009/426/JHA of 16 December 2008 on the strengthening of Eurojust and amending Decision 2002/187/JHA setting up
Eurojust with a view to reinforcing the fight against serious crime ((Official Journal L 138 of 4 June 2009) hereinafter: Eurojust
Decision), this is usually the prosecutor or the judge.
65
Article 13 of the Eurojust Decision.
66
Article 9f of the Eurojust Decision.
67
Article 25a of the Eurojust Decision.
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more grave forms of cross-border crime that pertain to a referral of a case, European arrest warrant,
European investigation order, and last but not least, also to the answers relating to the settlement of a disputeon jurisdiction. An important factor is also the financing of the operations of joint investigation teams,
whereby it is based on anticipated costs of operative activities68, which is also provided by Eurojust. Eurojust
therefore prepares everything necessary for the signature of an agreement on the establishment of a joint
investigation team and finances all the necessary logistics related to its operations which surely saves timeand costs for the investigation and law enforcement bodies at their work.
In the Republic of Slovenia, the establishment of joint investigation teams is regulated in the ZSKDČEU1B, namely, Article 53 regulates the procedure of its establishment and Article 54 regulates the manner of its
work. The procedure of the establishment and the operations of the joint investigation team is also regulated
in Article 160b69 of the ZKP.
However, neither the ZSKDČEU-1B nor the ZKP regulate the issue of obtaining evidence in a joint
investigation team, and thereby the admissibility thereof as well, due to which the answer to this question is
to be sought in international acts that regulate the operations of a joint investigation team.
1. Application of the Law in Joint Investigation Teams
International criminal law agreements that are relevant for the cooperation between countries in criminal
prosecution of the criminal offenders override domestic law, under the condition that such agreements havebeen ratified and published. The provisions of a ratification act with which an international agreement isincluded in the internal legal order of a state, have the power of a law both in the formal as well as material
sense given lex lata. However, with the publication of the ratification act, an international agreement starts toapply directly.

Reimbursement of the costs of transport and accommodation, interpretation and translation costs as well as the costs ofevidence materialsʼ transport and/or seized itemsʼ transport costs.
69
The Article 160b of the ZKP states: (1) In the case which is the subject to the pre-trial procedure, investigation or court
proceedings in one or more countries, the police may cooperate with the police staff of the other country in the territory oroutside the territory of the Republic of Slovenia in carrying out tasks and measures in the pre-trial procedure and investigation
procedure for which it is responsible according to the provisions of this Act. (2) In carrying out the tasks and measures referred
to in the preceding paragraph, the police shall be directed by the public prosecutor pursuant to Article 160.a of this Act andmay cooperate with the public prosecutors of the other country in the territory and outside the territory of the Republic ofSlovenia in carrying out the stated activity and in exercising other powers in compliance with the provisions of this Act (joint
investigation team). (3) The tasks, measures, guidance and other powers referred to in the previous paragraphs of this Article
must be carried out in accordance with the agreement on the establishment and operation of joint investigation team in the
territory of the Republic of Slovenia or other countries that shall be concluded on a case by case basis by the Public Prosecutor
General or under his authorisation by his deputy with the Public Prosecution Office, court, police or other competent authoritiesof other states as set out in the Council Framework Decision of 13 June 2002 on joint investigation teams (Official Journal of theEuropean Union, No. L 162/1, 20.6.2002) or in the existing international treaty concluded with a country not being a member ofthe European Union after obtaining the opinion of the Director General of the Police. The agreement shall be concluded on theinitiative of the Public Prosecutor General, the Head of the District Public Prosecution Office or the Head of the Group of Public
Prosecutors for Special Affairs or on the initiative of the competent authority of another state. (4) The agreement referred to in
the previous paragraph shall lay down which authorities are to conclude the agreement, in which case the joint investigationteam will act, the purpose of the operation of the team, the Public prosecutor of the Republic of Slovenia who is its Head in the
territory of the Republic of Slovenia, other team members and the duration of its operation. The Public Prosecutor Generalmust notify the ministry responsible for justice in writing of any agreement concluded. (5) The police staff, public prosecutors orother competent authorities of other states shall only carry out tasks, measures, guidance and/or other powers referred to in
the first and second paragraphs of this Article in the territory of the Republic of Slovenia within the framework of the joint
investigation team in compliance with the provisions of the agreement on the establishment and operation of the joint
investigation team referred to in the third paragraph of this Article. (6) If so provided for in the agreement on the establishment
and operation of the joint investigation team referred to in the third paragraph of this Article, the representatives of competentauthorities of the European Union, such as EUROPOL, EUROJUST and OLAF, may participate in the joint investigation team.
The representatives of competent authorities of the European Union shall only exercise their powers in the territory of the
Republic of Slovenia within the framework of the joint investigation team in compliance with the provisions of the agreement
referred to in the third paragraph of this Article. (7) The police organisation units and Public Prosecution Offices of the Republicof Slovenia are obliged to offer all the necessary assistance to the joint investigation team. (8) Upon the completion of the work
done by the joint investigation team, the head of the joint investigation team shall make a report in writing to all its members
and the Public Prosecutor General.
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Since the Convention on Mutual Assistance in Criminal Matters between the Member States of theEuropean Union was also ratified with an appropriate law in Slovenia70, this Convention is also directly
applicable in Slovenia in the basis of Article 8 of the Constitution71, which means that Article 13 of the said
Convention is also directly applicable, whereby this Article precisely determines under which conditions a
JIT may be established, who is in the composition, how and where it operates etc. It is stated in item a) of thethird paragraph of Article 13 that the team leader acts in the scope of its competencies as per his national
legislation. However, item b) of the third paragraph of Article 13 prescribes that the JIT performs its tasks inaccordance with the legislation of the Member State in which it operates. These provisions are therefore
directly applicable and in effect in the Republic of Slovenia.
We find the same diction about the operations of the team leader and the performance of team tasks, i.e.
that these teams should comply with the national legislation of the Member State in which they operate, inthe following:

items a) and b) of Article 3 of the Council Framework Decision of 13 June 2002 on joint investigation
teams (2002/465/JHA);

items a) and b) of Article 5 of the Police Cooperation Convention for Southeast Europe;72

 items a) and b) of the third paragraph of Article 20 of the Second Additional Protocol to theEuropean Convention on Mutual Assistance in Criminal Matters;73
 the fourth paragraph of Article 5 of Agreement on Mutual Legal Assistance between the European
Union and the United States of America74 that includes a provision that refers to the application of
the national law of the state in which the joint investigation team operates.
Item c) of the first paragraph of Article 9 of the United Nations Convention against Illicit Traffic in
Narcotic Drugs and Psychotropic Substances75 also stipulates that team members may, upon theauthorization of appropriate bodies on the territory of which the investigation is to be executed, act on thebasis of the authorization and that all parties must ensure the complete consideration of the sovereignty ofthe party on the territory of which the investigation is being carried out. It may be concluded that thisprovision, too, refers the operations of the joint investigation team to the application of the national law of thestate where the investigation is being carried out.
Article 19 of the United Nations Convention against Transnational Organised Crime76 and Article 49 of
the United Nations Convention against Corruption77 entail an identical text, namely, that the relevant
contracting states ensure the complete consideration of the sovereignty of the contracting state on the
territory of which the investigation is to be carried out.

Ratified in Slovenia with the Act ratifying the Convention on Mutual Assistance in Criminal Matters between the Member
States of the European Union (Official Gazette of the Republic of Slovenia ‒ International Agreements no. 7/2005 of 18 May
2005).
71
Article 8 of Slovenian Constitution states that laws and regulations must comply with the generally accepted principles ofinternational law and with treaties that are binding on Slovenia. Ratified and published treaties shall be applied directly.
72
Ratified in Slovenia with the Ratification of the Police Cooperation Convention for Southeast Europe Act (Official Gazette of
the RS no. 108/2012 of 29 December 2012).
73
Ratified in Slovenia with the Ratification of the Second Additional Protocol to the European Convention on Mutual Assistancein Criminal Matters Act (Official Gazette of the RS no.92/2012 of 6 December 2012)74
Ratified in Slovenia with the Ratification of the Agreement on Mutual Legal Assistance between the European Union and theUnited States of America Act (Official Gazette of the RS no. 121/2005 of 30 December 2005 ‒ International Agreements, no.
22/05).
75
Ratified in SFRJ with the Ratification on the United Nations Convention against Illicit Traffic in Narcotic Drugs andPsychotropic Substances Act (Official Gazette of the SFRJ no. 14 of 23 November 1990).
76
Ratified in Slovenia with the Ratification on the United Nations Convention against Transnational Organised Crime Act(Official Gazette of the RS no. 41/2004 of 22 April 2004.
77
Ratified in Slovenia with the Ratification on the United Nations Convention against Corruption Act (Official Gazette of the RS
no. 5/2008 of 4 March 2008.
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Given the international acts, I can state that joint investigation teams must, when acquiring evidence inthe territory of a team Member State where it collects evidence, comply with its national legislation andcollect evidence in line with the procedures that apply in this state. This means that if a joint investigationteam is operating and collecting evidence in the territory of three states, it must comply with three different
sets of legislation. However, this does not mean that the evidence that was obtained in the scope of a joint
investigation team in different states is also automatically admissible for an evidentiary procedure in anotherstate. On the contrary. Its admissibility should always be diligently considered especially in the light of thestandards of the national legal order and the European Convention on Human Rights78 and the Universal
Declaration of Human Rights79.

II. CONSIDERATION OF EVIDENCE CONTENT BY SLOVENE COURTSAs stated at the outset, the court must, when considering whether evidence was collected in accordancewith the national law of the country where such evidence was collected, also consider whether such acts
materially comply with the standards of the Constitution of the Republic of Slovenia. This means that the
court further considers two more sets of questions, namely: 1. the evidentiary basis for consideration at the
moment when procedural acts by foreign investigators are ordered, and 2. whether the evidentiary basis
meets the standards that, in accordance with the Slovene ZKP, allow this type of invasion in basic humanrights. Such an opinion was also adopted by the Slovene case law80.
A Slovene court must check the evidentiary basis that was handled by foreign bodies before they carryout individual procedural acts. Evidentiary basis may be acquired (bank) documentation, hearing of witnesses
and data obtained with special methods and means, such as telephone tapping and following. If such anevidentiary basis meets the Slovene evidence standards (i.e. justified grounds for suspicion and reasons for
suspicion), and the same procedural acts would have been ordered on the evidentiary basis, then theprocedural acts by the foreign bodies were materially compliant with the standards of the Constitution of the
Republic of Slovenia and such evidence is also admissible on the same grounds in a Slovene procedure.

III. CONCLUSION
When acquiring evidence from abroad, their admissibility before the court must be verified. This meansthat both the law enforcement bodies and prosecution services as well as the courts must, along the legalityof the acquisition of the evidence obtained abroad, also consider whether such evidence was obtained inviolation of a constitutionally or internationally legally determined human right and fundamental freedom. If
evidence obtained abroad was obtained illegally, it must be excluded from the brief. The mere fact that
evidence obtained abroad was obtained under a different procedure than in the state in which the court willuse it for an evidentiary procedure does not necessarily mean that such evidence is automatically
inadmissible.
Evidence obtained abroad that was obtained independently of a request or participation of another statemust be obtained legally in such a state, whereby it is valid also in a criminal procedure being held in anotherstate, even though it was not obtained in a manner prescribed in this other state where it will be used.
If evidence was obtained abroad illegally or in violation of basic human rights, then such evidence isundoubtedly inadmissible and must be excluded from the brief with which we prevent illegal investigations
and seizures and prioritize the respect of human rights and not the establishment of truth and the efficiencyof criminal procedure.
Given the fact that the acquisition of evidence from abroad through requests may be inefficient in terms oftime and costs, the objective of an efficient fight against international crime calls for employing other
instruments of international cooperation as well. One of the more efficient instruments of gathering evidence
is undoubtedly through the formation and operation of joint investigation teams. They can operate and obtain
Ratified in Slovenia with the Ratification of the Convention for the Protection of Human Rights and Fundamental Freedoms
Act amended by protocols Nos. 3, 5 and 8, and completed by protocol No. 2 (Official Gazette of the RS-MP, no. 7-41/1994).
79
United Nations General Assembly Resolution 217A on 10 October 1948.
80
Judgement by the Supreme Court of the Republic of Slovenia ref. no. XI Ips 44415/2010 of 22 June 2010.
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evidence in the territory of one participating state or in the territory of several participating states. A joint
investigation team undoubtedly saves on time and costs that would have otherwise been spent for writing
and translating time-consuming requests; operating through investigative bodies is not only limited to one or
two investigating acts ‒ investigative bodies can actually carry out several investigative acts simultaneously
and work actively both at home as well as abroad; they can receive evidence and information immediately;
direct communication is established with foreign bodies; most importantly, the collection of evidence issubject to the law of the state in which the joint investigation team operates, with which errors in the legalityof evidence collection and consequently, the possibility of their exclusion in another state, are decreased.
However, in the establishment and provision of the financial means for the operation of joint investigation
teams, and consequently also in the admissibility of evidence before the courts, we must not overlook theefficient assistance provided by Eurojust as shown by the numbers as well, as the number of newlyestablished joint investigation teams whose operations were financially supported by Eurojust is growing
every year81.
It can in no way be expected that a joint investigation team is a ʻmagic wandʼ and that all investigation,evidentiary, legal, financial, logistic, technical, translation and other problems will be solved simply with theconclusion of an agreement on the establishment of a joint investigation team. However, it may be expectedthat these problems will be resolved more easily with the close cooperation and a speedy decision on the
country in which a criminal procedure will be held and against whom82 it will be brought.

Summarized from the webpage: http://www.eurojust.europa.eu/doclibrary/corporate/Pages/annual-reports.aspx, accessible
on 24 September 2018.
82
I propose for the sake of an easier execution of a procedure, especially from the aspect of the protection of the rights of theaccused and economy of the procedure, that in principle, each state participating in the team, shall perform the criminal
prosecution of its own citizens unless other state is in a better position to prosecute.
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ANTI-CORRUPTION MEASURES OF THE INDEPENDENTCOMMISSION AGAINST CORRUPTION, HONG KONG SPECIALADMINISTRATION REGION, CHINA AND STRATEGIES AND
EXPERIENCE OF ITS COMMUNITY RELATIONS DEPARTMENT
Corinna Wong＊

I. INTRODUCTION
Through the efforts of the Independent Commission Against Corruption (ICAC) working in partnershipwith the public, Hong Kong has been transformed from a city with widespread corruption into one of thecleanest places in the world. This paper gives an overview of the history and the anti-corruption measures of
the ICAC, highlighting the strategies and experience of its Community Relations Department in changing the
public attitude towards corruption.

II. HISTORY AND BIRTH OF THE ICAC
Hong Kong was in a state of rapid changes in the 1960s and 70s. The massive growth in population andfast expansion of the manufacturing industry accelerated the pace of social and economic development. The
Government, while maintaining social order and delivering the bare essential public services, was unable tomeet the needs of the swelling population. This provided a fertile environment for the unscrupulous. Many
people had to take the “backdoor route” simply to earn a living and secure the basic services. Paying “teamoney”, “black money”, “hell money” ̶ whatever its name ̶ became not only familiar to many Hong Kong
people, but was also accepted as a necessary way of life.
Corruption was rampant in the public sector. We had stories like an ambulanceman who demanded
money before picking up a sick person or a hospital ward attendant who asked for “tips” before giving
patients a bedpan or a glass of water. Offering bribes to the right officials was also “part of the procedure”
when applying for housing, schooling and other public services. Corruption was particularly serious in the
Police Force. Corrupt police officers offered protection to vice, gambling and drug activities. Law and order
was under threat and many in the community had fallen victim to corruption.
At that time, investigation of corruption cases, as viewed like any criminal cases, was the responsibility ofa dedicated Anti-Corruption Office within the Hong Kong Police Force. However, corruption remainedlargely unchecked and people had great doubt about governmentʼs political will in addressing the problem.
Public resentment escalated to new heights when a corrupt senior expatriate police officer, Peter Godber,
was able to flee to England whilst under investigation by the Anti-Corruption Office. Godberʼs escapeunleashed a public outcry and students took to the street to demand action from the Government against
rampant corruption.
In response to mounting public demand, the then Governor appointed Sir Alastair Blair-Kerr, a SeniorJudge, to look into Hong Kongʼs corruption problem in 1973. Noting the publicʼs loss of confidence in the abilityof the police to investigate bribery cases, Sir Alastair raised the suggestion of setting up a dedicated agency
separated from the civil service, including the police, to pursue corruption.
I think the situation calls for an organisation, led by men of high rank and status, which can devote its
whole time to the eradication of this evil...... A further and conclusive argument is that publicconfidence is very much involved. Clearly the public would have more confidence in a unit that is
entirely independent, and separated from any department of the Government, including the Police.
Alastair Blair-Kerr Report

Assistant Director, Community Relations Department, Independent Commission Against Corruption, Hong Kong Special
Administrative Region, China.
＊

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Against this background and the strong determination of the Government, the ICAC was established in
February 1974 after the enactment of the ICAC Ordinance. The new agency is a statutory body specializing
in fighting corruption to help keep Hong Kong fair, just, stable and prosperous. To enable the effectivefunctioning of this new agency, the Government had conferred a unique status on the ICAC, which is also
guaranteed in Article 57 of the Basic Law1 of the Hong Kong Special Administrative Region (HKSAR), China.
The ICAC is independent from the civil service and was directly accountable to the then governor (now the
Chief Executive of HKSAR), mandating its operation is free from any interference. The Government lends its
support to the fight against corruption and allocates sufficient resources to the ICAC. The ICACʼs
independent status and the grant of adequate provision of resources, which accord with Article 62 and Article
363 of the United Nation Convention Against Corruption (UNCAC), are instrumental to the success in its anticorruption work.

III. ADOPTING THE HOLISTIC THREE-PRONGED STRATEGY
Since its inception, the ICAC has recognised that it could not win the battle against corruption only bypunishing the corrupt. A holistic and coordinated strategy embracing detection of crime, prevention ofpotential loopholes and education on the evils of corruption was required. Hence, from the outset, the ICAC
has been advocating its three-pronged strategy to fight corruption by:building a strong enforcement arm to make corruption a high risk crime;
implementing system changes to minimize corruption opportunities; andtransforming social values and behavior patterns to reinforce the principles of justice and fairness.
Under the ICAC Commissioner and serviced by the Administration Branch, three distinct but
interdependent functional departments, namely, the Operations Department (Ops), Corruption Prevention
Department (CPD) and Community Relations Department (CRD) strategically carry out their anti-corruption
missions enshrined in the ICAC Ordinance.
A. Operations Department
The Ops is the investigative arm of the ICAC. It is the largest department in the Commission, comprising
about 70% of the ICACʼs workforce of about 1,500. Its statutory duties include:
receive and consider allegations of corrupt practice;investigate any alleged or suspected offences under the ICAC Ordinance, Prevention of Bribery
Ordinance (POBO) and Elections (Corrupt and Illegal Conduct) Ordinance (ECICO)4;
investigate any alleged offences of blackmail committed by a prescribed officer through misuse of
office; andinvestigate any conduct of a prescribed officer, which is connected with or conducive to corrupt
practices and report thereon to the Chief Executive.
The three pieces of legislation, ICAC Ordinance, POBO and ECICO provide the legal basis for combating
corruption. The ICAC Ordinance provides for the appointment of the Commissioner and his officers andother matters relating to the management of the ICAC. It also sets out the duties and responsibilities of theCommissioner and empowers the ICAC to investigate corruption-related offences. The POBO sets out theoffences of bribery and corruption in both the public and private sectors and the penalties for them. The
ECICO governs the conduct of public elections and sets out the offences to be investigated by the ICAC.
Article 57 of the Basic Law of HKSAR: A Commission Against Corruption shall be established in the Hong Kong Special
Administrative Region. It shall function independently and be accountable to the Chief Executive.
2
Article 6 of UNCAC: Each State Party shall grant the corruption prevention body or bodies the necessary independence, in
accordance with the fundamental principles of its legal system, to enable the body or bodies to carry out its or their functions
effectively and free from any undue influence.
3
Article 36 of UNCAC: Such body or bodies or persons shall be granted the necessary independence, in accordance with thefundamental principles of the legal system of the State Party, to be able to carry out their functions effectively and without any
undue influence. Such persons or staff of such body or bodies should have the appropriate training and resources to carry out
their tasks.
4
More information on the ICAC Ordinance, POBO and ECICO can be accessed from the Bilingual Law System (https://www.
elegislation.gov.hk/)
1

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The ICAC is given wide-ranging powers to investigate corruption offences which are difficult to detectand investigate because of their secretive nature. The ICAC Ordinance sets the parameters of the ICAC
investigation, the procedures for handling suspects and disposal of property connected with relevant offences.
It also gives the investigators the power of arrest, detention, search and seizure to deal with bribery offences
as well as offences which are facilitated by or connected with bribery. The POBO gives the ICAC special
powers of investigation, such as searching bank accounts held by the suspect, his family members or
associates. With judicial supervision, the investigators may freeze accounts or restrain assets, requiresuspects and any person to provide information, surrender travel documents and not to leave Hong Kong. All
these powers are essential to the investigation of corruption.
The increasing mobility in international travel, rapid development of financial and banking systems aswell as the advancement of information technology make corruption a transnational crime. International
cooperation between the ICAC and other jurisdictions has been well-established under UNCAC and bilateralagreements of mutual assistance on criminal matters, bringing the culprits to justice no matter where theyare.
B. Corruption Prevention Department
The CPD believes “Prevention is better than cure”. Opportunities for corruption can be removed throughtransparent and accountable procedures; effective leadership and supervisory control; and improved system
controls and safeguards. Its statutory duties are to:examine the practices and procedures of government departments and public bodies, and securerevision of any methods of work or procedures that may be conducive to corruption; andadvise upon request of private organisations or individuals on how to prevent corruption.
The CPD monitors developments in public policies, law and government initiatives to provide timely
advice to government bureaux, departments and public bodies to ensure anti-corruption measures are built infrom the start through consultation. Concurrent corruption prevention advice is also given in the process.
The CPD conducts assignment studies to make recommendations to minimise opportunities forcorruption and monitors completed studies to ensure effective implementation of the agreed recommendations. Almost all government departments and most public bodies have had their key procedures studied,including all major public functions such as law enforcement, licensing and regulatory systems, procurement,
contract administration, staff management and public works, etc.
Also, the CPD has been increasingly proactive to provide advice for private organisations. Its Corruption
Prevention Advisory Services team provides tailor-made corruption prevention advice to individual privatecompanies upon request. It adopts a cross public-private sector strategy in preventing corruption in theprivate sector where public interest is involved, e.g. grantees in subvention schemes, contractors of works
projects, etc.
C. Community Relations Department
The ICAC had a difficult start in 1974. With a skeptical public that believed the Government condoned
corrupt practices. The real challenges for the ICAC were to bring about a drastic and collective change of
public attitude towards tolerating corruption and rebuilding public confidence in Governmentʼs determinationin fighting corruption. Sir Jack Cater, the founding Commissioner of ICAC wrote in the first ICAC Annual
Report:Success in the Operations Department and success in the Corruption Prevention Department are
essential as a springboard to the work of the Community Relations Department. And this is vital, forthere can be no real victory in our fight against corruption unless there are changes of attitude
throughout the community.
To effect a change in peopleʼs attitude towards corruption was no easy task at the early time. While it wasconsidered mission impossible, the mammoth task of changing public attitude is entrusted to the CRD, withthe following statutory duties:
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educating the public against the evils of corruption; andenlisting public support in combating corruption.
In carrying out these duties, the CRD extensively uses multimedia publicity and reaches out to the society
through a network of seven Regional Offices located in densely populated and strategic areas to initiate
proactive and intensive communication with the general public. It promotes public awareness of the evils ofcorruption, fosters public confidence in and support for the work of the ICAC, explains the laws relating tocorruption and encourages the public to report corruption.

IV. THREE-PRONGED ANTI-CORRUPTION STRATEGY IN PRACTICE:
THE CONSTRUCTION INDUSTRY AS AN EXAMPLE
The three-pronged anti-corruption strategy has been put in practice in different fields in both the public
and private sectors. One of the significant examples is the construction industry. The construction industry,
which ranks 7th in terms of its contribution to our GDP of US$16 billion in 20165, is one of the major pillars of
the economy of Hong Kong, embracing all the construction activities of major infrastructure and real estate
properties, and involving many stakeholders such as real estate developers, professionals, academics,
contractors, workers and government officials. Corruption in the construction industry is of particular publicconcern because, monetary costs aside, public safety is at risk.
One could see how costly corruption was when Hong Kong was plagued by two major cases in theconstruction industry. The first one occurred in 1982 involving the use of substandard cement for building up
concrete structures of 26 public housing blocks through bribery. While investigating the case, the ICAC
investigators vetted a mountain of documents and records, enquired 3,730 persons/companies and visitedoverseas countries like Australia, Canada, Cyprus, New Zealand, Spain, United Kingdom and United States ofAmerica. In the end, three contractors and seven serving or former civil servants were among the accusedand charged with a total of 46 corruption-related offences under the POBO. The culprits were charged andsentenced for 3 to 33 monthsʼ imprisonment. The 26 public housing blocks had to be demolished, and 78,000
people had to be relocated. The re-building costs amounted to US$100 million. The second case took place in2001 concerning the short-piling problem in a housing project. The staff of the piling sub-contractor fabricatedsite records to conceal the short-piling construction. In the end, the offenders were sentenced for 42 months
to 12 years imprisonment. The two housing blocks involved had to be pulled down, resulting in a loss of US$83
million.
Under the three-pronged strategy, other than criminalizing the corrupt by law enforcement, we turned
the observations gained from investigations into system enhancement to plug corruption loopholes andlessons to learn in training and mass education programmes.
On the prevention front, the CPD identified the common causes to the problems and proposed corruption
resistant measures to plug loopholes, including recommending the Government to implement drastic site
supervision system, stringent probity requirements concerning acceptance of advantages, handling ofconflicts of interest and confidential information. Moreover, the CPD produced a Best Practices Checklist toalert practitioners about the corruption risks and preventive measures in the construction field. The Best
Practices Checklist covers specific vulnerable areas such as the award and administration of construction
contracts and consultancy agreements, as well as testing of materials. The CPD also helps individual privatecompanies to strengthen their corporate governance and internal controls through a dedicated team, theCorruption Prevention Advisory Services. A set of capacity building training package containing common
corruption pitfalls in the construction industry and their preventive safeguards was also produced with thecollaboration of major stakeholders. The electronic version of the package has been uploaded onto the ICAC
website for public access.
On the education front, the CRD aims at heightening awareness of ethical values and strengthening

Hong Kong in Figures in 2016” by the Census and Statistic Department, HKSARG (www.censtatd.gov.hk/hkstat/hkif/index.
jsp)
5

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integrity throughout the construction industry. We organised integrity trainings, seminars and workshops forthe professionals, contract administrators, site supervisory staff and students of construction related courses.
Besides, anti-corruption talks are regularly arranged for staff members of individual companies, alerting themto important issues such as bribery and misconduct in public office, managing staff integrity and handlingconflicts of interest, etc.
This three-pronged anti-corruption strategy also applies to all trades and industries in both the private
and public sectors. Our ultimate aim is to eradicate the root of corruption while bringing the issue of
corruption to the forefront of public awareness.

V. MISSION OF THE CRD
The CRD believes that high ethical standards are the first line of defense against corruption. Our missionof “Ethics for All” aims at gaining the support of people from different walks of life in maintaining high ethicalstandards, showing zero tolerance for graft, and reporting it whenever it occurs. To achieve this, the CRD
uses four effective strategies which are summarized in the acronym “TAPE”:
1.
2.
3.
4.

Target-oriented strategy
All-round communication strategy
Partnership strategy
Engagement strategy

VI. THE TAPE STRATEGIES IN ACTION
A. Target-Oriented Strategy
Educating the public against the evils of corruption and enlisting public support in combating corruption
are the mandate of the CRD. Driven by this ultimate objective, the thrust of CRDʼs efforts is to unite allsegments of the community to build and sustain a culture of probity. However, individual sectors havedistinctive needs and concerns in anti-corruption education. We have to be target-oriented and customise ourservices to cater for the needs of different target groups through segmentation. Hence, we have organised
our work into various programme areas for different targets and formulate target-oriented education
programmes for their specific needs. These include the government and public sector, business community,
young people, non-governmental organisations, the general public, including the new arrivals and ethnic
minorities, etc. Each programme area is tailored to enhance the targetsʼ ethical standards and understandingof the anti-corruption law, equip them with knowledge about common corruption pitfalls and provide themwith practical advice on how to address these problems.
The segmentation of target groups has been suitably refined and adjusted to suit the changing social andeconomic environment. For instance, in the business sector, we tailor-made our education and prevention
programmes for different trades. Our training modules are recognised or accredited by more than 60
professional bodies as their continuing professional development courses for members, including company
directors, lawyers, engineers, surveyors, estate agents, securities intermediaries, etc. Over 40,000 businessexecutives and practitioners are reached through ICAC training sessions every year.
B. All-Round Communication Strategy
To enlist public support for the ICAC, the public needs to be constantly assured that the ICAC is capableof carrying out its duty effectively without fear or favour. The CRD integrates face-to-face contacts andmultimedia publicity to spread the messages to people from all walks of life, like civil servants, private sector
practitioners, young people and the general public, etc. through an all-round communication strategy via
multiple platforms. The face-to-face contacts and multimedia publicity complement and supplement eachother in enhancing the education efforts and publicity impact of the probity messages.
1. Face-to-Face Contacts“Reaching out to the community” is a major feature of CRDʼs work. Through the network of seven
Regional Offices located in densely populated or strategic areas which cover the entire geographical area ofHong Kong, the CRD officers reach out to the community by engaging in face-to-face visits and talks tomembers of the public, from classroom to boardroom. They also serve as the focal point of contact with local
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community leaders and organisations with which the Regional Offices jointly organise publicity activities todisseminate probity messages. The face-to-face education work enhances the cognitive understanding of the
public on what corruption is; serves to impart the anti-corruption messages and dispel misconception; andhelps build up the long-term rapport and public trust in the ICAC. It also facilitates our officers to grasp firsthand public sentiments and comments on the work of ICAC which could shed light on our work planning andlong-term development. The Regional Offices also receive corruption complaints and enquiries frommembers of the public.
Moreover, the Regional Offices regularly organise meet-the-public sessions for people from different
strata, from district leaders to housewives, ethnic minorities to young people, etc. to collect their feedback on
our work and enlist their support for anti-corruption work.
2. Multimedia Publicity
To change the public attitude and effectively create awareness of corruption intolerance, we have also
used the mass media extensively for publicity since the establishment of the ICAC. The anti-corruption
messages have penetrated into the lives of the public through different media channels, such as TV, radio,
printed media and other forms of promotions. In fact, the ICAC is the first non-commercial organisation in
Hong Kong to use TV advertisements to promote its messages. Over the years, we have produced many TV
advertisements which are uploaded on the ICAC corporate website with different approaches and themes tomaximize the publicity impact. They include:(a) TV advertisements(i)Create deterrent effect ̶ to scare people off corruption by emphasising that corruption is a highrisk crime which leads to grave consequences.

(ii)

Highlight evils of corruption ̶ to educate the public on the evils of corruption.

(iii)

Promote fair society ̶ to urge the young people to adopt a “zero tolerance” attitude towards
corruption. We tried to speak their language and present the messages in a lively manner.

(iv)

Encourage reporting corruption and enlist support to ICAC ̶ over 90% of our investigations startwith a report by a member of the public. We therefore attach great importance to encouraging thisessential help from the community.

(v)

Keep close tabs on the publicʼs concern ̶ these advertisements carry specific messages. For
example, we remind voters not to sell their votes through bribery and to support clean elections
during public election years.

(b) TV drama(i)

The TV drama series based on real ICAC cases depicts how the ICAC brings the corrupt to justice
without fear or favour. It also educates the public on the evils and consequences of corruption. These
series are very popular and effective. It is also a soft approach for brand building and educational
purposes, building public trust in ICACʼs ability and determination to fight corruption.

(c) Social media(i)With the rapid development of social media, more diversified formats with interactive
communication with the general public are now in place. They include the ICAC corporate website,various thematic websites, YouTube, Facebook, Weibo, mobile phone applications, and Instagram.
Social media is a powerful and effective way to promote ICAC messages to a larger number ofpeople, particularly the youth. Through the multimedia channels in Hong Kong, the community canreceive anti-corruption messages anytime and anywhere.

C. Partnership Strategy
The ICAC is independent but we are not alone. The CRD sees the need to leverage on resources in the150

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community to serve as a multiplier for CRDʼs preventive education work. Our corporate slogan is “HongKong ̶ the Advantage is always you and the ICAC”, which underlines the importance we place on ourpartnership with the public in fighting the anti-corruption battle. With our efforts of district entrenchment
and collaboration, our partners share the probity value of the ICAC and are willing to offer their expertise in
assisting the CRD to produce anti-corruption products and online programmes. Throughout the years, theCRD has collaborated with different strategic partners in the community:
1. Business Sector
The CRD forms strategic collaborations with various trades and professions in the business sector.
Pioneer work in engaging the private sector started in the 1980s and culminated into the establishment of theHong Kong Ethics Development Centre in 1995 (now renamed as the Hong Kong Business Ethics
Development Centre). Today, with 10 major chambers of commerce6 forming an advisory committee to steer
the work of the Centre, and through networks set up respectively with over 70 trade associations of different
industries and more than 70 banks, corruption prevention messages are promoted effectively to a wider
business community.
2. Public Sector
In collaboration with the Civil Service Bureau of the Government (CSB), the ICAC initiated in 2006 theEthics Officers Network which now comprises 150 officers from all bureaux and government departments.
Since the set up of the Ethics Officers Network, 17 thematic workshops have been organised to enhance the
Network membersʼ capabilities to implement integrity management in their departments. Our latest
initiative is the launching of a web learning portal on integrity management together with the CSB for all civil
servants to complete the online training courses at their own pace and obtain online reference materials on
relevant integrity issue.
3. General Public
At district level, liaison clusters with all 18 district councils, non-governmental organisations andcommunity-based associations are established to jointly organise anti-corruption activities in the local
communities. We also encourage district organisations to take ownership for anti-corruption activities so as toalign them with the “Ethics for All” mission. In 2017, over 820, 000 people and 1, 600 organisations werereached through partnership with around 830 organisations. These collaborations reinforce the culture ofprobity in the local communities.
D. Engagement Strategy
Active participation is the best proof of public support. By involving and encouraging members of the
public to take part in or even to take ownership of preventive education activities is the most effective meansof aligning them with the anti-corruption cause.
Young people are our future. To build up a community intolerant of corruption, we disseminate probity
messages to the younger generation ranging from kindergartens to universities and further engage them tospread probity messages to their peers. We have launched the Ambassador Programme in 2007/08 to
mobilise tertiary students to organise activities promoting integrity messages to their fellow students on
campus. After a decade of hard work, now all the 20 tertiary institutions in Hong Kong have joined theprogramme. Similarly, through another iTeen Leadership Programme for secondary school students
launched in 2013/14 school year. The iTeen Leaders assist their teachers in organising integrity activities toinstil positive values such as honesty, fairness and self-discipline into their schoolmates.
6

The 10 major chambers of commerce are:
- Federation of Hong Kong Industries,- The American Chamber of Commerce in Hong Kong,- The Chinese General Chamber of Commerce,- The Chinese Manufacturersʼ Association of Hong Kong,- The Hong Kong Chinese Enterprises Association,- The Hong Kong General Chamber of Commerce,- The British Chamber of Commerce in Hong Kong,- The European Chamber of Commerce in Hong Kong,- The Hong Kong Japanese Chamber of Commerce & Industry, and- The Indian Chamber of Commerce Hong Kong.

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The ICAC also proactively mobilises citizens to take part in the anti-corruption drive by recruiting themas volunteers to assist in education and publicity projects, and as multipliers to spread probity messages to all
walks of life. In 1997, the ICAC Club was set up to provide these supporters a platform for direct participationand engagement in ICAC activities. Currently, the ICAC Club has over 2,600 members and the accumulative
service hours provided by members have exceeded 60,000.

VII. EFFECTIVENESS OF ICACʼS WORK
A. Current Corruption Situation
After over four decades of hard work, the current corruption situation and some survey findings suggestthat the ICAC is effective in its anti-corruption work.
In recent years, an average of 3,000 corruption reports were received each year, with about two-thirds
against the private sector and one-third concerning the public sector. Around 200 persons were prosecutedeach year and the case-based conviction has been well over 80%. The overall corruption situation in Hong
Kong is well under control. There is no sign of a new and notable corruption pattern that calls for concern,
nor is there any deterioration in the overall corruption scene.
In recent years, the ICAC has undertaken investigation of a few high profile cases involving very senior
government officials, well known businessmen and listed companies, which were widely reported in both
local and overseas media. These are isolated cases and they show evidently that ICAC conducts
investigations without fear or favour, regardless of the background or status of the persons involved.
B. Achievements
Hong Kong now has fundamentally a clean public service. In 1974, the ICACʼs first year of operation, 86%of the corruption reports were related to government departments. With the relentless efforts of the ICAC
and government departments to tackle corruption and promote integrity, the figures were substantiallyreduced to 40% in 2000 and 27% in 2017 respectively.
In the business sector, with the ICACʼs proactive approach to outreach, the businessmen were getting
convinced that the ICAC could help in protecting the erosion of profits of the company by corruption. Since
the 1990s, a relationship of close cooperation was gradually built up between the ICAC and the businesssector. The business sector is now more alert to business ethics and corporate governance and Hong Kong
has been hailed as a place providing a level playing field for business.
Internationally, Hong Kong is now recognised as one of the least corrupt places in the world. In its 2018
Index of Economic Freedom, the Heritage Foundation ranked Hong Kong the worldʼs freest economy for 24
consecutive years, and praised that Hong Kong has a high quality legal framework that strongly supports therule of law, and there is little tolerance of corruption, and a high degree of transparency which enhances
government integrity. Hong Kong was ranked the second most competitive economy among 63 economies in
the World Competitiveness Yearbook 2018. According to Transparency Internationalʼs Corruption
Perceptions Index 2017, Hong Kong was ranked the 13th least corrupt place among 180 countries andterritories.
Locally, as shown in the ICAC Annual Survey 2017, 99.2% of the respondents agreed that keeping Hong
Kong corruption-free was important to the overall development of Hong Kong; 96.8% of the respondents
expressed their support to the ICAC. Last but not least, 99.1% had not encountered corruption in the past 12
months. More importantly, over 70% of the corruption reports are lodged non-anonymously nowadays which
is a great leap when compared with the 30% non-anonymous reports in the early days of the ICAC.

VIII. THE MISSION CONTINUES
To mark its 45th Anniversary in 2019, the ICAC is launching a series of activities to encourage citizens to
support the ICAC in fighting corruption through a multi-year cross-sector “All for Integrity” territory-wide
campaign. On the international front, the ICAC will organise the ICAC Symposium in May 2019 to provide
graft busters and law enforcement officers the platform to exchange and learn from each other the latest
strategies and tactics to fight corruption in its totality. Apart from that, the ICAC, through its Centre of Anti152

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Corruption Studies and International Training, is ready to provide training and advisory services to otherjurisdictions to fulfil our obligation under UNCAC to help other state parties in anti-corruption capacity
building.
The ICAC, partnering with the international graft fighters, is always staying vigilant to fight corruption.
We will continue to keep up with the changing times, strengthen our capability and professional training tomaintain our effectiveness in upholding a clean community in Hong Kong. The ICAC will continue to partnerwith all graft-fighters over the world in fighting corruption.

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EFFECTIVE PRACTICES OF ANTI-CORRUPTION EDUCATION:
HONG KONGʼS EXPERIENCE
Corinna Wong＊

I. INTRODUCTION
The fight against corruption is always more than bringing culprits to justice and plugging loopholes
conducive to the crime. It is also about changing peopleʼs attitudes towards corruption and misconduct.
Corruption perpetuates if the population tolerates it and sees it as a way of life. On the other hand, in acommunity with a strong probity culture, people are more likely to appreciate fair competition, reject bribery,
and cooperate with law enforcement agencies when encountering corruption. Public support is therefore
fundamental to the success of an anti-corruption campaign.
Hong Kong has come a long way in changing peopleʼs attitude towards corruption from “passive
acceptance” to “zero tolerance”. Since its inception in 1974, the Independent Commission Against Corruption(ICAC) of Hong Kong has been required by law, among other things, to educate the public against the evils ofcorruption, as well as to enlist and foster public support in combating corruption. These statutory duties echo
the requirements in the United Nations Convention Against Corruption (UNCAC), which applies to Hong
Kong as part of the Peopleʼs Republic of China, for promoting good practices in the public and private sectors
and active participation of society in the prevention of and the fight against corruption.
The ICAC carries out its education function through its Community Relations Department (CRD). The
CRD is currently staffed by around 170 members working in the headquarters and seven regional offices.
With the “Ethics for All” mission, the CRD aims at gaining the support of the public from all walks of life inmaintaining high ethical standards, showing zero tolerance of graft, and reporting corruption wherever it
occurs. It reaches virtually every sector of the society through four effective strategies, which aresummarised in the acronym “TAPE”:
(i)
(ii)
(iii)
(iv)

Target-oriented strategy ̶ to customise anti-corruption services for different target groups.
All-round communication strategy ̶ to integrate face-to-face contacts with multimedia publicity
to spread the probity messages to people from all walks of life through multiple platforms.
Partnership strategy ̶ to partner with different stakeholders in the community to promote
integrity.
Engagement strategy ̶ to engage members of the public to take ownership of the anti-corruption
cause and garner their support for preventive education activities.

This paper outlines how these strategies have been carried out in the anti-corruption education of Hong
Kong during recent years, including what factors have been considered in devising action plans and allocating
resources, as well as how the anti-corruption messages are conveyed to the target audiences.

II. FROM STRATEGIES TO ACTION: FACTORS CONSIDERED
The CRD considers a number of factors when putting the anti-corruption education strategies into
practice. A few significant factors are discussed below. The social environment in which people perceive
corruption and react to it evolves over time. The awareness of and need for anti-corruption education are also
different among segments of the community. Therefore, the tactics adopted for different targets have to be
kept adjusted in light of the changing environment. Indeed, the rule of thumb is keeping up with the times.

Assistant Director, Community Relations Department, Independent Commission Against Corruption, Hong Kong Special
Administrative Region, China.
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A. Corruption Trend
Anti-corruption education cannot succeed in the long run if it is not extended to every corner of thecommunity. Nevertheless, in order to maximise its impact despite limited resources, priority has to be given
to areas in which corruption is more likely to occur or its consequences are more detrimental to livelihood. In
Hong Kong, the corruption trend remains largely steady in the past decade. Corruption complaints received
by the ICAC each year have been kept below 3,000. Around one-third of these complaints concern the public
sector, while the remaining two-thirds are related to the private sector. Trades attracting more corruption
complaints include finance and insurance, construction and catering. Cases in which senior government
officials, listed company directors, and/or professionals were involved often caused grave repercussions tosociety, such as huge financial loss to investors, weakened public confidence in the institutions and, on somedrastic occasions like site inspectors being bribed for conniving substandard construction works, a threat to
public safety. The ICAC is mindful of these high-risk corruption areas and accords significant resources totackle them.
B. Peopleʼs Attitudes towards Corruption
How the population perceives corruption and the ICACʼs work is another area to which the ICAC pays
attention. Being mindful of the perception of the public, the CRD tailors publicity and education programmes
to suitably address peopleʼs concerns or blind spots about corruption. An important tool to monitor peopleʼs
attitudes is opinion polls. The ICAC conducts community-wide opinion surveys annually through independent
research firms. The survey results in recent years are in general encouraging: the respondents were on
average nearly zero-tolerant of corruption1; almost all of them had not come across corruption personallyduring the past 12 months; and over 95% of them stated that the ICAC deserved their support.
However, some survey findings reflect that there are still areas requiring the ICACʼs special attention.
For example, a fifth of the respondents were unwilling to report corruption or might report corruption but
depending on circumstances. The reasons for their reluctance were multi-folded, including the idea that
corruption did not concern them, the worry about personal safety and the concern about the time needed formaking a report. In addition, youngsters appear to be less intolerant of corruption than adults2. This may be
due to the fact that youngsters have no personal experience of corruption and consider corruption too remoteto them. The situation has been more challenging in recent years because the general public has become
increasingly divergent in their views on the performance of the government including the ICAC. The ICAC
has therefore strengthened its publicity and education which aims to dispel the misconceptions andconsolidate public confidence in the ICAC.
C. Behavioural Changes of Audiences
The rapid development of communications technology and social media has revolutionised peopleʼsbehaviour in receiving, selecting and handling marketing information. Thanks to smartphones and the highspeed broadband network, many people, in particular youngsters, can conveniently access multimedia
messages anywhere and anytime, promptly connect and share information with each other through social
media, and make comments on current affairs in the online community. Since the new media allows
information to be disseminated much faster and to wider audiences, it can enhance the impact of a publicity
or education campaign greatly if well utilised. In fact, the ICAC has been making extensive efforts in
expanding its reach to the public through the new media. On the other hand, people receive a sheer amount of
information every day and tend to spend shorter time on each piece of information. The ICAC therefore has
to sharpen the contents and enhance the techniques of its online and offline publicity, so as to catch theaudienceʼs attention to the anti-corruption messages more effectively.

III. ANTI-CORRUPTION EDUCATION IN PRACTICE
In order to carry out its anti-corruption work for different sectors of society with customised tactics, theCRD categorises its work into a number of “programme areas” according to target audiences like the youth,
the public sector, business organisations and the general public. While training activities and publicity
For example, in the 2017 survey, on a 0 to 10 point scale where 0 represents total intolerance and 10 represents total tolerance,
the mean score of the respondentsʼ tolerance of corruption was 0.6.
2
In the 2017 survey, the mean score of tolerance of corruption of the respondents aged 15-24 was 1. 0, while that of the
respondents aged 25-64 was 0.6.
1

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projects are usually organised under a programme area, there is much collaboration across programme areas
for achieving synergy in publicity impact. This part will give an overview of the major programme areas,highlighting their features and tactics and illustrated with examples of significant initiatives.
A. Promoting Positive Values: Young Generation
The ICAC believes that anti-corruption training, and moral education in a wider sense, should begin withthe young generation. Being the future of society, the young generation which treasures the probity culture isfundamental to the fight against corruption in the long run. The more determined they are to live by upright
personality such as integrity, fairness and honesty, the more likely that they are resistant to corruption andethical challenges. Preventive corruption is also necessary for Hong Kong young people because they, as
mentioned above, appear to be less intolerant of corruption. The ICAC must help them realise that it wasnever easy to build a society with strong probity culture, and they have a role in safeguarding Hong Kongʼs
hard-earned success.
The CRD promotes positive values to the young generation with the following four tactics, which will be
explained below:
(i)
(ii)
(iii)
(iv)

Inculcation of positive values at different developmental stages of the youth;
Co-creation and engagement;
Alignment with school curriculum; andCollaboration with stakeholders.

1. Inculcation of Positive Values at Different Developmental Stages of the YouthThe messages and means of the ICACʼs preventive education for the youth are customised according to
the youngstersʼ developmental stages. For kindergarten and primary school students (aged 3-11), themessages are simple, focusing on fundamental moral virtues such as honesty, fairness, responsibility and selfdiscipline. Cartoon characters, including a flying rabbit named “Gee-dor-dor”, which literally means “The
Quick-witted”, are created and featured in the ICACʼs teaching packages, cartoon books and worksheets.
These iconic figures also appear in the animations broadcast via television and Internet.
For those studying in secondary schools (aged 12-17), training topics are extended to the evils ofcorruption, the anti-corruption legislation and how to make an ethical decision. Teaching packages in line withthe school curriculum, which will be further elaborated below, are developed for teachersʼ use. While schools
may conduct the training on their own, they may also invite the CRD officers to give anti-corruption talks totheir students. To make the training even more interesting, schools may arrange interactive drama
performances, organised by the CRD and performed by professional troupes, for their students at school halls.
They may also arrange visits to the headquarters of the ICAC to enrich their studentsʼ learning experienceand understanding of the anti-corruption work.
In comparison with teenagers, university students (aged 18 and above) possess the intelligence andcapability required for more in-depth integrity training. ICAC talks on professional or work ethics, and thelegal requirements against bribery have formed part of many undergraduate and postgraduate programmes.
The CRD also organises workshops on handling ethical dilemmas at universities to enhance studentsʼ
personal ethics and capability of resisting temptation.
2. Co-creation and Engagement
Apart from conveying the messages with conventional, “passive” learning methods such as lectures andtalks, the CRD has been developing projects in which the students are heavily engaged. With active
involvement in these educational activities over a longer period of time, the students learn, consolidate andinternalise the positive values. Creativity is often featured in these co-creation projects and activities. For
example, a multimedia production project was organised in primary schools in 2016-17. Under the project,primary school students joined a competition in teams to produce videos on integrity themes under theguidance of their teachers and parents. Many of these videos were presented as short stories featuring theimportance of positive values such as fairness, honesty and responsibility. The students also promoted
integrity messages on campus through quizzes, games and video programmes broadcast inside their schools.
For secondary schools, an “iTeen Leadership Programme” has been organised since 2013. Over 500
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students are recruited from secondary schools as “iTeen Leaders” every year to assist their teachers inorganising activities, such as exhibitions, booth games, film shows and competitions, in their schools to
promote integrity. The CRD supports the students in areas such as training and contents of the activities.
Training sessions are organised for the students to have an overview of the ICAC, build up the team spirit
and develop public speaking skills. The students may also join a job shadowing programme to observe thework of CRD officers. Through actively participating and assisting in these activities, the students know
more about the work of the ICAC and are more aware of the evils of corruption. They also consolidate theirown positive values when disseminating integrity messages to their fellow schoolmates.
3. Alignment with School Curricula
In Hong Kong, schools operated or subsidised by the government adopt the curricula devised by anindependent advisory body appointed by the administration. The ICACʼs moral education packages andprogrammes are developed in alignment with these curricula for pre-primary, primary and secondary
education, so that teachers can incorporate these resources into their teaching work. For example, seniorsecondary school students are required under the curriculum to study the “Liberal Studies” subject, in which
topics like respect for the rule of law, fair society as a safeguard for quality of life, as well as integrity as afundamental value for interpersonal relationships, are discussed. In order to assist teachers to teach thissubject, the CRD developed a teaching package explaining the anti-corruption work in Hong Kong, the evils ofcorruption and ways to handle ethical challenges. The package is based on episodes of the ICACʼs television
drama series, and provides teachers with lesson plans, videos, presentation materials and worksheets. In
addition, the above-mentioned iTeen Leadership Programme can form part of the studentsʼ “Other Learning
Experiences”, a component of senior secondary school curriculum which aims to nurture the studentsʼ wholeperson development through active involvement in activities.
4. Collaboration with Stakeholders
There are over 1.6 million young people aged below 25 in Hong Kong. Since it is difficult for the ICAC toreach all the youngsters on its own, teachers and parents become an important link between the ICAC andthe youngsters. They have been the ICACʼs strategic partners in preventive education in many ways. When
the CRD develops teaching packages, teachers are consulted to ensure that the packages suit their teaching
objectives and studentsʼ needs. There are also active platforms for the ICAC and the stakeholders to shareresources and exchange views about moral education. The CRD organises seminars for teachers to discuss
topical issues on moral education and introduce its teaching packages. It publishes a triannual periodical
containing articles on moral education contributed by teachers, parents, social workers, researchers andstudents. Training videos on values education, teaching materials based on the latest integrity-related news
and interviews with persons with stories about positive values are also made. All these materials can be
downloaded, free of charge, from the ICACʼs online resource centre “Moral Education Web”. The CRD also
taps the expertise and resources of other strategic partners, such as universities, youth bodies and nongovernmental organisations, by co-organising publicity projects. This creates synergy of the variousorganisationsʼ efforts in promoting positive values to the youth.
5. Showcase 1: ICAC Ambassador Programme
Among the ICACʼs diversified efforts in promoting positive values, the ICAC Ambassador Programme foruniversity students should be explained more specifically for it is a good example of integrating various
strategies and tactics in a single project. Since 2007, the CRD has recruited every year a team of students ineach of the participating tertiary institutions (i.e. universities and other institutions which award university
degrees) as “ICAC Ambassadors”, who are tasked to organise activities to promote integrity among theirpeers. At the start of the programme, the Ambassadors need to attend training sessions, in which they learn
the basic knowledge of the ICAC and anti-corruption laws, join team-building exercises and sharpen skills inorganising projects. Subsequently each team is given a small budget to devise an activity plan and implement
it. While conventional activities such as exhibitions on the ICAC and quizzes introducing anti-corruption laws
are organised, the Ambassadors often come up with activities which are very creative and interesting. For
example, they produced videos featuring street interviews, short dramas and dances with integrity themes.
Being the digital generation, the Ambassadors also skilfully utilise online and offline platforms in their
publicity campaigns. Social media like Facebook and Instagram are widely used to publicise their activities totheir peers.
The tertiary institutions are supportive of the ICAC Ambassador Programme. In the 2017/18 academic
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year, all the 20 tertiary institutions in Hong Kong joined the programme as co-organisers. They helped recruit
students to the teams, worked with CRD officers on coaching the Ambassadors in planning and implementing
activities, and provided activity venues and other administrative support to the Ambassadors.
What makes this programme significant is not only the vast size of students reached, although the figures
themselves are impressive. Between 2007 and 2018, more than 1,200 university students served as ICAC
Ambassadors, and their campus activities reached over 220,000 students. More importantly, by engaging
these dedicated and energetic university students as ICAC Ambassadors, the CRD lets them have personal
experience in promoting anti-corruption messages together with the ICAC. These future leaders will be more
likely to uphold integrity as their core value and support the ICAC and its anti-corruption work in their
lifetime. In order to sustain the ties with the Ambassadors, a network i-League was formed, through whichveteran and current Ambassadors can receive further training or join volunteer activities organised by the
CRD. For example, i-League members may work as full-time voluntary helpers of the CRD during thesummer vacation. These helpers are attached to various units of the CRD, where they work closely with CRD
officers to carry out projects to promote integrity. Many of them have established personal friendships with
CRD officers, and become loyal supporters of the ICAC. A few of them even joined the Operations
Department of the ICAC after graduation and are pursuing their careers as graft-fighters.
6. Showcase 2: Youth Integrity Fest Programme
Another recent example showing the integration of strategies in the anti-corruption work for the youth is
the two-year “Youth Integrity Fest Programme” rolled out in 2017. The programme involved youngsters at
different stages of schooling with the four beliefs, namely Integrity, Creativity, Art and Collaboration.
Component activities included a collaborative art project for primary school students, a photo-taking activity
for secondary school students and the above-mentioned ICAC Ambassador Programme. A carnival-type fest
was hosted to galvanise the youngsters to spread positive values through photography, creative arts andcrafts activities and stage performances by young artists with positive images. Creativity, which was madethe theme of the programme, appealed much to youngsters. The programme was also successful for its
diversity in participantsʼ ages and activity formats. The various activities attracted wide participation bysome 73,000 people. In addition, around 460,000 people were reached through the programme website andsocial media publicity.
Despite the extensive youth education programmes in place, the CRD has been exploring new areas inpromoting positive values to the youngsters. The CRD has recently launched a youth chapter under its
volunteer team “ICAC Club” to encourage youngsters to disseminate probity messages through community
services. Innovative technologies and creative ideas will also be used in the CRDʼs educational initiatives, sothat the ICAC and its anti-corruption messages will stay close to the young generation.
B. Promoting Clean Civil Service: Public Sector
Corruption in the public sector in Hong Kong was rampant during the 1970s. In 1974, the year when the
ICAC was established, over 85% of the corruption reports received were related to government departments.
Corruption involving a large number of public servants was uncovered from time to time. After years ofefforts by the ICAC and the government, the Hong Kong civil service is now efficient and clean. There is nosign of a revival of syndicated corruption in the government.
It is not difficult for one to recognise the evils of public sector corruption: government inefficiency, loss of
public resources, social unfairness and, in extreme cases, threats to human lives. Article 7 of UNCAC also
underlines the importance of anti-corruption education for the civil service3. It is therefore a priority of the
ICAC and the Hong Kong government to promote and sustain a clean and honest public sector culture. The
ICAC works for this goal with three tactics, namely partnership, leadership and ownership.

Article 7 of UNCAC stipulates that “each State Party shall... endeavour to adopt, maintain and strengthen systems for the
recruitment, hiring, retention, promotion and retirement of civil servants... that promote education and training programmes toenable them to meet the requirements for the correct, honourable and proper performance of public functions and that provide
them with specialized and appropriate training to enhance their awareness of the risks of corruption inherent in theperformance of their functions...”3

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1. Partnership
Since the ICAC is an independent anti-corruption agency operating outside the civil service, it needs towork with government departments when providing anti-corruption training to civil servants. There areover 70 policy bureaux, departments and agencies in the government, staffed by over 170,000 people. The
Civil Service Bureau (CSB) is the governmentʼs policy bureau which assumes overall policy responsibility forthe management of the civil service, including appointment, staff management, training and discipline.
Individual departments are responsible for the daily management of their own staff. Training for civil
servants is carried out by both the CSB, through its “Civil Service Training and Development Institute”, andindividual departments. The ICAC has long worked closely with individual government departments inoffering anti-corruption training. In the recent decade, such efforts have been made more structured andcomprehensive by strengthening the partnership with the CSB in promoting ethical leadership.
2. Leadership
The ICACʼs educational work for the civil service nowadays emphasises not only civil servantsʼ
responsibilities of observing anti-corruption laws and regulations, but also the importance of building an
ethical culture in the government. As determination, coordination and resources are required for thegovernment to achieve this goal, the leadership and commitment of the senior management becomes vital.
The senior management of government departments now keep a dialogue with the ICAC over integrityrelated matters. Liaison groups are formed between individual government departments and the ICAC for
their senior representatives to exchange views on integrity management, such as review of internal
procedures for preventing corruption, anti-corruption training programmes and other conduct and discipline
matters. The ICAC also conducts regular briefings for top officials to enhance their understanding of the anticorruption laws and regulations, and to remind them of the importance of properly managing conflicts ofinterest. With the senior management who support and practise a high level of integrity, an ethical culture is
being developed in the government departments.
3. Ownership
An ethical culture cannot take root in an organisation if the people there do not think they own it. The
ICAC therefore encourages government departments to formulate their own plans for integrity management
according to the actual situations, such as what functional areas are more vulnerable to corrupt practice,what training the staff need, and what resources are available to implement the proposals, etc. It is notnecessary that projects promoting an ethical culture must be initiated only by the management. Staff
members may also, with the support from their departments and the ICAC, organise their own activities topromote integrity among their peers. Past examples included video production, sports competitions andslogan design competitions with integrity-related themes.
In order to strengthen the government departmentsʼ sense of ownership in their ethics promotion work,
each department is required to send a summary to the CSB and the ICAC every two years to list its efforts inbuilding the departmentʼs ethical culture, such as review of the code of conduct, training activities as well as
studies in improving procedures for preventing corruption. In fact, most of the government departments now
formulate integrity programme plans periodically so as to monitor and improve their integrity-building
efforts in a more structured way.
4. Showcase: Ethical Leadership Programme
The above three tactics can be best illustrated by the “Ethical Leadership Programme”, a project jointly
organised by the ICAC and the CSB with an aim to consolidate the value of integrity in the civil service
through leadership and commitment of the senior management of government departments. Under the
programme, a directorate officer is appointed as “Ethics Officer” in each government department to takecharge of all integrity-related activities. Roles and responsibilities of an Ethics Officer include reviewing thedepartmentʼs codes of conduct and procedures from the corruption prevention angle, building an integrity
culture through training and other activities, and handling referrals about corruption and misconduct fromand to the law enforcement agencies.
Support and assistance are given to the government departments and their Ethics Officers in a number of
aspects. For example, the ICAC and the CSB organise thematic seminars on topical issues about civil service
integrity, such as the latest development in anti-corruption laws, the offence of misconduct in public office,contract management, conflict of interest and supervisorsʼ responsibilities of overseeing staff integrity. An
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intranet was created for the Ethics Officers for sharing the up-to-date information and reference materials.
The ICAC, through its Corruption Prevention Department, reviews the government departmentsʼ
procedures and gives advice on preventing corruption.
The ICAC provides government departments with training activities in various topics and formats. Since
civil servantsʼ corrupt practices and misconduct now often appear in the form beyond mere bribery, training
topics have been extended from anti-corruption laws and regulations to issues like conflicts of interest, abuseof authority and poor staff management. Government departments are encouraged to arrange anticorruption training for the serving staff, in addition to new recruits, at a regular interval.
Apart from lectures, anti-corruption training is now conducted in other formats. The ICAC joined handswith the CSB to roll out a “Web Learning Portal on Integrity Management” in the cyber-learning centre forcivil servants. Moreover, government departments promote to their staff a healthy lifestyle, which helps theemployees resist the temptation of corruption and misconduct. Sports and leisure activities are organisedamong the staff, sometimes with anti-corruption messages incorporated. All these diversified efforts show thedetermination of the ICAC and the government departments to sustain the probity culture within the civil
service.
C. Promoting Business Ethics: Business Sector
Hong Kong is one of the best places in the world to do business. It was ranked by the 2018 World
Competitiveness Yearbook of the International Institute of Management Development as the second mostcompetitive place internationally. This achievement is contributed to by a number of factors, including theexistence of a level-playing field for businesses in a corruption-free society. In spite of this, the business sector
is still one of the key target groups of the ICACʼs anti-corruption education. It is because around two-thirds ofthe corruption complaints received by the ICAC in recent years are related to the private sector, of whichbusiness organisations have a large share. The repercussions caused by business-sector corruption to society
are no less severe than those taking place in the civil service. Anti-corruption education in the business sector
also helps the ICAC fulfil the requirements of Article 12 of UNCAC concerning the partnership with theprivate sector4.
The ICAC has gone much beyond merely reminding business practitioners of complying with legal andregulatory requirements against bribery. Since the early 1990s, the ICAC has been promoting business andprofessional ethics as the first line of defence against corruption. The mission of building a clean corporate
culture is carried out by the ICACʼs Hong Kong Business Ethics Development Centre (HKBEDC). The
HKBEDC adopts the following three tactics in its work:
(i)
(ii)
(iii)

Public-private partnership;
Client-focused services; andEthics resources.

1. Public‒Private Partnership
The ICAC is one of the pioneers in promoting business ethics through the partnership between a law
enforcement agency and the business community. The HKBEDC has secured firm support from chambers ofcommerce, professional bodies and trade associations in Hong Kong. The work of the HKBEDC is steered byan advisory committee which comprises representatives of the cityʼs ten major local and foreign chambers ofcommerce5. Partnering with industry regulators and professional bodies, the HKBEDC incorporates anticorruption elements into the professional training for company directors and practitioners of various tradesand professions such as law, accountancy, construction, finance and insurance. In some trades, such training
has even been made part of the licensing requirements. From time to time, the HKBEDC organises
educational programmes for specific trades. Many of the key stakeholders in these trades joined theprogrammes as co-organisers, supporters and/or contributors.
The ICACʼs public-private partnership in promoting business ethics is a leading example internationally.
Article 12 of UNCAC stipulates that “each State Party shall take measures... to prevent corruption involving the private
sector.” Measures may include, inter alia, promoting cooperation between law enforcement agencies and relevant private
entities.
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Research conducted by the World Bank and the Conference Board commended Hong Kong: “having agovernment agency directly involved in the dissemination of business ethics is quite exceptional worldwide
and reflects the very strong policy of prevention implemented in Hong Kong6”.
2. Client-Focused Services
The preventive services provided by the ICAC to business entities are customised according to theirtrades, sizes and needs. For example, companies may invite the ICAC to conduct staff training in legal andregulatory requirements, managing staff integrity and/or ethical governance. The training usually covers theinformation specific to the company or the trade to which the company belongs, such as corruption-prone
areas of the industry, trade-specific legal and regulatory requirements for practitionersʼ conduct, as well as
ICAC cases related to the trade. Companies may also request the ICACʼs tailor-made consultancy services on
ethical management, such as assisting in formulating/reviewing their code of conduct and advising on
procedures for functional areas like procurement and financial management.
3. Ethics Resources
HKBEDC develops a wide range of resources to assist entrepreneurs, executives, professionals andcompany employees in understanding principles of preventing corruption and practising ethics in thebusiness context. Guidelines, toolkits, training videos, case studies and e-learning packages on preventing
corruption, most of which are tailor-made for different trades, are published. An ethical decision-making
model has been devised for managers and professionals to handle difficult situations where their moral values
are challenged. These resources focus more on practical solutions than theoretical discussion, so as to provide
users with handy tools in dealing with their ethical challenges at work. All of them can be easily downloaded
from the thematic website of the HKBEDC.
4. Showcase: Ethics Promotion Programme for Listed Companies
There are over 2,200 companies listed on the stock exchange of Hong Kong, with a market value of over
US$4, 000 billion (figures as at August 2018). In view of their profound influence on the economy, it isimportant for these companies and their leaders to practise ethical governance to ensure the healthy
development of these enterprises, the stock market and the whole economy. The HKBEDC therefore
launched a three-year Ethics Promotion Programme for Listed Companies in 2015 in collaboration withmarket regulators and professional bodies to promote good corporate governance, enhance the leadersʼpersonal integrity and fortify internal control systems.
Under the programme, the ICAC published guidebooks for directors and senior executives of listedcompanies, explaining the latest legal and regulatory updates on duties of listed company directors, common
corruption risks they faced and ways to implement corporate anti-corruption policies. In addition, theHKBEDC developed a comprehensive training package, which includes training videos and explanatory
notes, to sharpen skills of directors and professionals in upholding corporate governance. A large-scale
conference on business ethics was held for leaders of listed companies and stakeholders to exchange theirexperience in practicing ethical governance. Integrity training programmes are organised for company
directors and related professionals on a regular basis. The co-organisers contribute to the entire programme
in one way or another, such as commenting on drafts of the training package, speaking at the conference,
and/or organising training events with the ICAC.

The ten major chambers of commerce are:
- Federation of Hong Kong Industries,- The American Chamber of Commerce in Hong Kong,- The Chinese General Chamber of Commerce,- The Chinese Manufacturersʼ Association of Hong Kong,- The Hong Kong Chinese Enterprises Association,- The Hong Kong General Chamber of Commerce,- The British Chamber of Commerce in Hong Kong,- The European Chamber of Commerce in Hong Kong,- The Hong Kong Japanese Chamber of Commerce & Industry, and- The Indian Chamber of Commerce Hong Kong.
6
Jean-François Arvis and Ronald E. Berenbeim, Fighting Corruption in East Asia: Solutions from the Private Sector(Washington, D.C., The World Bank, 2003), p. 85.
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In addition, the ICAC approaches all Hong Kong listed companies, offering them tailor-made ICAC
services for strengthening ethical governance. By September 2018, over 90% of them have been approached.
Since the launch of the programme, more than 900 talks and seminars on corruption prevention and businessethics were conducted for around 34,000 business executives. The companies listed on the stock exchange inthe future will also be approached within three months of their listing.
D. Promoting “All for Integrity”: General Public
Under the “Ethics for All” mission, the ICAC aims to promote integrity to the whole community in HongKong. Community publicity forms a significant part of anti-corruption education because, although education
programmes targeting specific social groups, such as the youth, the civil service and business firms, may
provide more customised and in-depth messages to the audiences, they do not reach every citizen. Moreover,people who do not belong to any particular social groups, such as housewives, retired persons, newimmigrants, are no less vulnerable to corruption and no less important to the fight against it. In fact, theimportance of participation of society in the anti-corruption work is also enshrined in Article 13 of UNCAC7.
In view of the diversity of the 7-million people in Hong Kong, the objectives and messages of community
publicity have to be simple but capable of appealing to the public to support the anti-corruption cause. First,
the publicity aims to increase the public awareness that integrity and fairness is a cornerstone of thedevelopment of Hong Kong. Every citizen has the responsibility to safeguard this hard-earned success.
Second, it tries to reinforce the public confidence that the ICAC continues working hand in hand with citizens
in fighting corruption, without fear or favour. Third, citizens are encouraged to report corruption. Theirreports, which are always handled confidentially, are crucial to cracking down on corruption. Misconceptions
about making reports are also addressed and dispelled in the publicity.
Community publicity is promulgated through multimedia, which will be elaborated further in the nextpart, and face-to-face contacts. In addition to the daily liaison with the general public at the seven regional
offices, the CRD reaches the population through partnering with civil society and engaging passionate
citizens in publicity activities.
1. Partnering with Civil Society
Hong Kong has an active civil society. The government set up 18 elected district councils across the cityand other consultative committees in the neighbourhood with local leaders as members. These bodies serveas the bridge between citizens and the administration, and organise leisure, cultural and community-building
activities to promote the well-being of residents. There are also many non-governmental organisations, suchas residentsʼ associations, clubs, social services centres, voluntary agencies and trade associations. Since allthese local organisations have their own liaison network and resources, it is more cost-effective for the ICAC
to publicise anti-corruption messages in collaboration with them. Over the years, the CRD has establishedclose working relationships with these organisations through paying visits to them, conducting talks or
exchange sessions for their members and organising publicity projects with them.
2. Engaging Passionate Citizens
Apart from spreading anti-corruption messages to wider audiences by partnering with community
organisations, engagement represents another tactic in promoting the probity culture in the community. The
CRD engages citizens who have a passion for building a corruption-free community to assist in its publicity
programmes. Through personal involvement, these citizens will have a stronger sense of ownership of theanti-corruption work and promote the probity culture in their families and among their peers.
3. Showcase 1: “All for Integrity” Programme
A good example to show the scale of the CRDʼs partnership with civil society to maximise the publicity
impact is the multi-year, territory-wide “All for Integrity” Programme launched in 2015. With the support ofover 900 organisations in the community, hundreds of component activities, varying in format and scale, havebeen organised under the programme. There were large-scale events, such as the ICAC Open Day, publicity
booths at the Hong Kong Book Fair (one of the largest exhibition events held annually in Hong Kong) and bus
Article 13 of UNCAC stipulates that “Each state party shall... promote the active participation of individual and groups outside
the public sector, such as civil society, non-governmental organizations and community-based organizations, in the prevention ofand the fight against corruption and to raise awareness regarding... corruption.”
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parades across the city, each time reaching thousands of citizens. Some others were more confined toresidents in the neighbourhood, such as game booths, quizzes, day camps, etc. In 2017/18, over 1,600 localorganisations and more than 800,000 people were reached through all these community involvement projects.
Multimedia publicity is an important means to draw the attention of the public to the programme. A
theme song was written for the programme and performed by a pop singer. Videos on interviews withcelebrities, activity highlights and other promotional messages were produced. An iconic figure “iSir”,
modelled on an ICAC investigator, was featured in publicity materials. The programme was advertised
through the online and printed media, such as the ICACʼs website and Facebook fan page, radio, newspapers,
posters and pamphlets.
4. Showcase 2: ICAC ClubThe ICAC Club is the CRDʼs main initiative to engage passionate citizens to actively participate in its
publicity activities. It is a volunteer team under which citizens provide voluntary services in the ICACʼscommunity publicity work. Such voluntary services are multi-faceted, ranging from maintaining order inpublicity events, distributing publicity items to citizens, staging show performances in carnivals to planning
projects with CRD officers. In order to recognise the membersʼ efforts in promoting the anti-corruption cause,
there is an award scheme in which members contributing a certain amount of service hours are commended
by the CRD. The Club members may also join in-house activities organised for them. Examples areorientation courses, training sessions on various skills like story telling and balloon twisting, exchange
sessions with other volunteer teams in the community and annual gatherings for members.
In 2018, the Club has over 2,600 members from all walks of life, including around 1,400 young members
under the youth chapter. Despite the small membership size in comparison with the entire population, theClub members are important to the ICACʼs community publicity work because they are staunch supportersof the ICAC and “multipliers” of anti-corruption messages in the neighbourhood. There is an interesting
example illustrating the enthusiasm of the Club members. A Club member, who is also a community leader
and businessman, dedicated his time and efforts in helping the Club to perform anti-corruption dramas for theaged at elderly homes. Apart from providing assistance in ICAC publicity activities, he also took the initiative
to spread probity messages through his own network by making around 500 “mooncakes”, a Chinese bakery
product for celebrating a traditional festival in autumn, showing anti-corruption messages on the cakesʼ
surface and in the packaging. The Club member then distributed these mooncakes to the elderly andresidents in the neighbourhood as a means to promote integrity.
E. Multimedia Publicity
Anti-corruption education will not be effective unless it is appealing both in content and presentation. The
ICAC pays attention to not only to whom the anti-corruption messages are disseminated, but also throughwhat channels these messages are disseminated. Multimedia publicity, which conveys the messages by text,
speech, images, animations, video or other interactive means, has become increasingly important in every
aspect of the ICACʼs anti-corruption education. In order to be better equipped in this area, the CRD houses asmall team of graphic designers, video producers and new media marketing experts specialising in
multimedia publicity.
The ICAC has a long history of using multimedia publicity. During its early years, the ICAC conductedmost of such publicity through television, a mass media which became increasingly popular among ordinary
citizens in Hong Kong from the 1970s. In fact, the ICAC was one of the first government departments in Hong
Kong producing television advertisements to disseminate educational messages. The first ICAC television
advertisement was launched in 1975 to encourage the public to report corruption. In the following years, thethemes of ICAC television advertisements have been diversified to the dire consequences of committing
bribery, the evils of corruption and the importance of integrity to society. Alongside with television, theadvertisements are also rolled out on many platforms in Hong Kong, such as television networks in therailway system and commercial buildings, public transportation poster sites, outdoor giant banners, busbodies, social media and mobile applications.
Conventional mass media has remained a powerful means for the ICAC to reach the community, but it is
not without shortcomings. Advertising campaigns are relatively costly. The advertisements have to be shortin content, and the communication is one way only. On the other hand, the new publicity channels that163

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emerged in the Internet era enjoy a number of advantages. People can receive and share information anytime
and anywhere via websites, social media and mobile apps. Multimedia publicity can be published to a larger
audience within a shorter time, with contents and formats more customised for specific targets, in particularyoungsters. The communication between the ICAC and the audiences can also be more instant andinteractive.
The ICAC has been well aware of this trend and has expanded its reach in the new media. The corporatewebsite of the ICAC has long been an easily accessible channel for the public to obtain the information andlatest news about the ICAC. Thematic websites were built to house anti-corruption resources for specialised
groups such as businessmen, teachers, scholars, youngsters and candidates in public elections. A mobile
application was promulgated to allow smartphone users to obtain the information about the ICAC moreconveniently.
Social media is another fast-growing arena of the ICACʼs multimedia publicity. A YouTube channel was
set up to show the ICACʼs audio-visual productions, such as television advertisements, training videos,animations and feature interviews with celebrities. The ICAC created its first Facebook fan page in 2011,
targeting secondary school students. Hosted by four cartoon figures, the page publishes text posts, shortvideos, animations, cartoons, e-games, often with slang and derivative works incorporated, to promote
positive values. Another fan page for the general public has also been established to promote community
engagement activities to the wider audience through Facebook. The ICACʼs newest drive of social media
publicity is on Instagram: an account has been created for “Greedy Kin”, an adorable cartoon sloth known forminor character flaws such as greediness and laziness. By following the slothʼs Instagram account andviewing its pictures and stories, people are reminded to reject these negative examples in a humorous way.
The new media may give an even greater publicity impact if it is used in conjunction with theconventional mass media and face-to-face contacts. This online-offline integrated approach has proved to be a
new direction of the ICACʼs publicity work. One of the illustrative examples is the television drama series.
Similar to the television advertisements, the television drama series has been the ICACʼs signature mass
media publicity since the 1970s. It was first broadcast in 1976, two years after the establishment of the ICAC,
and was followed by over 15 series in the past four decades. The episodes are based on real cases, depicting
the evils of corruption and the ICACʼs determination, capabilities and professionalism to fight graft. Jointly
produced with local television stations, the drama series has long been a hit television programme in HongKong.
To make it better known among the population, each of the drama series is now integrated into acomprehensive online-offline publicity campaign. People may now watch the episodes not only via television
channels, but also through the websites of the ICAC and the broadcasters. A making-of programme isbroadcast on television to let the audience better understand why and how the drama series is produced. The
production crew and the artists appear in press interviews, television entertainment shows, social media
platforms and neighbourhood events of the ICAC to increase exposure of the drama series. In order toengage the community in the campaign, a large-scale premiere is organised for community leaders, work
partners and volunteers of the ICAC Club. The episodes are shown in publicity events organised by the
ICAC and local organisations in the neighbourhood. Quizzes, games, cartoons, short stories and teachingmaterials are also produced with reference to the drama series. They are uploaded to the ICACʼs website asuseful anti-corruption education resources for teachers, parents and youngsters.
In the future, the ICAC will keep exploring new innovative technologies which can convey anticorruption messages more effectively and efficiently. A recent initiative is interactive games with virtual
reality (VR) and augmented reality (AR) technologies. Citizens may play the games, which are adapted fromlandmark corruption cases, to experience the evils of corruption in a three-dimensional (3D) interactive
environment.

IV. CONCLUDING REMARKS
The above account shows that although the ICAC has the same mission over the years to conduct anticorruption education to every citizen, it has to keep adapting itself to the ever-changing social environment
and adjusting the format and mode of its work. Keeping up with the times remains the key to the effective
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practices of anti-corruption education.
Anti-corruption education may be culture-specific in content and format. Hong Kongʼs experience may not
be invariably applied to other jurisdictions. However, no matter in what form anti-corruption education iscarried out in other parts of the world, it is crucial for anti-corruption agencies to make the public realise theevils of corruption and enlist their support for the anti-corruption work, so that an ethical culture can takeroot in the community. After all, fighting corruption, building a fair society and achieving a world of probity
require every personʼs participation.

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INTELLIGENCE-BASED INVESTIGATION: EFFECTIVE PRACTICESTO COMBAT CORRUPTION
Dato’ Sri Ahmad Khusairi Bin Yahaya＊

I. INTRODUCTION
Corruption is an act that destroys the integrity of individuals, communities and nations. It is a practicethat is so detrimental to a nationʼs economy and good governance that it will also undermine the publicʼs
belief in law enforcement agencies. To quote the 1 Royal Address of His Majesty Sultan of Perak, Sultan
Nazrin Shah in conjunction with the 47th Anniversary of the Establishment of the Anti Corruption Agency
Malaysia, His Majesty has labeled corruption as:
Corruption : among the main reason that inhibits economic growth, eliminates the interest of foreign
investments, increases administrative and transaction costs, denies the people from receiving services
and prompts political instability. A lot of nations are blessed with numerous sources of wealth, but
corruption lands them instead in regression - some are even buried so deep in poverty. The nation’s
wealth is mismanaged - internal revenues disappear, consequently regression persists and poverty
continues to spread. When the is no determination to fight corruption, it shall grow thrivingly, thenaccepted as a norm and eventually permeates into a culture until it destroys the nation state.
In a statement by Mr. Jose Ugaz, Chair of Transparency International:
It is perceived as a very complex phenomenon that affects a large part of humanity. If we look at theworld map painted in red according to the latest Corruption Perception Index (measurement done every
year covering most countries), corruption severely impacts more than two thirds of the planet2.
The landscape of corruption crimes around the world has evolved with time. Corruption is no longer
concentrated on spontaneous acts, but is now more submersed in organised, conspiratory and covert crimes.
The worldʼs development has taken a step towards globalization, accompanied by economic growth andinformation technology advancement, and corruption is going through an evolution phase where petty
corruption has begun to shift into more structured and organised crime that is more complex and covert.
This trend is a phenomenon known as syndicated corruption. It doesnʼt only involve government sectors; if
syndicated, the involvement of the private sector will also create a major impact in the evolution of methods
in corruption.
Although petty corruption is an occurrence that happens on a smaller scale and is different fromsyndicated corruption, if not contained it could become a culture within a community or organization. Failure
to control these activities will create a profound impact on society.

II. WHY IBIWhen discussing the corruption issues in Malaysia, where before an act of corruption is considered petty
corruption involving two individuals with interest, whether the giver or receiver, both of whom are seeking
to benefit. However, it is undeniable that since Malaysiaʼs independence in 1957 until today, through thecountryʼs rapid growth and development, corruption has also seen its evolution; it has become more
Director, Intelligence Division, Malaysian Anti-Corruption Commission.
Royal Address by His Majesty Sultan of Perak, Sultan Nazrin Muizzuddin Shah in conjuction with the 47th anniversary of
BPR/MACC on 1st October 2014
2
Official Interview with Mr. Jose Ugaz, Chair of Tranparency International by Fernando González Barroso, published in thefirst digital edition of the “International Journal of Transparency and Integrity” - August 2016
＊
1

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structured, organized and covert, thus allowing this crime to become more difficult to track and expose.
To ensure the continued efforts in combating corruption in Malaysia, the Malaysian Anti-Corruption
Commission has also undergone its evolution to stay relevant with current times. Previously known as the
National Bureau of Investigation (BSN), then the Anti Corruption Agency (BPR), the Malaysian AntiCorruption Commission (MACC) has since 2009 strived to contain the crimes of corruption that have takenroot as a culture in Malaysian society. Various efforts were undertaken through punitive measures as well as
conducting education and prevention programmes to help curb the spread of this phenomenon.
In Malaysia, the public tendency to expose crimes of corruption is focused more on information disclosure
as opposed to stepping forward to report a complaint to MACC. This notable difference is not due to lack ofconfidence in MACC, but is on account of various factors; the refusal in involvement as a witness in court, thechange of corrupt crime from petty corruption to syndicated corruption; technological advancement andaccessible information delivery mediums; and latest trends show that criminals of corruption are getting
more adept at conducting said crimes without public knowledge and remains undetected by MACC.
Based on these developments, employing regular or reactive investigation methods becomes less effectivein order to prove cases that involve syndicated and high profile crimes. This is due to obstacles that are
difficult to penetrate, namely witness cooperation and the significant decrease in public complaints to MACC.
Apart from that, the community also prefers to offer information compared to filing a complaint to avoid
testifying in court.

Between 2012 and 2016, statistics show that MACC typically receives an average of 6,000-7,000 reports of
information yearly. It causes MACC to become more selective in producing quality information thatconsequently leads to case development that utilises proactive investigation methods through theIntelligence-Based Investigation (IBI) approach. The efforts and actions planned by MACC are not solely
focused on solving crimes of corruption, but also taking into account the aspects of time, cost and manpower
as well as suitable investigation methods, to yield a more effective and successful investigation. Therefore,
MACC isnʼt just focusing on more holistic punitive efforts, but at the same time the IBI approach is able toassist MACC in identifying various genres of corruption crimes that were previously difficult to unravel.

III. WHAT IS IBI?
Intelligence-Based Investigation (IBI) is an art, an investigation approach that puts emphasis on
exploration, manipulation and exploitation of intelligence ability to commence and facilitate investigations
that work within a process. To yield covert output through techniques of undercover, surveillance,
intelligence analysis, deployment of agent and sources, technical equipment and others, are basic components
used in the IBI approach to unravel syndicated cases that are complex and involve middleman.
The application of the IBI approach is parallel with the current trend of corruption mediums. Corruption
nowadays is deemed sophisticated. Where before, transactions were often in cash, now it involves banking
transactions, involvement of a third-party in a transaction, provisions of reward in the form of entertainment
and luxury, or even the acquisition of cooperation in the countryʼs mega projects.
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In order to improve IBI to become a more successful and structured approach, MACC has tried toencourage the utilisation of this approach through the MACC Transformation Plan that began in 2011.
During this process, three items were given priority, namely the law and SOP, proficiency of Undercover
Officers and profiling analysis capability. Although the first time the IBI approach was applied during an
Undercover Operation ʻOperation Melayangʼ in 2000, for the past decade MACC has strived to explore and try
its best to use the IBI approach as an alternative in its punitive actions. This is in line with therecommendations outlined in 3Article 50, United Nations Convention Against Corruption:
1. In order to combat corruption effectively, each State Party shall, to the extent permitted by the basic
principles of its domestic legal system and in accordance with the conditions prescribed by its domestic
law, take such measures as may be necessary, within its means, to allow for the appropriate use by its
competent authorities of controlled delivery and, where it deems appropriate, other special investigativetechniques, such as electronic or other forms of surveillance and undercover operations, within its
territory, and to allow for the admissibility in court of evidence derived therefrom.
Through the MACCʼs Transformation Plans 2011 - 2015, among the first effort that was implemented is toimprove the operational ability of Undercover Operations. This process doesnʼ t focuse solely on thedevelopment of training modules, but efforts in other aspects have been undertaken, such as thestrengthening of human resource capabilities, establishing more organised operation management
procedures and acquiring of technical equipment that are more modern and appropriate.
The second aspect that was given priority during the transformation and enhancement of the IBI
approach is to improve Profiling Analysis capabilities. Expertise in profiling is the most important scope in
the IBI approach as it is an important contributing data in identifying criminal networks, criminal
involvement as well as providing input for proactive operation actions. Profiling analysis of targets in general
is to be done comprehensively, due to the fact that most corruption criminals are creative in not acquiring
bribery directly in person, but instead employ family members or proxies. Therefore, aside from individuals
and companies/ agencies/ institutions/ clubs/ organisations that are involved directly or indirectly with thecase, it is of utmost importance to develop a comprehensive profiling of a target, his/her family members,
spouse/partnerʼs family members as well as their spouse/partner. The next challenge is to analyse all thegathered data in order to produce the caseʼs hypothesis. These processes can only be accomplished byenhancing and diversifying the cooperation of information sharing between agencies, creating a system
database platform that is able to store and process information data, and empowering intelligence officers
with a suitable data analysis and profiling knowledge.
The MACC transformation program emphasises aspects of procedures and implementation of each
initiative that was created. The third aspect that was given emphasis is the upgrading of work
implementation procedures that have since became the backbone of the IBI approach. Overall, several
standing orders were established through the jurisdiction under Section 12 of the Malaysian Anti Corruption
Act 2009. Among those are;3/

Chief Commissioner Standing Order (Chapter F) No. 1 Year 2013 “Telecommunication Interception
Using Lawful Interception Monitoring System (LIMS) Under The Jurisdiction of Section 43 of The
Malaysian Anti Corruption Commission Act”;/

Order of Deputy Chief Commissioner (Operation) No. 4 Year 2013 “Preparation of Quality
Information”;/

Order of Deputy Chief Commissioner (Operation) No. 5 Year 2013 “Sources Management
Procedures”;/

Order of Deputy Chief Commissioner (Operation) No. 7 Year 2013 “Central Intelligence Operationand Safe House Management Procedures”; andPage 41, Article 50, United Nations Convention Against Corruption, 2004

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Guidelines”.

IV. DECISION MAKING & MONITORING
The implementation of the IBI approach is managed on a case-to-case basis, whereby each implementation
focuses on the issue of gathered information and is therefore different from information issue to the other.
Details of information issue and situation that should utilise the IBI approach are as follows:/ Cases of corruption, abuse of power or pre-determined offenses against a certain individual or
network of individual categorised as syndicate including the involvement of a middleman that are
difficult to execute through reactive (regular) investigation approaches;/ Cases where there is no complainant who will step forward to file a complaint to MACC;/ When there is an informer or internal source that could cooperate to make the operation a success;or/ Analysis is made of failed cases that using reactive investigations : where offenses under the MACC
Act 2009 are on-going and must be approached using IBI.
Although cases that are developed through the IBI approach may seem different, the process used is still
the same, and intelligence acts throughout the process are divided into two important phases which areIntelligence Gathering (IG) and Evidence Gathering (EG).
Overall, both phases are monitored by the same executive powers namely the Chief Commissioner (CC) or
the Deputy Chief Commissioner (Operations) (DCCO) who are authorised to grant execution permission.
However, during the pre-project stage, the Department/State Director is responsible for monitoring. Also,
reports of projectʼs progress shall be monitored from time to time throughout the duration of the project. The
following is the command hierarchy of project monitoring based on phase:Intelligence Gathering Phase
Director Dept./State↓
Deputy Director↓
Head of Operation

Evidence Gathering Phase
CC/DCCO
↓Director Dept./State↓
Deputy Director↓
Head of Operation

Each project must refer to the Director Department/State in order to understand the methods andimplementation procedures of a project. Based on the details of information that should be developed as an
IBI project, the Head of Operation should first and foremost prepare a Project Planning Paperwork (PPP)
based on gathered information. The PPP will then be presented to the Project Committee (PC)4 for
implementation approval and project allocation. During this stage is where a projectʼs suitability andfeasibility is determined. Below are the main officers involved in a monitoring and decision making process;/

CC/DCCO- Consideration and approval of PPP,
- Decision to delay or terminate any operation subject to reason and demand, and- Decision to authorise implementation of investigating operation after the EG process is finished andProject Committee (PC): The committee that convenes to review, consider and approve any Operation based on thepresented Project Planning Paperwork by the Head of Operation. The PC consists of Chief Commissioner/Deputy Chief
Commissioner (Operation) as Chairman, as well as 3 other members namely the Director of Intelligence, Director of
Investigation and Deputy Director of Intelligence.
4

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has reached necessity.
/

Director or Deputy Director Department/State- Consider and decide any necessary actions prior to and during the implementation of the operation,- To advise DCCO on decisions pertaining to any delay, termination of operation and authorisation of
EG implementation, and- Monitor implementation of operation that is being conducted by each department/state and to receive
periodical reports from the Head of Operation.

/

Head of Operation- To present PPP to PC- To guide and advise the Case Officer in handling and steering a project, and- To monitor implementation of every operation conducted by each department/state and to report onsupervised operation progress to the Director.

Based on the roles mentioned above, the most crucial task is placed upon the Project Committee (PC),where based upon the Intelligence Report (IR) that is generated following each Intelligence Gathering (IG)process, the PC will have to decide on which method will be adapted to pursue an operation, whether theyʼllbe adapting the Undercover Method or the Analysis Method. These decisions are crucial and must be based
upon a specific benchmark when selecting a method;/

Risk level of an operation and estimation of damage to the operation team, target or any possibility ofcollateral damage;/

Effectiveness of operational cost implemented compared to the ROI;/

Possibilities that need to be expected in deciding the feasibility of an infiltration or penetration during theoperation; and/The strengths and weaknesses of the case development to help decide if it can be pursued or not.

V. IMPORTANT TOOLS IN THE IBI PROCESS
Undoubtedly, when defining the IBI approach, naturally the process that is applied can be described in one
big Intelligence Cycle, especially during the Pre-Project Phase (Intelligence Gathering -IG) and Project
Implementation Phase (Evidence Gathering -EG). And while explaining aspects of Intelligence Cycle, thefollowing are several important tools that are used throughout the IBI process:/Informant
In the introduction section, it has been explained that an informant is an individual who plays a crucialrole in providing information covertly for the purpose of intelligence. Although at times the information
given might not be competent; however, each information has its own weight that must be taken into
account.

/

Profiling
In the IBI approach, profiling is the most important responsibility as it is with this that a target or any
other individual or organisation involved in the case can be identified thoroughly. In the context of IBI,
offensive profiling is adapted, which means the identity of the target is not the only profiling but should
also include all aspects of information pertaining their financials, assets and properties, movements inand out of the country, business ownerships, stock and share ownerships, etc. This aspect also applies
when profiling any individuals or organisation involved with the target.

/

Reconnaisance
Reconnaisance or Recon is a method used by most intelligence agencies around the world, where agentsare scattered to assist in the information verification process. In the IBI approach, MACC adopts thesame method where intelligence officers are responsible, not only for verification purposes, but also togather new information related to the case using the elicitation technique.

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CasingIs a combination of tasks: to assess the suitability of an undercover operation area and meeting place, togather information needed relevant to the area to facilitate infiltration, and to evaluate probabilities ofchallenges and threats especially in operations that utilise the undercover method.

/

Surveillance
Derived from the words ʻwatching overʼ in French ‘surveiller’, the task of surveillance is the monitoringof activities of a target, their behaviors and collecting other useful and relevant information on the target.

/

Interception
In the context of MACC, communication interception is an important element in assisting thedevelopment of an operation using the IBI approach, specifically employed to extract and gather
information through the targetʼs communications with any individuals relevant to the case. By adapting
the Lawful Interception Monitoring System (LIMS) under the jurisdiction of Section 43 of the MalaysianAnti Corruption Act, all conversation data, messages whether by post will be analysed to assist in theinformation analysis and verification of a case.

/

Undercover Work
Like any intelligence agency around the world, the usage of undercover agents is a certifiable technique
in information gathering and verification. However, in the context of IBI, undercover agents are not only
employed during the intelligence gathering process through information assessment and verification, but
are also useful in gathering evidence. The undercover evidence can be used to bring a case to court
based on Section 52 of the Malaysian Anti Corruption Commision Act:
Section 52 (1) (b) MACC Act 2009: “No agent provocateur, whether he is an officer of theCommission or not, shall be presumed to be unworthy of credit by reason only of his having attempt tocommit, or to abet, having abetted or having been engaged in a criminal conspiracy to commit, suchoffence if the main purpose of such attempt, abetment or engagement was to secure evidence against
such person; and”
Section 52 (1)(c) MACC Act 2009: “Any statement, whether oral or written, made to an agent
provocateur by such person shall be admissible as evidence at his trial.”
Section 52 (2) MACC Act 2009: “Notwithstanding any written law or rule of law to the contrary, aconviction for an offence under this Act solely on the uncorroborated evidence of any accomplice oragent provocateur shall not be illegal and no such conviction shall be set aside merely because the court
which tried the case has failed to refer in the grounds of its judgement to the need to warn itself against
the danger of convicting on such evidence.”

However, in the IBI approach that employs undercover methods, although the human undercoverstatements could be used as evidence in court, it could be a liability on MACC to ensure that there are noelements of entrapment and instigation from the targetʼs operation handler, and a predisposition of the target
should be done with the utmost care in relation to prejudiced information of the target.

VI. THE IMPORTANCE OF INTELLIGENCE ANALYSIS
Analysis is defined differently according to each knowledge field and skills context. In general, analysis isdefined as a process that breaks down and rearranges a particular component to one that is comprehensible
and generates a hypothesis of a particular matter. Itʼs no different when applying analysis in the IBI
approach, where a hypothesis of information and gathered data is of utmost importance, and this discipline is
known as Intelligence Analysis. In the IBI approach, the Intelligence Gathering (IG) is not only focused on theability to gather data and information relating to the case, but it also involves important processes in order tointerpret all the data and information via an analysis that is appropriate to generate an overall hypothesis of
the intelligence process. Among the importance of Intelligence Gathering and Intelligence Analysis are:/ Manage to evaluate progress or status of intelligence work,

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RESOURCE MATERIAL SERIES No. 107/ Discover past events and things you didnʼt know,/ Understand the situation of the cases more deeply,/ Assist in identifying follow-up actions that should be taken, and/ Facilitate all teams to communicate accordingly and create better understanding.
In the IBI approach, there are several analyses such as the Target Profile Analysis, Crime PatternAnalysis, Risk Analysis, Network Analysis and Demographic Analysis. Although there are various analysis
methods to be employed, it depends on the type of case, the suitability of data categories and information thatwere gathered. What matters is that the process of the analysis is to ensure that the case being developed
involves the right target, the right modus operandi and the relevant individuals involved in the case.

VII. CONCLUSION
The wide use and application of IBI methods in corruption cases domestically and internationally wasconsidered as a good practice and initiative and caught the eyes of other anti-corruption authorities includinginternational bodies like United Nations Office on Drugs and Crime (UNODC). MACC has also received
requests from many countries to learn the IBI approach. It is an honour to us (MACC) that we have alreadyreceived almost 150 participants from various agencies and countries from 2012 until July 2018 who came tolearn IBI. For MACC sincerely, it would be part of our duty to share and exchange ideas and good practices
with other agencies or departments, locally or internationally, as part of our efforts to fight corruption
globally. Let us work together to combat corruption and strive to maintain the harmony of the worldcommunity.
References:
1. Malaysian Anti-Corruption Commission website: www.sprm.gov.my
2. United Nations Convention Against Convention (UNCAC) 2004
3. Malaysian Anti-Corruption Act 2009
4. Transparency International website: www.transparency.org

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PARTICIPANTSʼ PAPERS
WHAT EFFECT DOES CORRUPTION HAVE ON THE HIGHEREDUCATION SYSTEM IN KAZAKHSTAN?
Dulat Omar＊

I. INTRODUCTION
Education is the only specialized basis of society, the objective function of which coincides with the
purpose of the whole society. If the various spheres and sectors of the economy produce material andspiritual goods, and services for personal use, the education system produces the person, acting on its
intellectual, moral, aesthetic and physical development. This defines a key social function of education ̶ thehumanistic one (Curren 2007). But what if the people do not trust the objective evaluation of studentsʼ
performance by teachers? What would happen if the process of higher education is corrupt?
The purpose of this paper is to investigate how corruption effects higher education (HE) in Kazakhstan, tooutline academic and professional approaches to the problem and to discuss possible solutions for fighting thissocial malaise. Despite the vastness of this problem, the issue of corruption in higher education has only
recently become such a critical topic.
A story is told of how once at a university in Kazakhstan students had to take the final exam, andsuddenly someone suggests buying a plane ticket for the professor who was going to fly to Moscow toparticipate in a conference of teachers (Kalanava 2008). This is a typical example of how corruption mattersand spreads among students and academics. According to Rumyantseva (2008), corruption in higher
education can take different forms. It is manifested in various ways such as providing illegal support foradmissions to a university, selling student assessments, favouritism in public procurement, cheating andplagiarism.
While a variety of definitions of corruption in higher education have been suggested, this paper will use
the one suggested by Anechiarico and Jacobs (1996), who defined corruption in education by relating it tocorruption in other similar areas, “principally the abuse of authority for material gain”. However, it seems
that because education is critically important to the public, its significance is more than just material gain;
hence the definition of “education corruption” includes the abuse of authority for individual profit andadvancement in an academic and professional sense. It might be that the social issues of corruption in
education can be more harmful than other types, since it involves juveniles and young people (Heyneman etal., 2007).

II. BACKGROUND
Kazakhstan is a vast country ̶ the ninth largest in the world; nearly twelve times the size of the United
Kingdom; it has significant oil and gas reserves and a variety of mineral resources. A former part of theSoviet Union, it is located in Central Asia and borders Russia to the North, China to the East and other former
Soviet countries and the Caspian Sea to the West. In Kazakhstan, where per capita GDP is the highest of all
former Soviet republics, a recent statistic indicates that there are 131 higher educational institutions in
Kazakhstan, including 51 public and 80 private ones. The number of private colleges is almost 2 times higher
than the number of public colleges, with half of all the nationʼs students attending private colleges. There are
747,100 students in the country of which about 400,000 study in public colleges and universities while 347,000
attend private colleges. Interestingly, gender disparities in access to HE in Kazakhstan seem to be absent as
women constitute around 60 per cent of all students (Osipian 2007).

＊

Chief Prosecutor, Prosecutorʼs Office of Korgalzhyn District, Kazakhstan.

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However, market reforms and an increasing interest in such majors as Law, Economics, and Finance has
not reduced the level of corruption (Osipian 2007). Anecdotal evidence suggests that the level of corruption in
the former Soviet Union was not as high as it is now in Kazakhstan. This was achieved through a standard
system and the strong centralization of power. During the economic transition to the market economy, thecentral government collapsed while a variety of agents (government officials, professors, and staff) did not act
in concert (Heyneman et al. 2007).

III. THE CONSEQUENCES OF POOR REFORMS IN EDUCATION
Since gaining its independence, the government of Kazakhstan has begun carrying out extensive reforms
in higher education. The main purpose of these reforms was the privatization of most state universities andtheir subsequent commercialization. Here it should be noted that during the period of the Soviet Union theuniversities did not have admissions fees for applicants and were completely free and accessible to themajority of young people. As a result of governmental policy, within a short period there were numerous
private colleges and higher institutions, most of them did not have sufficiently high admission requirements
for the provision of university education. According to Heyneman (2007) it is probable that there was
educational corruption in the former USSR, although it was not on such an enormous scale in comparison
with todayʼs level. Corruption has spread rapidly in the educational sector due to decentralization of decision
making, which has had a negative impact on the control of the agents (i.e. the universities), the privatization of
the objects of education and the inexperience of the management of the private universities.
However, despite the existence of legal regulation, in fact, implementation of these regulations remains aninsurmountable problem; university students continue to violate the law, unethical and informal contracts ̶at both high and low levels. For instance, Chapman (2005) argues that corruption has two kinds of effects.
Firstly, educational corruption leads to a loss of financial resources or, in other words, it significantly affects
the other sectors of the economy. Secondly, educational corruption causes a loss of moral conscience among
the students involved in the process of corruption, even as far as admissions to university and bribery in theexamination.
While these rapid changes are having a serious effect on the educational process, the university officials
have not been helpful in assisting investigations in corruption. Moreover, universities have not cooperated inassisting in the struggle to stop this harmful issue. Since education is for the public good, corruption in
education is a broader issue than the illegal receipt of bribes. There is no doubt that illegal actions can befound in different occupations, but when the action affects children and young people the consequences are
more serious and the punishment should be harder (Heyneman 2004).
The effects of corruption in education that we have identified therefore assist in our understanding of therole of education in the further development of the country. It can be seen that the success of corrupt
transactions relies on two sides: students that offer the bribes and faculty academics that demand them.
Surveys of university students illustrate that many students had rather abstract thinking about corruption.
Indeed, only a few students said that they would report it if observed, while a majority would not have done
so if they could avoid it and feel bad about this (Heyneman et al. 2007).
In addition, there are also various forms of bribery across different faculties and departments. This isconfirmed by data from the Kazakh-Turkish University. In 2007, gift taking was highest in Economics,
Political Science and World History, and lowest in Fine Arts and Russian Language. Four years later, theincidence declined in all departments except Law and Economics, where the competition to enter is greater,
the fee and tuitions are larger, and the stakes for graduating are higher (Heyneman et al. 2007).
As Becker and Stigler (1974) pointed out, the probability that a teacher would take a bribe is higher if hissalary is extremely low, and it also depends on how easily a bribe can be detected and if the sanctions of thispunishment are too weak. In this regard, during the transition to a market economy in Kazakhstan, teachersʼsalaries remained relatively low compared to other professions. As a result, it can be assumed that this fact iscentral in determining the causes of corruption in the higher education institutions.

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IV. THE SIGNIFICANT IMPACT FOR SOCIETY AND THE ECONOMY
There is no doubt that corruption has a negative impact on society, particularly on the young generation,
who study at the university, begin to get used to corrupt acts. In this context, Rumyantseva (2009) concludes“when higher education is corrupt, young people come to believe that cheating and bribing is an acceptable
way to advance their careers”.
Another issue relating to corruption in education is a profound effect on the state economy, which iscatalyzed by the illegal circulation of hush money and a black economy in the country. The harmful impactsof this issue on economic growth were analysed in the works of Leff (1964), Huntington (1968), Myrdal (1968),
Soto (1989) and Svensson (2003, 2005). Although, in general, the negative effects of corruption are notapparent, some issues may be quantified and measured. It can be argued that there is a decline in the qualityof higher education, and the university officials admit unqualified students and teachers; in this way higher
education becomes ineffective and has poor quality outcomes. As Bardhan (1997) notes “instead of increasing
the success within the university, bribery limits competition and reduces the quality”.
The present study was designed to determine the effect of corruption in higher education in Kazakhstan.
The problems of this issue can be broader, and to consider its field is extremely complex; in this regard it
would be divided into the following categories. First, corruption in higher education is an irreparable damage
to society and therefore overall to the country, where the image can be lost or, in other words, it is a painful
impact for the whole nation. Second, the economic consequences ̶ corruption in education is automaticallyextended to other areas of the economy; as a result it may cause huge and detectable consequences for thewelfare of the people. Finally, the ethical problems, where the new generation that is involved in corruption
can change their right vision for the future development of mankind and its values. Consequently, this will
require greater efforts to fight the substantial effects of corruption in education, and primarily, the coming
together of society, reforming the system and gaining from the experiences of other countries.

V. HOW TO TACKLE CORRUPTION IN HIGHER EDUCATION
It is probable that solving the problem of educational corruption is not significantly different from solving
this in other sectors since abuse of authority in the field of education is governed by the same laws andregulations as in other parts of the economy. On the other hand, there are certain preventative measures
specific to corruption in education. In this context, Heyneman (2004) stated that effective reforms in the
education process are, possibly, able to minimize the risks of educational corruption. These reforms can bedivided into four categories: firstly, structural reforms are necessary to reduce the opportunity forcorruption; secondly, improvements in adjudication and management to help in the implementation of theissues in the education process; thirdly, measures are necessary to actually prevent corruption; and finally,
sanctions are required to demote or punish when offences are committed.
Tackling corruption in higher education is a priority for public policy of the Republic of Kazakhstan.
Interacting with the outside world, Kazakhstan is trying to maintain a dialogue with other countries and toparticipate in unified international activities in order to coordinate actions in a single international legal
system. It should be noted that the Republic of Kazakhstan is a member of the United Nations Convention
against Corruption (UNCAC).
Kazakhstan has adopted the Law «On Combating Corruption» of 18 November 2015, in general,
coordinating stricter anti-corruption sanctions. This law is pointed at the comprehensive scope of the issue of
corruption as a phenomenon in general and defines the principles and priorities for the implementation ofanti-corruption policy. It sets the objectives and errands of the state to guarantee the anticipation, earlycaution and usage of legitimate supervision in connection to culprits of corruption exchanges. Accomplishing
the objective of combating corruption is executed as well by producing a social climate of intolerance towards
corruption. Particular attention is paid to the identification of the causes and conditions conducive tocorruption offences and the elimination of their consequences.
The main goal of the new approach of Kazakhstan on countering corruption is the arrangement of acommon anti-corruption culture. This intentional action suggests a set of measures of instructive,
enlightening and organizational measures to raise public intolerance to corruption offences. In order to175

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ensure transparency of officials at all levels on a par with the state control bodies set up community councils.
The Law of the Republic of Kazakhstan «On Public Councils» on November 2, 2015 defines the purpose ofcreating opportunities performance expression of civil society views on matters of public concern. The
objectives of public councils are to develop interaction between the central and local executive authorities
and bodies, as well as the organization of public oversight and transparency of central and local executive
bodies and local self-government.

VI. CONCLUSION
In recent decades, society has not developed and reformed law sufficiently to control the issues ofcorruption in higher education. There are many other problems to be solved, ranging from the transition to amarket economy to reforms in the judicial system. However, now, it is time to turn to education, and it isnecessary for the new generation. Reduced government support has brought the institutions to create theirown financial resources (i.e. through extensive commercialization) which are not governed by precedent orlegal regulations. Heyneman (2004, 12) puts it like this: “one thing is abundantly clear: whenever rules andregulations are confusing one must expect a high level of corruption”. It seems that legislation reforms must
be promoted in the fight against corruption. Changes in educational legislation are of critical importance tothe whole society, and are now under review by the government. It is important to refrain from further
restructuring of the education system.
References
Anechiarico, F., J. B. Jacobs. 1996. The Pursuit of Absolute Integrity: How Corruption Control Makes
Government Ineffective. Chicago: University of Chicago Press.
Bardhan, P. 1997. Corruption and Development: A Review of Issues. Journal of Economic Literature 35 (3):1320-46.
Becker, G.S., G.J. Stigler. 1974. Law Enforcement, Malfeasance, and Compensation of Enforcers. The Journal of
Legal Studies. 3 (1), 1-18. The University of Chicago Press.
Chapman, D. 2002. The Sectoral Dimensions of Corruption: Education. In B sector. Fighting corruption indeveloping countries. Bloomfield, CT: Kumarian.
Curren R. 2007. Philosophy of education: on anthology. London: Blackwell Publishing Ltd.
Dave, B. 2007. Kazakhstan: Ethnicity, Language and Power. London: Taylor & Francis Routledge.
Heyneman, S. P., K. H. Anderson and N. Nuralieva. 2007. The cost of Corruption in Higher Education.
Comparative Education Review, 52 (1): 2-25.
Heyneman, S.P. 2004. Education and Corruption. International Journal of Educational Development, 24: 637648. CSA. http://elsevier.com/locate/ijedudev (accessed March 12, 2004).
Kalanova, S. 2008. The Methodology of Ranking Higher Education Institutions in Kazakhstan. Higher
Education in Europe 33 (2): 303-310.
Osipian, A. 2007. Corruption in Higher Education: Conceptual Approaches and Measurement Techniques.
Research in Comparative and International Education. 2(4): 313-332.
Osipian, A. 2007. Feed from the Service: Corruption and Coercion in the State ‒ University Relationship inCentral Eurasia. Peabody Journal of Education 48 (2): 12-18.
Rumyantseva, N.L. 2009. Taxonomy of Corruption in Higher Education. Peabody Journal of Education 80 (1):81-92. CSA. http://dx.doi.org/10.1207/S15327930pje8001_5 (accessed November 18, 2009).
Rumyantseva, N. L. 2008. Higher Education in Kazakhstan: The Issue of Corruption. International Higher
Education 47 (3): 24-25.
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INVESTIGATION, PROSECUTION AND ADJUDICATION AGAINSTILLICIT PROPERTY OF PUBLIC OFFICIALS IN NEPAL
Gokul Banstola＊

I. INTRODUCTION
Good governance is a key to sustainable development and social well-being of a nation. However,corruption is considered as a strong constraint of good governance towards the way of prosperity. Corruption
is spread throughout the world in different forms. The corruption perception index shows that more than
two-thirds of countries in the world score below 50 out of 100. At least 6 billion1 people around the world arewitnessing rampant corruption. Therefore, corruption is a global problem, and the entire world is trying tocombat corruption through various institutional and policy measures.

II. CURRENT SITUATION OF CORRUPTION IN NEPAL
Naturally, Nepal is one of the most beautiful countries in the world. It has a wide range of geographicaland cultural diversity which is unique and incredible itself. But economically Nepal is known as one of theleast developed countries. Corruption, no doubt, is one of the causes of Nepalʼs underdevelopment2.
Even though corruption is a criminal offence in Nepal, all forms of corruption, like bribery, embezzlement,
fraud, extortion, illicit enrichment etc., are present. Nepotism and favouritism have been rooted in Nepali
society and the public sphere. Almost all spheres, i.e. the executive, legislative, judiciary, political parties, nongovernmental organizations, and the private sector, are perceived to be suffering from corruption.
Transparency Internationalʼs Global Corruption Barometer (GCB) Survey Report 2013 is evidence of theabove-mentioned statements. In a 2011 survey, the total percentage of respondents saying “corruption
increased a lot in Nepal” was 62.8 percent. This figure rose to 72 percent3 in 2013. The GCB survey also
revealed political parties (90%) as highly corrupt institutions in Nepal, followed by public officials (85%), police(80%), and parliament (79%), the judiciary (77%), business (54%), Non-Government Organizations (46%), themilitary (43%) and the media (33%). Based on daily bribery experiences of the people, other corrupt
institutions in Nepal include customs, land revenue, judiciary, and tax revenue4.
Revenue leakage, misappropriation of public funds, damage or loss to public property, bribery, fake andfalsified documents, breaching of laws and procedure and illicit enrichment, etc. are the common current
prevalent corruption tendencies in Nepal5. The bitter truth is that no sectors/areas escape the grip ofcorruption in the country. The table presented below also supports that corruption is a fact.

Under Secretary, Commission for the Investigation of Abuse of Authority, Nepal.
https://www.economist.com/graphic-detail/2018/02/22/ /corruption-is-still-rife-around-the-world2
Corruption in Nepal: An Anthropological Inquiry Madhusudan Sharma Subedi, Central Department of Sociology/
Anthropology, Tribhuvan University Kirtipur. Nepal.
3
Global Corruption Barometer survey report 2013, www.transparency.org
4
Institutional Strategy of the Commission for the Investigation of Abuse of Authority (2014-2019).
5
Based upon yearly reports of CIAA.
＊
1

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Table-1
Corruption Perception Index and Nepalʼs status
S. No.

Year

Score

Rank

1

2017

31

122

2

2016

29

131

3

2015

27

130

4

2014

29

126

5

2013

31

116

Source: Transparency International Corruption Perception
Index reports, www.transparency.org

III. ANTI-CORRUPTION AGENCY AND LAWS TACKLING ILLICTENRICHMENT IN NEPAL
Illicit enrichment is defined in the United Nations Convention against Corruption (UNCAC) as “asignificant increase in the assets of a public official that he or she cannot reasonably explain in relation to his
or her lawful income6”.
A. Commission for the Investigation of Abuse of Authority
The Commission for the Investigation of Abuse of Authority (CIAA, henceforth) is an apex constitutional
body mandated with controlling corruption involving public responsibility. All arrangements for its
independence and competency are also managed by the Constitution. There is one chief commissioner andfour other commissioners. All commissioners are appointed by the President for six years on therecommendation of the Constitutional Council. They may be removed from their responsibility if a motion of
impeachment is passed by a two-thirds majority of the members of the House of Representatives. It is aunique anti-corruption agency and the first agency established in the SAARC region which is acting as
ombudsman, investigator and prosecutor.
B. Laws Relating to Illicit Enrichment
1. The Prevention of Corruption Act, 2002
Section 20 of this Act criminalized illicit enrichment as an offence of corruption, resting the burden of
proof on the suspect. According to this provision, In case the statement of property submitted in accordancewith prevailing laws by a public servant deemed to have held a public office in accordance with prevailinglaws seems to be incompatible or unnatural or in case he maintains an incompatible or unsuitable lifestyle or
it is proved that he has given someone a donation, gift, grant, present or has lent money beyond his capacity,
he shall prove the sources from which he has acquired such property, and if he fails to do so, such property
shall be deemed to have been acquired in an illegal manner.
2. Commission for Investigation of Abuse of Authority (CIAA) Act, 1991
The CIAA is empowered by this act to search, seize, and suspend the suspects from their posts. The
CIAA has the right to arrest and hold the suspect in custody for a maximum of six months with thecompetent courtʼs consent. It may obtain details of financial transactions and even stop the fixed real estate of
the suspect. In addition, it may seize the accusedʼs passport.
3. Illegal Property Investigation Procedure, 2018
The illegal property investigation procedure is a new document issued by the CIAA incorporated andupdated with different practices, norms and verdict of court to make the investigation scientific, evidencebased and reliable. This is a detailed guideline to investigate upon the complaints received by the CIAA
against illegal property earning by any public position holders. The procedure covers the norms related to6

United Nations Convention against Corruption, United Nations Office on Drugs and Crime.

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calculation of income and expenditures of suspects during the investigation process.

IV. INVESTIGATION, PROSECUTION AND ADJUDICATION OF ILLICITENRICHMENT CRIMES
A. Investigation
The CIAA is mandated to investigate corruption matters committed by persons holding public officebased on received complaints. There are other anti-corruption agencies authorized to investigate in theirrespective area, as permitted by relevant laws; however, the crime of acquiring property illegally by public
officials can be investigated only by the CIAA.
The CIAA has been receiving a large number of complaints relating to various irregularities and earningof illicit property through complaints lodged by any person, or it obtains information via its own source. The
investigation procedure is basically divided into two stages:
1. Preliminary Inquiry
During the preliminary inquiry, the complaints are analysed with regard to their merit and the first-handavailable evidence. At this stage, the “Special Investigation Division” works with an aim to collect most of thepossible evidence. For this purpose, the CIAA may write to any concerning agencies to send any relevant
information and details of a concerned suspect which may be useful in investigation. One major document, theannual property details form, is collected from concerned agencies. After receiving necessary documents arecollected, a brief report is prepared.
2. Detailed Investigation
When the Commission deems it necessary to conduct an investigation upon findings, a preliminary inquiry
investigation officer is designated. The investigation officer collects further evidence, makes all necessaryinquiries and analyses the findings. Upon the completion of the specified procedures, a report is submitted to
the Commission. Such report shall be reviewed by the Commission and a decision to this effect shall be taken.
B. Prosecution
The CIAA is the only authorized institution to prosecute in the Special Court against illicit earnings ofholders of public posts. Based upon the recommendation of the investigator, the Commission decides whether
to prosecute. If a charge can be proved on the grounds of the collected evidence, the Commission prosecutesin the special court; otherwise the case is disposed of. On behalf of the CIAA, the Special Government
Attorney Office pleads at the Special Court as well as the Supreme Court.
C. Adjudication
The Special court is mandated to adjudicate all the corruption cases filed by the CIAA at the trial level.
This court has the same status of the appellate court. So the Supreme Courts have appellate jurisdiction overthe decisions of this court. The table presented below is a summary of complaints received and resolved by
the CIAA.

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Table-2
Complaints Received and Resolved by the CIAA
S.No.

Particulars

1

Fiscal Year
2013/142014/15

2015/162016/172017/18

Total number of complaints received

22,602

31,213

24,691

19,58019,4882

Total number of resolved complaints

12,892

21,648

16,694

11,861

12,4003

No. of complaint of illicit enrichment

2,060

2,591

1,083

606

425

4

Total cases filed in court

168

303

144

154

192

5

Cases of illicit enrichment filed

2

2

7

11

4

6

Success rate on total prosecution

80%

80%

81%

60%

NA

Source: CIAA Annual Reports 2013-2017

V. BEST PRACTICES OF ANTI-CORRUPTION MEASURES IN NEPAL
The following are some of the mechanisms and practices in use in Nepal that are worth mentioning.
Independent constitutional agency (CIAA) for investigation and prosecution;
Distinct special court for adjudication of corruption cases/crime;
Burden of proof is on the defendant in illicit enrichment cases;
Additional punishment for high-ranking officials who commit corruption offences;
Imprisonment is mandatory for almost all corruption offences.
During the investigation and prosecution of corruption cases, the following rights of the suspect arevalued with due respect.
No arrest or custodial detention without informing the arrestee of the grounds of arrest andprovision of a detention slip;
No custodial detention for more than 24 hours without the order of adjudicating authority;
Right to consult a legal practitioner;
Right to be presumed innocent until proved guilty of the offence;
Right to privacy;
Right against torture;
Right to fair trial by independent, impartial and competent court;
Right of the person during taking of a statement:- Right to remain silent,- Right not to incriminate themselves,- Provide interpreter if necessary.

VI. MAJOR CHALLENGES REGARDING CORRUPTION CONTROL IN NEPAL
Corruption control is not an easy job; hence it is challenging itself. Major challenges regarding the control
of corruption in Nepal are as presented below:
A. Political Commitment and Full Support
Lack of political support is a challenge. Even though the political parties publicly express commitment forcontrolling corruption, the behaviour has not been exactly the same in practice. Here are some otherexamples: about 83.2 percent of the participants in a survey thought that corruption in Nepal was caused by
the lack of political commitment7. The CIAA can investigate and prosecute the political people holding public

7

Tek nath Dhakal and Ratna raj niroula, “Prevalence of corruption and its challenge for improving governance in Nepal.”180

21ST UNAFEI UNCAC TRAINING PROGRAMMEPARTICIPANTSʼ PAPERS

positions, so it is difficult to get real support from them. The post of chief commissioner has been repeatedly
vacant in the history of the CIAA. It shows lack of political commitment to corruption control.
B. Legal/Political Transition and Instability
After a decade long conflict, the adoption of a constitution by a Constituent Assembly, restructuring thestate to federal system, and the election of all levels of the federal government were completed. The numberof complaints received by the commission against the local level of government is increasing. On the other
hand, there is still contradiction among the constitution and some legal provisions. There is a need to amend
the existing laws as well as to build new laws. In this situation, ending the legal and political transition andgetting stability and a comfortable environment remains challenging.
C. Limited Jurisdiction of the CIAAThe CIAA is a major anti-corruption institution of the nation, but a new constitution of Nepal narrowly
restricted the jurisdiction of the CIAA. The constitutional bodies and judges, Nepalese army, policy decisionsof the cabinet and the corruption in the private sector are outside of the CIAAʼs authority. It is anotherchallenge to control corruption within the nation with limited jurisdiction.
D. Limited Mandate by Other Laws
The new constitution of Nepal has not given the right to investigate improper conduct. In the present
situation, after the removal of the improper conduct from the Commissionʼs jurisdiction, the challenge has
been added to the Commission, because the majority of the corrupt practice starts with improper conduct. It
is not easy to separate improper conduct and corruption. This limited mandate is an obstacle in the strategic
campaign of zero tolerance against corruption.
E. Mindset of Other Stakeholders
The general mindset of other state agencies seems to be that the CIAA is the only responsible agency forcontrolling corruption. But corruption control is a common responsibility of the whole nation. Sometimes the
CIAA is not getting whole-hearted cooperation and support from other institutions as expected due to thatmindset which is unfavourable to control corruption.
F. Nature of Nepalʼs Economy
The economy of Nepal has not been completely formalized. Even informally various economic activities
are going on. On the other side Nepalʼs law has not made a compulsory provision to each individual and public
official for maintaining a strict record of all income and expenditures. This situation also added the challenge
to investigation especially investigation of illicit property.
G. Protect and Maintain the Rights of Suspects
If there is any prosecution until the court adjourns, no person is guilty. But when someone is prosecuted,
the Nepalese society views that he/she is guilty so the suspect will lose social reputation. Even if the courtsays not guilty, someone cannot restore his or her reputation. Under this condition there is a challenge for the
CIAA to balance between protecting and maintaining the rights of suspects and investigation andprosecution.
H. Open Border and Relation to India
There is about 1750 km of open border between Nepal and India. There are linguistic and culturalsimilarities as well as family relations of people between the two neighbouring countries. People of the twocountries can easily cross international borders without visas or any registration. In this situation it is easy tohide illegally acquired assets in India. This is a big challenge to uncover the property when investigating illicit
enrichment cases.
I. Gaining Public Confidence
The CIAA is blamed sometimes for not focusing on the big corruption cases based on the expectations of
the people. On the other hand, large numbers of complaints received daily in the CIAA are the proof of publictrust in the CIAA. Maintaining this belief by bringing all corruption cases to the scope of investigation andbeing successful is also another challenge.

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J. Implementation of International Commitments and Developing Interconnection
Since Nepal is signatory to UNCAC, its implementation is a national obligation, but it does not havesignificant action yet. It is also challenging to bring into light the functional and operational management of
UNCAC. On the other side, corruption is emerging in new forms, colours and the dimensions in thecontemporary world. To overcome this social crime, nations should develop networks, collaboration andcooperation among countries, international organizations and diplomatic agencies. It has also beenchallenging to develop such interconnection and delivery of mutual legal assistance on time.

VII. PROBLEMS REGARDING CORRUPTION CONTROL IN NEPAL
A. Lack of Enough Laws, Legal Provisions and Implementation
The assessment of the National Integrity System Assessment Nepal, 2014 reveals there is significant
variance between law and practice. The legal framework is sound, but it is not implemented consistently8.
There are various weaknesses and lapses in prevailing anti-corruption laws. Prevailing law has not covered
all the possible corruption offences. There is no clear definition of unsuitable lifestyle regarding illicit
enrichment, neither of the legal provisions calculate net worth of a suspect by analysing total assets andliabilities. There is a maximum of two yearsʼ imprisonment if found guilty of illicit enrichment.
B. Lack of Coordination and Collaboration Mechanisms
Mechanisms to exchange information related to corruption among the law enforcement agencies and joint
research system is crucial but there are not such practices yet.
C. Complexity in Investigation
New trends, techniques and methods of corrupt practices are emerging day by day which is a challenge
and problem itself in investigation. To adopt new techniques, technologies and speed up investigation ofcrimes is not easy due to legal and resource limitations.
D. Lack of Capable Human Resources and Capacity Development
The CIAA does not have its own human resources. All personnel are deputed by the government fromvarious disciplines as per the need of the CIAA. The job nature of the CIAA demands various specialized
manpower. Availability of this manpower and capacity development of them is important, but due to the lackof resources, capacity development as per the necessity is not even possible. Frequent transfers and poor
retention of capable human resources is also an issue.
E. Difficulties in Gathering Evidence and Establishing the Case
Corrupt activity is done in secret and by abusing law. A corrupt official tries to hide it as far as possible byusing the loopholes of law and tries to protect oneself. In this situation to collect evidence of corruption is noteasy itself. In the ground of investigation, prosecution is not so difficult, but it is not easy to establish theoffences in court.
F. Time Consuming and Different Verdicts Regarding Similar Issues
Investigating issues related to corruption takes time. Court procedure also consumes a long time to take adecision. Sometimes the court reaches different verdicts in similar cases. That creates confusion as to which
verdict to follow while investigating the corruption cases.

VIII. A CASE STUDY ON CORRUPTION: MINISTER FOUND GUILTY ON
CORRUPTION CHARGES
A. Introduction
There was a young and popular Nepali political leader who had been holding different public positions
during different time periods. His family background was a simple farming family. He was in a high-level
public post from June 1991 to September 2002 in different capacities. At the first time, he was an advisor to
the then Prime Minister. Later, he was elected as a member of parliament and also appointed as a cabinet
minister of the government.

8

National Integrity System Assessment Nepal 2014, Transparency International Nepal

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B. Complaint and Investigation
The Commission for the Investigation of Abuse of Authority (CIAA) had received a complaint on
September 2002 against him alleging that he was living at an unreasonably high standard of living by earning
illegal assets, i. e. corruption. The CIAA started an investigation designating an investigation officer on
October 24, 2002. During the investigation interesting facts relating to him were revealed.
Before being appointed to a public post, his bank balance was quite nominal: just Nepalese Rupees (NPR)
22000. 00. But when he was in public position his bank balance increased unexpectedly to 9. 191 million
Nepalese rupees. In addition to this, he acquired fixed assets (land and a house) of 8.485 million. Apart fromthese; he purchased vehicles worth NPR 2.463 million. While he was taking important public posts, his and hiswifeʼs bank balances increased. He bought land and cars, built modern houses. Finally it was found that hecollected a total of NPR 24 million 332 thousand (24,332,664.78 NPR). Out of this amount, the CIAA found that
only 3.5 million Nepalese Rupees (NPR 3,524,618) was obtained from legal sources. He had collected vast
property within about 11 years, which was quite impossible to earn by legal means by holding such public
post in Nepal.
C. Some Facts Revealed by the Investigation
Before holding public posts, his bank balance was only NPR 22 thousand, but from June 1991 to July
1994, within a three-year period, he deposited cash in the amount of NPR 4.04 hundred thousand in
his and his wifeʼs bank account.
He purchased real estate worth more than 8.55 million rupees while he was a cabinet minister of thegovernment, and he purchased land worth NPR 53 million when he was a member of the parliament.
During the period of 7 years 10 months while he was in a public position, he deposited 8.755 million in
his and his wifeʼs bank account.
The CIAA filed a case against him and his wife before the Special Court claiming that he had earned NPR
20.8 million illegally, i.e. by corruption.
D. Judgement of the Special Court
After filing the case by the CIAA, the Special Court give its verdict on June 2007. The court decided that
he had total property of NPR 11.263 million, and he was found to have legal property of NPR 10.557 million.
The Special Court found only NPR 706,139 illegal. So the claim of the CIAA was not approved by Court. In
connection with the decision taken by the special court, the CIAA had appealed before the Supreme Court
disagreeing with the verdict of the Special Court.
E. Supreme Courtʼs Verdict
The Supreme Court pronounced its decision in March 2012. The Court held that under the Corruption
Prevention Act, the culprit earned unlawful property worth NPR 8.409 million which is unrealistic and illegal,
and the fact that the source could not be satisfied. The income claimed by the defendant did not appear to bereliable. The Court decided against him to be imprisoned for a term of one and half years and also imposed apenalty of NPR 8.409 million.
The decision of the Supreme Court seems to have raised serious questions on the decision of the special
court and ordered to take necessary action against the concerned Judges of the Special Court.
While being the final decision from the Supreme Court, the culprit was the incumbent Minister ofgovernment of Nepal. Even after he was found guilty of corruption by the Supreme Court of Nepal, his
political party had decided to continue him in his position as the president of his party. After the final decisionof the Supreme Court he claimed that he was being sentenced for his political activities and not for the crimes
he committed.
F. Conclusions
After the final verdict of the court, the culprit was sentenced to jail, his property earned by illegal sources
was confiscated and he had to pay a penalty. Thus, due to his involvement in corruption, an emerging politicalleader not only got punished but was also penalized such that he was ineligible for any public posts in the183

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future as per the existing law of Nepal9.

IX. THE WAY FORWARD
A. New Laws and Improvement in Existing Laws
New laws are necessary concerning whistle-blower and witness protection. Legal provisions are also
required for corruption control in the private and non-governmental sector. Not only to control corruption,
laws and policy regarding integrity development should also be made and enforced.
The property declaration system is mandatory under present law, but its effectiveness should be
reviewed. The present cabinet ministers declared their property, but it became spicy news in Nepali media
entitled “Poor ministers, rich wives10”.
B. Implementation of UNCAC
Nepal should take necessary arrangements to implement UNCAC and other international obligations.
C. Coordination and Collaboration
Effective coordination and cooperation among law enforcment and investigating agencies are necessary.
That is also essential for close collaboration and networking among civil society, media and individual
citizens. Information sharing systems among law enforcement agencies and financial information units is
another requirement to overcome present rampant corruption.
D. Human Resources Development
Manpower with high morale is an important factor for controlling corruption. Capable and smart humanresources with high integrity are required for investigation. The Commission should have a concrete plan andresources to develop the capacity of human resources.
E. Effective Investigation
Success in corruption cases depends on investigation. Investigation should be technology based andevidence based. Use of new technology and equipment in investigation makes better results. The Commission
should give more emphasis on the use of technology for effective investigation.
F. Emphasis on Promotional and Remedial Activities
The Commission should focus on promotional activities as well. Creating an atmosphere that stops
corrupt activities is more important than investigating, prosecuting and taking action. It is crucial eventhough it is not easy task. Awareness and civic education programmes should be conducted frequently.

X. CONCLUSION
Corruption is a social as well as a criminal offence. As mentioned in the preamble of UNCAC, corruption is
no longer a local matter, but a transnational phenomenon that affects all societies and economics. Anticorruption laws, institutions and policies have been set up to combat corruption, but it is increasing day byday.
Corruption in Nepal is rampant. Lack of political commitment and low priority, long transition period, lackof strong coordination mechanisms with stakeholders and lack of adequate awareness are some causes ofincreasing corruption in Nepal.
There is no single prescription to control corruption. Combating corruption is not possible in isolation andrequires a holistic approach. Focus on preventive as well as promotional measures along with punitive
measures should be adopted simultaneously to combat corruption. The criminal justice system regarding
References:
The Charge sheet filed by CIAA to the Special Court
The Final judgments by Supreme Court, www.supremecourt.gov.np/
http://www.nepalmonitor.com/2012/03/corruption_in_nepal_.html
10
myrepublica.nagariknetwork.com/news/poor-ministers-rich-wives
9

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corruption has to be strong and effective.
References:
The Constitution of Nepal,
The Prevention of Corruption Act, 2002 A.D
Commission for Investigation of Abuse of Authority Act, 1991
Institutional Strategy of the Commission for the Investigation of Abuse of Authority (2014-2019)
Developing Jurisprudence on Illicit Enrichment: Kumar Chudal http://nkcs.org.np/nja/elibrary/pages/view.
php
Corruption in Nepal: An Anthropological Inquiry Madhusudan Sharma Subedi Central Department of
Sociology/ Anthropology, Tribhuvan University Kirtipur. Nepal
TeknathDhakal and Ratna raj niroula, Prevalence of corruption and its challenge for improving governance in
Nepal.
United NationsConvention against Corruption, United Nations Office on Drugsand Crime, Vienna
NJA Law Journal, National Judicial Academy, Nepal, Different volumes
https://www.unodc.org/unodc/en/treaties/CAC/
http://www.lawcommission.gov.np/
https://myrepublica.nagariknetwork.com/news/poor-ministers-rich-wives/
https://www.transparency.org/
https://www.economist.com/graphic-detail/2018/02/22/ /corruption-is-still-rife-around-the-world
National Integrity System Assessment Nepal 2014, Transparency International Nepal

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MIGRATION IN NIGER: A NEW MATRIX FOR CORRUPTION
MOUSSA Sada＊

I. INTRODUCTION
Confronted by challenges such as food insecurity, war, school failure and poor governance, young people
see migration as the ultimate solution against poverty. Many leave their villages or countries to seek a better
future in order to help their families but also to emancipate themselves. This adventure is not easy. They
most often use the desert of Niger via several checkpoints where unfortunately they are taken advantage ofby some agents who are supposed to secure them. This form of extortion increases the rate of corruption in
our country.

II. CORRUPTION RELATED TO MIGRATION: A SCOURGE THATTHREATENS DEVELOPMENT
Corruption is currently considered as an obstacle to our development. This scourge has its causes andconsequences.
A. Causal Link between Migration, Poverty and Corruption
Migration is mainly caused by poverty. Other factors may contribute to increasing this phenomenon suchas alimentary insecurity, school failure, war. People who are candidates of migration in general come fromsome countries like Mali, Senegal, Gambia, Mauritania, Sudan, Cameroon, Nigeria, and Burkina Faso. They
decide to attempt their chance in order to succeed in their life.
On the path of migration, they are forced to corrupt the defence and security forces placed at the borders.
They have to offer the agent money to avoid delays and heavy administrative paperwork. Moreover, theresponsibility of the State can be emphasized. This responsibility is perceived through the question of
remuneration and staffing of screening officers. Indeed, the working conditions such as the material andfinancial constraints make difficult the accomplishment of the assigned missions. Low salaries can be a sourceof corruption that can lead the agent into deviant practices. The salary is rarely enough to cover the needs ofthe police officer; hence the permanent attempts of corruption. There is a link between the low income of thepolice officer, the strong social pressure he suffers and corruption. This social weight can be seen as theredistributive dimension of corruption. This whole situation is related to illicit enrichment, in which thelifestyle of the agent greatly exceeds his income. This constitutes the offence of unjust enrichment. This
increase in illegal income is the fruit of corruption.
B. The MeshThis migration involves many actors.
1. Police and Gendarmerie
Recent studies of corruption perception in Niger point to the responsibility of security services in corrupt
practices. According to the results of the International Transparency Investigation and recently the High
Authority for Combatting Corruption, the police and Gendarmerie are among the most corrupt public
services1. Many police officers were punished by their hierarchy for professional deviation. The police appear
as the central matrix of this corruption on the migratory path. The Gendarmerie is also cited as an actor of
corruption across border areas according to the narrative of migrants. However, Gendarmerie is less

Chief of Division, Direction of Criminal Affairs and Pardon, Ministry of Justice, Niger.
URBAMED Investigation, May 2018.

＊
1

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incriminated than the border police and still retains a certain ethics and deontology.
2. National Army
Among the migrants surveyed, 46% believe that they have been controlled by the military, particularly at
the check points located along the roads and especially in the desert. These controls are less violent and more
respectful of human rights. The army that previously was less indexed fell into the trap of corruption.
3. Smugglers, Carriers, Drivers: Actors of Circumstance
These people benefit more from the important migration industry, particularly in the region of Agadez,
which is the main transit zone for sub-Saharan migrants to the Maghreb and Europe.
The smugglers are real brokers of corruption. Most of the time, they are young and old people who on theborder, particularly in Agadez, ensure the passage of migrants to Algeria, Morocco and Europe. They ensure
the long-distance transfer of migrants by car.
Also, we have another category of traffickers essentially composed by motor drivers commonly called« kabou kabou ». They organize the small-scale passage by connecting border localities (Nigeria, Benin, Mali,
Burkina) to the border cities of Niger such as konni, petel kolé, Makalondi, zinder. It is a transport on small
distance (maximum 50 km).
Indeed in the region of Agadez, corruption begins at the entrance of the city. Migrants are welcomed bysmugglers. The smugglers negotiate the passage of each migrant to 13000FCFA. Migrants who do not havesmugglers at their arrival at the border are spoiled and sometimes searched by the police. However, thesesmugglers have seen their activity shrink sharply since the application of the law N°2015-036 on the
repression of the smuggling of migrants.
It should be noted that migrants are also actors of corruption. They prefer to pay money at checkpoints toavoid delays. In this case, without migrants there would be no corruption. These smugglers are for the mostpart unemployed and roam around the city in different bus stations to search for migrants. They are often
apprentice drivers working on their own. Over time, some bought their own cars to indulge in this activity.
In order to accomplish their project, migrants are ready to practice many forms of corruption. They
prefer to pay money at different checkpoints to avoid delays that may be caused by systematic searches oftransport vehicles. Most of the time, they are not in a regular situation because they do not have the required
travel documents.

III. FORMS OF CORRUPTION
In most cases, the police agent is passive. It is the migrant who makes the proposal of corruption. Thenthe migrant becomes an active briber and the controlling officer a passive corrupted. official Several types ofcorruption are detected in the field of migration. We can cite concussion, which is a crime close to corruption,
extortion, bribery, and at last illicit enrichment which is the result of corruption.
A. Concussion and Extortion
Our penal code punishes “concussion” in article 124. Any civil servant, officer, agent clerk or servant isliable to prosecution for having received, demanded or ordered to collect duties, taxes, contributions ormoney or wages and salaries that they knew were not due or exceeded the actual duty owed. Defence andsecurity forces subcontract state power for private purposes. This leads to the payment of undue costs thatare collected by these border defence and security forces. These fees are paid even being in a regularsituation. As a result, travel documents become irrelevant for migrants. This situation is an infringement ofarticle 39 of the Free Trade Agreement of the ECOWAS. From the establishment of the passport to thedeparture each candidate for migration can pay between 80 thousand FCFA to 100 thousand FCFA. Oncethey arrive in Niger these fees can double at least at the various checkpoints.
Extortion is the act of obtaining a sum of money from someone by force. This is also a corrupt practice.
According to a migrant, the police pick up the identity cards or passports and the migrants enter one by one
into the office to pay amounts between 1000 FCFA to 10.000 FCFA.
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B. Bribery
This offence mentioned in article 132 of our penal code is treated as corruption. It is the act of promising,offering or giving to a public official or any other person directly or indirectly an undue advantage so that theagent or person may abuse his actual or supposed influence. In this case, as the borders are considered aslucrative posts, the procedure is for a public official to solicit directly or indirectly the favours of the hierarchy
for an assignment. The agent comes inside of the heart of the basic system of corruption based on
favouritism. So to be posted as the police officer at the border, you have to know someone or give something.
Normally the transfer to a border post lasts 3 years but people can stay there for 7 years without being
affected2.

IV. CONSEQUENCES
The phenomenon of migration in connection with corruption today has huge consequences both on thelegacy we have to leave to our children and on the security of our countries.
A. Heavy Legacy for the Future Generation
The development of corruption on a large scale can have serious repercussions on posterity. The future
generation will grow with the seeds of corruption. Our children will be affected and will internalize and adopt
these negative and unworthy behaviours. The pillars of integrity will be replaced by immorality. A worthlesssociety is doomed to disintegrate. This may create a state of nature where the reason of the strongest isalways the best.
B. Threat to the Security of Our Countries
Corruption promotes illegal migration. In addition, a good part of the resources to be returned to the Statetakes a personal destination. This is a shortfall for the public treasury. This loss of income in corruption
related to transactions along borders and road corridors reduces public investment, particularly in the area ofaccess to basic social services. Corrupt practices in border areas reinforce insecurity with the absence ofserious control of migratory flows. This situation fosters the entry and stay of undesirable migrants who may
be linked to armed or terrorist groups. We have no idea about the profile of people entering who can bebandits or criminals. Corruption promotes migratory flows and impacts on regional security. Members ofterrorist networks can easily pass control points.

V. ANTI-CORRUPTION TOOLS
A. Legal Arsenal
1. Universal Legislation
The United Nations have adopted several instruments to fight corruption and regulate internationalmigration.
United Nations Convention against Corruption or Merida Convention of October 31, 2003;
Convention on the Protection of All Migrant Workers and Members of Their Families of 18
December 1990, entered into force on 1 July 2003;
United Nations Convention against Transnational Organized Crime, known as Palermo Convention,
adopted on November 15, 2000, entered into force on September 29, 2003.
2. Regional and Sub-Regional Legal Instruments
Inter-American Convention against corruption signed in Caracas on March 29, 1996 and entered into
force March 6, 1997;
Criminal Law Convention on corruption adopted by the Council of Europe on 27 January 1999;
Civil Law Convention on corruption adopted by the Council of Europe on 4 November 1999;
OECD Convention on Bribery of Foreign Public Officials in International Business Transactions of
17 December 1997;
African Union Convention on Preventing and Combating Corruption of 11 July 2003.

2

Provisional Report on the link between corruption and migration, May 2018.

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3. Internal Legal Corpus
Constitution of 25 November 2010;
Pénal Code and Penal Code of Procedure, January 2018;
Code of the public markets;
Law number 2016-44 of 06 December 2016 establishing, missions, attributions, composition,organization and operation of the high authority to fight against corruption and related offences.
B. Anti-Corruption Organs
In Niger, several anti-corruption organs have emerged. Institutional and non-institutional actors work tofight against corruption and regulate international migration.
1. High Authority for Combating Corruption and Related Crimes (HALCIA) and National Anti-Corruption
Strategy (SNLC)The High Authority for Combating Corruption and Related Crimes, known as HALCIA, is a permanentorgan attached to the Presidency of the Republic, whose main mission is the prevention and fight against
corruption and related offences. It was created by decree number 2011 of July 26 and its mission is to monitor
and evaluate the anti-corruption programme. It is responsible in relation with the other actors to design,develop, implement and monitor the national strategy as well as an action plan. This structure has spurred
the adoption process of the national anti-corruption strategy (SNLC), which is the reference document for theprevention and fight against corruption. This structure has powers to investigate all cases of corruption
throughout the country.
2. National Financial Information Processing Unit (CENTIF)
The unit existed since 14 September 2004. It is under the authority of the Ministry of Finance. It handles
reports of suspicions. It can directly transmit the case to the Prosecutorʼs office if the facts are likely toconstitute money laundering or the financing of terrorism.
3. Green Line and Information Claim Office
In the context of corruption Nigeriens can call 08 00 11 11 at any time and lodge their complaint.
This number is nominated Green Line. It is a tool for controlling the management of someadministrations and play the role of alert. Complaints and denunciations are recorded andprosecuted if founded.
The Information Claim Office fights against corruption in the judicial sector at the beginning. Over
time the mission of this office was extended to five ministries, namely justice, national education,scientific research, economy and finance, and public health. It offers to citizens several types ofservices. Its purpose is to provide to people with all possibility useful information on all acts done inthese administrations including the nature of the acts, their costs, the procedure to follow, the placeof deposit or withdrawal of the act, the processing time of each service. Now it becomes aninstrument to help denounce corruption.
4. General Inspection of the Security Services
It includes the inspections of the National Police, the National Guard and the Civil Protection. Its main
purpose is the administrative and disciplinary control of these services and their activities. It was created bydecree in 2011 revised by the decree of 16 June 2017. It includes three operational components: the threeinspections of the security services, the division of disciplinary investigations, studies, audits and pedagogicalcontrol and the division of judicial investigations and body constraints. It also has the power to terminate thefunctions of the incriminated agent without prejudice to criminal sanctions. General inspection had 21 cases
related to ethical and deontological breaches. Among these cases six have been brought to justice.
5. The National Coordinating Committee Against Trafficking In Persons and Its Action Plan
Under the authority of the Ministry of Justice, the committee is the driving force for design anddevelopment of policies and strategies for combating human trafficking and the smuggling of migrants. The
operational arm of the committee is the National Agency for combating human trafficking. It is therefore
responsible for implementing the Committeeʼs strategies and action plan. It is also responsible for developing
and undertaking awareness and education actions to prevent and reduce human trafficking.

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6. Civil Society
Civil society is very active in the fight against corruption:
Human rights organizations
Organizations and journalistsʼ associations. These organizations include the Nigerien network ofjournalists for integrity and transparency and the Nigerien association of anti-corruption journalists
7. Judicial Pole Specialized in Economic and Financial Matters
It was created in 2015 by law Num 2015-02 of 13 January. The judicial pole is competent for theinvestigation, prosecution and adjudication of offences of economic and financial aspects which are or appear
to be highly complex, including the large number of perpetrators, accomplices or victims, the importance ofharm, etc. These offences are:Corruption;
Misappropriation of public funds and goods;
Subtraction of public or private money, effects or objects perpetrated by public depositaries or
accountants;
Illicit enrichment;
Money laundering;
Bribery and trading in influence;
Fake cash;
Scams;
The abuse of social goods;
Breach of faith;
Fiscal and customs offences (fraud, smuggling, tax evasion);
Bankruptcy and related offences;
Offences related to the use of the check;
Offences related to bank cards and other instruments and processes electronic payment;
The interference of officials;
Infraction of the freedom and equality of candidates in public market and public service delegations.

VI. DIFFICULTIES IDENTIFIED IN THE FIGHT AND POSSIBLE SOLUTIONSIn this struggle, it is necessary to point out some difficulties and inadequacies and try to find them possible
solutions.
A. Difficulties
The fight against corruption meets some difficulties among which we can cite:
1. Weak Denunciation
There is very often a lack of complaint because corruption remains the domain of silence by excellence.
Despite immense efforts done by the government to expand its legal and institutional framework for the fightagainst corruption and related offences, a number of limitations exist. The criminal code which penalizes boththe briber and the corrupted thus limits the possibilities of denunciation but also the collaboration of thevictims or perpetrators. To avoid this problem, it was necessary to grant a derogation to the briber tofacilitate the denunciation. The lack of promotion and popularization of the texts contributes to theenfeeblement in the fight against corruption. This opens the way to misunderstandings and manipulations by
the actors. The problem of coordination between the defence and security forces who arrest and the judicial
police who accomplish the proceedings.
2. Weak Political Will
The political will at this level is faltering. The authorities want both a thing and its opposite. Most often in
an indirect way we can note a laxity coming from the public powers. They hesitate to engage the prosecution
against some agents because of their social or political rank.
3. Low Penalty
Even if corruption happens, people rarely denounce it. These cases undergo slight treatment because of
the difficulty to show evidence. For the Nigerien context it is inconceivable that the briber comes to denounce
the corrupt.
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B. Legislative Reform and Technical Assistance
These shortcomings deserve to be corrected for a better fight in accordance with international legal
instruments.
1. Legislative Reform
There is a need to review our texts and harmonize them with international legal instruments alreadyadopted. For this reform, the government must involve all the actors concerned by this question. The
following reforms will strengthen anti-corruption measures in Niger:
Adopt adequate measures to allow confiscation of corruption offences and extend the scope of thesemeasures beyond money laundering. Specify the competent authority for the administration ofproperty;
Adopt the necessary measures to ensure protection against any unjustified treatment of any person
who denounces corruption;
Adopt appropriate measures to ensure the effective protection of witnesses, experts and victims;
Take the necessary measures to lift bank secrecy for corruption offences3.
2. Need of Technical AssistanceIn order to improve its anti-corruption arsenal, Niger wishes for better compliance with the UN
conventions and technical assistance by elaboration of an action plan for their internal application:
Anti-corruption experts;
Cooperation with detection and repression services of foreign countries;
Cooperation between national authorities and the private sector;
Finance specialists;
Formation of all actors involved;
Bureaucratic means;
Conclude bilateral or multilateral agreements or arrangements to establish joint investigations.

VII. CONCLUSION
The phenomenon of migration related to corruption is complex and mobilizes actors whose posture andposition may vary according to the issues and opportunities. This complexity is reinforced by the fact that theguilty parties are important actors in the fight against corruption. In view of these mentioned difficulties
above, the establishment of operating synergies is essential to solve the challenge. And that goes through thenecessary legislative reforms and technical assistance.

All these measures come from the review report by Mauritius and the Russian Federation of the application by Niger of theUnited Nations Convention against Corruption for the 2010-2015 Cycle
3

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COMBATING CORRUPTION THROUGH EFFECTIVE CRIMINALJUSTICE PRACTICES, INTERNATIONAL COOPERATION ANDENGAGEMENT OF CIVIL SOCIETY IN TIMOR-LESTE
Henrique Lopes Soares＊

I. INTRODUCTION
Corruption is known as a disease that undermines all aspects of human life (socioeconomic) and destroys
the development process of the state (law and democracy). And also corruption has become a global problem,
because it happens in all countries in the world. So combating and fighting corruption is the responsibility ofall people, not only a group or an institution.
Based on the fight against corruption, through this paper, I will share how to combat and prevent
corruption in Timor-Leste (TL), with the topic “Combating Corruption through Effective Criminal Justice
Practices, International Cooperation and Engagement of Civil Society In the Context of Timor-Leste”.
I will divide the paper into four parts: First, the National Strategy of combating corruption. Second, AntiCorruption Commission (ACC) Responsibilities. Third, how Timor-Leste takes part in cooperatinginternationally to combating corruption, and Fourth, prevention methodology to engage the public to prevent
corruption in Timor-Leste. And last, I will share some challenges that the ACC faced, by sharing thechallenges we experienced with the aim of getting feedback from other participantsʼ experiences in dealing
with combating corruption in their countries.
A. The National Strategy of Anti-Corruption
Since Timor-Lesteʼs independence in 2002, there has been increasing apprehension about corruption. The
public has been very critical about this perceived rise in corruption. There are several main institutions thatshare the mandate of combating corruption. These can be divided into two categories, namely, independent
state bodies and executive bodies. Prior to the ACCʼs establishment, several institutions, such as theInspector General (OIG), were tasked with inspecting, auditing and investigation of disciplinary andadministrative matters (established by UNTAET in 2002). In May 2004, based on the National Constitution
article 27, the Government-established Office of Provedor for Human Rights and Justice/PDHJ (Ombudsman)was mandated with good governance, human rights and anti-corruption.
In 2008 the National Parliament of the Democratic Republic of Timor-Leste ratified the United Nations
Convention against Corruption (UNCAC). In 2009, Law No. 8/2009 created the Anti-Corruption Commission(ACC) and assigned it an expanded mandate on preventing and fighting corruption. When the ACC wasestablished, the responsibilities and functions of PDHJ regarding anti-corruption were transferred to theACC. And the ACC has been officially handling its work since the National Parliament elected the first
Commissioner in 22 February 2010. In 2011 Law no 17/2011 created the Financial Information Unit under theCentral Bank, which has some role in preventing corruption, especially in relation to the issue of money
laundering. And in July 2011 the National Parliament established an Audit Court; it is an important institution
with an auditing function to oversee state expenses in particular. And in 2014 by the Decree Law no. 15/2014,
the ministry of Justice created the Scientific Police of Criminal Investigation (PSIC), to prevent and combat
organized crime, money laundering and drugs.
B. Establishment of the Anti-Corruption Commission of Timor-Leste
According to the law that established the ACC, law no. 8/2009, the Commission is given the status of an
independent, specialized criminal police body with technical independence and administrative and financial
autonomy. Based to article 4 law no. 8/2009, the mission of the ACC is to undertake preventive action and＊Prevention Specialist, Anti-Corruption Commission, Timor-Leste.

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criminal investigation action against corruption in any of its forms, such as embezzlement, abuse of power,
trading of influence and financial participation in public affairs, as defined by penal legislation. In article 5 the
ACC has the power of criminal prevention and investigation. In terms of criminal prevention, the Commission
has the power to: a) Gather and analyse information on the causes and the prevention of corruption. b).
Undertake awareness, limited, and motivating public to prevent corruption. c) Advise any institution or publicauthority on the way to prevent and fight against corruption.
In terms of criminal investigation, the commission has the power to exercise the duties assigned under theterms of the law to the criminal police bodies, notably, a). to conduct the inquiry or practice acts of inquiry
delegated to it by the Public Prosecutorʼs Office, b). to gather news of crime, c). to discover those agents
responsible for practicing criminal acts, d). to proceed to the identification and detention of people, e). to makethe necessary notification by itself or by resorting to another police authority, f). to conduct interrogations
within the scope of the investigation and other investigative measures necessary for the performance of theirduties, g). to conduct searches and body searches, to seize objects and documents, h). to stand on watch, i). tointercept and record conversations or telephone calls, with a court order, j). to examine books, documents,
records, archives and other pertinent elements in the possession of the entities which are under investigation,
as well other pending offences, k). to draw up expert reports, take measurements and gather samples forlaboratory exams and to seal off premises.
In terms of criminal investigation, the Commission may also suggest to the public prosecutors that
precautionary measures be adopted under the terms of the applicable penal procedural legislation, notably:that an order be made to freeze bank accounts when there are strong indications that they contain funds
resulting from crimes as set out in article 4, and that an order be made that any assets in the possession,custody or control of a person are not to be used. Acts carried out by the Commission without a court orderfrom the competent judicial authorities, under the terms set out in the law, shall be validated by thecompetent judicial authority within a maximum time limit of 72 hours, under penalty of it being rendered nulland void and the validation shall be requested with urgency by the Public Prosecutorʼs Office.
The regime of protection of investigation secrecy set out in criminal procedural law shall govern theinvestigation and inquiries under the responsibility of the Commission (article 14), the documents, informationand evidence gathered by the Commission shall be confidential until the trial in accordance with the regimeof secrecy established by law.
Without prejudice to the overall rule of confidentiality established by law, the Commission may, before,
during or after the investigation of a matter, transmit any matter for investigation or other action to the
Attorney General or other legally competent authority; also the Commissioner may request information andreports from any authority, vis-á-vis matters concerning the corresponding activity.
Any investigation conducted by the ACC must first obtain permission from the Public Prosecutorʼs Office,because the prosecutor has the power under article 132, paragraph 1 Constitutional law Timor-Leste, andregulated in article 48 of Decree Law no.13/2005 particular criminal procedural law of Timor-Leste, which
explains that the prosecutor is the holder of a criminal case, and here, the prosecutor must cooperate with thecourt to discover the truth and should be based on the law and the objective in any action by any process.
C. International Cooperation
To combat and prevent corruption, Timor-Leste has ratified and become a state party to UNCAC in 2008.
Based on the International Cooperation framework is established by the Constitution and the Law no.
15/2011 on International Judicial Cooperation in Criminal Matters. The Penal Code and the Criminal
Procedure Code also contain provisions applicable to international cooperation.
Extradition (articles 44, 45, 47): Timor-Leste is a party to the extradition convention among the Portuguese
Speaking Countries. Timor-Leste has not concluded any bilateral extradition agreements. According to theConstitution and Law No. 15/2011, the convention could be used as the legal basis for extradition by TimorLeste on the condition of reciprocity.
Mutual legal assistance (article 46): Timor-Leste has not concluded a bilateral agreement on mutual legal
assistance. Under Law no. 15/2011, Timor-Leste may give and ask for assistance, including search for and
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seizure of objects or property, persons in transit, warrant service and to interview the suspect, the accused
person, witness or expert, the procurement of evidence, notice of the action and service of document, andcommunication of information about the law or the laws the foreign Timor, as well as the communication of
information relating to judicial record of the suspect, accused or convicted.
Law enforcement cooperation (based on articles 48, 49 50): The police have cooperated with other police
forces of the region, either directly or through the Interpol network, both spontaneously and upon request,
only regarding organized crime matters. Cooperation included the establishment of joint investigation teams
and transmission of information which may be useful for foreign police forces. Special investigativetechniques may be used by the police, ACC and the future Financial Intelligence Unit (FIU) if allowed by acourt decision.
In terms of capacity-building in the area of prevention and investigation of corruption, the ACC also hasmade MOUs with other countries and international agencies, such as: KPK Indonesia, CPIB Singapore, ICAC
Hong Kong, MACC Malaysia, ILEA Thailand, UNDP, UNOCD, GIZ, JICA, COICA etc.
D. Engagement and Public AwarenessIn this part, as an officer of prevention in the ACC, I will share about how the ACC takes action to engage
and raise public awareness to prevent corruption. Based on the ACCʼs Organization Chart, there are three
Units under the Directorate of Public Awareness and Prevention. The Units are the Studies and Risk
Assessment Unit, the Inspection and Monitoring Units, and the Promotion of Values and Integrity Unit.
Based on the decree law no. 23/2015 about the ACC Organic Structure, the Units have the responsibilities
such as: a). Identify and classify the factors that favour of corruption in the public administration and private
sector, b). Carry out awareness-raising actions aimed at prevention of corruption and related crimes, c).
Adoption and dissemination of good transparency and visibility in administrative and financial decentralization, as well as in public procedures, with special supply of goods or public rights, in the purchase and sale ofsubsidies and other financial support, d). Production of thematic programmes and campaigns in collaboration
with the media in dissemination of the fight against corruption, e). To develop within the scope of theattribution of the ACC measures to prevent corruption and related crimes in the public and private sectors.
Based on the responsibilities mentioned above, there are some best practices of prevention that were
implemented since the ACC was established.
1. Supervise the private sector using the state budget to implement development projects. There isalways work to see the implementation of the construction process. Provide input to the private sector
about how to do a good construction process and to prevent corruption during implementation of theconstruction process.
2. Inspection and monitoring of public property, public projects run by the private sector / companies.
The aim is to protect public property and avoid fraud in construction.
3. Raising public awareness through socializing the anti-corruption value to: public servants, community
leaders, political parties, veterans, youth, women, students (primary school-university).
4. Join with the State Secretary of Communication to share the ACC programme and anti-corruption
values to the public through Radio and TV.
5. Join with the NGO (CEPAD) to enhance the capacity of the media to share information about
preventing corruption to the public about corruption cases.
6. Monitoring political parties in election campaigns to prevent money politics and misuse of public
property.
7. Studies and risk evaluation about the lack of laws and make recommendations to the competent organ
to change laws that allow or give opportunity to corruption.
8. Survey public subsidies offered by the government to measure the advantages to groups or society.
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II. THE CHALLENGES THAT THE ACC FACED
1. The ACC has no anti-corruption and asset recovery law;
2. Lack of human resources, especially existence of IT experts in the Commission to do searches
regarding criminal activity (Including Corruption); this is to trace the communication that had been
done between criminals through email, and to check equipment whenever conducing an investigation;
3. The lack of specialized resources to detect fraud in procurement and construction;
4. The ACC also has limitations such as: budget for operations (observation, surveillance)and limited operations equipment (for example, wiretapping).

III. CONCLUSION
The people of Timor-Leste perceive there to be a high occurrence of corruption in their country. This
perception has given rise to some common expression associated with growing allegations of corruption. All
these expressions reflect a subtle consciousness of corruption shard by all sides, namely by potential
contractors, the general public and public officers. Therefore, to combat corruption effectively in TimorLeste, we need to strengthen law enforcement and all institutions that have the responsibility against
corruption, to cooperate with other countries and effective engagement of public awareness in fighting andpreventing corruption.
References
Law No. 8/2009, Law on Establishment of Anti-Corruption Commission.
Timor-Leste Penal Code and Procedure penal Code.
Constitution of the Democratic Republic of Timor-Leste.
Law No.15/2011, Judicial International Cooperation.
Law No.17/2011, Law of Preventing and combating money laundering.
Decree law No.15/2014, Approved the Scientific Police of Criminal Investigation.

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MUTUAL LEGAL ASSISTANCE WITHIN THE INVESTIGATION OF
CRIMINAL CORRUPTION OFFENCES
Anna Dzhavaha＊

I. SPECIFIC CORRUPTION OFFENCES
Nowadays, the problem of corruption has become time-sensitive and inevitable. Such negative
phenomenon as corruption destroys sustainability of the State by raising the lack of confidence of the society
in the state authorities, reducing public activity in political and social life, and leads to diminishing of the ruleof law and the law in general.
Therefore, detection and demolishing of corruption crimes are issues of a great importance. However,corruption crimes are relatively close to economy and finance, which makes them quite complicated. Also,
one of the difficulties is that corruption is not bound by the boundaries of only one country. It actually has its
own space and spreads far abroad. As a result, in high-profile corruption cases it is nearly impossible togather evidence without using the tools of mutual legal assistance. That is why the detectives of the National
Anti-Corruption Bureau of Ukraine (hereinafter ̶ the NABU) often have to seek assistance and advice fromforeign colleagues.
For example, in order to find out circumstances of crimes the NABU needs information about the final
beneficiaries of foreign companies involved in corruption schemes, the use of money on accounts of foreignbusiness entities and the facts of possible money laundering. Sometimes investigations require conducting
procedural actions with citizens of other states. All this is achieved through the mechanism of international
legal assistance.
At the same time, it is a well-known fact that mutual legal assistance is a cooperation process of a long
duration, but for proper and accurate investigation we should be as quick as possible, sometimes even faster.
In such a manner I am going to cover some problematic issues frequently arising within mutual legal
assistance and provide some examples of successful and fruitful international cooperation.
A. High-Profile Investigations
The NABUʼs investigations turned out to be a series of resonant events ̶ detentions, notices of suspicion,large-scale corruption schemes exposing and unusual court hearings. And now we are going to talk about twoof the biggest corruption cases which were under investigation of the NABU.
1. The Martynenko CaseAt the beginning of December 2015, the investigation into embezzlement of funds of the state enterprisein the energy complex named «Energoatom» worth EUR 6.4 million was launched. Within the case NABUʼs
detectives were examining the facts of acceptance by officials of the Energoatom of an improper advantage
during public procurement procedures. The investigation revealed that the state enterprise suffered losses ofmore than 6. 4 million EUR for overpayment for the equipment purchased from the Czech joint-stockcompany “Škoda JS”. However, to prove this by appropriate evidence and seek all persons alleged for thecommitment of crime it was crucial to gain the registration documents of Škoda JS, commercial documents
regarding the purchase of the equipment, information that showed the money flows and contained the banksecrecy etc. But all mentioned documents and information were in possession of foreign companies andauthorities. As a result, it was important to carry out the procedural actions in the territory of a foreigncountry, so the first MLA request was drafted and sent to the competent authorities of the United Kingdom.

＊

Chief Specialist-Legal Counsel, International Law Division/Legal Department, National Anti-Corruption Bureau, Ukraine.

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Lately the bank information was received and it became clear that money had been transferred to several
other accounts in different banks in different countries. Also, received information showed the other foreigncompanies which were involved in the corrupt scheme, so new MLA requests were sent to the competentauthorities of the Republic of Latvia, Switzerland and Czech Republic.
Due to the MLA requests NABU got information that after receiving the funds according to agreementswith the SE «NNEGC» «Energoatom», Škoda JS transferred 6.4 million EUR to the account of BRADCREST
INVESTMENT S.A. (Panama Republic), owned by the former MP. Therefore, the other MLA request wassent and consequently the funds in the amount of 86.4 million UAH (3.2 million Swiss francs) were seized at
the account of the abovementioned company at a Swiss bank.
(i) Parallel Investigation
Moreover, under the international cooperation it turned out that law enforcement authorities of
Switzerland and Czech Republic conducted the pre-trial investigations in related matters. When it was
discovered, on the initiative of a Czech representative at Eurojust that a decision was made to organize
several meetings at Eurojust with representatives of Swiss, Czech and Ukrainian law enforcement agencies
which were conducting relative investigations. During the meetings investigators shared information, made aplan about further investigative actions in their parallel investigations and outlined what information they
could share with each other on the basis of MLA requests to get all necessary, appropriate and admissible
evidence.
Furthermore, the pre-trial investigation into the facts of 17. 28 million USD embezzlement of the SE
Eastern Mining and Processing Plant was started in December 2015. In this case several MLA requests weresent to the foreign competent authorities as well. And when some of them were satisfied and NABU got theexecution materials in late April 2017, the detectives of the NABU under the procedural guidance of the anticorruption prosecutors gave a notice of suspicion to the former MP for allegedly committing crimes underPart 1 Article 255 (Creation of a criminal organization), Part 5 Article 191 (Misappropriation, embezzlement
or conversion of property by abuse of official post) of the Criminal Code of Ukraine.
In November 2017, the prosecutor of the Specialized Anti-Corruption Prosecutorʼs Office (hereinafter ̶
the SAPO) decided to join two criminal proceedings. In terms of the unified proceeding 11 persons were given
notices of suspicion, 5 of them were put on the wanted list.
On January 9, 2018, according to the order of the prosecutor of the SAPO the detectives of the NABU
provided the former Member of Parliament (also known as the Former Head of the Verkhovna Rada
Committee on Fuel and Energy Complex) and his defence with access to the documents of the pre-trial
investigation of the criminal proceeding as of the facts of funds embezzlement of the State Enterprise (SE)
Eastern Mining and Processing Plant and the SE «National Nuclear Energy Generating Company«Energoatom».
The former Member of Parliament is suspected of committing crimes qualified under:- Part 3 Article 27, Part 5 Article 191 of the Criminal Code of Ukraine (CCU) (Organization ofembezzlement of property by abuse of official post committed in especially gross amount);- Part 1 Article 255 of CCU (Creation of a criminal organization for the purpose of committing a graveor special grave offense, and also leadership or participation in such organization, or participation of
offenses committed by such organization);- Part 3 Article 27, Part 4 Article 28, Part 5 Article 191 of the CCU (Organization of embezzlement ofproperty by abuse of official post committed in especially gross amount);- Part 3 Article 27, Part 4 Article 28, Part 3 Article 209 of the CCU (Organization of legalization(laundering) proceeds of crime).
In addition, among other suspects there are executives of the SE Eastern Mining and Processing Plant,
State Concern Nuclear Fuel, National Joint Stock Company Naftogaz of Ukraine, Public Joint-Stock Company
United Mining and Chemical Company and structural unit of the SE NNEGC «Energoatom».
Finally, after 5 months of becoming acquainted with the suspects and the defence with the documents ofthe pre-trial investigation, the detectives of the NABU completed investigation of the embezzlement of the197

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funds of the (SE) Eastern Mining and Processing Plant and the «National Nuclear Energy Generating
Company «Energoatom». As a result, they handed over the indictment to the former Member of Parliamentand other suspects. On May 22, 2018, the prosecutors of the SAPO sent the indictment to court.
To summarize the abovementioned during the preliminary investigation of the case 54 MLA requests
were sent to more than 10 foreign competent authorities (United Kingdom, Switzerland, Austria, Latvia,
Lithuania, Czech Republic, Cyprus, Kazakhstan, Italy, Greece, Panama and even Singapore). It is the biggest
corruption case where so many MLA requests were sent and so many foreign jurisdictions were involved.
2. The Amber CaseIn early 2016, the NABU conducted a study to determine the most “corrupt spheres” of the economy. Oneof such spheres appeared to be the illegal amber business in the Rivnenska, Zhytomyrska and Volynska
regions. Based on the gathered information, acting in accordance with the Law of Ukraine “On Operationaland Investigative Activity”, in November 2016 the NABU started a special operation undercover. The “ambercase” became the first one in Ukrainian history in the set of anti-corruption special operations of this level.
(i) Undercover operation
The NABU detectives prepared an undercover operation in cooperation with the Federal Bureau of
Investigation of the United States, which has many years of experience in conducting such actions. In the fallof 2016, a special agent of the NABU, under the pretense of a representative of a foreign company interested
in investing in the organization of extraction and export of amber, began to establish contacts with somestakeholders. According to rumor, the company was ready to invest in Ukraine, but demanded the changes in
the legal regulation of the extraction and export of amber. Further the agent-entrepreneur received
corresponding offers along with the “price list” for services: a total of 15,000 USD. The agent passed thesefunds to MP Maksym Poliakovʼs assistant and the security guard of the MP Boryslav Rosenblat. Both MPs
initiated the changes to the Tax and Customs Codes of Ukraine regarding the taxation of amber extraction
activities and the import of digging equipment. According to the investigation when it became clear that the
adoption of changes “are stuck”, the MP Boryslav Rosenblat offered, on his own initiative, plan “B”: toestablish a company in Ukraine to extract amber in the territory of Zhytomyrska region through PJSC “State
Joint-Stock Company Ukrainian Polymetals” (a subsidiary of Ukrburshtyn State Enterprise). Implementationof this plan would require a number of approvals by officials of the State Geological Cadastre, the State
Service of Geology and Subsoil of Ukraine, the State Forestry Agency, local authorities, the prosecutorʼs officeand the court. In general it touched the abolition of special permits for the use of subsoil, issued to a numberof private companies that have already worked on the areas that, according to the MP, should have beentransferred to a foreign company he promoted. Having no idea of the special operation, the MP even sent a
letter to the NABU with a request to find out how private companies have got permits for the use of subsoil.
In six months it turned out that the plan could not be realized and Boryslav Rosenblat suggested anotheroption ̶ to buy a 30 hectares land plot for digging amber in the Zhytomyrska region. As before, the MP
promised to solve all bureaucratic issues. He appraised this as a “turnkey” project at 200-250 thousand USD.
In parallel, a person affiliated with Rosenblat offered an agent to export about 100 kg of amber, which has
already been extracted in an illegal manner. Subsequently, the detectives seized this “trial” lot during
searches.
In general, within the operation the undercover agent met with the suspects in the case more than 60
times and made over 50 phone calls. The NABU detectives have obtained over 50 court permissions forundercover investigative actions within the proceeding. According to the disclosed materials of investigation,
the positive solving of the issues required financial incentives, as the MP informed the agent during meetings.
According to him, the agent should always have about 100,000 USD at hand It is important to note that theagent have never offered any “encouragement” ̶ in all cases it was the initiative of the MPs.
On June 19, 2017, at a meeting in a restaurant the security guard of Boryslav Rosenblat was detained at
the time when the NABU agent handed him 200,000 USD. On the same day, the assistant of the MP Poliakov
was detained (she, according to the detectivesʼ investigation also played the intermediary role in the funds
transfer to her boss, and to several other persons). As of now the investigation has established eight personsʼinvolvement in committing a crime. On June 20, six of them were given a notice of suspicion. They are two
guards, two MPʼs assistants, a lawyer and a representative of the parliament association “Parliamentary
Control”. Two suspects were placed under house arrest. Another two have been released on insignificant bail.
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The most controversial issue was the abolition of parliamentary immunity of key figures ̶ the MPs
Maksym Poliakov and Boryslav Rosenblat. On June 21, 2017, the Prosecutor General of Ukraine submitted to
the Verkhovna Rada an appeal for permission to prosecute, detain and arrest “key figures” of the amber case.
On July 6-7, at the meeting of the Verkhovna Radaʼ Rules Committee, the MPs and the public watched adocumentary film, made of videos recorded by the undercover agent during the investigative actions.
On July 11, the Verkhovna Rada voted for bringing Maksym Poliakov and Boryslav Rosenblat to justice,
but did not consent to their arrest and detention. On July 12, the Prosecutor General of Ukraine gave noticesof suspicion to Boryslav Rosenblat for allegedly committing a crime under Part 4 of Art. 368 of the Criminal
Code of Ukraine («Accepting an offer, promise or receiving an illegal advantage by an official»), Part 2 of Art.
369-2 (“Trading in influence”), and to Maksym Poliakov for allegedly obtaining illegal advantages (Part 4 of Ar.
368 of the Criminal Code of Ukraine). On July 18, Solomyansky District Court of Kyiv chose a preventive
measure in the form of 7 million UAH bail for Boryslav Rosenblat and imposed on him an obligation to wear
an electronic monitoring device. On July 21, the court chose a preventive measure in the form of 304,000 UAH
for the MP Maksym Poliakov and imposed on him an obligation to wear an electronic monitoring device andsurrender his foreign passports. The detectives of the NABU under the procedural guidance of theprosecutors of the SAPO completed a pre-trial investigation of the criminal proceeding as to the facts ofreceiving an improper advantage for the assistance to a foreign company in the realization of amber mining
in Ukraine (the so-called «amber case»). On February 15, 2018, 6 suspects (including 2 Members of
Parliament) and the defence had been granted access to the documents of the pre-trial investigation.
As we see from the abovementioned examples in NABUʼs high-profile investigations international
cooperation are frequently used. In spite of the effectiveness of international cooperation there are still someissues which arise during preparation and execution of MLA requests.

II. ISSUES CONCERNING MUTUAL LEGAL ASSISTANCE
A. Temporary Access to Objects and Documents
1. Bank Secrecy
As it has been noted earlier, during the implementation of corruption schemes monetary funds and/or
other proceeds of crime with the purpose of laundering are transferred abroad. In this connection, at thestage of pre-trial investigation it is necessary to conduct investigative actions in foreign countries wherebanking institutions attending relevant companies or public officials of state authorities are located.
The only basis for obtaining confidential banking information (cash flow on accounts, banking materials,etc.) is the existence of court permission (court ruling). So, while addressing the competent authorities offoreign countries in the framework of pre-trial investigation with request for mutual legal assistance incriminal matters related to execution of the temporary access to objects and documents, it is also necessary
to obtain court permission (investigating judgeʼs ruling).
Meanwhile, in practice, there is a question regarding the procedure of implementation of suchinvestigative actions as temporary access to objects and documents in the context of international
cooperation because the said question is regulated by the national legislation of Ukraine without taking into
account peculiarities of the investigation in the framework of international cooperation. Thus, in Part 2 ofArticle 562 of the CPC of Ukraine it is indicated that it is required to obtain a Ukrainian courtʼs permission for
temporary access in foreign countries but neither the procedure for obtaining such permission nor its validity
are set by the act. Thus, the order of obtaining court permission and the term of its validity are equally
stipulated by the current CPC of Ukraine either for implementation of the mentioned action on the territoryof Ukraine, or for its implementation abroad in the course of international cooperation.
In particular, when engaging in international cooperation in criminal matters, namely when temporary
access to objects and documents constituting bank secrecy is required, the detective in accordance with theCriminal Procedural Code of Ukraine applies to the court with an appropriate request in which he indicatesthat the mentioned actions are requested in the framework of mutual legal assistance and refers to relevantinternational treaties.
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obligatorily indicating, among others, the term of validity, which may not exceed one month from the date ofissuance.
As it has been mentioned, by the provision of the CPC of Ukraine it is stipulated that the term of validityof the ruling may not exceed one month. However, according to specialized regulations of the criminal
procedural law in the sphere of international cooperation, there are no exceptions to this rule. In practicethere are few cases when problems arise when it comes to implementation of temporary access to objects
and documents constituting bank secrecy in foreign states.
For example, during the pre-trial investigation of the criminal proceedings for use of authority by officialsof the central executive authorities with application of corruption schemes during open tender procurement
for purchase of goods, it has become necessary to obtain access to information from banks located outside
Ukraine. In this case, the detective of the NABU prepares a request to the competent authority of the State toprovide international legal assistance in criminal proceedings. Along with the request, a full package of
documents is prepared including the duly attached certified copy of the investigating judgeʼs ruling on
permission to conduct temporary access to objects and documents containing confidential banking
information. Preparing a request for mutual legal assistance and a package of documents takes time. In
addition, the request and the documents attached to it must be translated. Moreover, it is not always done in
the official languages of the UN, which also requires more time.
Thus, while the request for international legal assistance is prepared, the validity of the investigating
judgeʼs ruling expires. Moreover, after preparation of the request and the documents in accordance with thenational legislation of Ukraine, international documents are sent by international post which also takes time.
Therefore, at the moment when the request for mutual legal assistance is directed to the executor, therulingʼs validity often expires.
As far as for the majority of foreign states, the availability of a court ruling is a mandatory basis for suchinvestigative actions as temporary access to objects and documents, the investigating judgeʼs ruling with
expired term of validity makes it impossible to conduct the investigative action in a foreign state. In addition,in case of getting temporary access after the expiry of the rulingʼs, validity, there is a question as to theadmissibility of evidence obtained as a result of the temporary access to objects and documents during
international cooperation.
So by Article 86 of the CPC of Ukraine it is stipulated that evidence is admissible if it is received in themanner stipulated by this Code. Illegal evidence cannot be used by a court to take procedural decisions; thecourt cannot refer to it in a court order.
Thus, in case the evidence has been obtained as a result of procedural infringement stipulated by the CPC
of Ukraine, such evidence at the request of the parties of the criminal proceedings may be declared
inadmissible, which in turn can completely destroy the public prosecution in court.
Currently, the NABU is drafting a law on introduction of amendments into legislative acts in the sphere of
criminal justice including the Criminal Procedural Code of Ukraine with the purpose of putting the current
legislation into compliance with international agreements and solving problematic issues which arise inpractical application of these standards during pre-trial investigation.
Prior to implementation of appropriate amendments into the current legislation, the central authorities inthe sphere of international cooperation during pre-trial investigation (by the National Bureau and the General
Prosecutorʼs Office of Ukraine) agreed their position that the mentioned court permissions may be used ascollateral estoppel within the international legal assistance. Thus, the availability of the investigating judgeʼsruling shows that the appropriate judicial permission confirming the validity and necessity of the specified
investigative action was received by the pre-trial investigation authorities of Ukraine.
Also, the NABU established cooperation with the competent authorities of certain foreign countries on
the issues of additionally sending new rulings. As a consequence, when the request for international legal
assistance has been filed to the foreign competent authority, in case of expiry of the term of the ruling, thecompetent authority in due course1 sends a notice to the NABU on the need of provision of several rulings,
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the validity of which has not expired yet.
In such a manner, the NABU ensures compliance with the requirements of criminal procedure law during
the execution of investigative acts in the territory of foreign countries, which ensures formation of a strong
evidence base, where the issue of the evidence admissibility will not be one more disputable issue between
the parties of the criminal proceedings, which in its turn will reduce the time of the criminal proceedings andallow completion as soon as possible.
2. Freezing Assets
In spite of the temporary access to objects and documents during the pre-trial investigation of criminal
corruption offences, often there is a need to freeze assets to ensure their availability during the criminal
proceedings. For example, during the preliminary investigation of the criminal proceedings for use of powerby the officials of the central executive authorities by application of corruption schemes during the open
tenders for purchases of goods, information on bank accounts of these officers and related companies wasreceived within mutual legal assistance. In order to ensure indemnification of damages to the State caused by
the criminal corruption offences, the detective who conducts the pre-trial investigation should contact thecompetent authority of the foreign country in which the relevant banking institution is located to request thefreezing of bank accounts of the offender and/or related companies.
Despite the fact that in the majority of international multilateral agreements on mutual legal assistance incriminal matters it is noted that the member countries of such agreements shall afford to each other thewidest assistance in investigations, prosecutions and judicial proceedings regarding offences covered by suchtreaties2 in practice, while application to foreign countries with requests to freeze assets throughinternational legal assistance, a range of practical application issues of certain procedural regulations israised.
(i) The difference between the status of a suspect / accused in Ukrainian legislation and legislation offoreign countries
Thus, part 1 Art.170 of the CPC of Ukraine establishes that the asset freeze is temporary, up to themoment of abolition by this Code, deprivation on the basis of ruling of the investigating judge or court of aright on alienation, disposal and / or use of property, to which there is a set of reasonable grounds orsuspicion to believe that it is evidence of a crime, subject to special confiscation from the suspect, accused,convict, third parties, confiscation from the legal entity to secure a civil claim, recovery from the legal entityof undue benefits received, possible confiscation of property. Asset freezes are cancelled as prescribed by thisCode.
The said provision of the CPC of Ukraine corresponds to the criminal procedure legislation of the majorityof the foreign countries in relation to obtaining court permission and the requirement of criminal offence
status of the suspect or accused person. However, there are some differences in the context of understanding
and grounds to become suspected or accused under the national laws of Ukraine and criminal procedure lawof foreign countries.
In many countries the status of a suspected person is acquired if there is a reasonable suspicion of having
committed a criminal corruption offence by the person and / or involvement of such person in thecommission. In addition, in some countries, the subject of the crime can be either an individual or legal entity.
Under the criminal law of Ukraine, the offender, pursuant to Article 18 of the Criminal Code of Ukraine,
may be only an individual, but measures for legal entities are stipulated. Such measures may be applied only
in case of certain grounds exhaustively listed in Article 96-3 of the Criminal Code of Ukraine, but the use of
these measures does not create a basis for legal entities becoming suspected or accused.
Thus, in accordance to part 1, article 42 of the CPC of Ukraine, the suspect is the person who, in the
In such case it is meant the notification sent by e-mail to the address of the International Legal Department of the AntiCorruption Bureau of Ukraine indicated in the cover letter to the request.
2
Part 1 of Article 46 of the UN Convention against Corruption dd. 2003, General Assembly Resolution 58/4 of n31 October, 2003,
part 1, article 1 of the European Convention on Mutual Assistance in Criminal Matters dd. 1959 (ETS 30).
1

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manner prescribed by Articles 276-279 hereof, was reported on the suspicion, the person detained on
suspicion of a criminal offence or a person in relation to whom there was a notice of suspicion but it has notbeen served because of non-identification of his/her location, but the relevant steps for service have beentaken as stipulated by the current Code for the notifications service.
By part 2, Article 42 it is established that the accused (defendant) is the person against whom theindictment was submitted to the court in the manner provided by Article 291 of the Code.
(ii) Delay in the pre-trial investigation
Thus, when a detective is applying to freeze bank accounts to the competent authority of a foreign state,often there are cases when the requested state sends a letter to provide clarification on the acquisition by aperson in respect of which the preliminary investigation in the territory of Ukraine is conducted, the status of
the suspect or the accused, which in turn leads to delay in the request for international legal assistance andslows the progress of pre-trial investigation.
Meanwhile, the delay in freezing of bank accounts increases the probability of withdrawal of funds ortransferring them to other accounts, which leads to loss of material evidence and makes it impossible toprovide compensation for losses to the State.

III. CONCLUSION
At present, corruption in Ukraine is a quite widespread, negative phenomenon which disturbs peopleʼs
confidence in government, leads to delayed development of the State and decline in the economy.
Consequently, preventing and combating corruption is one of the main vectors of state policy.
Taking into account the specificity of criminal corruption offences, their complexity and permanentdevelopment of corruption schemes, formation of strong evidence by the detectives of the NABU under pretrial investigation is an important instrument in fighting against corruption.
Collection of evidence during pre-trial investigation of high-profile corruption cases is hardly possible
without use of international cooperation instruments. Often in corrupt schemes companies incorporated
under the legislation of foreign countries are involved, and cash received from crime are transferred abroad
for further laundering. However, the tools of mutual legal assistance are very useful and could be fruitful.
Moreover, establishing of contacts between anti-corruption agencies, foreign law enforcement authorities andrelated authorities, strengthening of cooperation between them are quite essential issues for pre-trial
investigation of such cases.
So, today Ukraine faces the task to improve legal framework taking into account the experience andpositive practice of foreign states in the sphere of combating corruption and to develop broad links withinternational anti-corruption and other competent authorities. As a result of these actions, Ukraine will form apositive practice in the sphere of fighting corruption and will develop new effective methods of preventing
and combating corruption.

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INVESTIGATION OF TOP-CORRUPTION IN UKRAINE
Oleksii Geiko＊

I. ANTI-CORRUPTION REFORMS IN UKRAINE:
MAIN CHALLENGES AND POSSIBLE SOLUTIONS
After the Revolution of Dignity largely instigated by endemic corruption, Ukraine adopted acomprehensive anti-corruption package of laws and established new specialized institutions: National AntiCorruption Bureau of Ukraine (NABU), Specialized Anti-Corruption Prosecutorʼs Office (SAPO), National
Agency on Prevention of Corruption of Ukraine (NACP) and Asset Recovery and Management Agency(ARMA). Ukraine also achieved an unprecedented level of transparency, inter alia, by introducing theelectronic asset disclosure, e-procurement, opening up the public registries and making a number of datasets
publicly available in open data format. Civil society continues to play a significant role in pushing the reforms
forward and the international community supports Ukraineʼs anti-corruption fight. The formation of thelegislative, policy and institutional foundations for fighting and preventing corruption and putting in placevarious transparency initiatives are the main accomplishments in Ukraine since the last monitoring round.
Despite the achievements, the level of corruption remains very high. Anti-corruption enforcement,
particularly against the high-level officials, is stalling and meets enormous resistance and the public trust in
the Government has further decreased in recent years. Yet, the most pressing challenge for Ukraine now isensuring the sustainability of the institutional framework and boosting anti-corruption efforts that are being
constantly undermined by the governing elite. The recent measures aimed at discouraging the anticorruption
activism are alarming and must be stopped urgently. Enabling an environment for open and full participationof civil society in anti-corruption policy development and monitoring must be ensured.
Ukraine has not yet firmly established itself on its path of steady anti-corruption reforms but is certainly
on a right trail. However, the political will of the Government to genuinely fight corruption is seriously
questioned. Resilience, persistence and full determination of the anti-corruption fight of the Ukrainian society
at large will be critical in the coming years. Time has long come for Ukraine to take decisive steps to root-out
pervasive corruption.
NABU is the first law enforcement agency in the modern history of Ukraine that, to such a wide extent,
began taking proactive measures in detecting corruption cases. There are abundant examples where suchdetection methods have been effective. Because many of the investigative techniques require court approvalobtained by the SAPO, SAPO also is credited for these achievements.
The number of detected cases by NABU is impressive, especially if compared to limited enforcement
efforts on high-profile corruption cases before their establishment. As of end of June 2018 detectives of NABU
were working under procedural supervision of the SAPO prosecutors on 370 proceedings with 220 persons inthe status of suspects.
Firstly, NABU is staffed with detectives, which is a new “procedural position” in Ukraine; it combines thefunctions of the intelligence officers (operatives) and investigators. This position ensures that the primary jobof detectives is to detect. Secondly, along with detectives, NABU has been staffed with analytical officers(analytics) working within NABUʼs Department on analytics and information processing. Both detectives andanalysts have access to and use in their work the main registries and databases. They undergo numerous
trainings on detection and investigative methods that are being applied world-wide in complex corruption＊

Senior Detective, Main Detectives Department, National Anti-Corruption Bureau, Ukraine.

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cases. NABU has also made effective use of mentoring by foreign law enforcement officers and analysts whoare experts in this area. And finally, its leadership seems to be setting the tone from the top, encouraging its
staff to be proactive. These results go hand in hand with proper resourcing and would not be possible without
the independence that the detectives have been enjoying so far.
There are other new possibilities that opened to law enforcement in terms of detection. Among them,access to open source databases of information, such as the Unified Court Registry, and registry of legal
entities, as well as databases that contain closed information, such as the asset declarations database to which
detectives have access. These should open new possibilities, and it is encouraging to see that they havealready being utilized in Ukraine for the purposes of detection and investigation of corruption.
Establishment of the NABU was finalized and it became fully operational and managed to meet the
expectations of delivering real high-profile investigations. The SAPO has also since then been established andbecame fully operational. Again, just like the NABU is has delivered procedural guidance on NABU cases andsubmitted high-profile cases to courts. Unfortunately, further progress on these cases stopped there.
Nevertheless, these two new institutions (the NABU and the SAPO) demonstrated that high level officials
and grand corruption are no longer beyond the remit of the law enforcement in the country. They also sent
some unsettling messages to the powerful oligarchs and the well-rooted corrupt high-officials in the public
administration of Ukraine.
New law enforcement anti-corruption bodies are being attacked in various forms from media andlegislative initiatives, to investigation and prosecution of the leadership and staff, as well as to various othermethods applied to prevent them from doing their jobs. Measures need to be taken to ensure that their
independence is preserved and that the cases that they have accumulated are finally resolved:(i)

Establish without delay specialized anti-corruption courts insulated from corrupt and politicalinfluences which can fairly and effectively hear and resolve high level corruption charges. Select thejudges through a transparent, independent and highly trusted selection process which will
guarantee integrity and professionalism.

(ii)

Ensure strict compliance with exclusive jurisdiction of NABU and SAPO.

(iii)

Provide NABU with capacity (legally and technically) to conduct wire-tapping autonomously.

(iv)

Step up the level of investigations and prosecutions of corruption throughout all responsible
government bodies.

(v)

Ensure that independence of the National Anti-Corruption Bureau is maintained without undue
interference into its activities, including by providing for independent and unbiased audits of its
activities and safeguarding against abuse of criminal process.

(vi)

Ensure that operational and institutional autonomy of the Specialized Anti-Corruption Prosecutorʼs
Office is maintained.

II. INVESTIGATION OF EMBEZZLEMENT OF BUDGET FUNDS(CASE STUDY 1)
The article 191 of the Criminal Code of Ukraine prohibits the embezzlement of budgetary funds by theabuse of official position in especially large size, committed by a group of persons by prior conspiracy.
A. The Initial Information
Based on the results of the processing of open sources of information, circumstances have been
established that may indicate a commitment of criminal offence, stipulated by Part 5 of Art. 191 of the
Criminal Code of Ukraine. Namely, in the period of 2017-2018, officials of “Anaconda LLC”, “Fifth Element
LLC” by prior conspiracy with Deputy Minister of Health of Ukraine ̶ the chairman of the tendercommittee Mr. Safarsky and Deputy Director of the Procurement Department of the Ministry ̶ thesecretary of the tender committee Mrs. Lavrova committed an embezzlement of budgetary funds by the204

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abuse of official position in especially large size.
1. Breach of Procurement Procedure(a) 31st of August 2017 Ministry of Health of Ukraine announced the planned purchase of medical products
for the treatment of patients with vascular diseases (4 lots). Expected cost of purchase was total
USD 5,000,000.00;(b) The proposals were provided by 5 enterprises, among them ̶ “Anaconda LLC” and “Fifth Element
LLC”. It was established that “Fifth Element LLC” is an enterprise closely associated with “Anaconda LLC”
(founders ̶ Mr. Petrov and Mrs. Petrova, director ̶ Mr. Petrov), since the original founders of the “Fifth
Element LLC” were Mr. Petrov and Mrs. Petrova, the director was Mr. Petrov, and today the founder anddirector of “Fifth Element LLC” is Mrs. Ivanova, who has close business connections with Mr. Petrov andMrs. Petrova. Also, “Anaconda LLC” and “Fifth Element LLC” are official sellers of medical products
produced by “BSE Company” (USA);(c) With abuse of influence of Mr. Safarsky and Mrs. Lavrova, the technical demands for medical products
for the treatment of patients with vascular diseases were prepared by responsible officials in a way thatallows participation in procurement only for enterprises that sell medical production of “BSE Company”(USA). The consequences are that 3 out of 5 enterprises (besides “Anaconda LLC” and “Fifth Element LLC”)
were eliminated from procurement procedure. As a result of the procurement process, the contracts wereconcluded with 2 remaining enterprises out of 5, namely:-“Anaconda LLC” in accordance with 3 out of 4 lots for the total amount of USD 4,000,000.00;-“Fifth Element LLC” in accordance with 1 out of 4 lots for the total amount of USD 1,000,000.00;(d) After transferring of budgetary bunds from bank accounts of the Ministry to the bank accounts of“Anaconda LLC” and “Fifth Element LLC” as payment for further delivery of necessary medical products,
officials of these enterprises give bribes to Mr. Safarsky and Mrs. Lavrova in the amount of money equivalent
to 15 percent of the total contract price (USD 750,000.00).
2. Breach of the Legal Order of Work of Customs Authorities(a) “Anaconda LLC” and “Fifth Element LLC” purchased medical products from the manufacturer “BSE
Company” (USA). “BSE Company” (USA) sends the original invoice to the address of “Anaconda LLC” and“Fifth Element LLC” in paper form. After this, Mr. Petrov personally counterfeits an invoice by creating asimilar invoice, but with an overstatement of the purchase price. For this purpose, Mr. Petrov uses
counterfeit stamps of “BSE Company” (USA). After delivering the purchased products to Ukrainian customs,
the replacement of the original invoice is forged by customs officials;(b) In accordance with the Ukrainian legislation on prices of medicines and medical products purchased at
the expense of the state budget, the marginal trade (retail) allowances may not be higher than 10 percent of
the purchase price, taking into account taxes;(c) “Anaconda LLC” and “Fifth Element LLC” add 10 percent to the purchase price and sell medical
products to the Ministry under the terms of the signed contracts. The state budget incurs losses due to theovercharging of purchased medical products.
3. Money Laundering(a) Money for the delivered goods and products according to the conditions of foreign economic contracts
is transferred to the bank accounts of the following companies:-

ICP Limited (Dublin, Ireland);-

GSG Limited (London, United Kingdom).

These companies have signs of “shell”-companies and can be used for withdrawals of budgetary funds andmoney laundering. The shipper and recipients of the mentioned funds is “BSE Company” (USA);205

RESOURCE MATERIAL SERIES No. 107(b) It is ascertained that bank accounts of “ICP Limited” and “GSG Limited” are being controlled andmanaged by officials of “Anaconda LLC” and “Fifth Element LLC”;(c) After transferring of budgetary bunds from bank accounts of the Ministry to the bank accounts of“Anaconda LLC” and “Fifth Element LLC” as payment for further delivery of necessary medical products,
officials of mentioned enterprises transfer these funds to the accounts of “ICP Limited” and “GSG Limited”.
After this transaction, according to the conditions of foreign economic contracts of “Anaconda LLC”/ “Fifth
Element LLC” and “BSE Company” (USA), amount of money for delivered goods is transferred from accountsof “ICP Limited” and “GSG Limited” to the bank accounts of “BSE Company” (USA);(d) Residual amount of money from bank accounts of “ICP Limited” and “GSG Limited” is transferred topersonal bank accounts of “Anaconda LLC” and “Fifth Element LLC” officials as “financial help”;(e) “Anaconda LLC” and “Fifth Element LLC” officials withdraw money from accounts in cash, and use
them for purchasing different assets ̶ real estate, cars, stocks, bonds, collectibles, precious metals,
commodities etc. Also part of this money is used for giving bribes for officials in Ministries, customs etc.
4. Tax Avoidance(a) The consequences of overpricing and counterfeiting of invoices are that the real number of delivered
goods to “Anaconda LLC” and “Fifth Element LLC” is several times higher than the number of goods
declared during customs procedures;(b) Officials of “Anaconda LLC” and “Fifth Element LLC”, using their close connections with chief medical
officers of different clinics and understanding the real needs of the population for medical products for thetreatment of patients with vascular diseases, sell the undeclared medical goods without documentation andwithout preparation of accounting documents.
B. Special Investigative Techniques During Investigation
1. Main Challenges During Investigation(a) find evidence of inappropriate behaviour and criminal intention of officials of the Ministry of Health of
Ukraine (abuse of authority, abuse of influence, bribery, embezzlement of budgetary funds);(b) find evidence of inappropriate behaviour and criminal intention of officials of Ukrainian customs (abuseof authority, bribery, forgery);(c) find evidence of inappropriate behaviour and criminal intention of officials of “Anaconda LLC” and“Fifth Element LLC” (proposing and giving a bribe, forgery, counterfeiting of documents and stamps, tax
avoidance, money laundering, embezzlement of budgetary funds);(d) find evidence with help of mutual legal assistance and joint investigation teams of inappropriate
behaviour and criminal intention of officials of “ICP Limited” and “GSG Limited” (money laundering, creationof “shell”-enterprises);
2. Investigative Techniques(a) electronic surveillance;(b) undercover audio and video recording of suspects;(c) wiretapping;(d) physical surveillance;(e) communications interception by installing video recording devices in offices and houses of suspects;(f) communications interception by installing audio recording devices in clothes/goods of suspects;

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21ST UNAFEI UNCAC TRAINING PROGRAMMEPARTICIPANTSʼ PAPERS(g) interceptions of e-mail communications;(h) conducting searches in houses and offices of suspects;(i) interviewing of victims and witnesses;(j) interviewing of suspects;(k) requests on information about cash flow on bank accounts of mentioned companies, including the
precise time of receipt of money, and information about further transferring of this money;(l) requests on tax and customs documentation;(m) mutual legal assistance ̶ requests to the law enforcement agencies of other countries.

III. INVESTIGATION OF BRIBERY IN THE JUDICIAL SYSTEM (CASE STUDY 2)
The article 368 of the Criminal Code of Ukraine prohibits acceptance of an offer, promise or receipt by theofficial of illegal benefit, as well as a request to provide such benefits for themselves or a third person for theCommission or such officer in the interests of the person who offers, promises or provides illegal benefit, or in
the interests of a third person of any action with the use of her power or official position.
A. The Initial Information
Circumstances have been established that may indicate commission of a criminal offence, stipulated byPart 4 of Art. 368 of the Criminal Code of Ukraine. Judges of the Chamber of Criminal Cases of the Supreme
Court of Ukraine, through an intermediary of an attorney-at-law, demanded a victim of a bribe of USD 120,000
to satisfy a cassation appeal against a court order of the appellate instance.
1. Case Elements Description(a) The Supreme Court of Ukraine opened the cassation proceedings following a cassation appeal by
victim Mrs. Sidorova on the decision of the court of appellate instance;(b) In order to receive legal aid Mrs. Sidorova went to attorney-at-law Mr. Kozlov for consultation,
informing him about the circumstances of the court case and providing him with copies of court decisions andother documents relating to the cassation appeal;(c) After listening to the circumstances of the case and having read the documents provided by Mrs.
Sidorova, Mr. Kozlov, for the purpose of personal enrichment, decided to seize the money of Mrs. Sidorova
and persuade her to give a bribe to a judge of the Supreme Court of Ukraine;(d) In the presence of Mrs. Sidorova, Mr. Kozlov called his classmate ̶ judge of the Supreme Court ofUkraine Mr. Pavlov and arranged with him a personal meeting. Also, Mr. Kozlov has indicated that Mrs.
Sidorova should prepare for giving a bribe to judges in the amount of USD 120,000;(e) During the next meeting, Mr. Kozlov informed Mrs. Sidorova about the mechanism and stages of thebribe, and commented on the need to provide the bribe in three stages:-

initially in the near future, USD 10,000 for putting the case to the list of cases that will be consideredby the court in the near future;-

USD 55, 000 after receiving the court decision about appointment to trial of the case under the
cassation appeal;-

USD 55,000 two days prior to the date of the judicial review of the cassation appeal.

2. Special Investigative Techniques During Investigation(a) Main challenges during investigation:207

RESOURCE MATERIAL SERIES No. 107-

find evidence of inappropriate behaviour and criminal intention of attorney-at-law Mr. Kozlov as anintermediary giving a bribe to the judge;-

find evidence of acceptance of an offer and receipt of bribe by the judge of the Supreme Court ofUkraine Mr. Pavlov;(b) Investigative techniques:

208-

electronic surveillance;-

undercover audio and video recording of suspects;-

wiretapping;-

physical surveillance;-

communications interception by installing video recording devices in offices and houses of suspects;-

communications interception by installing audio recording devices in clothes/goods of suspects;-

using identified money for further giving to suspects;-

conducting searches in houses and offices of suspects;-

interviewing of victims and witnesses;-

interviewing of suspects.

COMBATING CORRUPTION THROUGH EFFECTIVE CRIMINALJUSTICE PRACTICES IN VIETNAM
Hoang Hai Yen＊

I. OVERVIEW
In recent years, Vietnam has been promoting the fight against corruption. The guidelines, policies andlaws of Vietnam express a strong determination to prevent and eliminate corruption. In 2005, the government
adopted the Anti-Corruption Law, which criminalizes several types of corruption, establishes asset disclosure
requirements for governmental officials, and establishes whistle-blower protection. Vietnam ratified theUnited Nations Convention against Corruption (UNCAC) in 2009, adopting an implementation plan in thefollowing year. The country has participated in several regional and world forums against corruption, hasendorsed the Anti-Corruption Action Plan for Asia and the Pacific in July 2004, and has joined the South-East
Asian Parties against Corruption (SEA-PAC).
Especially, the Amended 2015 Penal Code has some major policies for corruption crimes as follows: i)Expanding the concept of corruption crime in the private sector like property embezzlement, taking bribes...;(ii) Expanding the content of “bribery” to include “non-material benefits”; (iii) Modifying and supplementing
some criminal elements; (iv) Specifying details of offences and determining penalty frames.
However, Vietnam still suffers from a poor ranking in the Corruption Perceptions Index. In the Corruption
Perceptions Index 2017, which measures the perceived levels of public sector corruption, Vietnam performed
below average with a score of 35 on a 0 (highly corrupt) to 100 (highly clean) scale. Vietnam ranked 107 out of
182 assessed countries worldwide.
The National Anti-Corruption Strategy 2020 by the government highlighted that the system of policies
and laws has not been well synchronized or well aligned; especially there is the lack of a comprehensive longterm strategy or plan for preventing and combating corruption. This means that, Vietnam does not have astrong judiciary and that investigation, prosecution and adjudication face many difficulties and obstacles.

II. AN ACTUAL CORRUPTION CASE AND PROBLEMS IN VIETNAM
A. An Actual Corruption Case
Vinaline is Vietnam National Shipping Lines, established in 1995, which is a state-owned company
managed by the Vietnam Maritime Administration and the Ministry of Transport and Communication. The
case of embezzlement caused serious consequences in Vinaline is as follows:
In January 2012, the Investigation Department of the Ministry of Public Security (C48) confirmed thesigns of crime concerning floating dock 83M, which was produced in 1965 but is now badly damaged and nolonger active. The Russian Registrar stopped issuing inspection licenses, and it was not eligible to beimported to Vietnam. Earlier, in the process of buying that floating dock, Vinalines had sent 4 officials to
Russia to assess the technical status and legal records of floating dock 83M. They set up 2 fake dossiers ofcontracts of floating dock 83M for 2.9 billion dongs. On February 1, 2012, C48 decided to prosecute the caseand arrested those 4 officials above.
On June 6, 2012, when C48 was investigating the case in Vinalines, DCD ̶ Chairman of Vinalines Board̶ it was decided by the Prime Minister of Vietnam to appoint the Director of Vietnam Maritime
Administration.

＊

Lecturer, Hanoi Procuratorate University, The Supreme Peopleʼs Procuracy of Viet Nam.

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On May 17, 2012, C48 issued a decision to arrest DCD but he fled to Cambodia. On May 18, 2012, C48 madea special wanted decision for accused Duong Chi Dung.
On September 5, 2012, Vietnamese police coordinated with the Royal Cambodian police to arrest DCD
who was hiding in Phnom Penh, after his failed attempt to escape to the United States. DCD escaped with thehelp of his brother, Duong Tu Trong (Deputy Director of Hai Phong Cityʼs Police Office) who used all tricks todestroy hiding evidence.
On December 16, 2013, the Hanoi Peopleʼs Court sentenced DCD to the death penalty on charges of“embezzlement”. DCD had to return and compensate 10 billion dong.
B. Problems in Investigation, Prosecution and Adjudication
1. Difficulties in Identifying Corrupt Acts and Individuals
Corruption is one of the white‒collar crimes along with fraud, bribery, insider trading, cybercrime,
copyright infringement, money laundering, identity theft and forgery. However, it does not mean that every
police officer, prosecutor or judge can identify them. Most corruption cases are often hidden for a long time
before being discovered. Vietnam has been changing from a socialist command economy to a market
economy with both private and public ownership of the factors of production. Offenders often abuse thissituation to convert state money into their private money. Furthermore, corruption cases often occur in many
fields of governance such as education, economics, justice, infrastructure construction and so on. It requires
investigators, prosecutors, lawyers, judges and juries to have wide knowledge and skills to handle such cases.
Corruption crimes are committed by people who have expert knowledge and skills in their job and wide
knowledge of the law as well. So they are able to figure out loopholes that help them perform criminal acts. In
Vietnam, we face many difficult problems with investigation of corruption crimes because of the lack ofexperts and experience.
2. Difficulties in Investigation, Prosecution and Adjudication of Corruption Cases
Firstly, there are many problems in collecting and protecting evidence in corruption cases because mostof these cases concern powerful leaders in government who abuse their positions and conceal their crimes. It
is a fact that many corruption cases have not been discovered for this reason. Offenders often use technology
to conceal their crimes. After being detected, offenders hide, falsify or destroy documents, making it difficult
to collect evidence. After charging suspects, prosecutors must continue to handle evidence in such a way that
it is admissible and persuasive in court. It is very important to protect evidence because it impacts whether
or not corruption crimes will be convicted. Offenders often deny guilt or keep silent in court. If evidence is notstrong enough to incriminate offenders, prosecutors will lose the case.
In the case of DCD, he had good relationships with leaders in the government, and his brother was asenior policeman in the city in which his company was located. He committed a crime and escaped easily. He
had been engaging in corruption for seven years. According to the investigation agency, the Ministry of
Public Security: “this case caused serious damages, very complex and affected [the] reputation of theVietnamese government”. After being detected, he fled to Cambodia with the help of his brother and a senior
officer in the Ministry of Public Security. The investigation agency arrested him by an international arrest
warrant with the Interpol Notice. The Vietnamese government had lost a lot of time, effort and money tosolve this case.
Secondly, another difficulty in investigating and prosecuting corruption cases is international cooperation
because many corruption cases are related to foreigners or international organizations. Vietnamese policeand prosecutors have to ask other countries for help to gather evidence. Much key evidence can only becollected abroad, but we do not have authority to investigate overseas so we need help from other countries.
However, the results of international cooperation were not what we had expected, or it took a long time to
get the results and so on. It was easier working with countries that we had entered into treaties with on
Mutual Legal Assistance in Criminal Matters and Extradition than it was with countries that we had notentered into treaties with.
Also in the case, there was key evidence that DCD signed an approval decision to buy floating dock 83M
from Russia. He bribed intermediary companies to falsify contracts of sale and payment, then doubled thedockʼs price. This means that he converted state property into his private property. We had to ask for help
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from the Internal Affairs Department of Russia to collect this information. After arresting Dung in Cambodia,
we had to have him extradited to Vietnam based on the Vietnam-Cambodia Treaty on Mutual Legal
Assistance.
Thirdly, the use of expert witnesses suffers from many inadequacies because determining loss of property
is the first thing to prove in a corruption case. If we cannot demonstrate damage to property, then no crime
has occurred. Investigators must have financial and accounting expertise, technical expertise and quality
construction expertise and so on. These are important sources of evidence to prove the crime, and sometimes
they are the only source of evidence. However, agencies which are needed for their expertise are often
uncooperative, afraid of testifying in open court.
Lastly, corruption cases in Vietnam often involve accomplices, which means that there are at least two
people who commit the crime. In some cases, this number can be larger. Offenders often collude closely usingsophisticated tricks. The more people that are involved in the crime, the more successful the crime is. This
problem is also difficult for investigators and prosecutors in Vietnam. In a corruption case, we have to selectinvestigators and prosecutors who have the experience and knowledge of measures for dealing with this typeof crime, but we do not have enough people who meet those requirements. Moreover, anti‒corruption in
Vietnam is quite sensitive, and it directly attacks powerful people in the government so that investigatorsand prosecutors deny investigating because they do not want the corrupt conspirators to retaliate against
them. Additionally, some judicial officers have been bribed, and they continue to abet corruption crimes.
3. Difficulties and Restrictions in Asset Recovery
In Vietnam, in recent years, the results of corruption property recovery are still limited which are causedby the following difficulties:-

Difficulties in verification of assets, verification of judgement execution because in corruption cases,
offenders often do not declare assets, or they disperse or hide assets;-

The police and prosecutorʼs offices have not been aggressive and have not promptly applied
preventive measures to avoid the dissipation of corrupt assets;-

Corruption acts are often committed by many offenders so the investigation process often requires
assessment to determine the damage, but the assessment of economic losses, land etc. is quite
complicated.

III. SOLUTIONS TO AND NEW IDEAS FOR ANTI‒CORRUPTION IN VIETNAM
To improve preventing and combating corruption in Vietnam, we suggest the following solutions:Firstly, it is necessary to promote education, improve awareness and establish a sense of responsibility
within the Communist Party and among all citizens, the state and the unions. They should have acomprehensive and deep understanding that corruption is a crime and that it is also an indicator ofdegenerating morality and personality, degrading lifestyle, and is the internal enemy existing inside each
person. The employees and civil servants must be trained in the courses of morality before working. Raisingsocial pressure to severe criticism for corruption and reporting cases of corruption through media is an
example.
Secondly, the Government has to strive to improve its legal systems and promote the lives of public
servants. We should make changes, adjustments and amend legal provisions which are inaccurate or unclear
in order to minimize the abuse of loopholes. Corruption crimes must be considered as crimes; punish the evil
to protect the good. Corruption must be punished; the higher positions and powers they have, the heavier
punishment they will get when they engage in corruption; there must be no restricted areas, no exceptions.
Moreover, the wage regime must be radically reformed. The low or inadequate salaries will distract officials
from their jobs or lead to corruption.
Thirdly, Vietnam needs to have policies to protect whistle-blowers and their families from criminal
defendants and offenders. At present, legal protection for whistle-blowers is insufficient; whistle-blowers are
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afraid of retaliation; thus would-be whistle-blowers do not dare to denounce the criminals. Likewise, it isnecessary to impose strict penalties against persons holding positions of power for their corrupt acts.
Vietnam should have a “resignation mechanism” for those who do not deserve to stay in office, make mistakes
or are guilty of crimes. The result of Vietnamʼs anti-corruption efforts has been ineffective; however, no one
takes responsibility or resigns as a result.
Furthermore, Vietnam should add provisions about responsibilities of legal offices in verifying assets ofjudgement execution. Itʼs neccessary to state that at the beginning of corruption investigations, property
distraint measures should be applyed as soon as possible in order to avoid the dissipation of assests. Besides,
Vietnam should supplement the regime for declaration of assets and incomes; supplement regulations on
income control for civil servants who have positions and powers.
Finally, Vietnam should reinforce international cooperation in identifying and handling corrupt acts bydelegating investigations or requesting foreign agencies to verify, freeze and confiscate corruption proceeds
originated in those foreign countries or sent to those countries from Vietnam. Vietnam should reinforce
cooperation in preventing money laundering activities, enhance mutual assistance in the investigation, anddetect and identify money laundering offences.
Fighting against corruption is a difficult, long-term battle that requires strategic measures. It is hopedthat these measures will reverse the increasing trend of corruption in Vietnam, which will improve Vietnamʼsranking in the Corruption Perceptions Index in the near future.

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COMBATING CORRUPTION THROUGH EFFECTIVE CRIMINALJUSTICE PRACTICES, INTERNATIONAL COOPERATION ANDENGAGEMENT OF CIVIL SOCIETY: THE ZIMBABWEANPERSPECTIVE
Charity Matumbi＊

I. INTRODUCTION
Zimbabwe is affected by corruption just like any other country in the world over. Corruption has
debilitating effects and affects the most vulnerable citizens, the women, the children and the elderly at most.
Zimbabwe signed the United Nation Convention against Corruption (UNCAC) on 20 February 2004 andratified it on 8 March 2007, the Convention entered into force for Zimbabwe on 7 April 2007. Zimbabwe is asignatory to the African Union on Preventing and Combating Corruption (AUCPCC) which was adopted at
the Second Ordinary Session of the Assembly of the Union, held in Maputo, Mozambique on 11 July 2003. It
entered into force for Zimbabwe on 5 August 2006. To date thirty-four countries are members and State
parties to the regional Convention including Zimbabwe.
In 2004, Zimbabwe signed the Southern Africa Development Community Protocol on Corruption(hereinafter the SADC Protocol) in response to a regional call for leaders to pledge their commitment in thefight against corruption. Thereafter, Zimbabwe amended its Constitution1 and a provision for theestablishment of an anti-corruption body was included. The Anti-Corruption Commission Act2 was enacted in
2004 and the Commission was established in 2005. The Zimbabwe Anti-Corruption Commission (ZACC) is anindependent body established by the Constitution and mandated to investigate and expose cases ofcorruption, combat corruption, theft, abuse of power and other improprieties in the public and private sectors3.
Since then Zimbabwe has not looked back on the fight against corruption as it continues to make efforts tostrengthen its capacity and legal framework on corruption.
For the past two decades the Zimbabwean economy has been on the meltdown and one of the major
causes has been corruption. Although the Government showed its political will by ensuring the establishmentof a national anti-corruption body there are so many challenges which came about. The Commission is a bodythat is funded solely by the Consolidated Revenue Fund and since its inception it has budgetary constraints
which hamper most of the efforts to capacitate the Commission to enhance the fight against corruption.
ZACC requires capacity-building to enhance and strengthen its capacity to investigate corruption at thenational level. There are positive developments which have been ushered by the new dispensation led by His
Excellency, E. D Mnangagwa which will see the decentralization of the ZACC to all provinces. This is in linewith the mantra “zero tolerance to corruption”.

II. CRIMINAL JUSTICE SYSTEM IN ZIMBABWE
The Zimbabwean legal system is based on the concept of separation of powers. There are three arms
which are the executive, the legislature and the judiciary. The legislature is responsible for making the laws
in Zimbabwe and these laws are enforced and implemented by institutions that are part of the executive. The
judiciary is a separate arm that should ensure the rule of law is upheld and it should remain independent. The
law enforcement agents are seized with the powers of investigating crime. The Zimbabwe Anti-Corruption
Commission is one of the law enforcement agencies which is seized with investigating all forms of corruptionin Zimbabwe. The corruption offences are outlined in the Criminal Law Codification and Reform Act4 andsome of the offences are bribery, criminal abuse of office as a public officer, fraud involving corruption, money
Acting General Manager, Legal Services Department, Zimbabwe Anti-Corruption Commission, Zimbabwe.
Amendment No. 18.
2
Chapter 9:22.
3
Section 255 (1) of the Constitution of Zimbabwe Amendment (No. 20).
4Chapter 9:23.
＊
1

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laundering among other offences. In terms of the Constitution of Zimbabwe5 the Commission is mandated toinvestigate corruption cases and recommend the arrest of suspected persons6. The interpretation of the law
in this instance has been that the Commission can only investigate and not arrest persons suspected ofcorruption, and it remains a grey area of the law to an extent where there has been a constitutional challenge
in the Constitutional Court whether or not the Commission has powers of arrest. This legal lacuna has posed
challenges in the execution of the Commissionʼs mandate.
The Commission after completing its investigations recommends the arrest of suspected persons to theCommissioner General of Police. The police should scrutinize the investigation and formulate a reasonablesuspicion in order to effect arrest on a person suspected of having committed an offence. Thereafter, that iswhen the matter can be referred to the National Prosecuting Authority (hereinafter the ʻNPAʼ). The NPA has
to prove beyond reasonable doubt in each and every case, that a particular suspect has committed an offence.
The NPA is supposed to prosecute its cases before the court which is adjudicated by the judiciary.
A. Structure of the Courts
There are three main criminal courts in Zimbabwe, namely, the Magistrates Court, the High Court andthe Supreme Court. The Magistrate Court is the lowest criminal court in Zimbabwe. Two pieces of legislation
govern its operations. These are the Magistrates Court Act7 and the Criminal Procedure and Evidence Act8.
This is the court where all cases of corruption are initially prosecuted. A corruption case can be referred to
the High Court depending on the threshold of the financial misappropriation or the seriousness of the offence.
The High Court is the next court of first instance and appeal in terms of criminal offences and it is governedby the Constitution and the High Court Act9. The highest court which can adjudicate criminal cases is theSupreme Court which is governed by the Constitution and Supreme Court Act10.
B. Offences Relating to Corruption in Zimbabwe
The offences relating to corruption in Zimbabwe are stipulated in the Criminal Law Codification and
Reform Act11 from sections 170 to section 174. Bribery is the first offence outlined and involves the receipt orgiving of a bribe for any consideration, corruptly using a false document, corruptly concealing a documentfrom a principal, corruptly concealing a transaction from a principal and criminal abuse of duty as a public
officer are the principal offences.

III. LEGISLATIVE FRAMEWORK ON CORRUPTION
Zimbabwe boasts of a relatively good legislative framework with regard to corruption. There are a goodnumber of pieces of legislation which relate to corruption. The supreme law of the land which is theConstitution of Zimbabwe has in its Chapter 13 made provisions for institutions which are responsible forcombating corruption which are the Zimbabwe Anti-Corruption Commission and the National Prosecuting
Authority, respectively. However, these key institutions have been buffered by the enactment of various
legislation some of which are the Money-Laundering and Proceeds of Crime Act12, Prevention of Corruption
Act13, Public Entities and Corporate Governance Act14, Criminal Procedure and Evidence Act, and this is not
an exhaustive list.
The latest response was the enactment of the Money- Laundering and Proceeds of Crime Amendment
Act where the legislature addressed shortcomings of the anti-money laundering regime in terms of therequirements of the Financial Action Task-Force15 recommendations and United Nations Convention against
Corruption. The legislature has also enacted the Public Entities Corporate Governance Act after realizing
Amendment No. 20 (2013).
Section 255(3).
7Chapter 7:10.
8Madhuku L An Introduction to Zimbabwean Law page 61.
9Chapter 7:06.
10
Chapter 7:13.
11
Chapter 9:23.
12
Chapter 9:24.
13
Chapter 9:16.
14
Chapter 10:31.
15
Hereinafter FATF.
5
6

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that corruption in the public sector has become rampant and needed to be abated.

IV. STRATEGIC PARTNERSHIPS
Undoubtedly, corruption remains the most daunting challenge to good governance, sustainable economic
growth, peace, stability and development in Zimbabwe. In many corruption perception surveys, Zimbabwe isperceived as one the countries with high levels of corruption in Africa. Hence, addressing the problem ofcorruption in a strategic and comprehensive way is of paramount importance as a development priority for
Zimbabwe.
Zimbabwe has joined the world in the latest trends on investigating illicit financial flows. The Mbeki
report on Illicit Financial Flows highlights how corruption and weak transparency mechanisms allow tax
avoidance, trade mis-invoicing, abusive transfer pricing, and many other ways used to deny Africa to reap its
resources dividend. The 50 billion dollars Africa loses annually through illicit financial flows are resourcesthat could be used to create jobs for the youth who are now forced into illegal migration seeking greener
pastures16.
Corruption can be combated more successfully if a multi-stakeholder, comprehensive approach is chosen.
This approach will be successful if a mechanism can be provided where the relevant stakeholders, namely the
FIUs and the specialized agencies which investigate corruption can exchange relevant data in a trusted way.
In Zimbabwe the multi-stakeholder approach has been used to fight corruption. In 2016, the relevant
stakeholders in the criminal justice system collaborated and launched a campaign named ʻAgainst Corruption
Togetherʼ (ACT). This noble initiative was spearheaded by the Judicial Service Commission and the otherstakeholders were the Zimbabwe Anti-Corruption Commission, the National Prosecuting Authority, theMinistry of Justice. The ACT campaign was launched to raise awareness on corruption in the justice delivery
system. It was necessitated by the public outcry that the level of corruption in justice delivery had risen toalarming levels. The objective of the ACT campaign was to create anti-corruption desks in all relevant
stakeholder institutions, where reports would be received. The major targets were corruption related to the
judicial system. This campaign strengthened the capacity of institutions in the criminal justice system and it
also allowed for more effective dissemination of information when dealing with cases involving corruption.
Civil society organizations play a key role in addressing the scourge of corruption particularly throughadvocacy and monitoring the efforts of the country and intergovernmental organizations, but there still is aneed for a more unified and strategic approach to anti-corruption in Zimbabwe. The integration of
information between the public institutions mandated to combat crime and the civic organizations is still amajor challenge. There is an element of mistrust which eventually results in some very important corruption
cases not receiving due attention. The civil societyʼs role in formulating and implementing anti-corruption
policies is important for the success of institutions mandated to curb corruption. Zimbabwe has multiple anticorruption initiatives which have achieved limited success in alleviating corruption.

V. ZIMBABWEʼS EFFORTS TO FIGHT CORRUPTION
In light of the rampant levels of corruption, the Zimbabwean Government continues to make efforts tocurb it. In the wake of 2018, the legislature enacted the Public Entities Corporate Governance Act17, whose
objective is to provide for the governance of public entities in compliance with Chapter 9 of the Constitution
and to provide a uniform mechanism for regulating the conditions of service of members of public entities andtheir senior employees.
A. Establishment of Anti-Corruption Courts
Against this backdrop, the Judicial Service Commission established and launched specialized AntiCorruption courts to tackle cases of corruption and will deal with all forms of corruption. The specialized
courts have been buttressed by the enactment of the amended Money Laundering and Proceeds of Crime
Act whose provisions place reliance on a combination of civil and criminal procedures to combat financial
M. Begoto African Union Advisory Board on Corruption Concept Note 2017 “Winning the Fight Against Corruption: A
Sustainable Path to Africaʼs Transformation” page 3.
17
Chapter 10:31.
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crimes though targeting the seizure and forfeiture of all tainted and illicit proceeds of crime. The judicial
officers and prosecutors are currently undergoing training on corruption matters. The establishment of thespecialized courts has seen the prosecution of five former Ministers and two of them have been successfully
convicted and are currently serving their terms of imprisonment.
B. Repatriation of Externalized Funds
Since the new dispensation of Government in 2017, the Zimbabwean government made an amnesty callfor the repatriation of externalized funds by Zimbabwean citizens and local and foreign companies whichwere operating in the country. This strategy was part of the initiatives of a massive anti-corruption campaign
by the new President, His Excellency E. D Mnangagwa. A list of individuals and companies who are alleged tohave ignored the directive to return all externalized funds amounting to billions of dollars has been madepublic and investigations have been launched in an effort to recover any proceeds which were externalized
illegally. This move was to curb rampant corruption, in order to register significant growth in the economy.
With the view to advancing the work on strengthening the recovery and return of stolen assets and in orderto develop good practices on asset recovery in line with the United Nations Conventions against Corruption,
Zimbabwe has implemented the good practice of asset forfeiture/parallel financial investigations through the
Money Laundering and Proceeds of Crime Act. This initiative supports international efforts to end “SafeHavens for Corrupt Funds”. The anti-corruption exercise saw the return of $300 million dollars to thecountry, and there are 1166 cases of externalization of funds which are under investigation.
C. Corporate Governance Framework in Zimbabwe
Zimbabwe enacted the developed and launched a Corporate Governance Code and which signified a new
dawn in the corporate culture of Zimbabwe, given the background of company failures mainly due tocorporate governance deficiencies, mechanisms for creating trust between shareholders, boards of directors
and management performance measurement standard, accountability, sustainability and ethical conduct of
directors. These areas which are extensively covered in the code are expected to result in corporate cultureof the highest standard which ensures the sustainability of business and ultimately will benefit Zimbabwe asa whole. In addition, Zimbabwe has introduced the Public Entities Corporate Governance Bill, which will
provide for corporate governance of public entities. Zimbabwe is also developing the National Integrity Plan
and the National Anti-Corruption Policy for use by public and private institutions as tools of corruption
prevention so as to enhance principles of effective public administration and corporate governance.
D. Legislation on Unexplained Wealth Orders
Zimbabwe recently passed legislation on unexplained wealth orders or illicit enrichment. The law now
requires that an enforcement authority can make a civil application to the High Court citing that they havereasonable suspicion that any person, natural or juristic, has unexplained wealth. The court if satisfied withthe application can grant an unexplained wealth order restraining or freezing the property and requiring the
Respondent to provide evidence to the contrary. This piece of legislation has enhanced the fight against
corruption where many persons have acquired wealth illicitly and are laundering the funds into thelegitimate system.

VI. CHALLENGES IN THE FIGHT AGAINST CORRUPTION
Zimbabwe is faced with the many challenges in fighting the scourge of corruption which are similar toother jurisdictions.
A. Gaps in Legislation to Fight Corruption
Although the Constitution of Zimbabwe, which is the supreme law of the land, had dedicated Chapter 13
to establish institutions to combat corruption, there are pieces of legislation which need to be enacted tostrengthen the anti-corruption corruption legislation. Zimbabwe is yet to enact legislation in line with theprovisions of Article 32 of the UNCAC which provides for witness protection for witnesses, experts andvictims of corruption. The absence of such legislation hampers investigations and prosecution of corruption.
In most instances the identity of witnesses is known and eventually they fear to come and testify in court
because there is a risk of intimidation, loss of employment and harassment afterwards. The relevant
institutions like the Zimbabwe Anti-Corruption Commission and civic organisations continue to lobby andadvocate the law-makers to consider the enactment of such important pieces of legislation.

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B. International Cooperation
The challenges faced when it comes to cross-border investigations cannot be overemphasized.
International cooperation is a major challenge for corruption investigations. Although, information sharing
platforms have been established through organizations like the Asset Recovery Inter-Agency of Southern
Africa (ARINSA) and International Police (INTERPOL) challenges occur in other jurisdictions where there isdelay or no response to enquiries on criminal offenders in extradition matters or enquiries on financial
investigations. This problem is not only peculiar to Zimbabwe but the world at large. Proceeds of crime are
kept in certain jurisdictions and efforts between countries to repatriate such proceeds are often frustrated bydifferent legal systems across borders. However, Zimbabwe continues to engage its counterparts and equallyassists when requests are received across borders for mutual legal assistance and extradition of offenders.
C. Strengthening Capacity of Institutions in the Criminal Justice System
In the 2012 UNODC executive summary of the Zimbabwe report it was observed that the lack ofresources to raise awareness and provide adequate training to enhance staff capacity contributed to aperception of mistrust in some criminal justice institutions. Continuous awareness campaigns on corruption
are centralized in major cities leaving the populace in small towns and rural areas unaware of the dangers ofcorruption. There has been intensive technical training for prosecutors which has been facilitated by the
UNODC and ARINSA. Prosecutors are posted to South Africa on an exchange programme in order for themto grasp the skills required when prosecuting corruption cases with substantial financial crime. It is, however,important for these skills to be attained by all the officers in the value chain of the criminal justice system.

VII. CONCLUSION
Zimbabwe, being a developing country, is making headway in its anti-corruption efforts, although thechallenges faced sometimes outweigh the progress. In its attempt to continue being relevant in the anticorruption regime, Zimbabwe continues to strengthen its collaborations with national, regional andinternational partners. Zimbabwe has undergone a National Risk Assessment under the Eastern andSouthern Anti-Money Laundering Group, and it is continuously making progress on the deficiencies noted in
its anti-money laundering and counter-financing of terrorism (AML/CFT) regime. Currently, Zimbabwe isundergoing review by the UNODC on its compliance with Chapter II of UNCAC on preventive measures.
Ultimately, the Government is desirous of improving the integrity of the countryʼs financial system andreducing the scope of illicit transactions in the economy through an adequate and effective implementation of
the AML/CFT system. It is Zimbabweʼs hope to continue to have its institutions strengthened throughcapacity-building and strong partnerships.

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REPORTS OF THE PROGRAMMEGROUP 1
EFFECTIVE MEASURES FOR GATHERING INFORMATION TO
DETECT AND INVESTIGATE CORRUPTION OFFENCES
Rapporteur: Mr. Adrian Bernard Conrad Samuels Esq. (Sierra Leone)
Co-Rapporteurs: Mr. Ismail Nadeem (Maldives)
Mr. Christopher Mesa (Philippines)
Mr. Mitsuhiro Sugita (Japan)
Chairperson
Co-Chairperson
Members

Advisers

Mr. Oleksii Geiko
Mr. Tsiry Razafimandimby
Mr. Daniel Lima
Mr. Gokul Banstola
Mr. Sada Moussa
Mr. Mahir Shallakey
Ms. Maki Kuroda
Mr. Yusuke Nishigaya
Prof. Ryo Futagoishi(Ukraine)(Madagascar)(Brazil)(Nepal)(Niger)(Sudan)(Japan)(Japan)(UNAFEI)

I. INTRODUCTION
Corruption nowadays is sophisticated and is usually done in secret by a group of persons domestically or
across borders. Hence, gathering information is very crucial on the part of Law Enforcement Agencies (LEA)
as the outcome of the prosecution and adjudication of a case is solely based on the quality of investigation
conducted and credibility of evidence gathered. For the above-stated reason and after a series of lecturesfrom professors and visiting experts, study tours and individual presentations, our group was formed to
discuss and share challenges and best practices in our respective countries on the topic above.
Effective measures to gather information, including facilitating reports from the public and use of publicly
available information; special investigative techniques such as undercover operations, electronic surveillanceand communications interception; other investigative techniques etc.; protection of whistle-blowers and/or
witnesses; and information sharing and cooperation among relevant agencies (domestic and international)
were therefore discussed.

II. CHALLENGES DURING DETECTION AND INVESTIGATION OF
CORRUPTION
Owing to the fact that corruption offences are often committed in secret without leaving any trace orevidence, it is quite burdensome proving these offences in court. For the said reason, whistle-blowers play avery important role in the fight against corruption.
Considering the contributions of a majority of the group members, it was noted that in many jurisdictions
very little or nothing has been done to protect whistle-blowers and witnesses. They are normally put in sucha situation that they fear for their lives, the lives of their family members, their jobs and so on. They therefore
shy away from rendering much needed help to the various bodies involved in the fight against graft.
It was also discussed that gathering initial information for further investigative activities normally takes a
lot of time. Considering the fact that most corruption-related crimes demand quick response, investigatorsand prosecutors therefore need access to information from public registries and databases to make theirwork easier.
Members of the group exchanged their experiences on special investigative techniques that are being
used during investigation of corruption-related crimes. During discussion it was concluded that undercover
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relevant and admissible evidence during pre-trial investigation.
In most jurisdictions court warrants are necessary for undercover operations. In some countries like
Brazil, the time limit for such court warrants is only 15 days, which is not sufficient for investigation.
In some countries, there are laws granting immunity from investigation and prosecution to top-officials
such as parliamentarians. They are therefore reluctant to make amendments to the laws granting them such
immunity.
Among other challenges, it was also mentioned that obtaining evidence through Mutual Legal Assistancerequests and international cooperation is highly important for investigation, but it takes a lot of time before
these requests are responded to. Another problem is the refusal by states to conduct criminal procedures
requested because of the different provisions in their criminal legislation.

III. BEST PRACTICES
During active discussions members of the group agreed on some of the best practices of theircounterparts that should be used as examples for possible improvement of their domestic criminal justicesystems.
The use of a centralized database for investigators could make gathering of necessary information at any
stage in a criminal proceedings an easier and faster process. Introducing electronic asset disclosure and eprocurement systems could also help to achieve a high level of transparency.
Amendments must be made to existing laws to cater for anonymous reports and their admissibility incourts. Leniency programmes and plea agreements with offenders could also be introduced to encourage
more reports on corrupt activities.
It is recommended that the use of complex undercover activities and techniques for gathering evidence,such as electronic surveillance, undercover audio and video recording of suspects, wiretapping, physicalsurveillance, communications interception, installation of video recording in offices and houses of suspects,
communications interception by installing audio recording devices on the clothes or other items of suspects,
and interceptions of e-mail communications should be encouraged.
The use of confidential agents for gathering information and further disclosure of criminal schemes andorganizations are also considered.
It is also recommended by most of the countries to adopt special legislation regarding whistle-blowersʼ
protection, which will underline necessary procedures for involving and protecting whistle-blowers andwitnesses, especially by limiting the number of parties in the criminal proceedings who have access to theidentities of whistle-blowers. Furthermore, holding court sessions in camera, distorting the voices of
witnesses when they testify, providing immunity from civil and criminal lawsuits for witnesses, provision ofpenalties for those who harm whistle-blowers, security of job tenure of witnesses, giving benefits such as
housing facilities, free medical treatment and so on while serving as a witness were all considered.

IV. CONCLUSIONS AND RECOMMENDATIONS
Improving the welfare of citizens is impossible without structural reforms in many areas. Reforms ofcriminal justice systems should become the key priority for every government. It may increase professional
standards for judges, prosecutors and investigators, and improve efficiency of investigation of corruptionrelated crimes. It is therefore recommended that the following provisions shall be adopted:
1. It is necessary and beneficial to construct a system that promotes whistle-blowing while being
cautious of the possibility of receiving false information.
2. It is important to notify the public of the whistle-blower protection unit so as to develop theirconfidence in reporting corruption and as a means of sensitizing them about the dangers of making a
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false or malicious report.
3. Governments should establish central databases for LEA and apply electronic asset disclosure andtransparent e-procurement systems.
4. There is a need for amendments to criminal procedural legislation to provide LEA with possibilities ofconducting all possible types of undercover activities.
5. It is necessary to exchange experiences and best practices among LEA officers through internationalseminars, trainings, conferences and workshops.

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GROUP 2
INTERNATIONAL COOPERATION FOR THE PURPOSE OFCONFISCATING ILLICIT PROFITS AND RECOVERING DAMAGES
Rapporteur: Ms. Charity Matumbi (Zimbabwe)
Co-Rapporteurs: Ms. Anna Dzhavaha (Ukraine)
Mr. Kenichi Nakajima (Japan)
Chairperson
Co-Chairperson
Members

Advisers

Mr. Abdulhamid F. Low
Ms. Anuradha Siriwardhana
Mr. Mohamed Kassem
Mr. Chrispin Khunga
Mr. Dulat Omar
Mr. Westmoreland Ajom
Mr. Khamsone Phimmasone
Mr. Kiminori Nagano
Mr. Matchanboy MatchanovProf. Junichiro Otani
Prof. Masahiro Yamada(Kenya)(Sri Lanka)(Egypt)(Malawi)(Kazakhstan)(Malaysia)(Lao PDR)(Japan)(Uzbekistan)(UNAFEI)(UNAFEI)

I. INTRODUCTION
The world has become a global village, and there is an increase of cases in which the economic activities ofsociety have become international. As a result, the property acquired through corruption crime is concealedin foreign countries. In investigating corruption offences, international cooperation including Mutual Legal
Assistance (MLA) is increasingly important to trace, freeze and forfeit proceeds of corruption crimes.

II. INTERNATIONAL CONVENTIONS
The group noted that all participating countries are State parties and members of the United Nations
Convention against Corruption (UNCAC) and other international conventions.

III. IDENTIFYING AND TRACING FINANCIAL FLOWSAll participating countries have legislation on identifying and tracing financial flows in their domestic
legislation, which empowers them to search, trace assets and money trails.
Good Practice: All participants agreed that it is good practice to liaise with other jurisdictions to obtain
information through informal contacts and affiliate groups. The participants also noted the need to create bilateral and multi-lateral agreements or Memorandums of Understanding (MOU) among member countries toenhance the provision of information and requests.
Challenges: The following issues were identified as challenges: lack of political will, impunity, lack ofprosecution powers in certain countries, lack of trust between agencies in the multi-agency approach,constitutional capacity, determining the location of the funds in the requested state, illegal ways oftransferring money to foreign countries such as hawala and undial, and Financial Intelligence Units (FIU) in
many countries cannot share information without the existence of MOUs with the requesting countries.
Recommendations: The participantsʼ countries should create a strong network and share information
informally to enhance and expedite formal procedures in cases which require international cooperation,
efforts should be made by the different jurisdictions to enlighten the judiciary on the importance of MLA andinternational cooperation in corruption cases, to establish MLA Units within anti-corruption agencies toenhance their knowledge and capacity on the procedures of MLA, make use of informal regionalorganizations like the Stolen Assets Recovery Group (StAR) and Asset Recovery Inter-Agency Network
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Southern Africa (ARINSA), create Joint Investigation Teams (JIT), cooperate with FIUs, and encourage FIUs
in different jurisdictions to establish MOUs.

IV. FREEZING, SEIZING AND CONFISCATION OF THE PROCEEDS OF
CORRUPTIONGood Practice: Kenya successfully managed to obtain a freezing order in a case involving a public official
who was charged with abuse of office and unexplained wealth. The court ruled that this official had
unexplained wealth, and the official was ordered to pay Kenyan Shillings 75 million, an equivalent of
US $ 750 000.1
Formal and/or informal communication and exchange of operative information ̶ Japanʼs Cooperation
with South Korea; Ukraineʼs cooperation with Switzerland, Latvia and Austria; Zimbabweʼs cooperation with
South Africa and Botswana, Malaysiaʼs cooperation with Hong Kong, Brunei, Indonesia, Thailand, the UnitedStates, Switzerland and Singapore; Kenyaʼs cooperation with Japan; Kazakhstanʼs cooperation with Ukraine,
Sri Lankaʼs cooperation with its neighbouring countries; Malawiʼs MOU with Japan.
Ukraine had success in an international case between Germany, the United States and Latvia, where
requests for freezing orders were facilitated using information from informal contacts which was eventuallyused as the basis for due court process.
Challenges: The Group noted that there are many challenges associated with freezing orders,confiscation and forfeiture orders. There are different legal frameworks for freezing, seizing and confiscationof proceeds of crime from country to country, so we are faced with the conflict of jurisdictions and theabsence of legislation on criminalization of illicit enrichment in some jurisdictions. Confiscation orders can be
granted by the courts, but assistance and cooperation may be difficult to obtain from the other jurisdictions.
Strict legislation on bank information and bank secrecy. The issue of off-shore zones is a challenge whenseeking to implement freezing or confiscation orders, especially if there are no treaties or bi-lateralagreements. Lack of political will, political interference, impunity, lack of trust among investigative agencies
when using a multi-agency approach, delays or no responses from requested states due to the diplomatic
bureaucracy stipulated by the law, lack of prosecuting powers for some anti-corruption agencies (Kenya &Zimbabwe), the issue of non-conviction-based confiscation, admissibility of evidence in foreign court
proceedings, translation of MLA documents when countries have different official languages. Determining
the location of the funds in other jurisdictions, the need to establish a link between misappropriated andrequested funds, non-disclosure of suspect funds detected by the requested State, sluggish asset disclosure
proceedings and spelling variations of the names of indicted persons whose assets are to be frozen2.
Recommendations: Create a strong network between participating countries such as a creation of focal
points in their respective countries for providing consultancy on domestic legislation of the requested
country. Engage representatives from offshore jurisdictions to participate in training or conferences andseminars on MLA and international cooperation. To strengthen inter-agency cooperation. The AntiCorruption agencies to lobby for enactment of laws to empower them. Some of the participants encouraged
countries to criminalize illicit enrichment.

V. ASSET RECOVERY
Challenges: Countriesʼ reluctance to cooperate in asset recovery because of the prejudice to theireconomies. The absence of a common framework of procedures regarding asset recovery among member
States of UNCAC to ensure successful forfeiture of the proceeds of corruption offences regardless of wherethese proceeds are deposited or transferred. Differences in the legal systems of countries, the absence of nonconviction-based forfeiture/confiscation in some jurisdictions.
Recommendations: Focal points for UNCAC. Creation of alumni UNAFEI network. State parties to
Article by Phillip Muyanga, Daily Nation of 2017 September 21st.
Note Verbal, dated 7 October 2011, from the Permanent Mission of Egypt to the United Nations (Vienna) addressed to theUnited Nations Office on Drugs and Crime, Corruption and Economics Crime Branch CAC/Cosp/2011/13.
1
2

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attend Working Group Meetings and the continuous review cycles of UNCAC. Some of the participants
encouraged the adoption of non-conviction-based confiscation.

VI. CONCLUSION
Corruption offences and the laundering of criminal proceeds is a global concern so at the international
level there should be a sincere and extensive intention to cooperate in the field of freezing, seizure and asset
recovery. The need for international cooperation should be emphasized to enable countries to confiscate illicit
proceeds of corruption crimes.

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GROUP 3

PREVENTIVE MEASURES AGAINST CORRUPTION IN
COOPERATION WITH CIVIL SOCIETY AND THE PRIVATE SECTOR
Rapporteur: Mr. Abid Husain Khamisani (Pakistan)
Co-Rapporteurs: Mr. Parviz Odinamahmadzoda (Tajikistan)
Mr. Henrique Lopes Soares (Timor-Leste)

Chairperson
Co-Chairperson
Members

Advisers

Mr. Gustavo Nogami
Mr. Murakami Kaoru
Ms. Leakena Saut
Mr. Myo Zaw Win
Mr. Pare Kupson Kuiap
Ms. Yen Hai Hoang
Mr. Pascoal Fransisco Jussa
Mr. Bono Yoshitaka
Prof. Hirano Nozomu(Brazil)(Japan)(Cambodia)(Myanmar)(PNG)(Viet Nam)
(Mozambique)(Japan)(UNAFEI)

I. INTRODUCTION
The problem with corruption is not simple and cannot be focused just on repression. In truth, it must be
acknowledged that there is no more effective method of combating corruption than a collective anddiversified compromise, encompassing a number of preventive, repressive, and reparatory measures since“prevention is better than cure”.
The discussion of the Group Workshop ̶ inspired by the model developed by professor Roy Godson(“Culture of Lawfulness”), as well as the Hong Kong preventive system ̶ led to the following report.

II. ISSUES AND CHALLENGES
A. Preventive Measures Related to the General Public
1. Education Focused on the Specific Public (“Target-Oriented Strategy”)
The main issue is the lack of general awareness of the importance of combating corruption. Without thisgeneral awareness, despite all the efforts, the repressive measures alone will not achieve success. In this way,
education is one of the most effective tools to raise public awareness and to change culture to fight against
corruption. For effective programmes, we need to focus on different targets such as young people(kindergarten, primary, secondary and tertiary school), teachers, community leaders, companies and thegeneral public.
2. Communication
The challenge to engage all society in the fight against corruption requires the development of the generalawareness of the importance of public resources. In the rural area, the challenge is bigger, because people do
not have access to more developed ways of communication, such as Internet or mobile phones, besides thelanguage limitation.
3. Advisory Activities to the Private Sector (“Partnership Strategy”)
Another challenge to be faced is the lack of knowledge of corruption in the private sector. In this way, thegovernment could help the private sector to review internal procedures and develop best practices to avoid
corruption.
B. Preventive Measures Related to Law Enforcement Agents
1. Codes of Conduct, Compliance and Integrity Programmes
A challenge that must be faced is that some of the nations do not have specific codes of conduct or, atleast, general ones. The same problem is observed with the compliance and integrity programmes.
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Furthermore, a bigger challenge to be faced is the execution of these codes and integrity programmes.
2. Asset Declaration, Declaration of Gifts Policies and Other Transparency Measures
The lack of transparency is a huge challenge to avoid corruption. The publication of information
contributes to social control. Therefore, transparency measures should be encouraged. In the same way, theacceptance of gifts or other favours should be controlled, avoiding external influence in the public matters.
3. Prevention Advice and Assignment Studies
Most of the public agencies focus only on their specific issues, forgetting to review the internal procedures
and allowing space for corruption. An external agency responsible for reviewing the internal procedures canhelp to develop best practices.
4. Education and Training for Relevant Agencies
A huge challenge to executing any anti-corruption policy is the engagement of public officers. In fact, onlywith the ownership of all public officers is it possible to create a strong net to combat corruption. Therefore,
education and training for relevant agencies is indispensable to create this ownership.

III. BEST PRACTICES
A. Preventive Measures Related to the General Public
1. Education Focused on the Specific Public (“Target-Oriented Strategy”)
After analysing the Hong Kong experience, the group understood that the best practice is investing in
education, especially with a target-oriented strategy that focuses on different segments of the public withdifferent suitable education methods.
There are many ways to develop a target-oriented strategy: spreading knowledge through books,
guidelines and cartoons, as well as dramas, series and so on. Ethics classes and law enforcement agencies
activities (mock trial, simulation of investigations, etc...) also can be used in this strategy.
2. Communication
For the purpose of engaging the public in combating corruption, all the mass communication media should
be used, such as television (soup operas, series, drama, cartoons, etc...), radio, advertisement, social media,
Internet campaigns. In rural areas, the communication should also be target oriented, especially to opinion
formers such as moral authorities, community leaders, volunteers, among others.
3. Advisory Activities in the Private Sector (“Partnership Strategy”)
Another best practice was noticed in Hong Kongʼs strategy called the “Partnership Strategy”, which is agovernment review based on the internal procedures of private-sector companies to avoid corruption. The
corruption agencies can help companies to develop their own compliance or integrity programmes. This iscalled advisory activities in the private sector (“Partnership Strategy”).
B. Preventive Measures Related to Law Enforcement Agents
1. Codes of Conduct, Compliance and Integrity Programmes
All nations should create general and specific codes of conduct, as well as compliance and integrity
programmes for the public institutions. The observation of these codes and integrity programmes will
depend also on the “ownership” by public officers. In Japan, some of the public servants need to take, at least,
one lecture per year, in a continuous integrity programme training. In addition, it is suggested that theinstitutions create specific sectors to follow the application of the integrity programmes.
2. Asset Declaration, Declaration of Gifts Policies and Other Transparency Measures
Transparency measures should be encouraged, as transparency is required to strengthen social control.
In this way, asset declaration is a good practice that should be implemented in every country. In the sameway, the acceptance of gifts or other favours should be controlled, avoiding external influence in publicmatters or in the performance of the duties or judgement. In Japan, every officer that receives any gift over
￥5,000 is obligated to report it to the human resources department.

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3. Prevention Advice and Assignment Studies
The Hong Kong experience shows the advantages of an external public agency responsible for reviewing
the internal procedures of other agencies, which should be replicated.
4. Education and Training for Relevant Agencies
Education and the continuous training are the keys to developing awareness and ownership among all
public officers about the importance of combating corruption. These good practices have been adopted insome institutions in Japan.

IV. CONCLUSION
It is unanimously decided that preventive measures elaborated in the instant Report of Group 3, may be
applied as tools to guide the efforts against corruption, and every participant within his or her authority willencourage his or her respective government to establish mechanisms to implement the preventive measuresagainst corruption through the general public and law enforcement agencies.

V. RECOMMENDATIONS
1- Preventive measures against corruption by educating the people of society including politicians,
students, teachers, and the general public through different ways and means of communication, involvementof religious leaders, community authorities and to establish partnership strategies with the government andprivate companies.
2- Preventive measures against corruption by the adoption of a code of conduct for public officials to
declare the assets and to declare the gifts and to prevent them from the abuse of authority. It is also an
important to involve officials in ethical practices, integrity programmes and continuous education
programmes for law enforcement agents. External public agencies should review the internal procedures ofother agencies.
3- Participants of the group unanimously agreed that ties are well established between corruption andother crime, particularly the organized crime of terrorism and economic crime. Since corruption is crossing
national borders and is now affecting all societies, thus, international cooperation, in view of “the International
code of conduct for public officials”, is very essential for prevention and control of corruption.
In furtherance of the above, “the International code of conduct for public officials” may be adopted, until,
the respective governments initiate their own legislative instrument, to insure the aforesaid preventive
measures including the execution of law.
Finally, Group 3 recommends that by taking advantage of the present forum, each country should joinhands together by establishing international cooperation through the coordination of UNAFEI and the
UNODC, to achieve the basic motive of corruptionless societies.

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The 170th International Training Course

The 170th International Training Course (UNAFEI, 22 August - 21 September 2018)

Left to Right:
Above
Dr. Sheldon Zhang (United States), Ms. Ampo (Philippines), Mr. Lindayag (Philippines)
4th Row
Ms. Kuan Pou Kei (Intern), Mr. Sato (Intern), Ms. Taniguchi (Japan), Mr. Hapuarachchi (Sri Lanka), Mr.
Ando (Japan), Mr. Takata (Brazil), Mr. Mangere (Papua New Guinea), Mr. Abd. Mutalib (Malaysia), Mr. Nagai(Japan), Ms. Hisa (JICA), Ms. Odagiri (Chef), Ms. Iwakata (Staff), Ms. Nagahama (Staff)
3rd Row
Ms. Kamada (Staff), Ms. Nokchan (Thailand), Ms. Figaro Jolicoeur (Mauritius), Mr. Ab. Wahab (Malaysia),
Mr. Ullah (Pakistan), Mr. Gunno (Mauritius), Mr. Abdul Hameed (Maldives), Mr. Yamane (Japan), Mr. Thet
Paing Soe (Myanmar), Mr. Manichanh (Laos), Mr. Lam (Hong Kong), Mr. Hirose (Staff), Ms. Iinuma (Staff), Mr.
Saito (Staff)
2nd Row
Ms. Oyo (Intern), Ms. Komino (Japan), Mr. Smith (Samoa), Ms. Limbo (Namibia), Mr. Suzuki (Japan), Ms.
Wada (Japan), Mr. Kondo (Japan), Mr. Yamashita (Japan), Mr. Ueno (Japan), Mr. Kabe (Japan), Mr. Na (Korea),
Mr. Tone (Japan), Prof. Yamada, Prof. Futagoishi
1st Row
Mr. Toyoda (Staff), Prof. Kitagawa, Prof. Hirano, Prof. Otani, Deputy Director Ishihara, Dr. Wodak(Australia), Director Seto, Ms. Busse (UNODC), Prof. Yamamoto, Prof. Ohinata, Prof. Watanabe, Mr. Fujita(Staff), Mr. Schmid (LA)The 21st UNAFEI UNCAC Training Programme

The 21st UNAFEI UNCAC Training Programme (UNAFEI, 11 October - 16 November 2018)

Left to Right:
Above
Mr. Ahmad Khusairi Bin Yahaya (Malaysia), Mr. Ruslen Bin Shamsudin (Malaysia)
4th Row
Mr. Saito (Staff), Ms. Nagahama (Staff), Mr. Sugita (Japan), Mr. Odinamahmadzoda (Tajikistan), Mr. Nagano(Japan), Mr. Shallakey (Sudan), Mr. Ajom (Malaysia), Mr. Razafimandimby (Madagascar), Mr. Matchanov(Uzbekistan), Mr. Khunga (Malawi), Mr. Banstola (Nepal), Mr. Jussa (Mozambique), Mr. Nishigaya (Japan),Prof. Furuhashi
3rd Row
Ms. Odagiri (Chef), Ms. Iinuma (Staff), Ms. Oda (Staff), Ms. Kamada (Staff), Ms. Kuroda (Japan), Mr. Nogami(Brazil), Mr. Murakami (Japan), Mr. Myo Zaw Win (Myanmar), Mr. Phimmasone (Laos), Mr. de Lima (Brazil),
Mr. Low (Kenya), Mr. Nakajima (Japan), Ms. Hoang (Viet Nam), Ms. Dzhavaha (Ukraine), Mr. Soares (TimorLeste), Prof. Kitagawa, Ms. Yamamoto (JICA)
2nd Row
Ms. Iwakata (Staff), Ms. Yamada (Staff), Mr. Hirose (Staff), Prof. Ohinata, Mr. Bono (Japan), Mr. Mesa
(Philippines), Mr. Kassem (Egypt), Mr. Moussa (Niger), Mr. Omar (Kazakhstan), Mr. Khamisani (Pakistan), Mr.
Geiko (Ukraine), Mr. Samuels (Sierra Leone), Ms. Siriwardhana (Sri Lanka), Mr. Nadeem (Maldives), Ms.
Matumbi (Zimbabwe), Mr. Kuiap (Papua New Guinea), Ms. Saut (Cambodia)
1st Row
Mr. Schmid (LA), Mr. Toyoda (Staff), Prof. Futagoishi, Prof. Yamada, Prof. Hirano, Ms. So (Hong Kong), Ms.
Wong (Hong Kong), Director Seto, Mr. Lamesic (Eurojust), Deputy Director Ishihara, Prof. Otani, Prof.
Watanabe, Mr. Fujita (Staff), Ms. Kikuchi (Staff)

RESOURCE MATERIAL SERIES INDEXVol.

Training Course Name

Course No.

Course Dates

1

Public Participation in Social Defence

25

Sep-Dec 1970

2

Administration of Criminal Justice26

Jan-Mar 1971

3

[Corrections]27

Apr-Jul 1971

[Police, Prosecution and Courts]

28

Sep-Dec 1971

Social Defence Planning

29

Feb-Mar 1972

Treatment of Crime and Delinquency

30

Apr-Jul 1972

United Nations Training Course in Human Rights in the
Administration of Criminal Justicen/a

Aug-Sep 1972

Administration of Criminal Justice31

Sep-Dec 1972

Reform in Criminal Justice32

Feb-Mar 1973

Treatment of Offenders

33

Apr-Jul 1973

7

[Administration of Criminal Justice]34

Sep-Dec 1973

8

Planning and Research for Crime Prevention

35

Feb-Mar 1974

Administration of Criminal Justice36

Apr-Jun 1974

International Evaluation Seminar37

Jul 1974

Treatment of Juvenile Delinquents and Youthful Offenders

38

Sep-Nov 1974

The Roles and Functions of the Police in a Changing Society

39

Feb-Mar 1975

Treatment of Offenders

40

Apr-Jul 1975

4
5
6

9
10

NB: Resource Material Series Index, Nos. 1-10 (p. 139)n/a

Oct 1975

11

Improvement in the Criminal Justice System

41

Sep-Dec 1975

12

Formation of a Sound Sentencing Structure and Policy

42

Feb-Mar 1976

Treatment of Offenders

43

Apr-Jul 1976

13

Exploration of Adequate Measures for Abating and Preventing
Crimes of Violence

44

Sep-Dec 1976

14

Increase of Community Involvement

45

Feb-Mar 1977

Treatment of Juvenile Delinquents and Youthful Offenders

46

Apr-Jul 1977

Speedy and Fair Administration of Criminal Justice47

Sep-Dec 1977

Prevention and Control of Social and Economic Offences48

Feb-Mar 1978

Report of United Nations Human Rights Training Coursen/a

Dec 1977

15

16

Treatment of Offenders

49

Apr-Jul 1978

Dispositional Decisions in Criminal Justice Process50

Sep-Dec 1978

Treatment of Dangerous or Habitual Offenders

51

Feb-Mar 1979

Community-Based Corrections

52

Apr-Jul 1979

18

Roles of the Criminal Justice System in Crime Prevention

53

Sep-Dec 1979

19

Arrest and Pre-Trial Detention

54

Feb-Mar 1980

Institutional Treatment of Adult Offenders

55

Apr-Jul 1980

Institutional Treatment of Adult Offenders

55

Apr-Jul 1980

Integrated Approach to Effective and Efficient Administrationof Criminal Justice56

Sep-Nov 1980

57

Feb-Mar 1981

17

20

NB: Resource Material Series Index, Nos. 1-20 (p. 203)
21

Crime Prevention and Sound National Development

Mar 1981

Integrated Approach to Effective Juvenile Justice
Administration (including Proposed Guidelines for the
Formulation of the Standard Minimum Rules for Juvenile
Justice Administration: A draft prepared by UNAFEI on thebasis of the reports of the study groups at the 58th International
Training Course)

58

May-Jul 1981

Contemporary Problems in Securing an Effective, Efficient andFair Administration of Criminal Justice and Their Solutions

59

Feb-Mar 1982

Secruing Rational Exercise of Discretionary Powers at
Adjudication and Pre-adjudication Stages of Criminal Justice
Administration

60

Apr-Jul 1982

23

Improvement of Correctional Programmes for More Effective
Rehabilitation of Offenders

61

Sep-Nov 1982

24

Promotion of Innovations for Effective, Efficient and Fair
Administration of Criminal Justice62

Feb-Mar 1983

Community-Based Corrections

63

Apr-Jul 1983

The Quest for a Better System and Administration of Juvenile
Justice64

Sep-Dec 1983

Documents Produced during the International Meeting ofExperts on the Development of the United Nations Draft
Standard Minimum Rules for the Administration of Juvenile
Justicen/a

Nov 1983

International Cooperation in Criminal Justice Administration

65

Feb-Mar 1984

Promotion of Innovation in the Effective Treatment of
Prisoners in Correctional Institutions

66

Apr-Jul 198427

An Integrated Approach to Drug Problems

67

Sep-Dec 1984

28

Contemporary Asian Problems in the Field of Crime Prevention
and Criminal Justice, and Policy Implications

68

Feb-Mar 1985

Report of the Fifth Meeting of the Ad Hoc Advisory Committeeof Experts on UNAFEI Work Programmes and Directions

n/a

Mar 1985

Report of the International Workshop on the Role of Youth
Organizations in the Prevention of Crime Among Youthn/a

Jul 1985

Follow-up Team for Ex-Participants of UNAFEI Courses

n/a

Dec 1985

Community-Based Corrections

69

Apr-Jul 1985

29

In Pursuit of Greater Effectiveness and Efficiency in theJuvenile Justice System and Its Administration70

Sep-Dec 1985

30

Promotion of Innovation in Criminal Justice Administration for
the Prevention of New Criminality

71

Feb-Mar 1986

The Quest for Effective and Efficient Treatment of Offenders in
Correctional Institutions

72

Apr-Jul 1986

Economic Crime: Its Impact on Society and Effective
Prevention73

Sep-Nov 1986

Report of the International Seminar on Drug Problems in Asiaand the Pacific Regionn/a

Aug 1986

Advancement of Fair and Humane Treatment of Offenders andVictims in Criminal Justice Administration74

Feb-Mar 1987

Non-institutional Treatment of Offenders: Its Role andImprovement for More Effective Programmes

75

Apr-Jun 1987

22

25

26

31

32

Evaluation of UNAFEIʼs International Courses on Prevention of
Crime and Treatment of Offenders, and Drug Problems in Asia

76

Aug-Sep 1987

Crime Related to Insurance77

Oct-Dec 1987

Report of the Sixth Meeting of the Ad Hoc Advisory Committeeof Experts on UNAFEI Work Programmes and Directionsn/a

Sep 1987

Report of the Workshop on Implementation Modalities for the
Twenty-Three Recommendations Adopted by the International
Seminar on Drug Problems in Asia and the Pacific Regionn/a

Sep 1987

Footprints, Contemporary Achievements and Future
Perspectives in Policies for Correction and Rehabilitation of
Offenders78

Feb-Mar 1988

Search for the Solution of the Momentous and Urgent Issues inContemporary Corrections

79

Apr-Jul 1988

Resolution of the Asia and Pacific Regional Experts Meetingn/a

Mar 1988

Report of the Meeting of Experts on the United Nations Draft
Standard Minimum Rules for Non-Custodial Measures (TheTokyo Rules)n/a

Jul 1988

35

Quest for Effective International Countermeasures to Pressing
Problems of Transnational Criminality

80

Sep-Nov 1988

36

Advancement of the Integration of Criminal Justice
Administration

81

Feb-Mar 1989

Innovative Measures for Effective and Efficient Administrationof Institutional Correctional Treatment of Offenders

82

Apr-Jul 1989

Report of the Expert Group Meeting on Adolescence and Crime
Prevention in the ESCAP Regionn/a

Aug 1989

Crime Prevention and Criminal Justice in the Context ofDevelopment83

Sep-Nov 1989

International Workshop on Victimology and Victimʼs Rights

n/a

Oct 1989

Policy Perspectives on Contemporary Problems in Crime
Prevention and Criminal Justice Administration

84

Jan-Mar 1990

Wider Use and More Effective Implementation of Noncustodial Measures for Offenders

85

Apr-Jun 1990

39

Search for Effective and Appropriate Measures to Deal with
the Drug Problem

86

Sep-Dec 1990

40

Development of an Effective International Crime and Justice
Programme

87

Jan-Mar 1991

Institutional Treatment of Offenders in Special Categories

88

Apr-Jul 1991

NB: Resource Material Series Index, Nos. 21-40 (p. 333)

n/a

n/a

41

Effective and Innovative Countermeasures against Economic
Crime

89

Sep-Dec 1991

42

Quest for Solutions of the Pressing Problems of Contemporary
Criminal Justice Administration

90

Jan-Feb 1992

Further Use and Effectual Development of Non-Custodial
Measures for Offenders

91

Apr-Jul 1992

43

Quest for Effective Methods of Organized Crime Control

92

Sep-Nov 1992

44

Policy Perspective for Organized Crime Suppression

93

Feb-Mar 1993

Current Problems in Institutional Treatment and Their Solution

94

Apr-Jul 1993

33

34

37

38

45

Effective Countermeasures against Crimes Related to
Urbanization and Industrialization̶Urban Crime, Juvenile
Delinquency and Enviromental Crime95

Sep-Dec 1993

46

Promotion of International Cooperation in Criminal Justice
Administration

96

Jan-Mar 1994

Effective Treatment of Drug Offenders and Juvenile
Delinquents

97

Apr-Jul 1994

47

Economic Crime and Effective Countermeasures against It

98

Sep-Dec 1994

48

The Effective Administration of Criminal Justice: Public
Participation and the Prevention of Corruption

99

Jan-Mar 1995

The Institutional Treatment of Offenders: Relationships with
Other Criminal Justice Agencies and Current Problems in
Administration

100

Apr-Jul 1995

49

The Fair and Efficient Administration of Criminal Justice: The
Proper Exercise of Authority and Procedural Justice101

Sep-Dec 1995

50

Crime Prevention through Effective Firearms Regulation

102

Jan-Mar 1996

51

Improvement of the Treatment of Offenders through theStrengthening of Non-custodial Measures

103

Apr-Jul 1996

International Cooperation in Criminal Justice Administration

104

Sep-Nov 1996

The Effective Administration of Criminal Justice for thePrevention of Corruption by Public Officials

105

Jan-Feb 1997

The Quest for Effective Juvenile Justice Administration

106

Apr-Jul 1997

The Role and Function of Prosecution in Criminal Justice107

Sep-Nov 1997

The Ninth Meeting of the Ad Hoc Advisory Committee ofExperts on UNAFEI Work Programmes and Directionsn/a

Oct 1997

Current Problems in the Combat of Organized Transnational
Crime

108

Jan-Feb 1998

Effective Treatment Measures for Prisoners to Faciliate Their
Reintegration into Society

109

Apr-Jul 1998

Effective Countermeasures against Economic and Computer
Crime

110

Aug-Nov 1998

The Role of Police, Prosecution and the Judiciary in the
Changing Society

111

Jan-Feb 1999

Participation of the Public and Victims for More Fair andEffective Criminal Justice112

Apr-Jul 1999

The Effective Administration of Criminal Justice for thePrevention of Corrupt Activities by Public Officials

113

Aug-Nov 1999

International Cooperation to Combat Transnational Organized
Crime̶with Special Emphasis on Mutual Legal Assistance andExtradition

114

Jan-Feb 2000

Current Issues in Correctional Treatement and Effective
Countermeasures

115

May-Jun 2000

Effective Methods to Combat Transnational Organized Crime
in Criminal Justice Processes

116

Aug-Nov 2000

Current Situation and Countermeasures against Money
Laundering

117

Jan-Feb 2001

Best Practices in the Institutional and Community-Based
Treatment of Juvenile Offenders

118

May-Jul 2001

52
53

54

55

56

57

58

59

Current Situation of and Countermeasures against
Transnational Organized Crime

119

Sep-Nov 2001

60

Effective Administration of the Police and the Prosecution in
Criminal Justice120

Jan-Feb 2002

61

Enhancement of Community-Based Alternatives toIncarceration at all Stages of the Criminal Justice Process

121

May-Jul 2002

62

The Effective Administration of Criminal Justice to Tackle
Trafficking Human Beings and Smuggling of Migrants

122

Sep-Oct 2002

63

The Protection of Victims of Crime and the Active Participationof Victims in the Criminal Justice Process Specifically
Considering Restorative Justice Approaches

123

Jan-Feb 2003

64

The Effective Prevention and Enhancement of Treatment for
Drug Abusers in the Criminal Justice Process

124

Apr-Jun 2003

65

Effective Countermeasures against Illicit Drug Trafficking andMoney Laundering125

Sep-Oct 2003

Sixth International Training Course on Corruption Control in
Criminal Justice

6th UNCAC

66

Economic Crime in a Globalizing Society̶Its Impact on theSound Development of the State

126

Jan-Feb 2004

67

Implementing Effective Measures for the Treatment of
Offenders after Fifty Years of United Nations Standard Setting
in Crime Prevention and Criminal Justice127

May-Jun 2004

Measures to Combat Economic Crime, Including Money
Laundering

128

Aug-Oct 2004

68

Crime Prevention in the 21st Century̶Effective Prevention of
Crime Associated with Urbanization Based upon Community
Involvement and Prevention of Youth Crime and Juvenile
Delinquency

129

Jan-Feb 2005

69

Integrated Strategies to Confront Domestic Violence and Child
Abuse

130

May-Jun 2005

7th UNCAC

Oct-Nov 2005

Seventh Special Training Course on Corruption Control in
Criminal Justice

Nov 2003

70

The Use and Application of the United Nations Declaration of
Basic Principles of Justice for Victims of Crime and Abuse ofPower̶Twenty Years after Its Adoption

131

Aug-Oct 2005

71

Strengthening the Legal Regime for Combating Terrorism

132

Jan-Feb 2006

Eighth International Training Course on Corruption Control in
Criminal Justice

8th UNCAC

Oct-Nov 2005

72

Effective Prevention and Enhancement of Treatment for Sexual
Offenders133

May-Jun 2006

73

Challenges in the Investigation, Prosecution and Trial ofTransnational Organized Crime

134

Aug-Oct 2006

Ninth International Training Course on Corruption Control in
Criminal Justice

9th UNCAC

Oct-Nov 2006

74

Promoting Public Safety and Controlling Recidivism Using
Effective Interventions with Offenders: An Examination of Best
Practices

135

Jan-Feb 200775

Effective Measures for the Treatment of Juvenile Offenders
and their Reintegration into Society

136

May-Jun 2007

76

Corporate Crime and the Criminal Liability of Corporate
Entities
Tenth International Training Course on the Criminal Justice
Response to Corruption

137

Sep-Oct 2007

10th UNCAC

Oct-Nov 2007

77

Effective Legal and Practical Measures for Combating
Corruption: A Criminal Justice Response

138

Jan-Feb 2008

78

Profiles and Effective Treatment of Serious and Violent
Juvenile Offenders

139

May-Jun 2008

79

The Criminal Justice Response to Cybercrime140

Sep-Oct 2008

Eleventh International Training Course on the Criminal Justice
Response to Corruption

11th UNCAC

Oct-Nov 2008

The Improvement of the Treatment of Offenders through the
Enhancement of Community-Based Alternatives toIncarceration

141

Jan-Feb 2009

Effective Countermeasures against Overcrowding ofCorrectional Facilities

142

May-Jun 2009

Twelfth International Training Course on the Criminal Justice
Response to Corruption

12th UNCAC

Jul-Aug 2009

Ethics and Codes of Conduct for Judges, Prosecutors and Law
Enforcement Officials

143

Sep-Nov 200981

The Enhancement of Appropriate Measures for Victims of
Crime at Each Stage of the Criminal Justice Process

144

Jan-Feb 201082

Effective Resettlement of Offenders by Strengthening“Community Reintegration Factors”

145

May-Jun 2010

83

Attacking the Proceeds of Crime: Identification, Confiscation,
Recovery and Anti-Money Laundering Measures

146

Aug-Oct 2010

The 13th International Training Course on the Criminal Justice
Response to Corruption

13th UNCAC

Oct-Nov 2010

80

84

Community Involvement in Offender Treatment

147

Jan-Feb 201185

Drug Offender Treatment: New Approaches to an Old Problem

148

May-Jun 2011

86

Securing Protection and Cooperation of Witnesses and Whistleblowers

149

Aug-Sep 2011

Effective Legal and Practical Measures against Corruption

14th UNCAC

Oct-Nov 201187

Trafficking in Persons̶Prevention, Prosecution, Victim
Protection and Promotion of International Cooperation

150

Jan-Feb 201288

Evidence-Based Treatment of Offenders

151

May-Jun 201289

Trafficking in Persons̶Prevention, Prosecution, Victim
Protection and Promotion of International Cooperation

152

Aug-Sep 2012

Effective Legal and Practical Measures against Corruption

15th UNCAC

Oct-Nov 2012

90

Treatment of Female Offenders

153

Jan-Feb 2013

91

Stress Management of Correctional Personnel̶Enhancing the
Capacity of Mid-Level Staff

154

May-Jun 201392

Effective Collection and Utilization of Evidence in Criminal
Cases

155

Aug-Oct 2013

Effective Measures to Prevent and Combat Corruption and to
Encourage Cooperation between the Public and Private Sectors

16th UNCAC

Oct-Nov 2013

Protection for Victims of Crime and Use of Restorative Justice
Programmes

156

Jan-Feb 2014

93

94
95

Assessment and Treatment of Special Needs Offenders

157

May-Jun 2014

Measures for Speedy and Efficient Criminal Trials

158

Aug-Sep 2014

17th UNCAC

Oct-Nov 2014

Effective Measures to Prevent and Combat Corruption
Focusing on Identifying, Tracing, Freezing, Seizing,
Confiscating and Recovering Proceeds of Corrpution
96

Public Participation in Community Corrections

159

Jan-Feb 201597

The State of Cybercrime: Current Issues and Countermeasures

160

May-Jun 201598

Staff Training for Correctional Leadership

161

Aug-Sep 2015

Effective Anti-Corruption Enforcement and Public-Private andInternational Cooperation

18th UNCAC

Oct-Nov 2015

99

Multi-Agency Cooperation in Community-Based Treatment of
Offenders

162

Jan-Feb 2016

100

Children as Victims and Witnesses

163

May-Jun 2016101

Effective Measures for Treatment, Rehabilitation and Social
Reintegration of Juvenile Offenders

164

Aug-Sep 2016

Effective Anti-Corruption Enforcement (Investiagation andProsecution) in the Area of Procurement

19th UNCAC

Oct-Nov 2016

102

Juvenile Justice and the United Nations Standards and Norms

165

Jan-Feb 2017

103

Criminal Justice Procedures and Practices to Disrupt Criminal
Organizations

166

May-Jun 2017

104

Rehabilitation and Social Reintegration of Organized Crime
Members and Terrorists

167

Aug-Sep 2017

Effective Measures to Investigate the Proceeds of Corruption
Crimes20th UNCAC

Nov-Dec 2017

105

Enhancing the Rule of Law in the Field of Crime Prevention andCriminal Justice: Policies and Practices Based on the United
Nations Conventions and Standards and Norms

168

Jan-Feb 2018

106

Criminal Justice Practices against Illicit Drug Trafficking

169

May-Jun 2018

107

Treatment of Illicit Drug Users

170

Aug-Sep 2018

21st UNCAC

Oct-Nov 2018

Combating Corruption through Effective Criminal Justice
Practices, International Cooperation and Engagement of Civil
SocietyISSN 0256-5471
ISBN 978-4-87033-327-7

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