RESOURCE MATERIALSERIES No. 98

UNAFEI
Fuchu, Tokyo, Japan

March 2016

YAMASHITA Terutoshi
Director
United Nations
Asia and Far East Institutefor the Prevention of Crime andthe Treatment of Offenders(UNAFEI)
1-26 Harumi-cho, Fuchu, Tokyo 183-0057, Japan
http://www.unafei.or.jp
unafei@moj.go.jp

CONTENTS
INTRODUCTORY NOTE

v

Effective Training for the Prevention of Misconduct and Corruption in Detention andCorrections
by Mr. Gary Hill (United States)

3

Analysis of Current Training Systems, the Development and Use of Training Needs
Analysis and Training Effectivenessby Mr. Gary Hill (United States)

 19

Training Manuals and Lesson Plans for Correctional Staff Including Practical
Application of the UN Standards and Norms
by Mr. Gary Hill (United States) 36International Standards and Norms as Guidance in the Criminal Justice System
by Dr. Matti Joutsen (Finland) 54PART ONEWORK PRODUCT OF THE 161ST
INTERNATIONAL TRAINING COURSE
STAFF TRAINING FOR CORRECTIONAL LEADERSHIP
Visiting Experts’ Papers
⃝

⃝

⃝

⃝

Participants’ Papers⃝

Staff Training for Correctional Leadership: the Hong Kong Experienceby Mr. Lap-yip LO (Hong Kong)

 68

⃝

Staff Training for Correctional Leadershipby Mr. Pamela Monyenche Masese (Kenya)

 78

⃝

Administration of the Kenya Prisons Organization
by Mr. Peter Kimani Ndung’u (Kenya) 83

Reports of the Course⃝

Enhancing the Organizational Strengths of Criminal Justice Organizations
by Group 1

 89

⃝

Developing Effective Training Curricula
by Group 2

 96

iii

PART TWOWORK PRODUCT OF THE 18TH UNAFEI UNCACTRAINING PROGRAMMEEFFECTIVE ANTI-CORRUPTION ENFORCEMENT AND PUBLIC–PRIVATEAND INTERNATIONAL COOPERATION
Visiting Expert’s Paper⃝

Brief Overview of the German Criminal Justice System: The German Legislative
Response to Corruption Crimeby Mr. Richard Findl (Germany)

 103

Participants’ Papers⃝

Criminal Justice Response to Corruption in Honduras
by Mr. Jose Humberto Palacios Guifarro (Honduras)

 125

⃝

Criminal Justice Response to Corruption in Kazakhstan
by Mr. Kushimov Nurkhat (Kazakhstan)

 129

⃝

Criminal Justice Response to Corruption in Maldivesby Ms. Fathimath Haifa Abdul Gayoom (Maldives)

 136

⃝

Criminal Justice Response to Corruption in South Sudan
by Mr. Akuei Mayuen Deng Dut (South Sudan)

 145

⃝

Criminal Justice Response to Corruption in Thailand
by Ms. Silawan Panom (Thailand)

 152

⃝

Effective Anti-Corruption Enforcement and Public–Private and International Cooperation
by Mr. Ulugbek Melisovich Usmanov (Uzbekistan) 158

Reports of the Programme⃝

Effective Anti-Corruption Measuresby Group 1

 165

⃝

Corruption in Developing Countries and Its Possible Solutions
by Group 2

 170

⃝

Effective Measures for Combating Corruption from Detecting Leads to Trial—A Comparative Analysis of Domestic Laws
by Group 3 176

APPENDIX

iv

 187

INTRODUCTORY NOTE
It is with pride that the United Nations Asia and Far East Institute for the Prevention of Crime andthe Treatment of Offenders (UNAFEI) offers to the international community the Resource Material Series
No. 98.
Part One of this volume contains the work product of the 161st International Training Course,
conducted from 19 August to 17 September 2015. The main theme of the 161st Course was Staff Training
for Correctional Leadership. Part Two contains the work product of the 18th UNAFEI UNCAC Training
Programme, conducted from 14 October to 18 November 2015. The main theme of the 18th UNCAC
Programme was Effective Anti-Corruption Enforcement and Public–Private and International Cooperation.
The 161st Course offered participants an opportunity to deepen their understanding of relevant United
Nations standards and norms on offender treatment and introduced practices and measures for thecapacity building of correctional personnel. Standards and norms such as the Standard Minimum Rules for
the Treatment of Prisoners (1955) and the Standard Minimum Rules for Non-custodial Treatment (1990)(“The Tokyo Rules”) encourage UN member states to implement policies and practices that protect the
dignity and human rights of offenders and correctional staff, as well as policies and practices that seek toreduce recidivism by promoting offender rehabilitation and social reintegration. A common theme of these
instruments is recognition that full implementation of such policies and practices cannot succeed without
proper training of correctional leaders and staff.
The 18th UNCAC Programme addressed challenges facing anti-corruption officials and encouraged theexchange of best practices to prevent and combat corruption. Corruption is a secret crime, which makes itvery difficult for criminal justice authorities to obtain effective leads and to fully develop and investigate
them. The participants considered measures to address these problems, such as witness protection, protection of reporting persons, mitigating punishment or providing immunity to cooperative persons, special investigative techniques (controlled delivery, electronic surveillance, and undercover operations), criminalization of illicit enrichment and obstruction of justice, and so on. The programme also stressed the importance of international cooperation and cooperation between the public and private sectors for effective anticorruption enforcement.
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 share experiences, gain knowledge, and examine crime prevention measures in their related fields, as well as to build ahuman network of counterparts to further international cooperation, which is vital to addressing theseissues.
In this issue, in regard to both the 161st International Training Course and the 18th 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 UNAFEI’s international training programmes. Finally,
I would like to express my heartfelt gratitude to all who so unselfishly assisted in the publication of thisseries.
March 2016

YAMASHITA Terutoshi
Director of UNAFEIv

PART ONE
RESOURCE MATERIAL SERIES
No. 98Work Product of the 161st International Training Course“Staff Training for Correctional Leadership”

UNAFEIVISITING EXPERTS’ PAPERSEFFECTIVE TRAINING FOR THE PREVENTION OF MISCONDUCT AND
CORRUPTION IN DETENTION AND CORRECTIONS†
Gary Hill ＊I. CORRUPTION AND MISCONDUCTWithin the criminal justice system, incarceration is the one element that has the single duty of restricting a person’s freedom. In spite of discussions attempting to massage the purposes of incarceration
between retribution, deterrence or rehabilitation, its sole responsibility is incapacitation. Pre-trial detention
or remand has only one purpose – to hold an individual in a secure setting to insure that person isavailable for trial. A prison sentence, whether in a relatively open community setting or in a highly secure
facility, is instituted to regulate the movement of an individual and to moderate that person’s contact withothers. The provision of programs or “rehabilitation” is hoped for, but not the reason people are locked up.
As such, detention and imprisonment provide other areas of the criminal justice system (police, prosecution, courts) with a powerful, coercive tool. Thus, when looking at the potential for corruption within thecriminal justice system, the inter-relationship of all elements tend to intersect with the detention/prison
component. Police can decide to ticket or arrest and in most jurisdictions have between 24 hours and two
weeks in which they must bring the person before a judge or release that person. As fears of terrorism,
gang violence and organized crime increase, the use of preventive detention can make incarceration
without judicial oversight a multi-year reality. Courts, most often, are given the responsibility of deciding
on the length of incarceration as well as the type of facility to which a person is sent. In some cases thecourt can have a person placed in “house arrest,” staying in their own home with or without having towear an electronic bracelet. The court can assign a person to an open, modern, relatively pleasant facility
or can have them placed in solitary confinement with little contact with the outside world. Thus, the use ofdetention, if used inappropriately, can be a tool police, prosecutors and judges can use to conduct corrupt
practices with or without collusion of detention/prison authorities. However, in this paper we will look
more closely at the potential for corruption within the detention/prison community.
Slogans like, “Power corrupts and absolute power corrupts absolutely,” when incorporated into a discussion of prisons, tends to confirm a feeling that prisons breed corruption. However, current research
indicates that the issue is not that simple. Individuals with strong moral awareness are less likely to use
their authority for self-gain and most often use it to expand their good behavior, while those with a weakmoral identity are more likely to misuse their power. (DeCelles, 2012)1. That corruption exists in detention
facilities and prisons is not surprising. Corrections, after all, is a microcosm of the greater society.
However, identifying signs of potential corruption within a prison environment, its causes and how to
reduce it are currently part of well-run correction/detention operations. For purposes of this paper, corruption refers to the misuse of one’s position or authority for personal gain.
The subservient position of prisoners, the amount of discretion given to correctional officers, theanxiety of inmate family and friends, coupled with a lack of transparency with which many prisonsoperate allows for the possibility of a number of corrupt practices:

The word correction and prison are used interchangeably in this article and mean the same thing and refers to convicted
and sentenced individuals. Detention, called remand in some jurisdictions, refers to pre-trial or pre-sentenced individuals.
＊
Director of Staff Training of the International Corrections and Prisons Association and Scientific Coordinator of the International Scientific and Professional Advisory Council. Garyhill@cegaservices.com.
1 DeCelles, K.A., D.S. DeRue, J.D. Margolis, and T.L. Ceranic. Does Power Corrupt or Enable: When and Why Power Facilitates Self-interested Behavior. Journal of Applied Psychology 97, no. 3 (May 2012): 681–689.
†

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RESOURCE MATERIAL SERIES No. 98
⿟⿟ Allowing inmates to conduct criminal activities and administer criminal organizations fromwithin the prison.
⿟⿟ Providing inmate labor to private business or individuals for a profit.
⿟⿟ Lying in a report or during an inmate’s disciplinary hearing to insure a finding of guilt.
⿟⿟ Using excessive force either on purpose or upon losing control of one’s emotions.
⿟⿟ Using one’s position to elicit sexual favors from an inmate or a family member or friend of theinmate.
⿟⿟ Leaking confidential information to embarrass an inmate or to appear more important to others.
⿟⿟ Smuggling unauthorized communications out or contraband items into an institution for personalgain.
⿟⿟ Stealing items of value from an inmate or visitor during a search.
⿟⿟ Not reporting the misconduct of a fellow officer as a show of loyalty.
⿟⿟ Having what the officer considers consensual sex with a current or former inmate when prison
rules prohibit it.
⿟⿟ Threatening an inmate with loss of privileges, discipline or violence for personal gain.
⿟⿟ Accepting something from an inmate or family member to insure good reports and special favors
and treatment, such as increased visits.
⿟⿟ Verbally harassing and intimidating inmates for personal aggrandizement.

Corruption from the top describes a facility or system where the top administration, possibly incollusion with political and/or other criminal justice agencies operates in a corrupt manner. Payoffs,
kickbacks, favoritism, graft, bribes by those in control of a political system, administration, facility, or particular shift establishes a tone and methods of operation that makes corruption at a lower level both acceptable and expected. If the prison administration provides inmates as non-paid labor to friends or colleagues, the message that exploitation of inmates for personal gain is acceptable becomes clear to all staff.
Examples of system-wide corruption include:⿟⿟ Bolivia’s San Pedro Prison which had a thriving cocaine production and distribution operation(Gilbert, 2014) 2
⿟⿟ Philippines Bilibid Prison - in exchange for bribes provides inmates with drugs, sex and privileges(IANS, 2014) 3
⿟⿟ “Indonesian prisons operate like a complex business ecosystem sustained by corruption, overcrowding, mismanagement and poor resources.” (VOA, 2013) 4
⿟⿟ Haiti where due to bribes or lack thereof prisoners can wait years for trials. (O’Brien, 2014) 5

II. CONDITIONS THAT CAN LEAD TO CORRUPTION IN DETENTION FACILITIESAND PRISONS
A. Conditions That Can Lead to Corruption Due to a Lack of Resources
1. Staff Shortages and Overcrowded facilities
Staff shortages and overcrowded can create opportunities for corruption by reducing both inmate andstaff supervision and increasing an officer’s state of chronic stress. Not all stress is bad. Good stress, called
eustress by psychologists, helps people feel alive and excited about life or their current activity. But chronic
stress can lead to personality disorders6 in correctional officers. Among those disorders are:
2 Gilbert, Jack. Meet the Man Who Thrived in Bolivia’s Cocaine Prison. VICE UK, <https://news.vice.com/article/meet-the-man-who-thrived-in-bolivias-cocaine-prison>.

3 Gulfnews.com, Drugs, sex and corruption in Philippines’ June 7, 2014, <http://gulfnews.com/news/world/philippines/

drugs-sex-and-corruption-in-philippines-largest-prison-1.1344100>.

4 Voice of America, Drugs, Corruption Rampant in Indonesian Prisons, July 31, 2013. <http://www.voanews.com/content/

drug-use-corruption-rampant-in-indonesian-prisons/1713589.html>.

5 O’Brien, James. Haiti special report: Corruption means many prisoners wait years for trials. Irish Independent, February

2, 2014, Dublin, Ireland

6 McCafferty, Francis L. MD, and McCafferty, Margaret, RN. Corruption in Law Enforcement: A Paradigm of Occupation-

al Stress and Deviancy. Journal of the American Academy of Psychiatry and the Law, Vol. 26, No. 1 (1998): 61-62.

4

161ST INTERNATIONAL TRAINING COURSE
VISITING EXPERTS’ PAPERS▪ Borderline Personality Disorder which can exhibit itself in intense anger or lack of control, promiscuous sexual activity, substance abuse, extreme loyalty to fellow officers combined with a devaluation of inmates or citizens.
▪ Narcissistic Personality Disorder which is characterized by lack of empathy, exploitation ofothers, arrogance, a sense of entitlement, and a belief that one has special powers or abilities.
▪ Antisocial Personality describes people who lack a conscience and have no sense of right andwrong.
▪ Passive-Dependent Personality sees others getting away with dishonest activities and uses thatas a reason to engage in corrupt behavior.
2. Low Staff Pay and/or Inadequate Benefits
Low staff pay and/or inadequate benefits put officers in a position where supporting themselves or theirfamilies without finding extra income is virtually impossible. Throughout the world many jurisdictions
which provide food, housing, medical care, education and recreation to prisoners do not provide the staff
with the ability to acquire comparable benefits. Beside the financial burden, psychologically the officers canbegin to compare themselves with the inmates, which fosters animosity toward the prisoners or the prison
administration.
B. Conditions That Can Lead to Corruption Due to Poor Management
1. Lack of Direction
Lack of direction describes an agency that has no written operational policies defining appropriate
behaviors and rules in the treatment of prisoners. In the Lewis Carroll story, Alice in Wonderland, the Cat
asked Alice, “Where are you going?” When she responded, “I don’t know,” the Cat said, “If you don’t know
where you are going, any road will get you there.” For the corrections officer that is too often a familiar
scenario. Many times the public, politicians and correctional agencies are not precise in deciding why
people are sent to prison or held in detention. Officers do not always understand that detention is to insurethat people will show up for their trial. Detainees, by legal definition, are not guilty of any crime and are
to be treated as much like normal citizens as security allows. Prisons, in most jurisdictions in modern
times, follow the axiom that individuals are sent to prison as punishment and not for punishment. When
staff does not understand the legal, philosophical, and operational constraints of their work, then whatsome of them might consider appropriate action could actually fall into the category of corrupt practice.
2. Lack of Transparency
Lack of transparency exists for several well-intentioned reasons. Detention prisoners, like all non-convicted citizens in most nations, have some right to the privacy of their personal information, so sharing itwith the public is restricted. Prisons, especially in an age of expanding concern over terrorist and gang-related activities, exacerbates the reluctance of prison authorities to disclose techniques, reports of investigations and security procedures. These concerns produce an atmosphere where the prison walls, in addition
to keeping the inmates in, tend to keep the public out. Controlling the lives of individuals without transparency increases the chance of corruption.
3. Lack of Training
Lack of training places officers in a position of feeling alone and vulnerable as well as not knowing what
is right or wrong in the context of prison work. Learning how to use force is not particularly difficult, butlearning when to use force and how much to use takes great skill and requires enough practice to makethe appropriate reaction second nature. Inappropriate use of force is a relatively consistent concern withina prison/detention context. Searching an individual in a manner that does not lend itself to inappropriate
physical contact yet is thorough enough to discover contraband is a skill acquired through training. Controlling inmate behavior without resorting to humiliating, demeaning or physically harmful techniques istrained behavior. Acceptable behavior is defined by laws, procedures, institutional values and a Code of
Conduct. An officer’s knowledge and understanding of those are also a matter of training.
4. Acceptance of Excessive Use of ForceAcceptance of excessive use of force by an administration and the public can contribute to the acceptance of corrupt practices by setting a tone that whatever happens to the prisoners is because they
deserve it or asked for it. Law enforcement and military heroes on television and in the movies are more
often than not those who use excessive force and are rewarded for it by solving the crime or stopping the5

RESOURCE MATERIAL SERIES No. 98
fictional calamity. Correction officers see the same media and cheer for the same heroes and tell their own
stories with similar themes.
5. Lack of Monitoring, Investigating or Reporting Systems
Lack of monitoring, investigation or reporting systems within a detention/correction facility createsboth the impression and reality that unethical practice by staff will go unnoticed and/or unpunished. A
system without checks and balances from within the organization or from outside sources is a system vulnerable to corrupt practices. If inmates do not have a way to safely report abuse or if officers are notprotected by some type of whistle-blower legislation, then they are likely to remain victims of or unwilling
participants in corrupt activities.
C. Conditions That Can Lead to Corruption Due to an Absence of Leadership and/or Supervision
1. Addictive Behaviors
Addictive behaviors of staff can impact on behavior, self-esteem and depending upon the addiction,quickly soak up personal resources. Addictions include drugs and alcohol but also gambling, sex, shopping,games and eating among others. “A power trip can be just as addictive as a cocaine-induced high. . . .
Power changes the brain triggering increased testosterone in both men and women. . . Testosterone andone of its by-products called 3-androstanediol, are addictive, largely because they increase dopamine in apart of the brain’s reward system called the nucleus accumbens . . . too much power - and hence too much
dopamine, can disrupt normal cognition and emotion, leading to gross errors of judgment and imperviousness to risk, not to mention huge egocentricity and lack of empathy for others.” (Robertson, 2012) 7
2. Informal Inmate Reward System
An informal inmate reward system is where an inmate who acts as spy for a correctional officer isrewarded with better living conditions, work or privileges. The inmate “snitch” may also be exemptedfrom punishment for participating in criminal activities.
3. Institutional Codes of Silence
An institutional code of silence is an unwritten rule which some officers use to protect fellow officers
and at times themselves from the consequences of misconduct. Much like the Mafia system of “Omerta,” itmeans that an officer will not report a fellow officer for unethical behavior nor testify against a fellow
officer. Such a Code both allows for and encourages corruption among staff.
4. Familiarity with an Inmate
Familiarity with an inmate to the point that the inmate knows the officer’s personal and familybusiness and the officer’s likes or dislikes or conflicts with other staff or policies. This can lead to blackmailor manipulation by the inmate. It can also lead to favoritism or an officer not reporting an inmate’s
improper behavior.

III. SIGNS THAT CORRUPTION MIGHT EXIST WITHIN THE DETENTION OR
CORRECTION FACILITY
A. Formal Corruption Assessment
Assessment tools to help detect corruption are relatively rare in corrections. Those that do exist seem
aimed primarily at identifying if the particular facility has the tools in place to help prevent corruption
rather than to identify individuals who may be susceptible to or actively involved in corrupt practices.
⿟⿟ The Development Academy of the Philippines, in 2007, produced for the office of the Ombudsmanof the Philippines, with support from the European Commission, a report on its extensive study
and assessment of corruption vulnerability within the Philippine correctional system 8 . The
Integrity Development Review (Baliton, 2008) 9 is a compendium of diagnostic tools – self-assess7 Robertson, Ian H. “The Winner Effect: The Neuroscience of Success and Failure. Thomas Dunne Books (October 2012),

New York, USA.

8 The report can be found at: <http://www.ombudsman.gov.ph/docs/statistics/2007_bucor.pdf>.

9 Baliton, Evelyn A. Understanding the Integrity Development Review (IDR) Project, Prospects and Challenges, January

29, 2008. <http://www.pdf.ph/downloads/governance/Understanding%20the%20IDR%20(PDF).pdf>.

6161ST INTERNATIONAL TRAINING COURSE
VISITING EXPERTS’ PAPERS
ment scorecards for managers, feedback, survey of employees and corruption vulnerability assessment – for assessing the robustness of corruption resistance mechanisms, and for identifying thevulnerabilities of government agencies to corruption.
⃝

The report identified vulnerability points in areas such as financial management, business activities conducted by corrections especially in the agricultural-related programs of the corrections service. In terms of staff–inmate corruption, the main point of concern was the potentialof staff familiarity and unsupervised contact with prisoners.
▪ Apart from management procedures which should apply to all government and private
business, the majority of the recommendations were in line with other findings within
this paper in terms of emphasizing the need for correction leadership to proactively discourage corruption, establish and promote a Code of Conduct, establish policies forofficers to follow when offered gifts and establish procedures on internal reporting forprotecting whistle-blowers. Procedures to help counter staff potential for abusing theirpositions for personal gain while working with inmates included establishing staff
rotation schemes and eliminating inmates from positions of power or control over otherinmates. Part of the study included a look at prisons in other nations, but apparently littleof a practical nature was found that could be helpful in the Philippines Corrections
service.

⿟⿟ A dedicated London Prisons Anti-Corruption Team (LPACT) is based at New Scotland Yard tocombat staff corruption in London Prisons. It is jointly staffed by Prison Service representatives
and police officers and is managed within the London Region. The unit focuses on the key individuals allegedly involved in corrupt activity and links to criminal associates in the community, andacross similar organizations such as SERCO (court staff who have been successfully prosecuted).
⿟⿟ A report by Lukas Muntingh 10 for the South African Civil Society Prison Reform Initiative
provides a detailed examination of corruption in South Africa’s prisons according to the different
relationships operating in a prison environment. It also categorizes different types of corrupt activities found in these prisons. Similar to observations at the beginning of this paper, the report
identifies areas that make corruption in the prison system different from that in other sectors of
public service. Of most importance is the very close relationship that often develops between staff
and prisoners caused by the organization and functions of the prison. As the report points out:First, the all-encompassing nature of imprisonment regulates every aspect of prisoners’ daily lives
from having the most basic necessities to having access to luxury items, or even illegal items andactivities. This unavoidably creates a situation where some goods are scarce, and demand andreward exists for their supply. Second, the state as the controller, establishes a highly unequal
power relationship between the prison bureaucracy (represented by the warder) and the prison
population. Third, the closed nature of prisons and their general marginalization from the public
eye and political discourse do not assist in making prisons more transparent. Against thisbackdrop, poor management, weak leadership or organized crime can have a devastating impact
on the overall operation of a prison system and, ultimately, on the human rights of prisoners.
B. Detecting Signs of Potential Corruption
The prison community in individual institutions is relatively small and close-knit. Prison staff are
generally trained in observing inmates and detecting changes in behavior or signs of potential problems.
These skills are further honed through experience. These same skills are also available to help identify
staff who may be moving toward, or engaged in, inappropriate behaviors. Items supervisory staff may see
as warning signs include:⿟⿟ Drinking or use of drugs on or off duty⿟⿟ Increased use of profanity during the course of work and displays of uncontrollable anger⿟⿟ Constant complaints about the stress of the job or the unfairness of management
10 Muntingh, Lukas, Investigating Prison Corruption in South Africa, Civil Society Prison Reform Initiative, 2006, <http://

cspri.org.za/publications/research-reports/Investigating%20prison%20corruption.pdf>.

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RESOURCE MATERIAL SERIES No. 98
⿟⿟ Over emphasis on the need for officers to stick together and back each other up when dealing
with inmate complaints or with management⿟⿟ Having gang-related tattoos or use of gang signs
⿟⿟ Exhibiting special protection or interest in particular inmates⿟⿟ Changes in income and/or lifestyle⿟⿟ Casual touching of particular inmates or allowing inmates to use suggestive or personal references⿟⿟ Significant increase or decrease in the filing of disciplinary or incident reports
⿟⿟ Increase in violence or contraband during a particular officer’s shift

IV. WAYS TO MINIMIZE CORRUPTION IN DETENTION/CORRECTIONS
A. Clear Definitions of What Is Expected of Correctional Personnel
⿟⿟ Development of a mission statement, core values, and a Code of Ethics. These and related
documents should be widely circulated to staff and the public.
⿟⿟ Development and wide circulation of written definitions of graft and corruption within the corrections context and what sanctions can be imposed.
⿟⿟ Development of clear policies on personal contact with inmates and their families, acceptance ofgratuities or gifts, confidentially, use of force, and inmate discipline.
⿟⿟ Written policy and procedures indicating how inmates and staff can appeal decisions or actions
that negatively impact on them.
B. Training⿟⿟ Inclusion in basic staff training and annual/periodic training of the laws, procedures and policies
impacting on corrections and especially the duties of staff. The increase in the use of technology
in training, including e-learning, training videos, and distance learning reduces the cost involvedin keeping staff updated and allows them to train during their own time and even at home. Alltraining, including computer-based training should include testing mechanisms to insure staff istaking advantage of it and understanding what is being presented.
⿟⿟ Inclusion of training on the Code of Conduct in basic training and annual training. Such training
should include self-assessment techniques to measure oneself and one’s actions in terms of theCode of Conduct.
⿟⿟ Exposing staff to the United Nations, Council of Europe and related international documents suchas the Standard Minimum Rules for the Treatment of Offenders, Protocols Against Torture, andBasic Principles on the Use of Force and Firearms by Law Enforcement Officers, indicating how
they relate to their own national laws and procedures.
⿟⿟ Training on staff and inmate complaint mechanisms and the Employee Assistance Program.
C. Transparency Mechanisms
⿟⿟ Creation of an independent Ombudsman available to inmates, staff and the public.
⿟⿟ Creation of an independent inspection process. It can be totally apart from the prison services
such as the UK’s HM Inspectorate of Prisons or industry-wide such as the American Correctional
Association Commission on Accreditation.
⿟⿟ Facilitate open access to prisons by the International Committee of the Red Cross, Amnesty International, Human Rights Watch and national human rights agencies.
⿟⿟ The Scottish Prison Service Management and Information Department conducts an annual
inmate survey in all prisons. The survey forms are given to each inmate who fills it out in private,
places the completed survey in an envelope, seals it and personally hands it to a member of thesurvey team. The comprehensive survey covers all aspects of prison life, including treatment bystaff and other inmates. The entire survey is given to management within 20 working days andkey results are posted in the main inmate living areas.
⿟⿟ South Africa, in 2006, under the Civil Society Prison Reform Initiative instituted a comprehensive
study on Corruption in the Prison Context. The full report was made public and used as thebasis for investigations and public debate.
⿟⿟ Jurisdictions in Australia, Canada and other nations have Independent Prison Visitors who
regularly visit the prisons and talk to prisoners, staff and visitors. They provide recommendations
to the Minister of Corrections.
8161ST INTERNATIONAL TRAINING COURSE
VISITING EXPERTS’ PAPERS⿟⿟ Private and uncensored mail, visits and telephone communications between prisoners, theirattorneys and judicial authorities provide inmates with access to ways to report corruption or
inhumane practices.
⿟⿟ Access to independent Employee Assistance Programs provide avenues for correctional personnel
to obtain help prior to falling into corrupt practice as well as having a way to indicate potential
institutional weaknesses that could facilitate corruption.

V. A FINAL THOUGHT
This paper began with the premise that the absolute power given to detention and prison personnel
does not necessarily lead to corruption. United States moral and social philosopher Eric Hoffer summed itup this way, “It has often been said that power corrupts. But it is perhaps equally important to realize that
weakness, too, corrupts. Power corrupts the few, while weakness corrupts the many. Hatred, malice,rudeness, intolerance, and suspicion are the faults of weakness. The resentment of the weak does not
spring from any injustice done to them but from their sense of inadequacy and impotence.”11 Fourcenturies earlier, English writer, poet, dramatist, playwright, and politician John Lyly could have beentalking about those who work with “undesirables” when he said, “The sun shineth upon the dunghill, and is
not corrupted.”12(The author would like to thank members of the International Corrections and Prisons Association Staff
Training and Development Committee who provided him with information, insight and suggestions forthis brief.)

11 Hoffer, Eric. The Passionate State of Mind: And Other Aphorisms, Page 41 (1955). Harper & Row, New York.
12 Lyly, John. Euphues: The Anatomy of Whit, page 43 (1579).

9RESOURCE MATERIAL SERIES No. 98

APPENDIX A: SAMPLE LESSON PLAN FOR TEACHING THE CODE OF CONDUCTFOR CORRECTION WORKERSOBJECTIVE
By the end of thesession, the participants will be able
to:Explain ethics andprofessionalism.

CONTENT
Definition of Ethics and Professionalism
Ethics is making choices between right and wrong … doing what isright. Generally, the conscience is the guide.
➢ Avoid ethical problems by:
Using good reasoning
Acting in good faith
Doing job fairly & honestly
Respecting rights of others
Following rules & regulations
Ethics and Action:
Ethics is about putting principles into action. Consistency between
what we say we value and what our actions say we value is a matterof integrity.
It is also about self – restraint:➢ Not doing what you have the power to do. An act isn’t proper
simply because it is permissible or you can get away with it.
➢ Not doing what you have the right to do. There is a big difference between what you have the right to do and what is rightto.
➢ Not doing what you want to do. In the well-worn turn ofphrase, an ethical person often chooses to do more than thelaw requires and less than the law allows.
Professionalism is an act of participating in an occupation that
requires significant education, training or experience, and involves
specialized skills and requires the highest degree of commitment anddedication➢ Professionalism carries PRIVILEGES of:
Camaraderie
Job security
Opportunity for advancement
Respect of the public
Knowing YOU make a difference➢ Professionalism carries RESPONSIBILITIES:Continual training
Fairness
Honesty
Highest standard of ethical conduct
Basic Social Ethics Concepts➢ Ethics are among other things, a set of rules and standards
which govern individual conduct.
➢ Every aspect of human behavior is influenced by personalvalues, but values are not easily defined or achieved.

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EVALUATION

What is ethics andprofessionalism?

161ST INTERNATIONAL TRAINING COURSE
VISITING EXPERTS’ PAPERS➢ As public servants, we are expected to abide by standards ofconduct established. The public has entrusted us with a large responsibility, it demands that we abide by the highest ethicalstandards and is quick to criticize when we fail to live up to
those standards.
Explain the basicsocial ethics
concepts.

Misconceptions About Ethics➢ Ethics is not something that good people need to worry too
much about.
➢ Idealism is incompatible with realism.
➢ People concerned about ethics dismiss every pleasure and are
just holier-than-thou.
➢ Principle subject matter of ethics is moral problems as opposedto the formation of habits of good character.
➢ If other officers are not concerned, then it is acceptable.
People have lots of reasons for being ethical:

What are thesocial ethics
concepts?

➢ There is inner benefit.
➢ There is personal advantage.
➢ There is approval.
➢ There is religion.
➢ There is habit.
List the typicalmisconceptions
about ethics.

Major Points Contained in the Code of Ethics➢ Fundamental Duty
➢ Safeguard lives and properties➢ Constitutional rights➢ An example to all➢ Courageous calm
➢ Self – restraint➢ Honest in thought and deed
➢ Confidential➢ Personal feelings➢ Fear or Favor, Malice of Ill Will, and with Dignity➢ Unnecessary force➢ Gratuities

What are themisconceptions
about ethics?

Ethical Decision–Making Tools
1. Six Pillars of Character➢ Trustworthiness➢ Respect➢ Responsibility➢ Fairness➢ Caring➢ Citizenship
Explain why theneed to be ethical?

Groundwork for Making Ethical Decisions➢ Taking choices seriously➢ Recognizing important decisions➢ Good decisions are both ethical and effective➢ Discernment and discipline➢ Stakeholders

What are thereasons for a
Corrections Officer
to be ethical?

Enumerate andexplain the major
points contained in
the Code of Ethics.

Seven Steps to Better Decisions➢ Stop and think➢ Clarify goals➢ Determine facts➢ Develop options

What are themajor points
contained in the
Code of Ethics?

11

RESOURCE MATERIAL SERIES No. 98➢ Consider consequences➢ Choose➢ Monitor and modify
Apply the Ethical
Decision–Making
Tools.

Rationalization in Making Decisions➢ If it’s necessary, it’s ethical➢ The false necessity trap
➢ If it’s legal and permissible, it’s proper➢ It’s just part of the job➢ It’s all for a good cause➢ I was just doing it for you➢ I’m just fighting fire with fire
➢ It doesn’t hurt anyone➢ Everyone’s doing it➢ It’s OK if I don’t gain personally➢ I’ve got it coming➢ I can still be objective

What are theethical decision–
making tools?
What is theprocedure in
making ethical andbetter decisions?

Differentiate
ethical & legal
behaviour. Apply
ethical and legal
behaviour inCorrections work.

Ethical & Legal Behaviour➢ Is what’s legal always right?
➢ I s the law TH E source for judg ing ethica l or mora lbehaviour?
➢ “Ethical” and “legal” are not the same.
➢ You can follow the law to the letter… and still violate professional ethics.

What is ethicaland legal
behaviour. Give
examples in
Corrections work?

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161ST INTERNATIONAL TRAINING COURSE
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APPENDIX B: A SAMPLE CODE OF CONDUCT (from Canada)
STANDARDS of PROFESSIONAL CONDUCT IN THE CORRECTIONAL SERVICE OF CANADADECLARATION
To the employee:
You are expected to read and familiarize yourself with the Standards of Professional Conduct. It isyour responsibility to seek guidance from your supervisor on any areas that you feel require explanation
or clarification.
Acknowledgement and undertaking by the employee:
I have received the Standards of Professional Conduct and the Code of Discipline, and undertake tomaintain, in the course of my employment, the standards of professionalism and integrity that are therein
set forth.

Print your nameSignature of Employee
Title
Date
A copy of this signed declaration must be returned to Personnel Services Division for placement on
your personal file.

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RESOURCE MATERIAL SERIES No. 98
COMMISSIONER’S INTRODUCTION
The Correctional Service of Canada’s Mission, with its Core Values, Guiding Principles and Strategic
Objectives, challenges staff to pursue a goal of excellence in corrections.
As public servants, we are accountable to our Minister and to Parliament, and, through them, to the
Canadian people as a whole. Our behavior must, at all times, show that we are worthy of their trust andconfidence to carry out the responsibilities of our agency. As employees in the field of corrections, we havea special obligation to make sure that everything we do in our work- whether it is administrative or
involves direct contact with offenders- ultimately contributes to the protection of society. This is a vital obligation that is both demanding and exciting. It calls upon each of us to meet high standards of honesty
and integrity, and to approach our work in a spirit of openness, compassion and co-operation. These areindeed the hallmarks of professionalism.
Core Value Three of our Mission Document states: “We believe that our strength and our major
resource in achieving our objectives is our staff and that human relationships are the cornerstone of ourendeavour.” The guiding principles of Core Value Three reflect the Service’s focus on the importance of its
employees. These principles form the basis of the Standards of Professional Conduct.
The primary emphasis of the Standards of Professional Conduct is on promoting ethical behaviour consistent with the Mission. It recognizes that corrections is a complex field, which frequently presents anemployee with difficult practical and ethical decisions. The principles set out in the Standards of Professional Conduct are intended to guide staff in situations where the right course of action may not always beclear.
The Standards of Professional Conduct is a guide for all staff at all levels of the organization. Managers
and supervisors, however, have special obligations. As leaders in the Service, they are expected to set an
example by demonstrating high ethical and professional standards in their own conduct. They must also
be sensitive to conditions of working environment, and actively concern themselves with assisting, advisingand motivating their staff.
When, on occasion, an employee flagrantly or persistently falls short of acceptable standards of conduct,
the disciplinary part of the Standards may come into play. Then it is the job of the supervisor to takeprompt action to correct the problem. Such action must be fair and must respect the employee’s rights.
The Standards of Professional Conduct tries to give supervisors benchmarks to help meet these often
difficult responsibilities.
Our Mission should inspire us all to be the best we can be and to build humane and helping relationships with both our fellow employees and the offenders in our care. I hope that these Standards of Professional Conduct will guide us towards making the closing words of the Mission Document a reality: “topursue our Mission in a way that exemplifies at all times our values and guiding principles so that our
integrity is never compromised.”
DEFINITIONS
Employees, staff
For the purpose of this document, these terms mean all persons employed full-time or part-time by theCorrectional Service of Canada, whether they have indeterminate or term status.
PublicFor the purpose of this document, the public means all persons other than employees of the Correctional Service of Canada, and includes offenders.
Workplace, place of work
These terms mean administrative and operational facilities of CSC and also any other location in which
work for CSC is carried out by a CSC member.

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161ST INTERNATIONAL TRAINING COURSE
VISITING EXPERTS’ PAPERSLEGISLATIVE AND OTHER AUTHORITIESThe following documents are the principal authorities governing CSC members’ responsibilities andduties, and are readily available, upon request, to members at their workplaces:
Overall Correctional Responsibilities: the Corrections and Conditional Release Act and regulations;
Commissioner’s Directives, Regional Instructions and local Standing Orders.
Conflict of Interest: the Conflict of Interest and Post Employment Code for the Public Service, theCriminal Code.
Disclosure of Information: the Oath of Office and Secrecy; the Canadian Charter of Rights andFreedoms; the Access to Information Act; the Privacy Act; the Criminal Code; the Security Policy of theGovernment of Canada.
Political Activity: the Public Service Employment Act (section 32).
Discrimination: the Canadian Human Rights Act; the Public Service Employment Act; the Official
Languages Act.
Employee Organization Activities: the Public Service Staff Relations Act.
PROFESSIONAL STANDARDS
1. STANDARD ONERESPONSIBLE DISCHARGE OF DUTIES
Staff shall conduct themselves in a manner which reflects positively on the Public Service of Canada,
by working co-operatively to achieve the objectives of the Correctional Service of Canada. Staff shallfulfil their duties in a diligent and competent manner with due regard for the values and principles
contained in the Mission Document, as well as in accordance with policies and procedures laid out inlegislation, directives, manuals and other official documents.
Employees have an obligation to follow the instructions of supervisors or any member in charge of
the workplace and are required to serve the public in a professional manner, with courtesy and promptness.
Discussion and RelevanceResponsible discharge of duties means employees perform their work accurately, completely andwithin the time frames allotted for the task.
Staff are encouraged to be innovative and to participate in decision making through positive andconstructive means. Statements that criticize other employees or the Service are to be made only ifthey are verifiable and constructive. Disagreement with a policy does not mean that staff members canneglect their duties. They are free to question policies, procedures or instructions but are expected to
do so within appropriate channels. In particular, employees must not be critical of policy or operationsin front of offenders or the public; to do so is to encourage a lack of respect for the Correctional Serviceof Canada and its staff.
2. STANDARD TWOCONDUCT AND APPEARANCE
Behaviour, both on and off duty, shall reflect positively on the Correctional Service of Canada andthe Public Service generally. All staff are expected to present themselves in a manner that promotes a
professional image, both in their words and in their actions. Employee dress and appearance while on
duty must similarly convey professionalism, and must be consistent with employee health and safety.
Discussion and Relevance
The way in which employees speak and present themselves is an important part of a professional
Correctional Service. We lead by example. As role models for offenders, staff are responsible for settinghigh standards which offenders can respect and emulate. The use of abusive language, showing discour15

RESOURCE MATERIAL SERIES No. 98
teousness towards other people and disrespect for their views, or other such behaviour will encourage
offenders to act in the same manner, and so create an environment that is unfavourable to healthy interaction. Staff must take care, both on and off duty, to present themselves as responsible law-abiding
citizens.
Employees who commit criminal acts or other violations of the law, particularly if the offences arerepeated or serious enough to result in imprisonment, do not demonstrate the type of personal andethical behaviour considered necessary in the Service. Accordingly, any employee who is charged with
an offence against the Criminal Code or against other federal, provincial or territorial statutes must
advise his or her supervisor before resumption of duties.
At times, an employee may experience personal problems which may affect his or her job performance. The Service has a responsibility to offer assistance to members facing such difficulties. Notwithstanding this offer of assistance, personal problems are not considered a reason to ignore or fail to takeaction on poor employee performance or behaviour.
3. STANDARD THREE
RELATIONSHIPS WITH OTHER STAFF MEMBERS
Relationships with other staff members must promote mutual respect within the Correctional
Service of Canada and improve the quality of service. Staff are expected to contribute to a safe, healthyand secure work environment, free of harassment and discrimination.
Discussion and Relevance
It is the responsibility of all staff to work towards improving the health and safety of the workplace.
Staff shall comply with all legislation and policies relating to occupational health and safety, within theirintended purposes.
Staff shall not inhibit the work of fellow employees or coerce members to participate in illegal
activity or misconduct.
Staff shall respect the rights of all fellow workers, regardless of race, national or ethical origin, color,
language, religion, gender, age, sexual orientation, or mental or physical disability. Staff shall not participate in, or condone, any form of harassment or discrimination. Staff are expected to be co-operativeand civil in their dealings with each other.
Work in corrections represents a co-operative effort, drawing upon a wide range of expertise andknowledge from within the Service and from other agencies and organizations in the criminal justicesystem. Employees have a responsibility to work as part of a team to meet correctional objectives.
Supervisors are expected to demonstrate high personal standards. They must take prompt action
when they become aware of discrimination, harassment or disrespectful treatment of any staff member
by other employees. Failure to act will be considered a serious infraction.
4. STANDARD FOUR
RELATIONSHIPS WITH OFFENDERS
Staff must actively encourage and assist offenders to become law-abiding citizens. This includes establishing constructive relationships with offenders to encourage their successful reintegration into thecommunity. Relationships shall demonstrate honesty, fairness and integrity. Staff shall promote a safe
and secure workplace and respect an offender’s cultural, racial, religious and ethnic background, andhis or her civil and legal rights. Staff shall avoid conflicts of interest with offenders and their families.
Discussion and Relevance
All interactions with offenders are to be fair, honest and open, and members shall actively involve
themselves in the offender’s treatment plan. Staff are expected to be active participants in the reintegration process and to work towards reducing the risk which the offender presents to society. The
objective of all staff must be to contribute to the safe reintegration of offenders into the community.
Staff must be aware of all matters affecting offenders for whom they are responsible by referring to16

161ST INTERNATIONAL TRAINING COURSE
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their files and any other relevant source of information. They must be informed of the correctional planand the offender’s progress towards the achievement of that plan.
Staff must be diligent in their responsibility to record and make available for review all offender information which could contribute to sound decisions affecting the offender or public safety. In addition,
staff must give offenders ongoing documented feedback about their behaviour. Staff must respect therace, national or ethnic origin, color, religion, sex, age, language and/or mental or physical disabilities ofoffenders and be responsive to the various needs of different cultural groups in our society. Ensuringthat relationships with offenders remain constructive and professional is a difficult and sensitive task,
but it is necessary for a professional service. It requires that staff maintain a delicate balance between
personal and professional interest in the offender.
Inappropriate relationships include, but are not limited to, concealing an offender’s illegal activity,
using inmate services for personal gain, and entering into business or sexual relationships withoffenders, their families, or their associates. Supervisors are expected to take prompt action when theysee signs that an inappropriate relationship between an employee and an offender exists or could
develop.
The general rule is that staff do not accept gifts from offenders and their families or friends. In exceptional circumstances, it may be permissible to accept a gift of purely token value from an offender,
providing it is clear that doing so will not create any obligation on the staff member.
Any doubts or concerns staff have involving relationships with offenders should be discussed withthe supervisor. Staff should always inform the supervisor of any token value gift offered or received.
Remember that a professional relationship means loyalty to the values, ethics and standards of theCorrectional Service of Canada.
5. STANDARD FIVE CONFLICT OF INTEREST
Staff shall perform their duties on behalf of the Government of Canada with honesty and integrity. Staff
must not enter into business or private ventures which may be, or appear to be, in conflict with theirduties as correctional employees and their overall responsibilities as public servants.
Discussion and Relevance
Employees of the Government of Canada are governed by the Conflict of Interest and Post Employment
Code for the Public Service, as well as the Criminal Code of Canada.
Staff cannot use or appear to use their position for personal gain or advantage. This usually means
receipt of financial benefits, gifts or favours from persons conducting, or who are intending to conduct,business with the Government or the Department.
Staff should, for their own protection, seek clarification and advice on any potential conflict of interest.
6. STANDARD SIX PROTECTION AND SHARING OF INFORMATION
Staff shall treat information acquired through their employment in a manner consistent with theAccess to Information Act, the Privacy Act, the Security Policy of the Government of Canada, and the
Oath of Secrecy taken by all employees of the Public Service of Canada. They shall ensure that appropriate information is shared in a timely manner with offenders, with other criminal justice agencies and withthe public, including victims, as required by legislation and policy.
The Correctional Service of Canada recognizes and respects the confidentiality requirements of particular professional groups such as chaplains and medical staff.
Supervisors are responsible for providing their employees with direction and guidance concerning theprotection and release of information.
Discussion and RelevanceIn the course of their employment, staff are exposed to a wide range of information about offenders,
17

RESOURCE MATERIAL SERIES No. 98
employees, and the operations of the Service.
All staff must respect offenders’ and employees’ right to privacy and this means not talking about
offenders and staff members to the public, the media, family or friends. The Privacy Act and the Access toInformation Act both outline information, which can be disclosed to third parties, and staff should beaware of their responsibilities in this regard.
Staff have an obligation to protect the sensitive information and assets to which they have access. The
manner in which information is created, transmitted, stored and destroyed is governed by the Security
Policy of the Government of Canada.
There are certain situations in which staff are expected to share information about offenders. Staff andthe parties concerned should be made aware of these situations. Such disclosures must be made with greatcare and, whenever possible, with the interested parties’ knowledge, unless this would impede necessary
decision-making or prejudice the interests or safety of others.
Staff Relations (613) 996-2127

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ANALYSIS OF CURRENT TRAINING SYSTEMS, THE DEVELOPMENT AND
USE OF TRAINING NEEDS ANALYSIS AND TRAINING EFFECTIVENESS
Gary Hill ＊I. CORRECTIONAL1 OFFICER TRAITS AND SKILLSThe following was compiled by the U.S. Department of Justice, National Institute of Corrections. It is
the result of the work of a panel of correctional officers.
The material is included in this paper as a sample of what an individual institution or corrections
academy might want to develop for its own officers. It is good to let staff, political leaders, media and thegeneral public understand the importance and complexity of skills of corrections officers.
CORRECTIONAL OFFICER SKILLSCOMPETENCY PROFILE OF CORRECTIONAL OFFICERCORRECTIONAL OFFICER . . . ensures the public safety by providing for the care, custody, control andmaintenance of inmates.
DUTIES:Manage and Communicate with Inmates⿟⿟ Orient new arrivals on rules, procedures, and general information of facility/unit.
⿟⿟ Enforce rules and regulations.
⿟⿟ Conduct cell inspections (for contraband, obstructions, sanitation, jammed locks, etc.).
⿟⿟ Establish rapport (introduce self, use good body language, listen, etc.).
⿟⿟ Provide verbal and written counseling (i.e. disciplinary behavior, information, confidential).
⿟⿟ Write disciplinary and incident reports.
⿟⿟ Intervene in crises: manage conflicts.
⿟⿟ Use of force continuum (minimum, less-than-lethal, lethal).
⿟⿟ Direct Inmate Movement
⿟⿟ Observe monitor and supervise movement of inmates/inmate property.
⿟⿟ Properly identify and escort inmates individually or in groups.
⿟⿟ Implement schedules for controlled movement of inmates at specified times.
⿟⿟ Restrict movement during scheduled physical counts of inmates.
⿟⿟ Receive/issue inmates passes/appointment slips.
⿟⿟ Implement emergency operating plans.
⿟⿟ Enforce custody/privilege/disciplinary restrictions.
⿟⿟ Receive/recommend inmate request for bed, cell, or unit move.
⿟⿟ Maintain Key, Tool, and Equipment Control
⿟⿟ Inspect keys, equipment, tools, and keepers.
⿟⿟ Report broken/mission keys, equipment, and tools.
⿟⿟ Inventory keys, equipment, and tools at beginning and end of shift.
⿟⿟ Maintain physical control of keys, equipment, and tools.
⿟⿟ Log keys, equipment and tools in the work area.
⿟⿟ Maintain Health, Safety, and Sanitation
Director of Staff Training of the International Corrections and Prisons Association and Scientific Coordinator of the International Scientific and Professional Advisory Council. Garyhill@cegaservices.com.
1 “Correction Officer” is the preferred term in many jurisdictions. Other terms used throughout the world include prison
officer, guard, warder, turnkey, and jailor.
＊

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RESOURCE MATERIAL SERIES No. 98
⿟⿟ Report changes in behavior.
⿟⿟ Search persons, personal property, and units.
⿟⿟ Report security violations.
⿟⿟ Submit health, safety, and sanitation recommendations to appropriate departments.
⿟⿟ Implement proper health procedures for inmates with infectious diseases.
⿟⿟ Implement health/safety memos and posters.
⿟⿟ Develop cleaning schedule.
⿟⿟ Supervise cleaning schedule.
⿟⿟ Ensure proper handling/labeling of hazardous materials.
⿟⿟ Supervise hygiene habits of inmates.
⿟⿟ Communicate with Staff
⿟⿟ Establish positive rapport with other staff.
⿟⿟ Maintain constant communication/vigilance of other staff.
⿟⿟ Operate communication equipment per established guidelines.
⿟⿟ Document incidents, write reports, write recommendations via chain-of-command.
⿟⿟ Brief oncoming staff for next shift.
⿟⿟ Explain unusual procedures to staff.
⿟⿟ Participate in staff meetings.
⿟⿟ Participate in Training
⿟⿟ Participate in mandatory/elective training.
⿟⿟ Read daily log book and other information.
⿟⿟ Review new/updated post orders, administrative regulations and memos.
⿟⿟ Participate in cross-training.
⿟⿟ Review simulate emergency procedures (fire drills).
⿟⿟ Participate in continuing education.
⿟⿟ Seek additional training opportunities.
⿟⿟ Distribute Authorized Items to Inmates⿟⿟ Order/request authorized items.
⿟⿟ Inventory and distribute authorized items.
⿟⿟ Document the distribution of authorized items.
CORRECTIONAL OFFICER
TRAITS & ATTITUDES
Professional
Dependable
Consistent
Fair
Emotionally stable
Empathic
EthicalFlexible
Punctual
Self-motivated
Cooperative
SincereSense of humor
Optimistic
Perceptive
Adaptable/change oriented
Neat
Compassionate
Analytical
Positive role model
Credible
LeaderAssertive

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KNOWLEDGE & SKILLS
Knowledge of:Laws of jurisdiction
Policies & procedures
Force/use of
Agency mission/purpose
Ethnic differences
Equipment/tools
Available training
Stress management
Skills in:Written communication
Non-verbal communication
All equipment/tools
SearchCPR/First Aid
Leadership
Public relations
Management
Interpersonal communication

TOOLS & EQUIPMENTRadiosMechanical restraints (cuffs/
waist chains/leg irons/flex-cuffs/
soft restraints)
Badge
WhistleLeather duty belts with accessories
Personal alarm devices/TAC
alarms
Keys
FlashlightElectronic control decides (Taser/stun gun)
Batons (straight/PR-24/riot
baton)
Gloves (protective/leather/duty)
Uniforms/footwear
Helmets (riot/protective)
Polycaptor/riot shields
Stun shields
body armor (vests, etc.)
Protective CPR/First Aid masks
Weapons: Rifle/shotgun/
handgun/37/38 mm gas gun
Chemical agents: CN/CS/mace

161ST INTERNATIONAL TRAINING COURSE
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Gas masks
Dispersal grenade/rubber bullets
Generators
Light stands
Computers
Telephone/paging systems
Airpacks/SCBA
BinocularsAudio/visual aids
Equipment for opening/closing
cell doors
Sallyports, entry gates, corridor
grillsI.D. cards

Looked at another way, the following list provides some situations or questions that a correction officer
could face in the course of his/her job:
1. Gay inmate asks for protection — you have only dorms and 5 single punishment cells. Do you move theinmate into a punishment cell or leave him in the general population?
2. Volunteer offers to teach a class and you have no rooms except offices and cells (at capacity). Do you
accept the offer or wait until you have more room?
3. Female comes into detention suspected of having a knife and you have no female staff and only 2 of you
on duty – how do you search her to find out if she has a knife (and possibly drugs).
4. Inmates refuse to come out of their cells in one cell block. They demand more pay for their work. How
do you react?
5. Inmate’s mother comes 800 miles and arrives on a day when visiting is not allowed due to prison policy– the next visit is a day later and she must return home today to take care of her grandchildren.
6. Inmate and staff both killed in a fight — what do you do for inmates and what for staff?
7. You find out a female staff member has been talking privately with a male inmate — not sure if there
is a relationship. Do you take any action or wait to see if she does something inappropriate with theprisoner.
8. Inmates are allowed to heat tea or coffee in their cells. An inmate throws hot water on a passing
officer. Do you take the water heaters away from all inmates to insure officer (and other inmate) safety?
9. Program funds are cut 50% and you lose half your teachers, 2/3 of your activity coordinators, youroutreach social worker (person responsible to help inmates with release planning) — what do you do, if
anything?
10.		You are told to establish a pre-release program. What would you include and who would you haveteach it?
11.		You are a short term detention facility where accused inmates stay an average of less than a week,though some will be held awaiting trial for as long as a year. Do you have any programs and if sowhat would you include?
12.		Your detention facility is in a rural area with only one small medical clinic. The clinic does not provide
service to your inmates (you have between 1 and 5 at a time) or your staff (5). How do you get their
help to provide medical services?
13.		An inmate might be suicidal. What steps do you take?

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RESOURCE MATERIAL SERIES No. 98
14.		A national legislator tells you to treat a particular inmate better (or worse) than other inmates. The
legislator is head of the legislative prison committee. Do you abide by his wishes?
15.		 How do you let officer’s families, friends and the community know their work is important?
16.		 What can a warden do to reduce the impact of overcrowding?
17.		An inmate is particularly helpful to staff in reporting illegal activities of other inmates. How do you
reward him or her?
18.		Inmates are allowed food such as eggs, fruit, bread, meat in their cells. How do you make sure it does
not get contaminated and make inmates ill?
19.		 HIV/Aids is a concern in your prison — what steps do you take to keep it from spreading?
20.		Your best friend’s father is a long-time prison sergeant and you know he is abusing inmates. Do youreport him and if so how do you keep from losing a friend and incurring the wrath of fellow officers?

II. TRAINING PROGRAMS
Prison systems are often poorly resourced, staff have generally received little training and are likely to
be poorly remunerated compared with police and other uniformed services. Prisoners are drawn fromacross the nation and increasingly across the world. While the majority are poor and without access tofinancial and/or community resources, an increasing number are involved in organized crime syndicatesand have access to significant financial and other resources. Some have been involved in protracted
conflicts for many years and some have been gang members or even child soldiers. Substantial numbers
come to prison with mental and emotional disorders. These factors combine to create an increasingly
complex and difficult prisoner population in particularly challenging circumstances. It is therefore criticalthat national staff are afforded extensive training to enable them to develop and manage the challenges
which they will confront.
A strategic approach to training should be adopted. The training strategy should take a long-term viewof the skills, knowledge and competencies prison staff need. The training philosophy should emphasize thattraining and development must be an integral part of the management process and that learning is a continuous process. Training should be specifically designed to meet identified performance-related needs,
planned and provided by competent trainers in a cost effective manner.
When developing a training strategy, prison components should incorporate processes that facilitate thedevelopment of:⿟⿟ Governmental commitment to provide and maintain training resources on a continuous basis
including funding and human resources, and⿟⿟ Stability in staff appointments for a sufficient time to allow learning to be integrated into the work
processes.
A. Developing a National Training Framework
Steps in developing a training framework include but are not limited to:⿟⿟ Conducting a training needs analysis to define training needs
⿟⿟ Developing curricula and program information based on the training needs analysis
⿟⿟ Developing an evaluation framework to measure learning outcomes⿟⿟ Developing policy guidelines related to the provision of training including recruitment, mid- andsenior-management training, specialist training and donor-sponsored external training, both inand out of country.
⿟⿟ Establishing a “training policy committee” or similar mechanism which is nationally led andconsists of prison leadership, staff and trainers.

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B. Training Needs Analysis
A Training Needs Analysis (TNA) should be conducted as a first step in the process of developing a
training framework. 2 The circumstances at the commencement of the process and immediate demands ofthe situation may result in the initial TNA being very rudimentary and a more comprehensive TNA being
undertaken at a later time. TNAs should focus on identifying and solving performance issues. Part of thisprocess includes identifying knowledge and competency gaps and determining whether training is an appropriate remedial response. This determination is a key aspect of a training needs analysis since training
when used to address issues which cannot be resolved by a training response is both wasteful of resourcesand damaging to the credibility and integrity of the broader training program. It is important to note thatin the context of a TNA “need” is the gap between “what is” and “what ought to be” rather than a “want”
or a “desire.” The learning required, i.e. the skills and knowledge to be learned, competencies needed andattitude change desired, should be clearly specified.
The purpose of a Training Needs Analysis is:⿟⿟ To determine training relevant to prison staff jobs
⿟⿟ To determine training that will improve performance
⿟⿟ To determine whether training will make a difference⿟⿟ To distinguish training needs from organizational problems
⿟⿟ To link improved job performance with the organization’s goals, and⿟⿟ To determine what, if any, training has already been given, when and to whom.
A TNA may be conducted as a written survey or audit completed by individual staff. It may be
conducted or supplemented by individual interviews or focus groups. National prison staff should be
involved in both developing the questionnaires and conducting the analysis.
C. Collect Training Needs Analysis Data 3
The process of gaining the data for the TNA can be as simple as asking the employee questions or as
sophisticated as questionnaires and surveys. Here are approaches most commonly used to collect data for
a TNA.
⿟⿟ Group Interviews: Group interviews can save time and are especially good when multiple perspectives are important. However, the interviewer must be a skilled facilitator to bring out allissues. Do not allow the discussion to be dominated by a few or an individual with status or
position.
⿟⿟ Documentation: Performance records, evaluations, training records and other documentation canbe of tremendous value in determining training needs. Be careful that the data collected isaccurate and objective. Subjective performance reviews may be of limited value.
⿟⿟ Performance Tests: While tests can be difficult to design and often expensive, certain skills canbe tested using standardized tests and metrics can be measured to provide quantitative data
(multiple choice, fill in the blank etc.) of performance levels.
There is no best method of gathering Training Needs Analysis data. A combination of methods is mostoften the best approach.
The Training Needs Analysis is a critical activity for the training and development function. A
thorough TNA identifies what specific performance areas require training, who will benefit from training
and how the training should be designed. Effective TNA maximizes the return on your training investment.
A sample Training Needs Analysis template is attached as Appendix A.

2 Conducting a Training Needs Assessment, Jeannette Swist, 2001. Explanation of the process can be found at: <http://

www.amxi.com/amx_mi30.htm>.

3 From SETTEC <www.settec.org>.

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D. Initiating a Training Support Program
Initiating a training program in a resource poor environment where there are too few staff to allow
lengthy release from duty to attend training, means it is necessary that trainers be creative and innovative in addressing the many challenges of this environment. In environments in which the prison system
has collapsed, it is typical that a series of short, basic security and prisoner management programs aredeveloped based on rudimentary training needs analyses. These are then conducted in the early phaseprior to a broader training policy and framework being developed. These programs afford the opportunity
for development of a body of common knowledge and understanding between the facility prison staff andeach other and the national administrative staff. They also serve to identify and develop greater understanding of staff attitudes, knowledge, and approaches to imprisonment and enable the establishment of acommon framework which shapes the working relationship between the national prison staff and the staff
in individual facilities.
In terms of capacity building, it is preferable to develop management training as a first priority so that
senior national prison experts can then contribute in a comprehensive manner to the overall development
process. The Training Needs Analysis might indicate compelling reasons as to why a bottom-up approachof training junior staff in the first instance should be adopted. The course chosen should be responsive tothe exigencies of the situation and the combined judgment of the senior national prison managers. If abottom up approach is adopted, effective strategies to facilitate national staff access may include developing
short modules that can be delivered within a prison, locking down parts of a prison for short periods toreduce the number of supervisory staff required, and seeking police support for maintenance of external
security while short training modules are delivered.
E. Curriculum Development and Program Structure
It is generally accepted that a competency-based training approach is current best practice and as suchshould be the approach adopted. Curriculum design seeks to address two major training objectives: first, toenable participants to experience in depth learning; and second, to facilitate the development of transferable skills. In depth learning goes beyond short-term rote memorization to enable the assimilation of new
knowledge in a way that allows re-application to novel situations.4 Strategies to develop transferable skills
in areas such as thinking and learning, self-management, communication, group work and information
management, are intended to prepare participants for work outside of the training context. A structured
mentoring or coaching program (see Annex 2) may support the application of these learnings in theworkplace.
As part of the strategy to develop national training capacity, national staff identified as having thepotential to become effective trainers, should be involved in the development of the training curriculum
since it is the process of developing a curriculum which is as important as knowledge about programcontent. It also ensures that the curriculum is culturally appropriate. Organizations such as the International Corrections and Prisons Association (ICPA) 5 have access to training materials from multiple jurisdictions and, as a result, access to a wide range of program content applicable in a variety of environments.
Reviewing training programs and lesson plans assists national staff, developing the necessary content
knowledge. Guidelines for curricula development include:⿟⿟ Development should be undertaken by professional prisons training personnel in conjunction withnational staff
⿟⿟ Curricula should be based on existing international standards and norms
⿟⿟ Curricula content should reflect the realities of the host-country prison system
⿟⿟ Curricula should be tailored to the educational and literacy levels of the trainees
⿟⿟ Curricula should be designed keeping in mind participatory methodologies and techniques to be
used in training delivery
⿟⿟ Training programs should be translated into the relevant local languages to maximize thetraining program’s effectiveness⿟⿟ Partnership with a local training center e.g. police academy, may be a viable option
4 Entwhistle, N.J. (1988) Styles of Learning and Teaching: An Integrated Outline of Educational Psychology. David Fulton:

London.

5 International Corrections and Prisons Association Staff Training Website can be accessed at: <www.icpa-training.com>.

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161ST INTERNATIONAL TRAINING COURSE
VISITING EXPERTS’ PAPERS⿟⿟ Curricula should be developed with the expectation that ongoing modification of the program will
be necessary
⿟⿟ A Train the Trainer course(s) should be part of any program curricula⿟⿟ Training design should be reviewed regularly and be informed by feedback from national staff,
facility prison staff, NGOs supporting the prison system and other donors and intergovernmentalorganizations in a position to comment on training outcomes
F. On-the-Job Training
Participants of most prison training programs will generally benefit from on-the-job training since no
training program can completely prepare a person for all aspects of a job. Classroom work and skills
practice should be supplemented with support from senior national staff and facility mentoring/coaching
staff. On-the-job training should be specific rather than general. On-the-job training enables:⿟⿟ Supported implementation and follow-up of classroom training at the workplace⿟⿟ Ongoing assessment or evaluation of classroom training and an opportunity for immediate
remedial training if required. (Formal assessment and remedial action should be recorded for use
in evaluating the curriculum and training design)⿟⿟ Another training option when classroom training is not an option e.g. learning would be lesseffective or facilities and transport are not available
⿟⿟ Increased ownership and accountability at the operational level
Out-of-Country Study Tours
Prison managers may benefit from a structured and focused study visit of other prison systems.
Pre-visit preparation should take into consideration:
⿟⿟ Comparability of the donor country prison system
⿟⿟ Linguistic compatibility
⿟⿟ Planning to ensure that the elements of the visit are relevant to the counterpart’s work role⿟⿟ Appropriate staff selection to ensure that the objectives of the visit are directly relevant to participants’ roles
⿟⿟ Briefings that clarify the structure and content of the visit, donor expectations, national authorities’ expectations, any reporting or other requirements upon return⿟⿟ Learning expectations by providers and recipients including development of an action plan⿟⿟ Funding and logistics arrangements, and⿟⿟ Any ongoing support commitments between the respective countries after the study visits
It should be noted that unstructured and unfocused study tours to jurisdictions in which the resourcing
and circumstances are not in any way commensurate with that of the host-country or its cultural values,
can be counterproductive. It is also necessary to balance the loss of in-country learning time with potential
gain.
G. Evaluation and Review Mechanisms
Implementing a multi-level training evaluation and review program for prison staff training has many
benefits including:⿟⿟ Provision of data about the effectiveness of training at several levels so that the overall question
about the effectiveness of training can be better addressed⿟⿟ Data about training effectiveness is based on rigorous evaluation designs
⿟⿟ Curriculum developers and trainers being provided with data focused on specific areas of training
allowing for targeted revision of material and methods of delivery
Aspects of training that may be evaluated include:⿟⿟ Training methods, the learning environment, program content, training aids, facilities, schedules,
and competency of instructors
⿟⿟ Appropriateness for target audience
The effectiveness of the training delivered can be evaluated through class participation and testing. An
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evaluation of the participant’s performance at the work site should be ongoing.
H. Developing a National Training Capacity
When commencing the development of a prison support training program, prison components are often
confronted with lack of national training institutions and training unit personnel and insufficient national
staff to safely provide twenty-four-hour coverage of each prison. In these circumstances national authorities
may be reluctant to identify national staff who can form the nucleus of a national training capacity. As aresult, the conclusion may be drawn that current national staff are both unavailable for training or todevelop a national training capacity.
Heads of prison components should take up the issue of developing national training capacity with therelevant minister and head of department from the outset because of the importance of the training legacy
to the longer-term development of the national prison system. Management may also encourage thenational government to give priority to the development of national training capacity.
Prison management and training staff should attempt to identify potential training personnel either
from within the current staff or from among new recruits. The opportunity can then be afforded topotential trainers for their direct involvement in all aspects of the development of training policy andframework, curriculum development, and delivery. Those selected should be afforded a train the trainers
course of instruction. Topic areas for such a course may include:
Principles of adult learning⿟⿟ Identifying the adult learning cycle
⿟⿟ Discovering how adults learn including the impact of culture⿟⿟ Understanding preferred learning styles
⿟⿟ Creating an environment that motivates and enables adults to learn
⿟⿟ Applying the learning cycle to all aspects of training design and delivery
Designing training courses
⿟⿟ Conducting training needs analyses
⿟⿟ Developing lesson plans⿟⿟ Developing measurable, observable, outcome-oriented training objectives
Training strategies and techniques⿟⿟ Selecting appropriate training media and materials
⿟⿟ Opening and closing activities
⿟⿟ Accommodating participants’ preferred learning styles
⿟⿟ Maximizing retention of training programme content
⿟⿟ Using interactive and participatory methodologies (group discussions, role playing, etc.)
Platform skills
⿟⿟ Developing and employing effective public speaking skills
⿟⿟ Projecting confidence and enthusiasm
⿟⿟ Overcoming common problems of new instructors
⿟⿟ Developing your own natural style through practice⿟⿟ Managing instruction time effectively
Evaluating learning⿟⿟ Understanding evaluation
⿟⿟ Developing and/or adapting evaluation tools
⿟⿟ Using evaluation outcomes and feedback to improve future training
I. Training Infrastructure and Facilities
Where a dedicated prison training facility is not available it may be necessary to:⿟⿟ Negotiate access to another department or agency training facility
⿟⿟ Undertake training within a working prison
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161ST INTERNATIONAL TRAINING COURSE
VISITING EXPERTS’ PAPERS⿟⿟ Establish a mobile training team which attends prison facilities, or⿟⿟ Access existing classrooms in the local community.
As a medium- to long-term solution, donors may respond positively to project proposals for the establishment of a dedicated prison training facility, equipment and materials.

III. CONCLUDING THOUGHTSUnfortunately, many jurisdictions consider training — especially its cost in staff time and financial
resources — as an “extra” expense whose purposes can be met in other ways. Thus, new officers without
training are put to work under the “watchful eye” of more experienced staff. New prison procedures andlaws are not passed on to staff in a coordinated manner, and their impact on the treatment of inmates andfacility security are left to chance. An example of experience-only learning: A cat who jumps on a hot
stove will never do so again. However, that same cat will also never jump on a cold stove.
Sometimes, when training does occur in an organized manner, the individuals providing the training
are selected because of their practical experience and their ability as teachers is not verified. They bring
their good and their bad habits with them — to pass on to others.
The prisons of today and those who serve as inmates change constantly due to new political, technological, cultural and economic realities. The job of the correction officer is more complicated than ever before
and continues to grow in complexity. It is true that experience, without formal training, can help a person
grow into an effective officer — over time. However, it is also true that learning only from experience does
not provide full competencies and often can enhance bad habits.
Formal training before beginning work is necessary to protect the inmates, staff and public. Continuous
training to hone skills and learn new ones is essential in the changing world of working with individuals
who often come to prison due to personal problems and inadequacies. New technologies such as eversmaller and more powerful mobile phones, drones, use of material that evades the detection of metal
detectors create security risks. The large number of mentally ill inmates brings new challenges into theprison. Increased oversight by national and international human rights organizations puts the prison staff
under scrutiny similar to that inmates face from prison security staff.
Skills once needed by correctional staff are no longer valid as prison design and procedures change —but are often kept in a training regime. The need to constantly review what is being taught and how it istaught is critical to the operation of an efficient and effective prison system.
Aristotle reminded us that, “Excellence is an art won by training and habituation. We do not act rightly
because we have virtue or excellence, but we rather have those because we have acted rightly. We arewhat we repeatedly do. Excellence, then, is not an act but a habit.”6

6 Aristotle’s Nicomachean Ethics, 350 B.C.

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APPENDIX A: SAMPLE TRAINING NEEDS ANALYSIS TEMPLATE (Liberia)
Liberia Prisons Department
Correctional Officer: Training Needs Analysis Form
Name: ……………………………………
Rank: ……………………………
Date of Birth: ………………………
Prisons Experience (In years): ……………………………………
Positions held within the Prisons Department (Correctional Officer, Superviser):
1: …………………………………………………
2: …………………………………………………
List other experience: (Positions held outside the Prisons Department)
Organization

Years Service

Duties

Education Level: …………………………………
If previously serving in the Prisons Department list training received:
1:
2:
3:
4:
List training you believe you need or should receive:
1: ……………………………………………………
2: ……………………………………………………
3: ……………………………………………………
4: ……………………………………………………
Sign: …………………………

Date: ………………………

This table is to be completed by each person. Honest answers are required to enable a training
programme to be developed. Tick the box which best describes your knowledge, experience and confidence with each subject.
Subject
Admitting a prisoner to the institution
Communicable Disease Awareness
Discharging a prisoner
Emergency Procedures
Escorts: External
Escorts: Internal
Firearms ProceduresFirst Aid
Handcuffs

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Very Good Good

Average

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161ST INTERNATIONAL TRAINING COURSE
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Human Rights, minimum standards.
Liberia Legislation
Prison Routine
Prisoner Property
Prisoner Supervision
Report writing
Searching: Body Search
Searching: Cell and Area
Security: General
Structure of the Prisons Department
The Court System
Visit Procedures
Warrants

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APPENDIX B: SAMPLE COACHING/MENTORING LESSON PLAN
COACHING/MENTORING
No training program can adequately prepare a person for everything they will find when they actually
begin the job. Class work, skills practice are excellent and necessary, but must be supplemented with help
from senior staff. One of the worst things that can happen to a new officer is for an experienced staff totell him or her, as they begin their job, AForget what you heard in training, just listen to me.@ Often
senior staff has, for a variety of reasons, forgotten some of what they learned or become sloppy in the application. Thus, in order to get the proper benefit of experienced staff and in order to make experienced
staff feel a part of the training program, formal Acoaching@ training should be given to them. Whatfollows is a lesson plan on coaching for experienced staff who will be paired with new personnel.
Lesson Title:

Coaching Skills

Method of Instruction:

Lecture, discussion, demonstration, structured role play

Time Frame:

2 Hours

Performance Objectives: At the end of this session with-out the aid of instructional materials, the participants will:
1. Define the term or concept of coaching, relevant to the relationship
2. Describe the techniques of conducting a coaching interview according to guidelines| developed by
Morey Stettner
3. Describe the purpose of demonstrations.
4. Identify six basic steps in structuring the process of developing and conducting demonstrations
according to
5. Conduct a coaching interview, according to the coaching interview checklist.

DISCUSSION GUIDE:
Pair the group off --the entire lesson is conducted as a combination of open discussion and role playing

INTRODUCTION
In approximately two weeks, a probationary correction officer will be assigned to work with you. Let’s
consider that first meeting. Each of you have been paired off with a partner. For the next 6 minutes, I
want you to meet each other.
1) greet each other as if you are meeting for the very first time2) one person interviews the other for the first 3 minutes. You will then switch interview should bepersonal; get to know your partner, ie: special interests, special talents; family; etc.
3) each of you will then present (introduce) your partner to the group.

DISCUSSION GUIDE:
Ask the group the following-		 How did you feel when you were being introduced to the group?
-		 Do you feel that your interviewer has a good grasp of you?
-		 Do you feel that, based on your interview, you have a good grasp of your partner?
-		 What dynamics are involved during a first meeting? What are examples of some of the things thatyou do? What is the first overall picture that you pay attention to?
-		 What is the non-verbal communication?
a) clothing b) posture c) overall hygiene-		 What about the handshake? ie. limp vs. firm; partial vs. full-		 What about eye-contact? ie. direct, indirect, not at all.
-		 Other considerationsa) posture, b) space (positioning), c) listening (active/non-active), d) language (slang vs. standard)30

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As you can see from this brief exercise, there are numerous interactive cues that impact a firstmeeting (first impression). These are just a few considerations for you to bear in mind, as you meet theprobationary officer assigned to you for the first time.
Several times during this training program, experienced officer, such as yourselves, have been referred
to as coaches. What is coaching?
It is: Assisting, training someone on “how to improve”, “how to do”.
In order to this effectively, what kind of relationship will the coach need to have with the probationary
correctional officer? (ie. respectful, accepting; positive, etc.). Remember, your goal is to coach individuals
through positive people management. Dealing effectively with the probationary officer means helping themto strive for excellence. This can be achieved through a positive tone in all interactions, particularly whenrelated to job appraisals and corrections for improvement. During this session, we are going to look at descriptions of techniques for making the coaching process a success for both you and the probationary
officer.
In the Field of Management, often times analogies are drawn between how a supervisor treats his/her
staff and now he/she would treat his/her car. For example: What do you do when you notice something
unusual with your car? Do you get it checked out immediately or ignore it until something definite
happens; fix the problem immediately before it gets expensive, or wait and see how long it will last; get a
new car.
Some supervisors see something wrong, but they ignore it. At some point this Aminor” problem
becomes worse. There are other supervisors that will move-in on the problem when it is first observed.
This type of supervisor will always provide on-going training and guidance to avoid problems.
Oftentimes, something may appear as minor, but it really isn’t because it is fundamental to an overall
process.

DISCUSSION GUIDE:
Ask the class to provide examples
An example is timely tours: an officer may decide to do a tour of his/her area later or miss one. This isdangerous because it can create a lackadaisical attitude and result in the officer missing the opportunity toprevent a serious incident or suicide. Hence, alert and active coaching is critical.
1)
2)
3)
4)
5)

Let’s look at some recommended coaching techniques.
Define the problem
Analyze the causes
Decide on corrective action
Think through (rehearse) your approach
Initiate the coaching session

STEPS & CONSIDERATIONS IN CONDUCTING THE COACHING SESSION:
1. PREPARE a) check your observation to ensure clear communication -BE SURE ABOUT YOUR OBSERVATION.
b) Make certain that it is well timed. Feedback after delay will cause for the problem to be attributed
to lack of motivation or ability, rather than the actual observed behavior.
c) Think (rehearse) what you are going to say and how - Think about the last big mistake you madeand how you felt.
2. SET TONE
Let the probationary officer know immediately that the purpose of the conference is to work out a way
to improve future performance and not to criticize negatively.
3. GET FACTS ON THE TABLE:a) Be specific, rather than generalb) Be descriptive, rather than evaluativec) Direct observations toward the behavior not perception
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RESOURCE MATERIAL SERIES No. 98d) Offer corrections to improve performance, not to blame or demeanor.
4. MAINTAIN PARTNERSHIP TRAININGa) Encourage PROBATIONARY OFFICER to evaluate his/her performance. You should share yourpast performance -”no one is perfect”b) Defuse negative emotions - respond to skills. Always try to focus on positive attitudes. Listen
carefully but get the probationary officer refocused on the skills.
c) Many probationary officers will criticize themselves; Summarize by reviewing when things gowrong. Try to minimize self-criticism and get on with improving the performance.
IMPLEMENTING TRAINING (THE CORRECTIVE ACTION)
Coaching is about helping an individual to improve his/her performance. a job performance is demonstrated by the application of specific knowledge, skills, abilities, and attitudes to the duties and responsibilities of a specific job.
Earlier in this session we established that coaching is the act of helping someone to improve -- “How todo”. The primary manner in which we achieve this is through demonstrations. All of us have seen demonstrations in one form or another. The thing to keep in mind when using demonstrations is that they canserve as a very powerful instructional technique that can help to promote learning and long term
retention.
What are the purposes of demonstrations
DISCUSSION GUIDE:
Have the class give ideas
THE PURPOSES _ DEMONSTRATIONS
1. Show a procedure
2. Show how to perform an act ~ (psychomotor skill)
3. Show the results
4. Show the consequences of failure to perform properly
5. Uses more than one sense (vision and hearing)
6. provides an opportunity to learn by doing
Remember that retention is a primary concern.
The following are steps to help structure the process of developing and conducting demonstrations andimprove the likelihood that they will be effective.
1. Know what behaviors, skills, techniques, or results are to be demonstrated.
2. Identify the material, supplies, or equipment needed.
3. Try the demonstration out in advance to be sure that it does what you want it to.
4. Tell the probationary officer. what you are going to do; prepare them to observe critically.
5. Show the probationary officer how to do it, discuss the subskills involved in the task simultaneously.
6. Maximize the learning. Have the probationary officer practice the procedures, skills, or techniques andevaluate their performance (give feedback immediately).
In order to go from paramilitary to human services - the development must take a different role of instruction. The instructor must not be an authoritarian, but more of a facilitator of the learning experience.
Carl Rogers in his book A Freedom To Learn, emphasizes the establishment of a good relationshipbetween teacher and learner as primary to the learning process. The facilitator’s role has five basic characteristics, these are:
1. Effective Listening
2. Genuineness3. Understanding/Empathizing
4. Respect
5. interpersonal Communication

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These characteristics must be developed in all instructors who are working with adults.
1. Effective Listening - when listening to your probationary employee you must listen carefully, accurately,and sensitively. Any individual who speaks is worthwhile, worth understanding, consequently he/she isworthwhile for having expressed something.
2. Genuineness - “Managing Feelings” When we talk about “managing feelings” we are referring to theownership of one’s feelings.
Such concepts as:a. Self (Who Am I)
b. Self-Determinationc. Commitment
d. Inner-direction
e. Self-Acceptancef. 		 Self-Esteem.
g. Self-Confidence
If you have each of the concepts above the you will have a better attitude towards yourself and if
you have a good attitude towards self, you will have a greater attitude towards others. You as the facilitator will be able to:a. Decrease in authoritarianism.
b. Have a greater acceptance to others.
3. Understanding - listen to the meaning and the feelings the probationary officer is experiencing. It is tothese meanings and feelings that you will respond to.
4. Respect - you want the probationary officer to be safe, you want him/her to feel, from the beginning of
the interaction, that if he/she risks saying something personal, absurd, or cynical, there will be at least
one person who respects him/her enough to hear him/her clearly and listen to that statement as expression of himself/herself.
The facilitator must be well aware that one cannot make the experience safe from pain from therest of the environment. However, the facilitator would like to make the individual feel that whatever
happens he is available and supportive.
To Summarize On Criticism - keep in mind that recipients prefer feedback that is specific and isdelivered promptly. Those of you who give feedback that is general and is delivered only after a delay often
fall into another, more serious trap: You attribute poor performance to internal causes (such as lack of motivation or ability), rather than observable behavior.
III. APPLICATIONAt this point I’m going to give you an opportunity to practice the steps and techniques in conducting acoaching interview.

DISCUSSION GUIDE:
Have the students count off from 1 to 5. Have all of the 1’s form a group, the 2’s another group, etc.
Designate an area for each group to cluster.

I’m now going to distribute to you 5 Coaching Interview Checklists, together with a background
scenario about a probationary correction officer. You are to review the information and have a small group
discussion on the case before you. Decide what behavior is of specific concern and how the coachinginterview should be approached. Once you have accomplished this task, chose one person from your group
who will conduct the interview with the probationary correctional officer. Someone from a group otherthan your own, will play the role of the probationary officer.

INSTRUCTOR’S NOTE: Each group has a different probationary officer case. You will have 15 minutes
for this exercise. Now, while each of the coaching interviews are taking place, I want everyone else to use
the checklist to assess each of the sessions. Each of you have 5 checklists, one for each scenario. At theend get group feedback
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RESOURCE MATERIAL SERIES No. 98
CONCLUSIONAs the coach, your primary goal is to help the probationary correctional officer strive for excellence. It
can best be done by setting a positive tone in all interactions with workers. When performance problems
or questions arise, you need to examine the situation closely, first by describing the problem and deciding
if it is important. Then the causes of the deficiency are analyzed and corrective action chosen. Once a
course of action has been determined, it needs to be implemented and followed up. Finally, you have toevaluate whether the problem has been solved.
NOTE: One corrective action that improves job performance is coaching. Coaching provides a positive
approach for both the experienced officer (the Coach) and new person (the probationary officer) to analyze
a problem and work to eliminate it. Coaching also builds from the employee’s strengths and minimizes
blame.
EVALUATION
You have had an opportunity to practice some of the coaching techniques and-considerations presented
in this session as well as to assess that performance. Now I will ask you to complete a brief quiz.
COACHING SKILLS QUIZINSTRUCTIONS: Read each item carefully and circle the letter of the answer that best completes thestatement.
1. Coaching is best defined as:a) Keeping someone in check.
b) Guiding someone to stay out of trouble.
c) Training someone to improve.
d) Supervising someone.
2. The first thing that you as a coach should do in preparing for a coaching interview is to:a) Check your observation to ensure clear communications.
b) Rehearse what you are going to say.
c) Make sure it is a positive observation.
d) Minimize self-criticism.
3. In the coaching process, “set the tone” means:a) Speak loudly.
b) Speak softly and deliberately.
c) Be stern.
d) Let the probationary officer know immediately that the purpose of the conference is to work out away to improve.
4. In order to get the facts on the table, the Coach shoulda) Be specific, firm, and evaluative.
b) Immediately talk to the captain about the problem.
c) Be specific; descriptive; discuss the behavior; and offer corrections to improve.
d) Ignore his/her observations and wait for the Coach to initiate the discussion.
5. To maintain Partnership in Training, the Coach should:a) Constantly remind the probationary officer that the Coach is the experienced senior over him or
her.
b) Threatened the probationary officer with going to the captain.
c) Keep the probationary officer dependent on the more experienced, senior officerd) Encourage the probationary officer to evaluate his/her performance, diffuse negative emotions, andminimize the probationary officer’s self-criticism.
6. The purpose of demonstrations is to:a) Show how to perform an act, show the consequences of failure to perform, and provide an opportunity to learn by doing.
b) Make the probationary officer look bad.
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161ST INTERNATIONAL TRAINING COURSE
VISITING EXPERTS’ PAPERSc) Show how easy a task actually is.
d) To impress the Housing Area Captain.
7. In preparing for a demonstration, the Coach should:a) Inform the captain of his/her intentions.
b) Make sure that no one is around, besides the probationary officerc) Know what is going to be demonstrated; identify materials needed; and try the demonstration out inadvance.
d) Minimize the learning.
8. In conducting a demonstration, the Coach should:a) Tell the probationary officer what he is going to do.
b) Use inmates to make his/her point more clear.
c) Catch the probationary officer by surprise.
d) Conduct demonstration away from the facility.
9. To maximize the learning means:a) Give the probationary officer a lot of work.
b) Give the probationary officer an opportunity to practice the procedures, skills, or techniques andgive him/her immediate feedback.
c) Give the probationary officer high praise.
d) Award the probationary officer for doing the right thing.
10. When conducting the coaching interview, the Coach should:a) Speak to the probationary officer in private.
b) Be harsh.
c) Share criticism only.
d) Immediately report the outcome to the captain.
PEER COACHING SKILLS CHECKLISTFACILITY TRAINING OFFICER PROGRAM
INSTRUCTIONS: Please check the box that best represents your observations.
1.
2.
3.
4.

NOT OBSERVED
FAIR
GOOD
EXCELLENT

1. Set Tone
2. Get Facts On Table:				 a) Be Specific				 b) Be Descriptive				 c) Observations Directed To Behavior				 d) Corrections To Improve
3. Maintain Partnership In Training:				 a) Encourage Evaluation				 b) Diffuse Negative				 c) Minimize Self-Criticism
INSTRUCTOR’S NOTES: The instructor should develop the five background scenarios about a probationary correction officer to distribute for the exercise. Make each on fairly simple, but consistent with thevarious types of people who apply for corrections jobs in your area
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TRAINING MANUALS AND LESSON PLANS FOR CORRECTIONAL
STAFF INCLUDING PRACTICAL APPLICATION OF THE UN STANDARDSAND NORMS
Gary Hill ＊I. THE DEVELOPMENT OF A TRAINING MANUAL
Staff training and career development are very vital in any correction organization that aims at progressing. Training simply refers to the process of acquiring the essential skills required for a certain job. It
targets specific goals, for instance understanding a process and operating a certain piece of equipment or
system. Career development, on the other side, puts emphasis on broader skills, which are applicable in awide range of situations. This includes decision making, thinking creatively and managing people.1
An important tool in facilitating both staff training and career development is a well-constructed staff
training manual. Such a manual enables consistency in training and helps insure that all personnel hear
the same information and philosophy in the way it is intended by the prison administration. The manualserves to codify workplace rules and guidelines. It helps enable departmental functions in the absence of
key employees. It helps keep instructors on track and within the timeframe allotted to teach particularsubjects. It helps insure that all intended subjects are covered in the course of a designed training program.
It provides the students with reference information that can be used both for the immediate class andlater for refreshing the information and providing remedial help.
A. Needs Analysis
The process begins with a needs analysis — some refer to this as front-end analysis. It is an ongoingprocess of gathering data to determine what training needs exist to help the correction system develop thetraining required so it can meet its objectives. The training of correction officers is not an activity independent of the mission, objectives and core values of the corrections system. Rather, the training is a tool tohelp the prisons system meet its goals in an effective, efficient and humane manner.
The following, from www.hr-survey.com/TrainingNeeds.htm, provides an excellent view of the training
needs assessment process:
1. Gathering Employee Opinions for Training Needs
Schedule a meeting with employees in a particular department or job classification. During the meeting,gather ideas from the employees about their needs and areas for professional development. Determine
common themes and topics. Ask the employees to review the information gathered and determine whichareas/needs are most important to receive training. Then determine the desired outcomes from thetraining to address these needs. These outcomes could serve as measures of success (validation) of the
training.
2. The Steps in a Training Needs Assessment
1.
2.
3.
4.
5.

Needs Assessment (collecting and analyzing data)
Design (program objectives, plan, measures of success)Testing (prototype the instrument and process)Implementation (collection measures and update as needed)
Analysis & Evaluation (review feedback and data collected)

Director of Staff Training of the International Corrections and Prisons Association and Scientific Coordinator of the International Scientific and Professional Advisory Council. Garyhill@cegaservices.com.
1 <www.artofthestart.com>, November 2014.
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3. Assessment Methods: Advantages and Disadvantages2
a. Workplace observation

Advantages
Assurance that evidence is authentic, valid and current
Applicant need not leave workplace
Can illustrate competence through reference to/use ofworkplace facilities and resources
Necessary method for some high risk activities androles

Disadvantages
Applicant may feel pressured, affecting performance
Assessor needs access to workplace
Mitigation
Ensure that the applicant is fully informed
Allow more than one attempt and inform the applicant
that they are eligible for a second attempt.
Negotiate with the employer to allow workplace accessb. Simulation

Advantages
Disadvantages
Enables assessment under simulated degraded or In the case of safety critical roles in rail, requires
emergency conditions
access to simulator
Enables assessment of infrequent events that have nototherwise occurred during workplace assessmentc. Third party report

Advantages
Can provide useful backup
Process need not be complicated. e.g. Third party
completes form or checklist

Disadvantages
Need to confirm that information is authentic andcurrent
Third party must be informed and credible
Mitigation
Request a statutory declaration, signed and witnessed
appropriately

2 Skills Recognition, <http://www.skillsrecognition.net.au/the-advantages-and-disadvantages-of-various-assessment-meth-

ods>.

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d. Questioning
in the form of a competency conversation, professional conversation, learning conversation, interview

Advantages
Provides immediate feedback
Provides opportunity to explore skills and experiencein greater depth
Does not disadvantage applicants with limited reading
and writing skills

Disadvantages
Requires a skilled assessor
Applicant performance may be influenced by assessor’s
style

e. Projects/assignments

Advantages
Can provide extensive information on applicant skills,
knowledge and experience
May be used in both group and individual assessment
Familiar assessment method for some applicants
Allows for differences in learning styles

Disadvantages
Requires writing and presentation skills
May ask for skills that are not required of the unit ofcompetency
May not be a good indication of workplace competence
May be judged on presentation rather than content
Difficult to confirm validity
Mitigation
Cross check validity with a peer or colleague

f. Print portfolio
hard-copy documentary evidence compiled by applicant

Advantages
Disadvantages
May include various forms of evidence of informal, non- May be difficult to confirm authenticity
formal and formal experience
May be judged on presentation rather than content
Applicants are likely to be familiar with this approach
Mitigation
Check certifications, qualifications, third party reports
and referees re: authenticity
g. e-Portfolio
electronic documentary evidence compiled by applicant

Advantages
May include various forms of evidence of informal, nonformal and formal experience
Suits applicants who are comfortable working withcomputers and online environment
Can be streamlined through use of templates or ePortfolio software
Information can be electronically shared and stored
Minimizes paper-based evidence collection

Disadvantages
Requires computer literacy
May be difficult to confirm authenticity/validity
May be judged on presentation rather than content
Mitigation
Check documents for authenticity where possible
Allow for a paper-based portfolio

h. Point of view glasses
Video camera worn by an individual to take live audio-visual footage from the perspective of that person.

Disadvantages
Advantages
When worn by applicant or a colleague, provides audio- Requires access to the technology
visual evidence of the applicant performing a work
activity
Particularly useful in assessing the skills of workers
who are geographically remote from the assessor

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i. Challenge Test
also called skills test

Advantages
Can include practical, written and/or oral elements
Provides opportunity for targeted testing of safety
critical activities and roles
Can test understanding and recall

Disadvantages
May not adequately assess skills requiring synthesis
and analysis
Stress may influence applicant performance
Mitigation :Ensure the applicant is fully informed about the natureof the exercise
Allow for a second opportunity a nd inform theapplicant of this opportunity prior to taking thechallenge.

Other ways of identifying potential training needs include:
⿟⿟
⿟⿟
⿟⿟
⿟⿟

Review of incident reports (accidents, escapes, confrontations, contraband)
Staff and inmate suggestions, complaints, requests
News articles concerning the prison operation
Input from visitors, inmate family members, clergy, NGOs

With each identified training need, establish a list of tasks needed to be accomplish it, along with performance objectives and how the accomplishment of the objective can be measured. The list of training
needs and performance objectives must then become part of a full training curriculum (see sample inAppendix A) and converted into lesson plans or modules.
B. Lesson Plans
A lesson plan is a detailed guide for teaching a lesson. 3 It’s a step-by-step guide that outlines the instructor’s objectives for what the students will accomplish during the lesson. It is the planning needed toinsure the appropriate information is taught in the most effective manner. The United States President,
Abraham Lincoln4 said, “If I had eight hours to chop down a tree, I’d spend six hours sharpening the axe.”
Creating a lesson plan involves setting goals (objectives), developing activities, and determining thematerials that will be used.
A lesson plan is not for the student — rather it is for the instructor and training administrators. The
lesson plan consists of several item5:
Normal parts of a lesson plan:⿟⿟ Aims and Objectives – what you wish to teach⃝ No more than 1 to 2 aims for a 2-hour lesson⃝ Objectives indicate what the student will be able to do as a result of the lesson (e.g. At theconclusion of this block of instruction:
1. The student will correctly name the major components of the nation’s justice system.
2. The student will correctly identify the nation’s Prison Law and the legislative source of
the Prison rules.)⿟⿟ Methods/Type of Instruction – how you will teach the subject matter⃝ In developing this section, the instructor should take into consideration:▪ What the students should already know
▪ What the instructor should know about the students⃝ Methods – some examples include:▪ Lecture▪ Discussion▪ Question/answer sessions
3 Cox, Janelle, What is a Lesson Plan, K6educators.about.com
4 American 16th President, 1861-65.

5 Much of the material explaining what a lesson plan should contain comes from Slideshare – <www.slideshare.net>.

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RESOURCE MATERIAL SERIES No. 98▪
▪
▪

Demonstrations
Role playing
Tabletop exercises – group discussion of a simulated emergency situation. Students, ingroups, discuss the actions they would take in a particular emergency, testing theiremergency plan in an informal, low-stress environment▪ Computer simulations▪ Interactive video or computer-based programs▪ Simulations▪ Case studies▪ Planned reading▪ Practice⿟⿟ Resources – what materials you will need to teach the subject (and to help the instructor)⃝ Normal items can include: student’s workbook, pens, paper⃝ Special items could be: posters, charts, maps, worksheets, projector, PowerPoint, videos,security equipment
⿟⿟ Assessment – how you will check that the students have learned what you have attempted toteach⃝ My personal belief is that if you do not have a test at the end of the lesson you should notteach it. The test can be oral or written or even part of the on-the-job training with a coachor mentor. Testing for competency can be an on-going process with tests immediately after
the subject is taught and then periodically throughout the individual’s career.
⃝ Test results should be recorded and part of the student’s file.
⿟⿟ Evaluation – how you will check your performance as an instructor⃝ Student feedback forms⃝ Observation by other instructors
⿟⿟ Contingency – what preparations you will do in case things do not go as planned⃝ What could go wrong?
▪ Guest lecturer does not show up▪ Projector does not work
▪ Lesson proves too difficult for the majority of the class▪ Lesson proves too easy for the majority of the class▪ Subject matter covered in much less time than was planned – students have nothing todo▪ Class time over before all the material has been covered▪ A student, or several, become disruptive▪ Class is interrupted by higher officials or visitors⃝ The above and others are samples – plan for each of them and more BEFORE they happen
Parts of the lesson plan added for correction trainers:
⿟⿟ References to applicable laws, prison policy, international and national standards
⿟⿟ Use, where applicable, of actual equipment used by the correction service
⿟⿟ Examples from within the correction system – both current and historic (for example using actual
cases of escape, finding contraband, staff/inmate interaction)
A lesson plan also serves to maintain consistency in how a subject is taught and helps keep both the instructor and the class on target and within allowed training times. In addition, if the original instructor
cannot give the lesson, it allows the substitute instructor to maintain the integrity of the lesson. Mostoften, the individual lessons in a correction-based curriculum are part of a series building from basic toadvanced knowledge and tied to practical application. Without common lesson plans, changes in instructors
can break that chain of advancing the student’s knowledge and competency.

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Sample lesson plan format (this is an example that can be modified):
LESSON PLAN 19 – Controlling Inmate Behavior
Method of Instruction: Lecture, Discussion, Question and Answer
Time Frame: 2 Hours
Performance Objectives: At the conclusion of this block of instruction the student will:
1. Be able to define what “control” means when used in the context of “controlling inmates”
2. Learn the steps to follow in handling inmate requests
3. Learn how to reinforce behavior using both verbal and non-verbal techniques
Training Aides Required: Blackboard or flip chart
INTRODUCTION
Controlling behavior simply means taking charge. This is what it’s all about in an institution. Without
the ability to control behavior, all the other efforts are wasted. An officer has to do everything he can toensure appropriate behavior: first in the interest of the institution and himself, then in the interest of theinmate. The same holds true for the inmate. Learning to control his own behavior is in his own interest.
Control of inmate behavior leads to a secure institution. Inmate self-control leads the inmate to success.
Without control, nothing productive can occur.
Controlling inmate behavior is an applied activity, not a philosophical exercise. In this lesson we willconcentrate on three specific application skills:
1. Handling inmate requests
2. Making requests of inmates
3. Reinforcing behavior

DISCUSSION GUIDE:
Pick two students, one to play the part of the inmate, the other the part of the officer.
The instructor should describe a scene in which an inmate requests something that will be difficult
to grant -- examples might be an extra visit or to be allowed to work an easier job or to have someitems not allowed other prisoners.
Have the class analyze the way the officer handled the situation and ask them to explain why control
is important for inmate management. Then ask them to discuss what the inmate gains when he learns
to control his own behavior. Help them end with an appropriate resolution and then point out thefollowing:In the case above, the officer exerted control through skill, not force. He didn’t demean or put down,
he didn’t use sarcasm. You will note, however, that included in his skills were firmness and reasons forhis actions. There was no weakness. The inmate now knows what he is expected to do and why. The
officer was even able to continue to be responsive to the inmate when the inmate became irritated. The
use of skill gets that job done and increases the probability that the inmate will feel he has been treatedfairly even if he has to have his routine interrupted.

II. PRACTICAL APPLICATION OF INTERNATIONAL UN STANDARDS AND
NORMS
A. International Standards Impacting Corrections: List of Relevant Human Rights Instruments
All of the instruments listed below are potentially of relevance to anyone wishing to submit allegationsof ill-treatment to international bodies, or indeed within the national system. They have been arranged thematically in order to make it easier to pick out all instruments relevant to a specific topic. Within thethematic divisions, they have then been subdivided according to their origin, i.e. the international organization which created them.

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1. General Human Rights Instruments
United Nations:⿟⿟ Universal Declaration of Human Rights
⿟⿟ International Covenant on Civil and Political Rights
⿟⿟ Optional Protocol to the International Covenant on Civil and Political Rights
Council of Europe:
⿟⿟ European Convention on Human Rights
Organization of American States:⿟⿟ American Declaration on the Rights and Duties of Man
⿟⿟ American Convention on Human Rights
Organisation of African Unity:⿟⿟ African Charter on Human and Peoples’ Rights
2. Torture-Specific Human Rights Instruments
United Nations:⿟⿟ Declaration on the Protection of All Persons from Being Subjected to Torture and Other Cruel,
Inhuman or Degrading Treatment or Punishment
⿟⿟ Convention against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment
Council of Europe:
⿟⿟ European Convention on the Prevention of Torture
Organisation of American States:⿟⿟ Inter-American Convention to Prevent and Punish Torture
3. General Standards for the Treatment of Persons in Official Custody
United Nations:⿟⿟ Standard Minimum Rules for the Treatment of Prisoners (the Mandela Rules)
⿟⿟ Basic Principles for the Treatment of Prisoners
⿟⿟ Body of Principles for the Protection of All Persons under Any Form of Detention or Imprisonment
⿟⿟ United Nations Rules for the Protection of Juveniles Deprived of their Liberty
⿟⿟ United Nations Standard Minimum Rules for the Administration of Juvenile Justice (“The Beijing
Rules”)
⿟⿟ United Nations Rules for the Treatment of Women Prisoners and Non-custodial Measures for
Women Offenders (the Bangkok Rules)
Council of Europe:
⿟⿟ European Prison Rules
4. Professional Standards
United Nations:⿟⿟ Principles of Medical Ethics relevant to the Role of Health Personnel, particularly Physicians, in
the Protection of Prisoners and Detainees against Torture and Other Cruel, Inhuman or
Degrading Treatment or Punishment
⿟⿟ Model Autopsy Rules
⿟⿟ Code of Conduct for Law Enforcement Officials
⿟⿟ Basic Principles on the Use of Force and Firearms by Law Enforcement Officials
⿟⿟ Basic Principles on the Role of Lawyers
⿟⿟ Guidelines on the Role of Prosecutors
⿟⿟ Basic Principles on the Independence of the JudiciaryCouncil of Europe:⿟⿟ Declaration on the Police
5. Instruments Relating to Women
United Nations:⿟⿟ Declaration on the Elimination of All Forms of Discrimination against Women⿟⿟ Convention on the Elimination of All Forms of Discrimination against Women⿟⿟ Declaration on the Elimination of Violence against Women

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Organisation of American States:⿟⿟ Inter-American Convention on the Prevention, Punishment and Eradication of Violence Against
Women
6. Instruments Relating to Children
United Nations:⿟⿟ Declaration on the Rights of the Child⿟⿟ Convention on the Rights of the Child⿟⿟ United Nations Rules for the Protection of Juveniles Deprived of their Liberty
⿟⿟ United Nations Standard Minimum Rules for the Administration of Juvenile Justice (“The Beijing
Rules”)
Organization of African Unity:⿟⿟ African Charter on the Rights and Welfare of the Child
7. Instruments Relating to Persons Detained on Mental Health Grounds
United Nations:⿟⿟ Principles for the Protection of Persons with Mental Illnesses and the Improvement of Mental
Health Care
8. Instruments Relating to Racial Discrimination, Apartheid and Genocide
United Nations:⿟⿟ United Nations Declaration on the Elimination of All Forms of Racial Discrimination
⿟⿟ International Convention on the Elimination of All Forms of Racial Discrimination
⿟⿟ Convention on the Prevention and Punishment of the Crime of Genocide⿟⿟ International Convention on the Suppression and Punishment of the Crime of Apartheid
9. Instruments Relating to Disappearances and Extra-Judicial Executions
United Nations:⿟⿟ Declaration on the Protection of All Persons from Enforced Disappearances⿟⿟ Principles on the Effective Prevention and Investigation of Extra-legal, Arbitrary and Summary
Executions
Organization of American States:⿟⿟ Inter-American Convention on the Forced Disappearance of Persons
10. Humanitarian Law Instruments⿟⿟ Geneva Convention I for the Amelioration of the Condition of the Wounded and Sick in Armed
Forces in the Field
⿟⿟ Geneva Convention II for the Amelioration of the Condition of Wounded, Sick and Shipwrecked
Members of Armed Forces at Sea
⿟⿟ Geneva Convention III relative to the Treatment of Prisoners of War
⿟⿟ Geneva Convention IV relative to the Protection of Civilian Persons in Time of War
⿟⿟ Protocol Additional to the Geneva Conventions of 12 August 1949, and relating to the Protectionof Victims of International Armed Conflicts (Protocol I)
⿟⿟ Protocol Additional to the Geneva Conventions of 12 August 1949, and relating to the Protectionof Victims of Non-International Armed Conflicts (Protocol II)
11. Other Relevant Instruments
United Nations:⿟⿟ Declaration on the Right and Responsibility of Individuals, Groups and Organs of Society toPromote and Protect Universally Recognised Human Rights and Fundamental Freedoms (“Declaration on Human Rights Defenders”)
⿟⿟ Safeguards Guaranteeing Protection of the Rights of Those Facing the Death Penalty
⿟⿟ Declaration of Basic Principles of Justice for Victims of Crime and Abuse of Power⿟⿟ Statute of the International Criminal Court
⿟⿟ United Nations Standard Minimum Rules for Non-custodial Measures (the Tokyo Rules)

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B. Incorporating Standards and Norms in Lesson Plans and Training Material
Often times United Nations and International Standards are taught apart from the other lesson plans.
The attached sample curriculum does have a separate lesson plan on international standards. However, thestandards that impact on all the individual lesson plans should also be identified in each lesson plan, alongwith national laws and organizational policy and procedures. My practice has been to identify them at theend of each lesson plan and to provide that information to the students. The intent is to have the students
understand that everything we teach in corrections is tied to acceptable human rights standards andnorms. Below is an example from the Table of Contents in Basic Training Manual for Correctional
Workers 6 .
LESSON PLAN 14 - Introduction to SearchingTechniques Supplement to LESSON PLAN 14 
Human Rights Instruments Related to LESSON PLAN 14 
Sample Procedural Assessment Template for LESSON PLAN 14 

244
251
272
274

In the above example, the Supplement to LESSON PLAN 14 provides additional ways to teach thesubject. The Human Rights Instruments are presented in the following format:
International Covenant on Civil and Political Rights
Adopted and opened for signature, ratification and accession by General Assembly resolution 2200A(XXI) of 16 December 1966 entry into force 23 March 1976, in accordance with Article 49
Article 171. 	No one shall be subjected to arbitrary or unlawful interference with his privacy, family, home or correspondence, nor to unlawful attacks on his honour and reputation.
2. Everyone has the right to the protection of the law against such interference or attacks.
Body of Principles for the Protection of All Persons under Any Form of Detention or Imprisonment
Adopted by General Assembly resolution 43/173 of 9 December 1988
Principle 1
All persons under any form of detention or imprisonment shall be treated in a humanemanner and with respect for the inherent dignity of the human person.
Principle 3
There shall be no restriction upon or derogation from any of the human rights of persons under any
form of detention or imprisonment recognized or existing in any State pursuant to law, conventions, regulations or custom on the pretext that this Body of Principles does not recognize such rights or that itrecognizes them to a lesser extent.
Basic Principles for the Treatment of Prisoners
Adopted and proclaimed by General Assembly resolution 45/111 of 14 December 1990
1. All prisoners shall be treated with the respect due to their inherent dignity and value as humanbeings.
Code of Conduct for Law Enforcement Officials
Adopted by General Assembly resolution 34/169 of 17 December 1979
Article 2
In the performance of their duty, law enforcement officials shall respect and protect human dignity
and maintain and uphold the human rights of all persons.
World Medical Association Statement on Body Searches of Prisoners
6 Instructor’s Manual, June 2006, International Corrections and Prisons Association and the International Scientific andProfessional Advisory Council of the United Nations Crime Prevention and Criminal Justice Programme, CEGA Services/
Contact Center, Lincoln, NE USA.

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Adopted by the 45th World Medical Assembly Budapest, Hungary, October 1993
The prison systems in many countries mandate body cavity searches of prisoners. Such searches,
which include rectal and pelvic examination, may be performed when an individual enters the prison
population and thereafter whenever the individual is permitted to have personal contact with someone
outside the prison population, or when there is a reason to believe a breach of security or of prison regulations has occurred. For example, when a prisoner is taken to Court for a hearing, or to the hospital fortreatment, or to work outside the prison, the prisoner, upon returning to the institution, may besubjected to a body cavity search which will include all body orifices. The purpose of the search isprimarily security and/or to prevent contraband, such as weapons or drugs, from entering the prison.
These searches are performed for security reasons and not for medical reasons. Nevertheless, theyshould not be done by anyone other than a competent person with some medical training. This non-medical act may be performed by a physician to protect the prisoner from the harm that might result froma search by a non-medically trained examiner. The physician should explain this to the prisoner andshould furthermore explain to the prisoner that the usual conditions of medical confidentiality do not
apply during this imposed procedure and that the results of the search will be revealed to the authorities. If a physician is duly mandated by an authority and agrees to perform a body cavity search on a
prisoner, the authority should be duly informed of the necessity for this procedure to be done in ahumane manner.
The search should be conducted by a physician other than the physician who will provide medicalcare to the prisoner.
The physician’s obligation to provide medical care to the prisoner should not be compromised by anobligation to participate in the prison’s security system.
The World Medical Association urges all governments and public officials with responsibility for
public safety to recognize that such invasive search procedures are a serious assault on a person’s
privacy and dignity, and also carry some risk of physical and psychological injury. Therefore, the World
Medical Association exhorts that, to the extent feasible without compromising public security,-	alternate methods be used for routine screening of prisoners, and body cavity searches be resorted
to only as a last resort;-	If a body cavity search must be conducted, the responsible public official ensure that the search is
conducted by personnel with sufficient medical knowledge and skills to perform the search safely;-	the same responsible authority ensure that due regard for the individual’s privacy and dignity beguaranteed.
Finally, the World Medical Association urges all governments and responsible public officials toprovide for such searches by a physician whenever warranted by the individual’s physical condition. A
specific request by a prisoner for a physician shall be respected, so far as possible.
COUNCIL OF EUROPE. COMMITTEE OF MINISTERS. RECOMMENDATION No. R (98) 7-OF
THE COMMITTEE OF MINISTERS TO MEMBER STATES CONCERNING THE ETHICALAND ORGANISATIONAL ASPECTS OF HEALTH CARE IN PRISON
Adopted by the Committee of Ministers on 8 April 1998,at the 627th meeting of the Ministers’
Deputies.
H. Body searches, medical reports, medical research.
72. Body searches are a matter for the administrative authorities and prison doctors should not
become involved in such procedures. However, an intimate medical examination should be conducted bya doctor when there is an objective medical reason requiring his/her involvement.
The Sample Procedural Assessment Template is a form for the instructor or, later, the Mentor/Coachto use to evaluate the student’s performance:
PROCEDURE ASSESSMENT: BODY SEARCHES
Corrections Officer Name (please print): ____________________________
Introduction
Read through the following security skill. Place a check ( √ ) under Yes or No in the column stating
whether or not the officer performed this part of the task, they must perform this skill twice (ondifferent days) and be graded both times.

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Body Searches

1st Practice 2nd Practice

1. Knowledge of Institutional Policies and/or Post Orders

Yes

No

Yes

No

Yes

No

Yes

No

Yes

No

Yes

No

Pass

Fail

Pass

Fail

⃝ a
 ble to reference and state the reference numbers of the Policy and/or Post
Order⃝

demonstrates understanding when a body search can be conducted⃝ d emonstrates understanding that all searches must be carried out by a personof the same sex
2. Prepares self⃝

knows the reason for the search⃝acquires any equipment such as a bag (for contraband)⃝has another officer as a back-up

3. Procedures⃝

informs the prisoner that they are going to be searched⃝watches the prisoner for signs of aggression, once the prisoner has been told
they are to be searched⃝

has prisoner remove any excess clothing, shoes, jacket, etc.

⃝

has prisoner empty all of their pockets and pull them inside out⃝ tells prisoner to stand approximately three feet from the wall facing the officer⃝

has the prisoner spread their legs and stretch their arms to their sides⃝

has the prisoner wiggle their fingers and checks their mouths for any hidden
contraband⃝ as the prisoner turn around and places their hands spread out against thehwall, their feet should be approximately three feet wide apart and three feetfrom the wall⃝ lace their hand in the middle of the prisoners back (to detect any suddenpmovement)

4. Conducting the Search (Thoroughly and Systematically)⃝searches the head and neck area (ears, hair and mouth if not previously doneso)⃝s earches the upper body – back – shoulders – arms – rib cage – front andback⃝searches the lower body – waist – butt – crotch – legs – feet⃝searches excess clothing and personal articles⃝

searches shoes / or sandals⃝

returns items to prisoner

5. Administration
documents the search in the log book and includes all staff names who wereinvolved
places contraband into envelope and informs the supervisor immediately
submits written reports of any unusual findings to the superintendent
Overall Rating

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Mentor’s comments and training needs identified
Mentor’s Signature: _________________________________ Date: _____/_____/_____
Officer’s comments (optional):
Officer’s Signature: __________________________________ Date: _____/_____/_____(This does not state agreement; it only states this has been reviewed with the mentor)

III. CONCLUDING THOUGHTSIn 1973, William Nagel, a renowned Australian criminologist wrote a book called, The New Red Barn:
A critical look at the modern American Prison, in which he argued that an efficient, humane and effective
prison could be operated anywhere (even a new red barn) with good staff, properly trained. This paper is
an attempt to show some of what will help create that well trained staff. Good training does not happen by
accident nor is it totally dependent upon a knowledgeable and dedicated instructor. It happens due toresearch, planning, implementing and evaluating. Training, to be effective, cannot happen in a vacuum — itmust be based in principles and conform to accepted standards, laws and procedures. Students, in corrections, must understand both the extent and the limits of the power they hold over the lives of others. The
correction officer must also be able to react appropriately in a variety of situations and under many levelsof stress. Using minimum force and appropriate communication skills comes with training, practice, retraining and more practice.

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APPENDIX A: A SAMPLE PRISON OFFICER TRAINING COURSE
The material used here has been gathered by a review of more than 100 training programs conducted
in individual Correctional Staff institutions, training academies and educational institutions around theworld. Conferences with prison practitioners were held in North America, South America, Europe, Eastern
Europe, Africa, Asia and the Middle East to go over the material in detail. More than 30 manuals wereprepared with the laws of specific nations included for the general review and recommendations of prison
personnel. The material in this section is what was found to be an almost universally agreed upon set ofthe basic and minimum information people working in a prison should have included in their initialtraining. The times suggested here for each course is, again, a compilation of what was gathered from thematerial reviewed and would most likely be used as a guide in individual institutions doing their own
initial or refresher training. Training in a school or academy will undoubtedly be longer and more detailed.
Before working in a detention facility, prison or other type of correctional facility, it is important thatcertain basic elements are taught to each new employee. This is especially true for personnel who will beworking directly with inmates. Following is an outline of what those basic elements should be. The individual institution may wish to change the order suggested for some of the training modules, or may wish to
add to or modify some of the topics
The amount of time suggested for each module is based on the experience of similar training modules
as operated in several prisons in different parts of the world. The time is the minimum needed to cover
the subject and is meant as a guide to help you develop your own module. If desired, sample lesson plans
can be provided to serve as an example as individual institutions develop their own. The following is for acorrectional system where officers may use firearms. If a system does not use firearms, the lesson plansincluded below should be eliminated. Also initial training, and refresher training, should include ethics.
Though physical fitness training is important, it is not mentioned in this manual. Many prison systems
bring their recruits into an academy and provide them with as much as six months to a year of basic
training which has many additional elements not included here. Those who do more are to be commended
and, if possible, copied by others. However, this manual is intended to present the minimum subject matter
necessary for the efficient, effective and humane performance of duties. It goes without saying that without
proper supervision and constant reinforcement of both the philosophy of the prison system and the appropriate behavior of the staff, the training is of little value.
Finally, what is presented here is the minimum classroom material. It is strongly suggested that thetraining include several practical sessions where the recruits spend time with experienced officers insideof prisons. After the initial orientation, a visit to one or more prisons is an important way to help therecruit to better understand what he or she will be exposed to during the individual lessons. It is also recommended that experienced officers be trained as “coaches” so when they are working with recruits, they
can help reinforce and enhance the basic training.
THE FIRST WEEK — AN OVERVIEW OF CORRECTIONS AND WORKING IN IT
I. 		
ORIENTATIONThis is the student’s introduction to the corrections system. It begins with an overview of the nation’s
criminal justice system and moves to the specifics of the laws covering the prison system. It ends bycovering the general duties and expected behavior of prison personnel. Minimum time that should beallocated to this subject is 2 hours.
II. 		OVERVIEW OF THE PRISON SYSTEM
This module looks at the purpose of prison within the nation. Emphasis is given to the legal differenceof the status of a confinee in pre-trial detention and an offender imprisoned as a condition of the court-imposed sentence. It will also cover the different classifications of inmates which must, by law, be kept
separate from each other. The final section will list and define the various prisons within the nation anddescribe their general purpose, population capacities and security levels. Minimum time that should beallocated to this subject is 2 hours.

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WHO IS IN OUR PRISONS AND WHY?
This module provides information on the race, sex, age, offense, and average term served by thenation’s inmates. It also covers the types and numbers of inmates from foreign nations. The lesson ends
with a discussion among the students to help identify any false stereotypes and prejudices they might haveconcerning inmates in general. It will include a discussion on the causes of crime, especially violent crime,
within the nation. Minimum time that should be allocated to this subject is 2 hours.
IV.

INTERNATIONAL STANDARDS AND NORMS IMPACTING ON PRISON WORK AND
INMATESThis module provides an in-depth introduction of the United Nations and other appropriate Standards
and Norms defining the minimum standards of treatment required for detained and sentenced individuals.
It covers inmate rights and staff responsibilities. Minimum time that should be allocated to this subject is 4
hours.
V.		
PRISON POLICIES AND PROCEDURES
This module identifies the authority under which the prison system works and provides an overview ofthe policies. Sample policies and procedures are presented. Group discussions and exercises are conductedto enable participants to find solutions to policy questions they might encounter. Minimum time that shouldbe allocated to this subject is 6 hours.
VI.		
CROSS-CULTRUAL AWARENESS
The purpose of this module is to provide participants with the knowledge and skills necessary tosupervise and effectively communicate with all members of today’s culturally diverse prison community,
thereby improving the overall effectiveness of prison operations and avoiding culturally related supervision
problems. Minimum time that should be allocated to this subject is 2 hours.
VII.
INMATE DISCIPLINEThis module presents an introduction to the discipline process by reviewing the established rules forinmate behavior. The concept of due process in the discipline program is explained as well as punishment
options. Minimum time that should be allocated to this subject is 3 hours.
VIII.
INMATES AND THE PRISON ENVIRONMENTThis module begins with a brief discussion of the impact of prison and confinement on both inmatesand staff. It covers the various stages inmates go through from reception to discharge from the system.
This is followed by discussions of the subtle, destructive manipulation by some inmates that can lead staff
into criminal activity while working in a prison. The manipulation techniques of the criminal personality
are explored as a way of developing insights to protect against the “games” that some inmates play.
Minimum time that should be allocated to this subject is 4 hours.
IX.		
VIOLENCE IN PRISONThis module looks at the issue of inmate violence from the point of view of controls available in prison
settings. An analysis of previous disturbances or violent incidence is presented. Discussion of inmate needs
and the physical conditions helping lead to prison disturbances is also provided. Minimum time that shouldbe allocated to this subject is 1 hour.
X.		
A BRIEF OVERVIEW OF PRISONS AND TREATMENT PHILOSOPHIESThe previous lessons have laid the legal, operational and philosophical base of the prisons and theprison environment. This module looks at the history of how prisons developed into their current methodof operating. Information is provided on the theory of re-socialization and rehabilitation and what role theprison officer plays. Current re-resocialization programs operating within the prison are explained.
Minimum time that should be allocated to this subject is 4 hours.
XI.		
HOSTAGE SURVIVALThis module answers the question, “What should I do if I were taken hostage?” Mental and emotional
preparedness is stressed along with a discussion of the emergency planning that is part of the institutional
response to hostage situations. Minimum time that should be allocated to this subject is 2 hours.

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XII.
FIRE SAFETY
Fires in a prison are especially dangerous due to the security arrangements of prisons. All staff are
expected to respond to fire emergencies as well as be aware of their role in fire prevention. Minimum timethat should be allocated to this subject is 1 hour.
XIII.
SUPERVISION OF INMATES
This module looks at the duties, responsibilities and techniques of inmate supervision. It provides somespecific supervision activities when dealing with inmates who are members of organized gangs. Minimum
time that should be allocated to this subject is 1.5 hours.
THE SECOND WEEK — MANAGING PROBLEMS IN A PRISON SETTINGXIV.
INTRODUCTION TO SEARCHING TECHNIQUESThis program is divided into sub-sections that deal with techniques for clothed body searches,
unclothed body searches and cell or area searches. A consistent “head to toe” approach to the frisk search
is demonstrated as one of the security skills that will be tested at the end of the week. Minimum time thatshould be allocated to this subject is 4 hours.
XV.
DRUG AWARENESS
This module introduces the drugs commonly found in prisons. It provides information on the use, effectand identification of chemicals and substances abused by inmates. It provides information concerning
safety issues for staff who may come into contact with these substances. Minimum time that should beallocated to this subject is 2 hours.
XVI.
SUICIDE PREVENTION
This module helps the staff identify the warning signs that people contemplating suicide often exhibit.
Correctional Staff need to be aware of their role in identifying and preventing inmate suicide. Minimum
time that should be allocated to this subject is 1 hour.
XVII.
SIZING UP THE SITUATIONThis module helps the staff know what is happening in any situation. Sizing up helps avoid costly
mistakes and maximizes the chances that decisions will be effective and accurate. Minimum time thatshould be allocated to this subject is 2 hours.
XVIII.
COMMUNICATING WITH INMATES
This module provides the skills to help staff open up communications with inmates. It provides staff
with the ability to get another person to tell them more about what he or she knows or thinks. Minimum
time that should be allocated to this subject is 2 hours.
XIX.
CONTROLLING INMATE BEHAVIOR
Besides the need to protect the due process rights of inmates, there is a need to effectively deal withinmate behavior on an on-going basis that requires good management and communication skills on thepart of prison workers. This module focuses on various proven ways to effectively correct behavior.
Minimum time that should be allocated to this subject is 2 hours.
XX.
FIRST AID AND HEALTH PROMOTIONThis program includes an introduction to Emergency Action Principles as well as correct proceduresfor patient assessment prior to rendering or summoning aid. Techniques for rescue breathing, clearing an
obstructed airway, and CPR are taught as well as other procedures for emergency conditions that, if nottreated, can become life threatening very quickly. The session ends with a discussion of health and disease
issues, such as TB, AIDS and other communicable diseases. It also covers information on what officers can
do to help promote general health and sanitary conditions within the facility. Minimum time that should beallocated to this subject is 8 hours.
XXI.
NON-VIOLENT CRISIS INTERVENTION
This module exposes the participants to recognition of the stages of crisis development in individuals aswell as effective staff responses to each phase of this development. A series of exercises are provided to50

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assist staff in experiencing what it is like to work with someone going through these phases. Participants
are given exposure to non-violent defense techniques as well as a non-violent team control technique.
Minimum time that should be allocated to this subject is 4 hours.
XXII.
PERSONNEL PROTECTION TECHNIQUESThis module introduces some fundamental principles of personal protection. A variety of defensive
release techniques are demonstrated and practiced. The course concludes with several practical control
techniques. Minimum time that should be allocated to this subject is 2 hours.
XXIII.
KEY AND TOOL CONTROLThe secure use of tools and keys is an important aspect of every institutional operation. Basic ideas on
acquisition and control of these devices is explored and discussed. Minimum time that should be allocatedto this subject is 4 hours.
XXIV.
INMATE COUNTSThis module introduces important security supervision techniques that are required in inmate management. The focus is on developing good observation skills along with procedures for conducting various
types of inmate counts. An exercise in counting is a concluding activity for this module. Minimum timethat should be allocated to this subject is 1 hour.
XXV.
REPORT WRITINGThis module provides an introduction to basic report writing skills as a background to the legal and administrative requirements for reports of the Prison system. The program is divided into two sessions andconcludes with a Practicum where each participant will complete several reports that are reviewed under
the supervision of the instructor. Minimum time that should be allocated to this subject is 2 hours.
XXVI.
STRESS MANAGEMENT
This module demonstrates stress management techniques and has participants practice some of them.
Minimum time that should be allocated to this subject is 2 hours.
THE THIRD WEEK — SECURITY PROCEDURE AND FIREARMSXXVII. USE OF FORCE
This module investigates the types of force to use in controlling inmates, always keeping it to the least
amount of force necessary. Practice in identifying potentially dangerous situations and how to handle themin as non-combative a manner as possible is given each participant. Minimum time that should be allocatedto this subject is 2 hours.
XXVIII. FIREARM SAFETY
This module prepares the trainees for the specific weapons they will use in corrections. The basics of
weapon and range safety are carefully presented as the most important aspect of weapons handling.
Minimum time that should be allocated to this subject is 1 hour.
XXIX.
INTRODUCTION TO WEAPONSThis module prepares the staff for the potentiality of carrying firearms and chemical agents as a job
responsibility related to the authority granted them by the State. This course presents basic introductoryskills and a familiarization with the handling characteristics and functional operation of each of theweapons they will use in their job. Classroom demonstration is provided for each weapon. Minimum timethat should be allocated to this subject is 2 hours.
XXX.
WEAPONS – CLASSROOM PRACTICE
Each trainee is given ample time to become physically acquainted with the operation of each weapon
as a prelude to range practice and qualification. A series of drills and simulations are used to develop andenhance good shooting skills prior to range use of these weapons. Special training on the handling and useof chemical agents will be covered. Minimum time that should be allocated to this subject is 2 hours.

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XXXI.
RANGE PRACTICE AND QUALIFICATION
Each trainee will have an opportunity to practice with each weapon and then demonstrate a minimumof 70% proficiency with each weapon that they may be authorized to use in the course of their working
duties. The courses of fire are designed to demonstrate accuracy and timeliness in weapon use. Minimum
time that should be allocated to this subject is 2 hours.
XXXII. LOW-LIGHT AND NIGHT FIRING COURSES
Firing at Dusk and during night conditions provides an important familiarization with the limitations ofusing a weapon in these conditions. The course of fire includes the use of all basic weapons under both
low-light and full night darkness conditions. Minimum time that should be allocated to this subject is 2
hours.
XXXIII. USING RESTRAINING DEVICES
The skills needed to safely and securely apply restraining devices are demonstrated in this module.
The participants will learn the functional capability of restraints along with special skills used in the preparation for the transportation of prisoners. A safe transportation method is demonstrated. This is one of
the security skills that will be tested at the end of the week. Minimum time that should be allocated tothis subject is 3 hours.
XXXIV. TRANSPORTATION OF PRISONERSThis module introduces the security problems involved in motorized transportation of prisoners. A
review of common problems is presented. A variety of seating arrangement scenarios are analyzed in
preparation for this portion of the security skills evaluation at the end of the week. Minimum time thatshould be allocated to this subject is 2 hours.
XXXV. USE OF RADIO/TELEPHONES
This module demonstrates the different types of radio and telephone equipment used in corrections.
Each trainee will be given an opportunity to practice with each type of radio. Communication security andmethods of clear and concise communications are covered. Minimum time that should be allocated to thissubject is 2 hours.
XXXVI. SPECIAL SECURITY ISSUESThis module will cover specialized areas of concern to prison personnel. Those issues include:
Forced Cell Moves
Riots
Crime Scene Protection
Internal Investigations
Escapes
Attacks on the Institution by Bandits
Minimum time that should be allocated to this subject is 4 hours.
XXXVII. SECURITY SKILLS PRACTICE
This module allows time for controlled practice of the skills required for frisk search, restraint application and transport in one of several situations. Each trainee will work with a partner to simulate real-lifesituations in the use of these skills. Minimum time that should be allocated to this subject is 4 hours.
For additional information please contact: Gary Hill
P.O. Box 81826
Lincoln, NE 68501-1826
USA
Phone: 402 420-0602
Fax: 402 420-0604
Email: Garyhill@cega.com

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ANNUAL AND ON-GOING TRAINING
The material in this chapter has been gathered by a review of more than 100 training programs
conducted in individual prisons, training academies and educational institutions. In some cases, where noformal written material was available individuals responsible for training were interviewed or material
was gleaned from articles. The material in this section is what was found to be an almost universally
agreed upon set of the basic and minimum information people working in a prison should have included intheir annual and refresher training. The times suggested here for each course is, again, a compilation ofwhat was gathered from the material reviewed and is considered the minimum necessary to cover the
subject.
REQUIRED CURRICULUM

Minimum
Course TitlePrison Policies and Procedures 
Self Defense Firearms 
Hostage Situations 
Suicide Prevention 
Safety, to include Fire Protection
SafetyEmergency Procedures
Environmental Issues
Verbal/Written Communication Skills to include Effective Listening
Communication
Report Writing
Staff Conduct, to include 
Code of Conduct
EthicsCultural Diversity 
Security Issues, to include Tool and Key Control
Supervision of Inmates
Escape Procedures
Escort Procedures
Search and Contraband
Use of Force, to include 
Personal Protection Techniques
Medical Issues, to include First Aid
Medical Emergencies
Health Promotion/Disease
Working with new officers, on-the-job training and coaching techniques 
Inmate Information, to include 
Inmate Rights
International Standards
Re-socialization, rehabilitation Programs
Inmate Rules and Regulations

Hours
2
3
5
1
1
4

2

2
1
6

2
4

1
6

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INTERNATIONAL STANDARDS AND NORMS AS GUIDANCEIN THE CRIMINAL JUSTICE SYSTEM
Matti Joutsen＊

I. WHY INTERNATIONAL STANDARDS AND NORMS?
Criminal justice has traditionally been regarded as a sovereign matter. Each country has decided on its
own what conduct it regards as criminal, and on how it should respond to criminal acts. After all, for
centuries few people travelled further than the neighbouring village, and few crimes affected anyone but
those who were directly involved. Those responsible for public order and the administration of justice had
little reason to be concerned with what happened elsewhere. As a result, criminal justice was almost
entirely territorial, in the sense that it was concerned only with acts or omissions committed in the
country in question.
This way of thinking, when combined with the considerable cultural, economic, legal, political and social
differences between countries, helps to explain why the structure and operation of criminal justice systems
around the world seem to have evolved in quite different directions, and why there are considerable differences even within such individual legal traditions as common law, Continental law and Islamic law.
At the time the United Nations was established some seventy years ago, the prevailing view was that
this new organization may not intervene in the domestic affairs of sovereign countries. This point was
regarded as so fundamental that it was enshrined as one of the first provisions of the UN Charter, inarticle 2(7). When the United Nations then began to follow in the footsteps of the League of Nations, by
taking up issues related to crime prevention and criminal justice, several countries (in particular the Soviet
Union) objected. In their view, how countries respond to crime is very much a domestic matter.1
However, following the Second World War (and thus during the seventy years that the United Nations
has been in existence), three factors in particular have largely reversed the direction of the evolution of
criminal justice systems around the world, from increasing divergence to closer convergence of criminal
justice systems: the growing need for a common approach to crime, the realization of the value of sharing
experiences, and the growing respect for human rights.
First, the increasingly transnational nature of some forms of crime (in particular organised crime) has
led various groups of countries to seek agreement on common definitions of crime and on procedural
measures, in order to facilitate international legal co-operation. For example, new offences have been
“invented” (such as money laundering, or terrorism), and wide international agreement has been reachedon the minimum elements of several other offences (such as bribery, trafficking in persons and participation in an organized criminal group). Wide international agreement has also been reached on the conditions
for and forms of mutual legal assistance, and on the conditions for extradition.
Second, policy-makers and practitioners around the world have recognized the value of studying how
crime and criminal justice issues have been dealt with in other countries. This process has resulted inattempts to identify internationally what is known as “good practice” in crime prevention and criminal
justice. Examples of areas in which good practice has been identified include ways of dealing with juvenile
offenders, the use of restorative justice, modern investigative means in policing, the exercise of prosecutorial discretion, and the use of community service or electronic monitoring as sanctions.
Third, the respect that is now accorded to human rights has resulted in the adoption of certain
Director, European Institute for Crime Prevention and Control, affiliated with the United Nations.

＊

1 Clark 1994, p. 15, and Redo 2012, p. 110.

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minimum legal safeguards and of certain mechanisms in those criminal justice systems where they had
been absent or inconsistently recognized. Respect for human rights has also been recognized as promoting
effective crime prevention and control, nationally and internationally. 2 In particular the 1948 Universal
Declaration of Human Rights and the 1966 Covenant on Civil and Political Rights have direct implications
for the operation of the criminal justice system.
Common definitions and procedures, good practice and human rights: these three factors have mixed indifferent ways, at different times and in respect of different issues. One key way in which they have beenbrought together is in the form of “international standards and norms” — a concept that would seem to beat odds with that of national sovereignty. And yet, despite the initial doubts of some, this concept has founda welcoming home in the United Nations crime prevention and criminal justice programme.

II. THE EMERGENCE OF INTERNATIONAL STANDARDS AND NORMS
A. United Nations Standards and Norms
The body of United Nations standards and norms that has emerged over the years is a central featureof the United Nations crime prevention and criminal justice programme. These standards and norms now
deal with a wide range of issues in crime prevention and criminal justice, from juvenile justice to thetreatment of prisoners, from restorative justice to the enforcement of the death penalty. 3 The most recently
adopted standard and norm, finalized in 2010, was the United Nations Rules for the Treatment of Women
Prisoners (the “Bangkok Rules”). In addition, the very first UN standard and norm, on the treatment ofprisoners in general, has now been revised, with the United Nations Commission on Crime Prevention andCriminal Justice recommending in 2015 that the Economic and Social Council (ECOSOC) approve the“Mandela Rules” for adoption by the General Assembly; this will most likely happen during the autumn of2015.4The idea of developing international standards and norms has long roots, considerably predating thework of the United Nations. Almost 150 years ago, the First International Congress on Crime Prevention
and the Suppression of Crime (London, 1872) brought together practitioners from many countries interested in learning from one another about “what works”. It was at this major international meeting on crime
prevention and criminal justice that some practitioners submitted a draft for international rules on how todeal with prisoners. The draft went through a lengthy process, with work continuing on the document
within the framework of the International Penal and Penitentiary Commission (IPPC), which itself was established following the First International Congress. A formal draft was produced in 1926, and revised in
1933. It was submitted to the League of Nations, which “took note” of the rules in 1934. After the establishment of the United Nations, the IPPC revised it again and submitted it to the UN. The resulting
Standard Minimum Rules for the Treatment of Prisoners (SMR) were adopted by the First United Nations
Crime Congress in 1955, and approved by the Economic and Social Council in 1957. 5
There was a pleasing symmetry in this evolution of the first United Nations standard and norm on
crime prevention and criminal justice, the Standard Minimum Rules for the Treatment of Prisoners. As
noted, the First International Congress, where the SMR began the long road to approval, also led to theestablishment of the International Penal and Penitentiary Commission (IPPC). The IPPC began a practiceof organizing international congresses every five years on correctional treatment. Following the creation of
the United Nations, the functions of the IPPC were formally transferred to the United Nations in 1950.
One outcome was the establishment of an Ad Hoc Advisory Committee of Experts; this was the forerunner of today’s United Nations Commission on Crime Prevention and Criminal Justice. A second outcome
was that the UN took over the organization of the “Crime Congresses”, and their scope was widened to
2 E/CN.15/1997/14, para 41. It may be noted that the UN Charter includes an obligation to promote universal respect andobservance for human rights.

3 See the Compendium of United Nations Standards and Norms in Crime Prevention and Criminal Justice, United

Nations publication, Sales no. 92.IV.1 and corr.1.

4 United Nations Standard Minimum Rules for the Treatment of Prisoners (the “Mandela Rules”). See Report of the Com-mission, E/2015/30 and E/CN.15/201, pp. 20-26 and the annex.
ECOSOC is one of the six main organs of the UN, and is the principal UN body for the coordination of work on economic,
social and environmental issues.
5 Clark 1994, pp. 98-99 and Redo 2012, p. 143.

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include crime prevention and the treatment of offenders in general — and it was at the first such Crime
Congress that the SMR were adopted.6
After the Standard Minimum Rules were adopted by the Economic and Social Council in 1957, there
was a pause in the drafting of UN standards and norms.7 The next instrument, a General Assembly resolution briefly titled “Capital punishment”, did not emerge until 1971. 8 This was followed five years later by
the Declaration on the Protection of All Persons from Being Subjected to Torture and Other Cruel,
Inhuman or Degrading Treatment or Punishment, in 1976.
The pace began to increase during the 1980s, with the adoption of the Code of Conduct for Law Enforcement Officials in 1980. The next instrument was adopted in 1982, two more in 1984, and (in theaftermath of the Seventh UN Crime Congress) four in 1986. Yet another instrument saw light in 1988, andfive in 1989. The record year, however, was in 1991 (in the aftermath of the Eighth UN Crime Congress),when the General Assembly adopted eight separate standards and norms, and “welcomed” en bloc other
resolutions emerging from the Crime Congress, among them four other instruments which have been
added to the United Nations Compendium.9
It was in part a reaction to such “mass production” of resolutions — including resolutions incorporating
new standards and norms — that the United Nations crime prevention and criminal justice programme
was restructured in 1991.10 This, however, did not stop continued work on UN standards and norms. In
fact, following the spurt in the year 1991, the pace became a more or less steady trot, with at least one
new UN standard and norm emerging every single year until the beginning of the 2000s. For a variety ofreasons11 there has been a sharp drop in the number of new instruments over the past ten years. With the
exception of the Congress Declarations adopted at the Salvador (2010) and the Doha (2015) Congress (whichin structure and content are arguably quite different from other UN standards and norms in crime prevention and criminal justice), the only new instruments since 2005 have been the Bangkok Rules in 2010 and
now the revision of the SMR (the Mandela Rules) in 2015.
B. Other International Standards and Norms on Crime Prevention and Criminal Justice
The United Nations does not have a monopoly on international standards and norms on crime prevention and criminal justice. Such instruments have also been developed by regional bodies as well as bymany international professional bodies.12
Perhaps the most prolific regional body in the production of international standards and norms on
crime prevention and criminal justice is the Council of Europe, which has issued recommendations, resolutions, guidelines and other standards and norms. The number of Council of Europe “recommendations”
alone is over one hundred, dealing with different aspects of the criminal justice system, from partnerships
in crime prevention to the treatment of dangerous offenders, from assistance to crime victims to a code of
ethics for prison staff.13
Examples of international standards and norms developed by international professional bodies include
⿟⿟ the Law Enforcement Code of Ethics prepared by the International Association of Chiefs of Police;
6 See Clark 1994, p. 19, Redo 2012, pp. 108-111.

7 See the annex for a timeline of adoption of the UN standards and norms.

8 The brief title of the GA resolution was in keeping with the briefness of the resolution itself; one page in length.
9 See section 4 below regarding the significance of “adoption” and “welcome”.

10 See for example Clark 1994 p. 117 ff and p. 126 ff. Clark notes that a total of 45 separate resolutions were adopted at theEighth United Nations Crime Congress. Many delegations were small and “a long way from home with less than perfectcommunications” (Clark, pp. 128-129). For understandable reasons, Clark questions whether so many draft resolutions could
be given the rigorous examination that they deserved.
11 See section 5 below regarding criticism of work on drafting UN standards and norms.
12 In addition to international standards and norms, many examples exist of national standards and norms on crime prevention and criminal justice.
13 The Council of Europe has 47 member states, and covers almost all of Europe. (It should not be confused with theEuropean Union, which has 28 member states, primarily from Western and Central Europe.)
		 A list of Council of Europe recommendations on crime prevention and criminal justice is available at <http://www.coe.
int/t/dghl/standardsetting/cdpc/2Recommendations.asp>.

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VISITING EXPERTS’ PAPERS⿟⿟ the Code of Ethical Conduct prepared by the International Corrections and Prisons Association;and⿟⿟ the Bangalore Draft Code of Judicial Conduct 2001 (the Bangalore Principles) adopted by the
Judicial Group on Strengthening Judicial Integrity.
In addition, various international courts have adopted codes of ethics:
⿟⿟ the Code of Judicial Conduct of the Caribbean Court of Justice;⿟⿟ the Code of Conduct of the Court of Justice of the European Communities;
⿟⿟ the Resolution on Judicial Ethics of the European Court of Human Rights; and⿟⿟ the Code of Judicial Ethics of the International Criminal Court.

III. WHAT IS AN INTERNATIONAL STANDARD AND NORM,
AND WHAT IS ITS LEGAL STATUS?
A “standard and norm” is a document that contains normative elements. It defines how members of thetarget audience — individuals, members of a certain profession, public officials and so on — should conduct
themselves. An “international standard and norm”, accordingly, is a document that is intended to apply tomore than one country, for example to all members of a global or regional body (such as the United
Nations, the Association of South-East Asian Countries, or the Council of Europe), or to all members of aninternational professional body (such as the International Corrections and Prisons Association).
International standards and norms come in a huge variety of packages. They may appear as resolutions, recommendations, declarations, standard minimum rules, basic principles, proclamations, statements,
guidelines, codes of conduct, codes of ethics and so on.
Are international standards and norms legally binding? The simplest, and perhaps least helpful, answer
is based on circular reasoning: all instruments (both national and international) can be divided into two
categories, “hard law,” which is legally binding, and “soft law”, which is not. “Standards and norms” arepart of soft law, and therefore are not legally binding. States are free to ignore or apply soft law, just as
they wish.
A somewhat more complex version of this answer focuses on the distinction between sovereign states
and all other bodies, whether intergovernmental or nongovernmental. Only a state can adopt legallybinding instruments — Acts of Parliament, laws, decrees and so on. A state may also decide to ratify or
accede to an international agreement, as a result of which the provisions of that agreement may become
legally binding (depending on how they are formulated, and on the constitutional law of the country inquestion). Thus, this version of the answer defines “hard law” broadly to encompass legislation enacted bysovereign states, and international agreements which have been ratified or acceded to by states.14 No one
else (so the answer runs) can decide on instruments that would be binding on the state — not an intergovernmental body, such as the United Nations, and much less a professional or other non-governmental organization, such as the International Corrections and Prisons Association. And also this answer concludes
that standards and norms are not legally binding.
Even this somewhat more nuanced answer, however, has been questioned. Some have argued thatmember states have approved the goals of intergovernmental organizations when they applied for membership, and are thus bound to observe the resolutions and recommendations adopted. Others, however, have
responded to this by pointing out that although the goals of such intergovernmental organizations may
meet with the general approval of the member states, there may well be disagreement over the proper
method of achieving these goals.
It would indeed be difficult to conceive of the willingness of political decision-makers of most (if not all)states to surrender their sovereignty in such internal matters as criminal justice to the extent that they
14 This distinction can be made somewhat more confusing by noting that an instrument — whether a law, an international

agreement or a standard and norm — may contain both normative and non-normative elements. A normative element
expresses an obligation to act or refrain from acting (“we will criminalize money-laundering”), while a non-normative
element for example expresses an aspiration (“we will promote cooperation”).

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would bind themselves in advance to following any and all resolutions that may even be passed by majority
vote.
Even assuming the willingness of member states to be bound by resolutions and recommendations
relating to crime and criminal policy, there would be considerable difficulties in drafting a recommendationthat would take sufficient account of the different legal systems, ideologies in criminal policy, and criminal
justice practice, so that it could be accepted as legally binding by a large number of member states.
The dominant view is thus that international standards and norms, as part of “soft law”, are not legallybinding. They only embody an earnest request to their addressees (member states, members of a criminal
justice profession) to apply the contents, and not an absolute oblligation to undertake a certain course ofaction.15 One practical implication of this is that if a public official (or an entire state) acts contrary to aninternational standard and norm (but not contrary to “hard law”), then the person subjected to such action
has no legal recourse. He or she cannot complain to a superior, or turn to court in order to have thedecision overturned.
This does not mean that standards and norms, as “soft law”, are meaningless, and have no practicaleffect. The significance of soft law, including standards and norms, does not lie in any assumed legalbinding effect. The significance lies elsewhere, on both the international and the national level. On the international level, “soft law” may be seen as an intermediate stage in the formulation of ideas and concepts
that may in time emerge as “hard law”, in the form of international agreements. A clear example isprovided by the various resolutions, declarations and statements regarding international organized crime
which contributed to the drafting of the United Nations Convention against Transnational Organized
Crime.16
When ideas are embodied in standards and norms, the recognition and declaration of certain principles
and even detailed rules may be intended to have a direct influence on the practice of states. If thishappens, they contribute to the creation of customary international law, which is widely recognized asbinding on states.17 Standards and norms, even if they are not in themselves binding, may thus become asource of international law, in particular if they are drafted in the form of an obligation (e.g. “States shall”
do something, as opposed to “States may consider” doing something, or “States are invited” to dosomething).18
Two examples can be provided of this process, both taken from the work of international tribunals.
First, the Preparatory Committee on the Establishment of an International Criminal Court (ICC) madespecific reference to the need for the rules of procedure to include provisions that give effect to the United
Nations Declaration of Basic Principles of Justice for Victims of Crime and Abuse of Power.19 As a result,victims have standing before the ICC, and considerable attention has been paid to providing victim
services. A second example is that the Standard Minimum Rules for the Treatment of Prisoners haveprovided the basis for the development of the European Prison Rules, which have been used by theEuropean Court of Human Rights in its jurisprudence, which in turn has had a direct impact on prison
conditions throughout the member countries of the Council of Europe. 20 Soft law gradually becomes hardlaw.
On the national level, international standards and norms may have an instrumental value in guiding
national development. 21 They may be used as clinching arguments by decision-makers in individual jurisdictions when these decision-makers seek to justify certain courses of action that they would have
15 Castaneda 1969, pp. 7-8 and 193-195.

		 It may be noted that some authorities in international law deny the entire existence of “soft law”. See in particular
Klabbers 1996. Essentially, he argues that either something is law, or it is not; there is no intervening category of “soft law”,
nor is there a need for such a concept.
16 Among these are the 1994 Naples Political Declaration and Global Action Plan against Organized Transnational Crime,
but also a large number of UN Commission and General Assembly resolutions during the 1990s.
17 Castaneda 1969, pp. 19 and 168-169.
18 Charlesworth 1994, p. 2.
19 For examples of how the Victim Declaration actually impacted on the ICC, see Ingadottir.
20 See in particular Sillaste.

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preferred even if the standard or norm did not exist. When selecting from among various alternative approaches to achieving a certain end, the decision-makers may thus defend their choice by referring to theUnited Nations Victim Declaration or to the Tokyo Rules.
Similarly, international standards and norms can also be used by citizens, non-governmental organizations and other stakeholders in trying to influence their government to change laws and policy in a certain
direction.
Analysis of the actual impact of international standards and norms on the domestic level is difficult, due
to a number of factors: the absence of an obligation to report, the heterogeneity of the criminal justicesystems of different States, the possibility of different interpretations of the same text, and the difficulty indetermining if a specific change in national law, policy or practice was due to the influence of a United
Nations standard and norm, or to other factors.
Nonetheless, many reports from States to the United Nations cite examples of the impact, and the literature shows several further examples of impact. In many States, the standards and norms are becoming
part of the national discourse on crime prevention and criminal justice.

IV. HOW UNITED NATIONS STANDARDS AND NORMS
ARE DRAFTED AND APPROVED
The process that eventually led to the adoption of the Standard Minimum Rules on the Treatment of
Prisoners was unusually complex and long, involving as it did various experts, drafts, international conferences and governmental input over a period of almost 80 years. Nonetheless, in broad terms it set thepattern for the adoption of most subsequent standards and norms:
⿟⿟ the initiative generally comes from individual experts or organizations;⿟⿟ a draft is prepared;⿟⿟ the draft is discussed at several international meetings;
⿟⿟ the draft is discussed at the United Nations Commission (or earlier, the United Nations
Committee), which may decide to recommend it for adoption by the Economic and Social Council
and/or the General Assembly.
The restructuring of the United Nations Crime Programme in 1992 served in several respects as awatershed in how UN standards and norms were drafted and adopted. The main differences have been in
how the initiative was made, and in what format the subsequent draft was discussed.
During the existence of the United Nations Committee (up to 1992), the initiatives for standards andnorms came from a variety of sources. One or more of the experts on the Committee would take it up in
the Committee which, if it decided that further action was merited, would decide on the organization of
one or more expert meeting(s) to examine the draft in greater detail. These expert meetings (almost
always held in English only, and on the basis of extra-budgetary funding) usually brought together a mix ofrepresentatives of interested governments, intergovernmental organizations and non-governmental organizations, as well as individual experts and UN Secretariat members. The result would then go to theCommittee for further action. Often, but not always, the draft would be circulated through one of theUnited Nations Crime Congresses, allowing for comments from a larger audience.
Following the establishment of the United Nations Commission in 1992, the member states haveassumed a far more active role in the drafting of standards and norms, and the process has become moreformalized. The initiative has to go through one (or more) of the forty member states of the Commission. If
the Commission decides that further action is merited, this generally takes the form of an open-ended in21 The most noted example of a standard and norm guiding national development is the Standard Minimum Rules for theTreatment of Prisoners. It has clearly guided national practice in corrections and, in several cases, helped bring about legal
reform.
		 Various reports of the Secretary-General cite examples provided by Member States of how the standards and norms
have influenced domestic law, policy and practice. See, for example, E/CN.15/1996/16, E/CN.15/1997/14, E/CN.15/1997/13,
E/CN.15/1998/8, E/CN.15/1999/7, E/CN.15/2001/9 and E/CN.15/2002/3.

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tergovernmental expert group. This, in turn, has several implications. There is in effect a higher bar fortaking an initiative further. The states seek to ensure that their representatives have tighter control overthe drafting process, and correspondingly the input in particular from non-governmental organizations andindividual experts has decreased. There is more insistence on multilingualism, which places greater strainson the budget; it has become more difficult to identify host governments who are prepared to pay for suchmeetings.
As for adoption, most of the United Nations standards and norms included in the Compendium havebeen adopted by consensus by the General Assembly or the Economic and Social Council. 22
There is, however, no hard and fast rule on adoption. The standards and norms contained in the “Compendium” have almost all been adopted by ECOSOC or the General Assembly. 23 However, a resolution that
contains “standards and norms language” can also be “endorsed” by the General Assembly (as had often
been done regarding various resolutions adopted at UN Crime Congresses up to the year 2000). It is in
this way, for example, that the Model Agreement on the Transfer of Foreign Prisoners came into being.
The status of the Basic Principles on the Independence of the Judiciary is even stranger: it was first“endorsed” by the General Assembly, but a few weeks later it was “welcomed” by the same General
Assembly. 24

V. CRITICISM OF STANDARDS AND NORMS AND OF THE
COLLECTION OF INFORMATION ON THEIR USE AND APPLICATIONThe United Nations standards and norms have been developed in the conviction that not only is there ashared understanding about the minimum standards of human rights that should be upheld when preventing and controlling crime, but also that such standards contribute to improved professionalism and to thestrengthening of the criminal justice system.
Over fifty standards and norms relating to crime prevention and criminal justice have been adopted
and included in the Compendium published by the United Nations Office on Drugs and Crime. As wasnoted in section 2 above, the pace of adoption began slowly, but then increased quite rapidly at the end of
the 1980s, with twelve new standards and norms adopted in just one year, 1991.
At that time, work had already begun on the restructuring of the United Nations crime prevention andcriminal justice programme. 25 One of the main concerns underlying the work that was being carried out
within the framework of the United Nations “crime programme” at that time was that it was inefficient,and was not responding to the needs and priorities of member states.

22 A separate question is, what constitutes a United Nations standard and norm, which should therefore merit publication in

the Compendium? The Compendium contains a mixture of different documents. Some are clearly drafted as norms to guidethe conduct of criminal justice agencies or the members of a criminal justice profession; examples include the SMR, theTokyo Rules and the Code of Conduct for Law Enforcement Officials. A second set consists of instruments that are intended
to guide the general policy of Governments and other stakeholders; examples include the Crime Congress Declarations
from 2000, 2005, 2010 and 2015. A third set consists of the various “Model Treaties”; one could perhaps argue that theseare “standards and norms” designed to guide the work of officials who are negotiating treaties.
		 A large number of resolutions adopted within the framework of the UN Crime Programme contain extensive elements
very similar to those mentioned above, but for a variety of reasons, have not been included in the Compendium. The
Economic and Social Council and the General Assembly have at times specified in a resolution that the Secretariat should
ensure broad dissemination of the new instrument. This could be understood as a suggestion that it should be published in
the Compendium. This, however, has not been a consistent practice. It would therefore appear that the Secretariat has
almost always decided on publication on a case-by-case basis.
23 Of the 56 standards and norms contained in the Compendium, 23 were adopted by ECOSOC and the rest adopted (or“endorsed” or “welcomed”) by the General Assembly. Of the standards and norms adopted before the 1992 restructuring of
the UN Crime Programme, eight were adopted by ECOSOC and 21 by the GA; after the restructuring, the corresponding
figures were 15 by ECOSOC and 12 by the GA. It would thus seem that, after the restructuring, proportionately fewer
have been going all the way up to the General Assembly.
24 GA 40/32 and GA 40/146, respectively. See Clark 1994, pp. 147-148.
25 The best presentation of the background, process and results of the restructuring of the UN “crime programme” is to befound in Clark 1994, pp. 24-57.

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Also the work on standards and norms was subjected to criticism on a variety of grounds:
⿟⿟ “No more standards and norms are needed.” Perhaps the most benign criticism of the standards
and norms was that the existing set of United Nations standards and norms already covered the
key issues, and much more attention should be paid to assisting member States on request inpromoting their implementation in practice, in particular by providing technical assistance. This
criticism could be encapsulated in the statement, “We already know what we should do; just giveus the resources to get it done.”
⿟⿟ “The standards and norms are too vague.” According to other criticism, the standards and norms
are unhelpful, because they tend to be phrased in very general terms. The standards and norms
must take into account different criminal justice systems and traditions. Since there has also beena consistent effort within the United Nations Programme to reach consensus on the different
issues, the extensive negotiations on the drafts tend to raise the language to such a level of generality that they cannot provide specific guidance to the individual practitioner or legal draftsperson. 26
⿟⿟ Disagreement over priorities. The time spent on formulating standards and norms and assessing
their implementation was seen by some critics to be at the expense of more urgent measures,such as dealing with transnational organized crime. The argument here has been that the United
Nations has very limited resources at its disposal, and these should be focused on priority issues— and not on drafting new standards and norms (or on implementing existing standards andnorms, for that matter).
⿟⿟ Lack of Government control over the formulation of standards and norms. About half of thestandards and norms contained in the Compendium had been adopted before 1992, during theperiod when the Programme was overseen by a Committee of experts elected in their individual
capacity, and not by the present Commission, which consists of Member States. The criticism has
been, essentially, that the formulation of the standards had been the handiwork largely of non-governmental organizations and individual experts, and that the final result had been given to the
Economic and Social Council or the General Assembly very much as a fait accompli, at a stage
where no fundamental amendments could in practice be made by the delegations representing themember states. 27
⿟⿟ Potential violation of national sovereignty? According to one view, the standards and norms, andin particular assessment of their implementation, 28 infringe on national sovereignty. This
argument has seldom been raised directly, since few are prepared to have themselves seen as
opposing, for example, the protection of the rights of suspects. The argument has been raised,however, most notably in connection with the issue of capital punishment, where States supporting capital punishment have objected to attempts by other States to abolish capital punishment inall countries around the world.
⿟⿟ “Questionnaire fatigue.” Even if the assessment of the use and application of standards andnorms was not seen to infringe on national sovereignty, some states began to be concerned thatthey were receiving repeated requests from the Secretariat for information on the use and appli26 In the hallways of the Vienna International Centre and elsewhere where international texts are negotiated. this isamusingly described as “constructive ambiguity”. There is enough vagueness to satisfy almost everyone’s opinion about
what should be in the text.
27 The sheer large number of standards and norms (and indeed resolutions in general — a total of 45!) adopted by theEighth United Nations Crime Congress in 1990, and sent up to the General Assembly, was a particular sticking point forsome. See, for example, footnote 11 above, and Clark 1995, pp. 126-132.
28 Earlier in the UN Programme, there had been discussions on the “monitoring” of the implementation of standards andnorms. During the 1990s, there were at times heated debates in the Commission on what exactly “monitoring” involves, andwhether the UN had the mandate to ask sovereign member states what they have done for implementation. The term has
subsequently in practice disappeared from the UN Crime Programme. According to the wording currently preferred, theSecretary-General of the United Nations does not “monitor” implementation of standards and norms, but “reviews” implementation, and more generally “promotes their use and application”. See, for example, Clark 1994, pp. 229 ff.

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cation of over 50 standards and norms. Responding to such requests often requires the collectionof statistics or other information from a number of different national agencies. One result was aclear drop in the number of states responding to the various notes verbale sent out by the Secretariat for information. (Some critics even interpreted this drop as a sign that the majority of statesassigned the standards and norms a very low priority.)
It should be emphasized that the criticism referred to above has been voiced by only a few member
States, and even then not all critics have agreed on all points. Even so, since the Commission operates on
the basis of consensus, those supporting further action on the standards and norms have had to respond tothe criticism.
Following the restructuring of the United Nations Crime Programme in 1992, there was indeed the riskthat not only would further standard-setting be halted, but that the work that had been conducted up tothat point would be negated: if there could be no agreement on the viability of the existing standards andnorms, nor on work on implementation of the standards and norms, they could essentially be ignored by
the United Nations Commission. It was thus significant that, in 1994, soon after the restructuring took
place, the Economic and Social Council specifically noted that United Nations standards and norms incrime prevention and criminal justice constitute internationally accepted principles outlining desirable
practices in that field. 29 It is also significant that new standards and norms have been developed andagreed upon, for example on violence against women, children in the criminal justice system, restorative
justice and women prisoners. 30
Mindful in particular of the criticism regarding “questionnaire fatigue” but also of the need to strengthen technical assistance, ECOSOC decided to request the Secretary-General to convene a meeting ofexperts to plan the way forward. This expert group meeting was held in 2003, and made several recommendations, including the use of a “cluster approach” in the review of use and application, and the simplification of the forms used in this review. 31 Following a further intergovernmental expert group meeting, therecommendations were formulated into a resolution, which was adopted by ECOSOC. 32 The basic idea wasto streamline the collection of information on the use and application of standards and norms, in order tomake it more efficient and cost-effective, and to proceed in stages (“clusters”). The first stage was to deal
with standards and norms related to persons in custody, non-custodial sanctions, juvenile justice and reformative justice. The second stage was to deal with legal, institutional and practical arrangements for international cooperation, the third stage with crime prevention and victim issues, and the fourth with the independence of the judiciary and the integrity of criminal justice personnel.
In the years that followed, some adjustments were made to this approach. The first stage was carriedout as planned, and in 2006, the Commission had before it the Secretariat report on the situation withpersons in custody, non-custodial sanctions, juvenile justice and reformative justice. 33 The following year,
the Commission discussed standards and norms that dealt with crime prevention, and in 2009, standards
and norms that dealt with victim issues. 34 However, amid further expressions of concern regarding “questionnaire fatigue” and a relatively low response rate, subsequent reports of the Secretariat focused
primarily on the use of standards and norms in technical assistance. 35
29 ECOSOC resolution 1994/18 of 25 July 1994. See Redo 2012, pp. 111-113.

30 On the other hand, fewer new United Nations standards and norms have emerged since 2000, and many of these havebeen UN Crime Congress declarations, which are more aspirational than normative. In the assessment of the author, it has
become considerably more difficult to reach consensus in the Commission on the need for new standards and norms, verymuch in the same way as it has become more difficult to reach consensus on the need for new UN conventions.
31 The report is contained in “Application of United Nations Standards and Norms in Crime Prevention and Criminal
Justice” , Report of the Expert Group Meeting held at Stadtschlaining, Austria, 10-12 February 2003, UNODC publication.
The recommendations are to be found on pp. 247-250.
32 ECOSOC resolution 2003/30. See also Redo 2012, p. 113.
33 E/CN.15/2006/13.
34 E/CN.15/2007/11 and E/CN.15/2009/6, respectively.
35 See, for example, E/2006/30, para 137; E/2007/30/Rev.1, para 116. The proposal for a questionnaire on the fourth cluster,
on the independence of the judiciary and the integrity of criminal justice personnel, was specifically opposed by one speakerin 2007 on the grounds that this would overlap with ongoing work within the framework of the Organized Crime Convention and the Convention against Corruption. E/2007/30/Rev.1, para 118.

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VI. STANDARDS AND NORMS
IN THE WORK OF THE UNITED NATIONS TODAY
Today, the earlier criticism of United Nations standards and norms has largely abated, and they havebeen accepted as a mainstay of the United Nations crime prevention and criminal justice programme. Thiscan be seen in a number of ways:
⿟⿟ “the use and application of United Nations standards and norms in crime prevention and criminal
justice” has become a standing item on the agenda of the annual sessions of the United Nations
Crime Commission;⿟⿟ the specific question of United Nations standards and norms has been on the agenda of every
United Nations Congress since 2005.36 The eleventh Congress (Bangkok, 2005) dealt with “Making
standards work: fifty years of standard-setting in crime prevention and criminal justice”, thetwelfth Congress (Bahia de Salvador, 2010) dealt with “Making the United Nations guidelines oncrime prevention and criminal justice work”, and the most recent, thirteenth Congress (Doha,2015) dealt in a workshop with the “Role of the United Nations standards and norms in crime prevention and criminal justice in support of effective, fair, humane and accountable criminal justicesystems: experiences and lessons learned in meeting the unique needs of women and children, inparticular the treatment and social reintegration of offenders”;
⿟⿟ the Secretariat makes extensive use of the standards and norms in providing, on request,
technical assistance to member states in crime prevention and criminal justice, and encourages
the appropriate United Nations bodies to use the crime prevention and criminal justice standards
and norms; 37
⿟⿟ similarly, the United Nations Crime Prevention and Criminal Justice Programme Network of Institutes makes extensive use of the standards and norms in its work; and⿟⿟ various principles and provisions contained in the standards and norms have been used in crossfertilizing other work in the United Nations, including work on binding instruments. For example,
several principles expressed in the United Nations Declaration of Basic Principles of Justice forVictims of Crime and Abuse of Power38 have been incorporated into the United Nations Convention against Transnational Organised Crime, and in even greater detail in the Protocol to Prevent,
Suppress and Punish Trafficking in Persons, Especially Women and Children. 39
It is true that the collection of information on the use and application of standards and norms has notbeen continued as a separate exercise since 2007, and that the discussions on the separate agenda item onstandards and norms at annual sessions of the Commission have at times been rather brief. These should
not, however, be seen as signs of any lessening of the importance of the standards and norms, but more of
the fact that they have become more fully integrated into the general work of the United Nations crime
prevention and criminal justice programme. They are not issues which can, or should, be seen apart fromthe work done on, for example, transnational organized crime, or crimes against children, or terrorism.
Both crime and the manner in which society sees and responds to crime are constantly evolving. For
this reason also the criminal justice system is subject to unending change. Implementation of the United
Nations standards and norms in crime prevention and criminal justice, as is the case with standards ingeneral, can be seen as a never-ending process. The need for further work on implementation of thedifferent standards and norms may vary from one State to the next, and also within a State, but no Stateshould allow itself the complacency of regarding itself as being in full compliance with all of the standards
and norms. While it is true that the work of the United Nations in the rule of law and in increasing theefficacy and efficiency of criminal justice systems has in particular taken into account the needs of develop36 As for earlier Congresses, the implementation of the SMR was dealt with by the first (Geneva, 1955), fourth (Kyoto, 1970)

and fifth Congress (Geneva, 1975); the sixth Congress (Caracas, 1980) dealt with “United Nations norms and guidelines:
from standard-setting to implementation”, the Seventh Congress (Milan, 1985) dealt with “Formulation and application ofUnited Nations standards and norms in criminal justice”, and the Eighth Congress (Havana, 1990) with “United Nations
norms and guidelines in crime prevention and criminal justice: implementation and priorities for further standard setting”.
37 For example, in the work of the High Commissioner for Human Rights, the Standard Minimum Rules on the Treatmentof Prisoners is evolving from soft law into more obligatory rules. Several key standards and norms have been incorporated
in the “Blue Book”, which is used on United Nations peacekeeping missions.
38 GA resolution 40/34.
39 E/CN.15/2002/3, para. 38.

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ing countries and countries in transition, also the more developed countries may benefit. The administration of criminal justice should be seen within the context of broader political, economic and social development.
Moreover, many of the provisions in standards and norms that have been adopted in the field of crime
prevention and criminal justice require what is known as “progressive realization”, as opposed to full application immediately upon adoption.40 This means that they need to be made operative in successive stages.
Clearly, use and application require continuous review by the authorities of all member states of the United
Nations.
The United Nations standards and norms in crime prevention and criminal justice continue to be
relevant in the development of crime prevention and criminal justice locally, nationally and internationally.
They embody a useful and exemplary set of instruments in international law that contribute to basic
human values. Each and every State, whether developed or developing, should examine its progress in theuse and application of standards and norms. The standards and norms are relevant in establishing thebasis for good governance and institution-building and thus also for economic development especially inpost-conflict situations. They should be promoted, protected and pursued by the Governments, intergovernmental, non-governmental organizations and civil society.
References
Castaneda, Jorge, Legal Effects of United Nations Resolutions, New York and London 1969.
Charlesworth, Hilary, The Declaration on the Elimination of All Forms of Violence Against Women, 3
ASIL Insight 1-4, 1994.
Clark, Roger, The United Nations Crime Prevention and Criminal Justice Program. Formulation ofStandards and Efforts at Their Implementation, Philadelphia 1994.
Compendium of United Nations Standards and Norms in Crime Prevention and Criminal Justice, United
Nations publication, Sales no. 92.IV.1 and corr.1.
Ingadottir, Thordis, The International Criminal Court. The Trust Fund for Victims (Article 79 of the Rome
Statute). A Discussion Paper. ICC Discussion Paper no. 3, 2001, available at <http://www.pict-pcti.
org/publications/ICC_paprs/Trust_Fund.pdf> (downloaded 7 July 2015).
Klabbers, Jan, The Redundancy of Soft Law, Nordic Journal of International Law 65(2), 1996.
Redo, Slawomir, Blue Criminology. The power of United Nations ideas to counter crime globally. A monographic study, HEUNI publication no. 72, Helsinki 2012.
Sillaste, Toomas, Recent developments in the case-law of the European Court of Human Rights relating to
the European Prison Rules of 2006, Luxembourg 2012, available at <http://www.coe.int/t/dghl/standardsetting/minjust/mju30/COURT_n3256787_v1_Recent_case-law_on_prisoners_rights.pdf>(downloaded 7 July 2015).

40 An example of a provision that should be given immediate application upon adoption is para. 2 of the Safeguards guaran-

teeing protection of the rights of those facing the death penalty (1984/50, according to which capital punishment may be
imposed only for a crime for which the death penalty is prescribed by law at the time of its commission.
41 The United Nations standards and norms listed here are those that are contained in the Compendium of United Nations
Standards and Norms in Crime Prevention and Criminal Justice, United Nations publication, Sales no. 92.IV.1 and corr.1,
and is updated to reflect that in 2015, the United Nations Crime Commission recommended to ECOSOC adoption of the“Doha Declaration” and the “Mandela Rules” for submission to the General Assembly for approval.

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ANNEX
Timeline of adoption of United Nations standards and norms on crime prevention and criminal
justice41
1957
Standard Minimum Rules for the Treatment of Prisoners (ECOSOC 663/XXIV)
1971
Capital punishment (GA 2857/XXVI)
1976
Declaration on the Protection of All Persons from Being Subjected to Torture and Other Cruel, Inhumanor Degrading Treatment or Punishment (GA 3452/XXX)
1980
Code of Conduct for Law Enforcement Officials (GA 34/169)
1982
Principles of Medical Ethics relevant to the role of health personnel, particularly physicians, in the protection of prisoners and detainees against torture and other cruel, inhuman or degrading treatment or
punishment (GA 37/194)
1984
Procedures for the effective implementation of the Standard Minimum Rules for the Treatment of
Prisoners (ECOSOC 1984/47)
Safeguards guaranteeing protection of the rights of those facing the death penalty (ECOSOC 1984/50)
1986
United Nations Standard Minimum Rules for the Administration of Juvenile Justice (the Beijing Rules) (GA40/33)
Declaration of Basic Principles of Justice for Victims of Crime and Abuse of Power (GA 40/34)
Basic Principles on the Independence of the Judiciary (“endorsed” in GA 40/32 and “welcomed” in GA
40/146)
Model Treaty on the Transfer of Foreign Prisoners and recommendations on the treatment of foreignprisoners (“endorsed” by GA 40/32)
1988
Body of Principles for the Protection of All Persons under Any Form of Detention or Imprisonment (GA43/173)
1989
Implementation of the Declaration of Basic Principles of Justice for Victims of Crime and Abuse of Power(ECOSOC 1989/57)
Implementation of the safeguards guaranteeing protection of the rights of those facing the death penalty(ECOSOC 1989/64)
Principles on the Effective Prevention and Investigation of Extralegal, Arbitrary and Summary Executions(ECOSOC/65)
Guidelines for the Effective Implementation of the Code of Conduct for Law Enforcement Officials(ECOSOC 1989/61)
Procedures for the effective implementation of the Basic Principles on the Independence of the Judiciary(ECOSOC 1989/60)
1991
United Nations Rules for the Protection of Juveniles Deprived of their Liberty (the Tokyo Rules) (GA45/110)
Basic Principles for the Treatment of Prisoners (GA 45/111)
United Nations Guidelines for the Prevention of Juvenile Delinquency (the Riyadh Guidelines) (GA 45/112)
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UN Rules for the Protection of Juveniles Deprived of their Liberty (GA 45/113)
Model Treaty on Extradition (GA 45/116)
Model Treaty on Mutual Assistance in Criminal Matters (GA 45/117)
Model Treaty on the Transfer of Proceedings in Criminal Matters (GA 45/118)
Model Treaty on the Transfer of Supervision of Offenders Conditionally Sentenced or Conditionally
Released (GA 45/119)
Model treaty for the prevention of crimes that infringe on the cultural heritage of peoples in the form ofmovable property (“welcomed” by the GA in 45/121)
Basic Principles on the Use of Force and Firearms by Law Enforcement Officials (“welcomed” by the GA
in 45/121)
Basic Principles on the Role of Lawyers (“welcomed” by the GA in 45/121)
Guidelines on the Role of Prosecutors (“welcomed” by the GA in 45/121)
1992
Statement of principles and programme of action of the United Nations crime prevention and criminal
justice programme (GA 46/152)
1993
Declaration on the Elimination of Violence against Women (GA 48/104)
1994
Naples Political Declaration and Global Action Plan against Organized Transnational Crime (World Ministerial Conference; transmitted by the Secretary-General to the General Assembly in A/49/748)
1995
Guidelines for cooperation and technical assistance in the field of urban crime prevention (ECOSOC
1995/9)
1996
International Code of Conduct for Public Officials (GA 51/59)
United Nations Declaration against Corruption and Bribery in International Commercial Transactions (GA51/191)
Safeguards guaranteeing protection of the rights of those facing the death penalty (ECOSOC 1996/15)
1997
Model Strategies and Practical measures on the Elimination of Violence against Women in the Field of
Crime Prevention and Criminal Justice (GA 52/86)
Kampala Declaration on Prison Conditions in Africa (ECOSOC 1997/36)
Guidelines for Action on Children in the Criminal Justice System (ECOSOC 1997/30)
Model Bilateral Treaty for the Return of Stolen or Embezzled Vehicles (ECOSOC 1997/29)
Firearm regulation for the purposes of crime prevention and public health and safety (ECOSOC 1997/28)
1998
Plan of action for the implementation of the Declaration of Basic Principles of Justice for Victims of Crime
and Abuse of Power (ECOSOC 1998/21)
Status of foreign citizens in criminal proceedings (ECOSOC 1998/22)
Kadoma Declaration on Community Service (ECOSOC 1998/23)
1999
Arusha Declaration on Good Prison Practice (ECOSOC 1999/27)
2000
United Nations Declaration on Crime and Public Security (GA 51/60)
2001
Principles on the Effective Investigation and Documentation of Torture and Other Cruel, Inhuman or
Degrading Treatment or Punishment (GA 55/89)
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161ST INTERNATIONAL TRAINING COURSE
VISITING EXPERTS’ PAPERS
Vienna Declaration on Crime and Justice: Meeting the Challenges of the Twenty-First Century (GA 55/59)
Plans of action for the implementation of the Vienna Declaration on Crime and Justice: meeting the Challenges of the Twenty-first Century (GA 56/261)
2002
Basic principles on the use of restorative justice programmes in criminal matters (ECOSOC 2002/12)
Guidelines for the Prevention of Crime (ECOSOC 2002/13)
2003
The question of the death penalty (Commission on Human Rights 2003/67)
2005
Bangkok Declaration on Synergies and Responses: Strategic Alliances in Crime Prevention and Criminal
Justice (GA 60/177)
Model Bilateral Agreement on the Sharing of Confiscated Proceeds of Crime or Property (ECOSOC
2005/14)
Guidelines on Justice in Matters involving Child Victims and Witnesses of Crime (ECOSOC 2005/20)
2010
Salvador Declaration on Comprehensive Strategies for Global Challenges: Crime Prevention and Criminal
Justice Systems and Their Development in a Changing World (GA 65/230)
United Nations Rules for the Treatment of Women Prisoners (the Bangkok Rules) (GA 65/229)
2015(The Doha Declaration on integrating crime prevention and criminal justice into the wider United Nations
agenda to address social and economic challenges and to promote the rule of law at the national andinternational levels, and public participation; to be adopted by the GA during the autumn of 2015)(revised Standard Minimum Rules for the Treatment of Prisoners [the Mandela Rules]; to be adopted by
the GA during the autumn of 2015)

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PARTICIPANTS’ PAPERS
STAFF TRAINING FOR CORRECTIONAL LEADERSHIP:
THE HONG KONG EXPERIENCE
Lap-yip LO＊

I. INTRODUCTION
The Hong Kong Correctional Services Department (“HKCSD”) has experienced tremendous changes in
the past few decades. While we are primarily sanctioned to segregate persons having breached thecriminal code, it is recognized worldwide nowadays that, with the more sophisticated philosophies of themodern correctional services, more is expected to be done for offenders than just locking them up.
Meanwhile, the ever increasing public expectations in providing a wide range of quality custodial and rehabilitative services to offenders has imposed considerable responsibilities on us. Needless to mention, thesociety also expects a high level of integrity of correctional officers so sanctioned. Besides that, our recent
internal review reveals that there will be a tide of natural wastage looming in the coming ten years. To
ensure that the Department is geared up to meet the new challenges ahead, the HKCSD has given
increased emphasis to human resources management practices on building a team of highly effective, disciplined and well-motivated staff.
In this paper, we will first briefly explain the challenges arising from the transformation. After that,
we will share our practice and strategy on strengthening staff members with operational experience andknowledge management, which aims to cope with the challenges arising from the ever changing development of the Department.

II. CURRENT CHALLENGES FACED BY THE HKCSD
Similar to our worldwide counterparts and other enterprises, apart from many undesirable factors significantly affecting the operation of correctional facilities, i.e. the prudent government budgets, highturnover rates, technological innovations and other new legal mandates, the HKCSD also faces various
challenges arising from the transformation. Nevertheless, the most significant challenges are the following:
A. Change of Role for Correctional Officers
Over the past three decades, the HKCSD has undergone a major transformation. The change of its
name from the original “Prison Department” to current “Correctional Services Department” signified thatthe scope of services provided by the Department had been extended from a purely custodial nature to acomprehensive means of facilitating offender rehabilitation. Being an integral part of the criminal justicesystem nowadays, apart from playing a primary role in taking care of offenders committed to our custody,
we also have the responsibility to prepare those offenders for reintegration into society upon discharge as
law-abiding citizens. Therefore, on top of providing traditional quality custodial services, HKCSD now has
to put more efforts into the rehabilitation of offenders.
In this new era, Correctional Officers in Hong Kong are performing “Dual Roles”, i.e., “Society
Guardian” and “Rehabilitation Facilitator”. By enforcing Dual Roles, apart from acting as a “Society
Guardian”, who protects the public by ensuring the safe custody of those offenders sentenced by court, ourofficers are also taking up the role as “Rehabilitation Facilitators”. We facilitate the rehabilitation of
offenders and their reintegration into the society as law-abiding citizens by working in collaboration withthe community and other stakeholders. This again helps reduce recidivism and protect the public.
In adopting the Dual Roles, correctional officers should never again perceive their role only as that of“keepers” and relate to inmates in a custodial fashion, but instead should have the sense of humanity in
Principal Officer (Discipline), Headquarters of Correctional Services Department, Hong Kong.

＊

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161ST INTERNATIONAL TRAINING COURSEPARTICIPANTS’ PAPERS
helping offenders reintegrate into the society.
B. Rise of Public Expectations
In recent years, it has been a common phenomenon that public expectations about treatment ofoffenders have become an area of concern again and again all over the world. Worse still, fear of maltreatment of offenders via media coverage in reporting suicide cases and violent acts among offenders often
generates a spate of criticisms against the penal system, demanding more openness and accountability.
Correctional officers spend considerable time in managing public outcries and complaints raised throughvarious channels.
We should understand that no system can stay in a vacuum, neither can it claim to be perfect orcomplete because every system is a dynamic force of changes and development. In most societies, checkand balance is the major safeguard against abuse of power and infringement of rights. We have to admit
the principle that the primary function of the criminal justice system is to serve and protect all the peopleof our society. Such a view requires a public engagement strategy in which correctional officers must understand and respect public expectations and take public concerns more seriously. Therefore, while there
has been an increase in workload due to the rise of public expectations, we should treat the publicattention on penal management as a positive phenomenon in the course of modernization.
Learning from experience, HKCSD has been working actively with the community and viewing the
public as a partner in the treatment of offenders towards this direction. Over the past few years, publiccampaigns were launched, committees including community celebrities were appointed in committees,
district councils and community organizations alike were engaged in the formulation of strategies topromote a supportive community for the offenders. After learning about how an offender should be treatedand managed properly and having a chance to deliberate over it, the public is now much more open tochange than conventional wisdom would suggest.
Thus, correctional officers nowadays are required to have the calibre to interact with public expectations in order to create the boundaries leading the community to support and to accept penal policies.
C. Staff Wastage and Succession Problems
HKCSD has a team of around 5,000 Rank & File grade staff and some 1,000 staff at the grade of
Officer and above. The Department is commanded by a Commissioner who is assisted by a deputy Commissioner, and its Headquarters is made up of five divisions, namely the Operations Division, the Rehabilitation Division, the Quality Assurance Division, the Human Resource Division and the Administration and
Planning Division, where each division is headed by an Assistant Commissioner or equivalent civilian
officer. Frontline policing is delivered by 29 correctional institutions. In general, each institution is headed
by a Superintendent (a Senior Officer of the Officer Grade), with the assistance of a group of middle
managers (Officer Grade) and the frontline staff (Rank and File Grade) to carry out various correctional
duties (For the details of our organizational chart as well as the grade structure of HKCSD, please refer
to Appendix A and B respectively). Owing to the uniqueness of penal settings, correctional officers are
required to have a comprehensive understanding of the actual operation of the Department and the management of penal institutions with practical experience. However, we consider that these valuable experiences and understanding of the day-to-day operation of penal institutions and management of frontline staff
can only be acquired through years of active engagement in the profession. Therefore, we always value
our staff as one of the greatest assets to the Department.
Though there was no alarming indication on the attrition rate for the HKCSD in the past few years, it
is always in our mind that we cannot underestimate the difficulty in maintaining a stable workforce. As amatter of fact, we are now facing a challenge as around 1,600 out of 5,000 staff at Rank & File grade and400 out of 1,000 staff at Officer and above grade will leave the service due to normal retirement at the ageof 55 in the coming 10 years. Apart from those concerning the Rank & File and Officer Grades, of far
greater significance is that 86 out of 113, or 76%, of the senior executives are currently above the age of 50
and will retire from service by 2020. This may result in a substantial impact to the Department, particularly the brain drain and outflow of talent.
Therefore, good succession planning is extremely important to maintain the stability of the Department
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RESOURCE MATERIAL SERIES No. 98
and to sustain the smooth-running of service. In the context of HKCSD, it is indispensable to achievingsmooth transitions of leadership by grooming effective senior managers as well as creating a pool of candidates with high leadership potential, which indeed is an on-going process which takes years to develop andaccomplish.

III. INITATIVES SHAPING HKCSD INTO AN EFFECTIVE AND MOTIVATED PROFESSIONAL SERVICE
To tackle the challenges aforementioned, the HKCSD considers that the quality of correctional officers
is critical. Thus, it is important for our administrators to accord to staff training to help our staff members
re-conceptualize their role, reconsider their values and adopt approaches that can cope effectively with theever-rising public expectation for correctional services. Moreover, the commitment and motivation of staff
members are critical and the essential elements for success. Over the years, HKCSD has given increased
emphasis to human resources management practices on building a team of highly effective, disciplined andwell-motivated staff. Below, this paper illustrates the initiatives that the HKCSD has taken to gear up our
staff members and to provide opportunities for potential officers to develop themselves through experience.
A. Departmental Vision, Mission and Values (“VMV”)
It is important for staff members to have positive values for the change of role for correctional officers.
Strong resistance might arise if our staff members have misunderstanding of the issue. Abraham Maslow
suggested that the need to belong was a major source of human motivation1. He thought that it was one offive human needs in his hierarchy of needs, along with physiological needs, safety, self-esteem, and self-actualization. These needs are arranged in a hierarchy and must be satisfied in order. After physiologicaland safety needs are met, an individual can then work on meeting the need to belong and be loved.
According to the theory of Maslow, if the belonging needs are not met, an individual cannot completely
achieve his self-actualization.
Culture is a system of shared beliefs that determines how people act. It pervades every organizationand permeates down through each level. Naturally, it bears direct impact on the way the members behave
and affects tremendously the organization’s efficacy. Recognizing that a positive culture is instrumental to
the success of an organization, the HKCSD has set forth a chain of actions to guide the mindset of its staff
and drive the Department towards the desired culture, such as the Integrity Management and the Healthy
and Balanced Lifestyle.
Given that we consider the staff commitment towards the Department with positive departmental
culture as an essential element for success, the HKCSD therefore always exerts its effort to maintain thestrong sense of belongings among staff members. In the late 1990’s, HKCSD adopted a participative
approach in creating its first VMV statement. In order to better reflect the shared belief of staff as well as
the Department’s roles and commitment, the VMV statement was refined in May 2010 with a view tobetter reflecting our roles in times of change. All along, staff members are always encouraged to participate in the process of creating the VMV, and it allows all staff of HKCSD to own the VMV as a shared
one as well as to carry it through. After establishing its VMV statement, the Department laid the cornerstone to pool the staff in sharing the common organizational goal. This is followed by a number of projects
to cultivate an upright and positive cultural growth across the ranks of staff. (For details of our VMV,
please refer to Appendix C)
With the active participation of staff members in establishing the VMV, these values are not just beliefs
but the shared common culture of the whole Department. It maps out the goal of the Department (Vision),a clear indication on our performance (Mission) as well as the way to achieve the objective (Values). All inall, our senior executives are expected to, apart from taking up the role as leaders, actively engage themselves in the promotion of the VMV so as to train up leadership of fellow staff members through leadingthem to dedicate themselves to the service.
B. Building an Ethical Culture
Following the establishment of positive departmental culture, it is important to translate it into opera1 Maslow, A. (1970). Motivation and personality, New York: Harper & Row.

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tional behaviour and service standards consistent with the strategic objective of the Department. In thisregard, it is worth mentioning that HKCSD has established the Departmental Ethics Committee since2007 for promotion of ethical leadership and integrity management at the departmental level. An integrated ethical management model, namely, “Total Ethics Assurance Management” with elements of “Standard”,“Pledge”, “Involvement”, “Reinforcement”, “Inspection” and “Training” (known as the “TEAM-SPIRIT”
approach) was introduced with a view to further emphasize integrity as a core value in all aspects of
HKCSD. It is through this model that HKCSD has actualized our VMV, Dual Roles and materialized our 3
caring principles (caring for people, caring for the environment and caring for the community) (For detailsof the TEAM-SPIRIT approach and the 3 Caring Principles, please refer to Appendix D).
The TEAM-SPIRIT approach has incorporated the integrity management initiatives introduced by the
Department in recent years into a set of strategies which can better address the present-day needs andlong-run development needs of the Department. It reflects the determination of the Department inpromoting integrity management at a wider level and to more specific targets through a holistic strategy
and implementation approach. This is done in order to extend the coverage and strengthen the efforts inpromoting integrity management and enhance the ethical culture that has been established.
The TEAM-SPIRIT approach involved staff members throughout the Department, from the top management to individual staff members at the front line working at the institution / section / unit level,
allowing them to “own” the responsibility in actualizing the rationale behind it, hence making the ethicalculture an organizational culture of HKCSD.
Under the TEAM-SPIRIT approach, the focal point is “Shared”. We realize that only if the set ofvalues, behaviours and norms of the organization are shared by members of that organization can it subsequently be considered as the organizational culture of that particular entity. Supervisors at all levels are
required to be alerted of unethical pitfalls and to be aware of the supervisory responsibility in managing
integrity with a view to raising vigilance of staff against those vulnerable situations. In the meantime,through sustainable education, promotion of the shared values and creating a culture of good governance,
every staff member is also empowered and steered towards value-driven behaviour aligned with the departmental strategies. With staff members at all levels nurturing and fostering an ethical working environment, the implementation of integrity management could then be achieved effectively, and the high ethicalstandard can consequently be upheld and the ethical culture of the Department will be graduallydeveloped and sustained.
The participation of senior and middle executives throughout the process is the key factor leading tosuccess of this new approach. To implement the ethical working environment, the executives are expected
to dedicate themselves in performing effective leadership and displaying full commitment via their work
posts and participating in various activities organized by the Department. Besides that, they are also
expected to walk the talk by actively involving themselves through their role as leaders. Meanwhile, in thecourse of active participation under the TEAM-SPIRIT approach, senior and middle executives can gain
valuable managerial and executive experience throughout the activities and expand their social network
among colleagues.
C. Comprehensive Training Programme
Effective formal course training is always a key to success. In the context of HKCSD, all staff members
will be arranged to be provided with various kinds of useful, practical and effective training at different
stages in order to equip them with the relevant knowledge for the fulfillment of the VMV of the Department.
1. Recruit Training
For disciplined staff in HKCSD, there are only two recruitment ranks in the Department. One is Officer(Officer Grade) and the other is Assistant Officer (Rank and File Grade). For achieving perfection incustodial and rehabilitative services, newly recruited officers will undergo a residential induction training
programme before being posted to the correctional institutions, so as to facilitate the understanding of
their mission, the job requirements and operational knowledge. The duration of training for recruit Officers
is 26 weeks and that for recruit Assistant Officers II is 23 weeks including a two-week field placement at
penal institutions. All induction training courses include eight modules, i.e., with the Penal Knowledge,
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RESOURCE MATERIAL SERIES No. 98
Tactical and Physical Training, Drill and Weaponry, Social Sciences and Penal Management Training, Staff
Conduct Ethics and Integrity, Psychological Competency, Knowledge Implementation and E-learning.

A.
Penal Knowledge
B.

H.

Tactical andPhysical Training

E-Learning

G.
Knowledge
Implementation

RecruitTraining
CourseC.
Drill andWeaponryD.
F. PsychologicalCompetency
E.

Social Sciences
and Penal
Management
Training

Staﬀ Conduct,
Ethics andIntegrity

The contents of recruit training emphasize both theory and practice. The training syllabus includes
Laws of Hong Kong, rules and regulations, counselling, self-defence, emergency response tactics, the use of
weapons and etc. In response to ever-changing societal needs, subjects such as Putonghua have also been
included in the training curriculum. At the end of the course, it is expected that all recruits are equippedwith basic knowledge and skills for carrying out basic custodial and rehabilitative duties.
Meanwhile, in order to provide newly appointed specialist staff like Clinical Psychologists, Masters,
Catering Instructors and technical staff of Correctional Services Industries with a basic understanding ofcorrectional theory, practice, penal operation as well as their respective roles in the Department, weorganize orientation training courses for them before they actually take up their offices.
2. Development Training
Besides the recruit training above, we have put a lot of efforts into planning and input at different
stages of a staff member’s training and career development from time to time. In order to uphold a highstandard as society’s guardian and rehabilitation facilitator, to strive for excellence in correctional practiceand resource optimization, as well as to meet succession needs, the HKCSD has formulated a career
training roadmap with four Command Courses (Please refer to the table below), which provides a series oftraining for staff members from the junior level to senior level. It also aims at advancing the leadershipand operational knowledge in the substantive rank. The pedagogy adopted is participatory blended-mode
learning. Our approach is to bring in the rich experience of the instructors and guest speakers into theclassroom through discussions and to support by the e-Learning platform which blends them with thelatest information, rules and regulations in the field. It is supplemented by individual assignments, roleplays, lectures, and scenario training.
Each development command course includes seven major focus areas, i.e., Operational Handling andIncident Management, Integrity, Ethics and Conduct, Media Handling Skills and Public Relations Strategy,
Political Sensitivity and National Studies, Penal Management, Administration and Policy Studies, Building
Leaders and Sustainable Personal Growth and Departmental Way Forward and Sharing with Directorate.
The duration of trainings vary from 10 to 16 days. It maps out the career training roadmap of each officer
at different stages of career development, and provides opportunities for officers to equip themselves withthe concepts and practices in developing leadership and acquiring management skills of the next higher
rank as well as advancing the essential operational skills and visions.
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JuniorCommandCourse(10 days)

Intermediate
CommandCourse(10 days)

Intermediate
CommandCourse (Higher)(10 days)

SeniorCommandCourse(16 days)

D. E-Platform: Knowledge Management System (“KMS”)
E-Learning is an interactive and highly efficient mixed-mode training programme ensuring extensive
staff coverage and substantial reduction in training resources in comparison to the traditional learning
process. Its advantages have been proven to be immense and far-reaching, not to mention its flexible andversatile characteristics. All users can universally access the learning material in various media formats
anytime anywhere and learn at their own pace. Its cost-effectiveness in terms of cost, manpower and timeis also crucial under the existing stringent fiscal environment. Most importantly, this E-learning
programme can engender a life-long self-learning culture across the Department and bring ongoing enhancement to the professional and academic standing of our staff.
It is always our belief that experience is valuable in every industry and of paramount importance inthe correctional services as our core duties are the management of people, including both our staff
members as well as the persons in custody. With the aid of well-structured and well-organized sharing of
knowledge and experience, in particular those accumulated with decades in the handling and managementof the persons in custody, we can tackle challenges arising from the ever-changing environment swiftlyand make suitable response promptly without failing the ever-rising public expectations. In this regard,
CSD has developed a KMS, an electronic platform that aims to help staff better cope with challenges fromwork and foster professional development by taking reference to the precedent available and experiencepicked up from the predecessor.
Launched in August 2010, the system is equipped with a search engine to provide staff with a one-stop
information technology platform for capturing, organizing, storing, disseminating, sharing and updating
work knowledge. It consolidates various knowledge-oriented databases from different divisions and institutions. Staff members of HKCSD can retrieve from the KMS those latest information and documents, suchas news and events, instructions, memos and guidelines, operational manuals, meeting notes and training
materials. In addition, a bilingual “Self-learning Topics” programme has also been introduced for access ofstaff to enhance their knowledge while fostering a continuous self-learning culture. Through this learning
platform, staff can acquire the required knowledge from KMS in a more user-friendly way in problem
solving, similar to what we experience in the Internet, which is beneficial and vital to staff succession.
Recently, a sharing forum has been introduced on the KMS platform. It enables staff members to express
their thoughts and ideas about the Department individually, while at the same time sharing them with thelarger community.
E. Institutional-Based Mentorship Programme
On the top of the KMS platform, an Institutional-based Mentorship Programme (“IBMP”) has also beendeveloped for sharing of job-related knowledge among the new and experienced staff through an interactive approach. The IBMP has been fully implemented since June 2011 to allow our staff members who arestill under probation to receive advice and guidance from the experienced staff members who have taken
up the role as their mentors.
In the contemporary society, the style of different generations working in the same office brings challenges for the management. In general, the new, younger generation gives an impression of less job loyalty
and weak commitment to their careers. Some of them may quit their job easily without any significant
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RESOURCE MATERIAL SERIES No. 98
clues. However, apart from criticizing the new generation, the unconventional values and lifestyle, anddifferent views on more private and leisure time expectations may also constitute to the generational
challenge. We believe the solution is communication but not criticism.
The IBMP offers not only an opportunity for the mentors to share their working experience with theirmentees, but also helps our new staff members adapt to the penal working environment and the organizational at an early stage of their careers. It also provides opportunities for different generations to work
together and to share. During regular meetings between mentors and mentees, the mentees will be given
holistic training and counselling, including career review and assessment, training on stress management
and effective communication skills, leadership training, taking part in team building exercises, as well as
discussion on current and latest departmental issues. Through the interaction, the new staff members will
be instilled with the concept of Integrity Management, Healthy and Balanced Lifestyle, and nurturing a
positive work attitude. Thus the esprit de corps can also be cultivated between the serving and new staff
members by means of establishing a good mentor-mentee relationship. At the end, it enriches the executive
and managerial experience of potential officers, which equips them with professional knowledge and skills
for further advancement in their careers.
F. Overseas Experience
In addition to the training courses mentioned above, opportunities are also given to our senior executives to participate in international conferences or visit correctional services on the Mainland and overseas.
This helps broaden their horizons through meeting the leaders of the correctional services from all over
the world and engaging in professional exchanges with them. These conferences and visits include the International Corrections and Prisons Association (ICPA), Asia and Pacific Conference of Correctional Administrators (APCCA), Association of Paroling Authorities International (APAI) Training Conference, Beijing-Guangdong-Hong Kong-Macao Prison Forum, etc. Regarding the visits, they cover many countries allover the world and also different prefectures in Mainland China.
To deliver continuous improvement in our performance, we need new thoughts, mindsets, strategies
and dynamics. We see professional exchanges with other jurisdictions as leverage to generate new ideas,learn alternative practices, help our service measure up to international standards and enhance our organizational competence and capability to adapt to the fast changing environment. After entering into a
fruitful, co-operative Memorandum of Understanding (MOU) with the Correctional Service of Canada in
2001, our Department has also signed MOUs with the Singapore Prison Service and the Korea Correctional Service in July 2003 and September 2005, respectively which call for a programme of cooperation andjoint work comprising staff exchanges, research and study projects, e-forum and bilateral seminars, etc.
Besides, we have been maintaining close relationships with penal institutions in different provinces ofMainland China. Starting from 2003, a “Co-operation Arrangement” has been signed with Macao Prison
and the Central Institute of Correctional Police and Guangdong Prison Administrative Bureau on Mainland
China in order to strengthen cooperative relationships, and promote the development of correctional
services on both sides.

IV. WAY FORWARD
To sum up, the correctional environment has been influenced by the societal developments in the past
decade. Over the years, Hong Kong has developed a penal system which places increasing emphasis oncorrecting and rehabilitating offenders, on top of its primary responsibility of maintaining security andorder within the institutions.
In the context of HKCSD, with a team of good quality, well-trained and versatile staff, high standardsof correctional work can be ensured and the Department’s corrective role in the Criminal Justice System
can thus be fulfilled. In the pursuance of professionalism, we will continue committing our efforts toperfect staff training, career development policies and practices.

74Organization Chart of HKCSD

Appendix A

161ST INTERNATIONAL TRAINING COURSEPARTICIPANTS’ PAPERS

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RESOURCE MATERIAL SERIES No. 98

Appendix B
Grade Structure of Disciplined Staff in HKCSD
Grade

Rank

Responsible

Commissioner
Directorate Grade

Deputy Commissioner

Divisional Heads in Headquarters

Assistant Commissioner
Chief Superintendent
Senior Superintendent

Heads of Institutions

Superintendent
Officer Grade

Chief Officer
Principal Officer

Middle managers

Officer
Rank and File Grade

Assistant Officer I
Assistant Officer II

Frontline staff

Appendix C
Vision Mission and Values of HKCSD
VisionInternationally acclaimed Correctional Service helping Hong Kong to be one of the safest cities in theworld
MissionWe protect the public and reduce crime, by providing a secure, safe, humane, decent and healthy environment for people in custody, opportunities for rehabilitation of offenders, and working in collaboration
with the community and other agencies.
ValuesIntegrity
We are accountable for our actions by upholding high ethical and moral standards, and have thehonour of serving our society.
Professionalism
We strive for excellence in correctional practice and resource optimisation, and take pride in ourrole as society’s guardian and rehabilitation facilitator.
Humanity
We respect the dignity of all people with emphasis on fairness and empathy.
Discipline
We respect the rule of law with emphasis on orderliness in the pursuit of harmony.
Perseverance
We are committed to serving our society, keeping constant vigilance and facing challenges withcourage.

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Appendix D
The SPIRIT-TEAM Approach
Standard

Standards be set as departmental guidelines on ethical practices

PledgePledge of the departmental management in upholding an ethical culture through effective
leadership and full commitment

Involvement

Involvement of staff members at all levels in nurturing and fostering an ethical working
environment

Reinforcement

Reinforcement through supportive departmental policies to ensure sustainability of an
ethical culture

Inspection

Inspection on possible risks of unethical practices through the establishment of an effective
monitoring mechanism

Training

Training on continuous basis for equipping staff members with relevant knowledge andskills in corruption prevention and integrity management

3 Caring Principles
1. Caring for people
2. Caring for environment
3. Caring for Community

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STAFF TRAINING FOR CORRECTIONAL LEADERSHIP
Pamela Monyenche Masese＊

Probation and Aftercare Service has 753 Probation Officers and 390 non-technical officers employed on
Permanent basis. The Department also depends on 312 Volunteer Probation Officers and 3,600 Community
Service Supervisors from the Community to achieve its objectives. These objectives include provision ofsocial enquiry reports to courts and penal institutions, rehabilitation, reintegration and supervision, of
offenders placed under non- custodial sanctions.
Kenya public service training and recruitment policy (2005) says that training is crucial for all government agencies as it ensures that the government departments have adequate skills and knowledge toenable each of them to implement relevant mandates as well as meet the strategic objectives of their respective organizations. The policy defines training as a process through which one acquires skills andknowledge essential for a profession or a job while capacity building is the process of developing andstrengthening skills, attitude abilities, processes and resources which an organization requires to adapt andthrive in an ever changing environment.

I. ADMINISTRATION OF ORGANIZATION IN RELATION TO TRAINING
The Department of Probation and Aftercare service has a training division that is charged with the responsibility of conducting training needs assessment surveys for 753 probation officers, 390 non-technicalstaff, Community Service Supervisors and Volunteer Probation Officers. The Civil Service Training Procedures of 2007 strengthened the role of the Departmental Training Committee (DTC) which deliberates,
gives approval on the distribution of the training funds; skill needs assessment reports, projections andtraining requests. It is the role of the DTC to recommend and advise the Cabinet Secretary on technicalissues as regards to training of correctional personnel. The internal courses are conducted at Shanzu
Training Centre and Nakuru Hostel.

II. CONTENT AND METHODS OF TRAINING IN PROBATION KENYA
In 2006 the Performance Appraisal System (PAS) was introduced in the department of Probation andAftercare service to enhance assessment, rehabilitation and reintegration of offenders. PAS is a performance management tool which integrates the work of an individual staff with the strategic objectives ofthe organization. It is a process of setting targets, work planning, provision of feedback and evaluation on
work performance and professional conduct. It enables leaders of correctional agencies to identify gaps inwork performance which can be filled through training and capacity building.
Training has also been geared towards succession planning, The Scheme of Service for Probation
Officers (2004) stipulates which training is required for each designation, the skills and knowledge eachprobation officer is required have for career progression. Training Projections, which are done each year,
are also meant to implement the scheme and address challenges of succession management. In 2014 a
Mentoring Scheme was formulated which is geared towards ensuring the experienced officers “leave theirskills behind” upon exit from the service. However this Scheme is yet to be implemented.
The Public Service Integrity Program (PSIP) was introduced in the department so as to prevent
corrupt practices and inappropriate treatment of offenders. 123 Probation officers from each station havebeen trained as Integrity Officers so as not to only train others but be champions of the programme. It has
also been found necessary to mainstream the integrity programme in all training and capacity building
Chief Probation Officer, Probation and Aftercare Service, Kenya.

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programmes.
Training has also been geared towards enhancing community participation, and currently the department has partnered with Youth Change Initiative, a Non-Governmental Organization to conduct an on–the-job training for Volunteer Probation Officers (VPO) from Machakos Probation Office.
The newly recruited officers are sensitized on the Civil Service Code of Regulations so as to prevent
misconduct and enhance professionalism. Each probation officer is encouraged to be a member of the
Kenya National Association of Probation Officers (KNAPO). The Association has a code of conduct thatbinds the member. In the major training forums the association is given a slot in the programme so as tosensitize members on the same.
Probation Kenya has enhanced collaboration and partnerships through training and seminars. This has
been done through initiating various proposals. In March 2015, twenty probation officers undertook a
training of trainers’ workshop on the Rules for the Treatment of Women Prisoners and Non-Custodial
Measures for Women Offenders (Bangkok Rules). Penal Reform International (PRI) sponsored thisworkshop. The officers are expected to train other officers on the implementation of the rules.).
Probation Service has also entered into a partnership with PRI in an Excellence in Training and Rehabilitation Program in Africa (EXTRA Project) in undertaking several activities in capacity building which
are geared towards enhancement of non-custodial measures by the courts. Similarly in 2013 there was collaboration with the Danish Intelligence Service, and 44 probation officers were trained in prevention ofradicalization and violent extremism.
In the past Probation Kenya has also partnered with the Japan International Cooperation Agency(JICA) in capacity building in Child Care Protection officers Training and the Volunteer Probation Officers
Program. JICA has also played an important role each year by training Probation Officers in the areas ofassessment, rehabilitation of offenders and on the international best practices in correctional services.
The work of a Probation Officer involves conducting social enquires, interviewing offenders and working
to create harmony between the victim, the offender and the community. This work can be emotionallydraining. Stress management sessions are conducted by the Kenya National Association of Probation
Officers to debrief the officers. The most recent sessions were organized in Nyanza Province.
The content and methods of training are geared towards addressing the current crime trends and thediversity of offenders. According to 2014 departmental statistics on the status of offenders the number ofdrug use and substance offenders has increased by 20%; assault, creating disturbance and sexual offences,by 11% while stealing has decreased by 6%.
The Kenya National Crime and Research Centre’s Report (2014) indicates that radicalization andviolent extremism that results in terror attacks is a major threat to national security. Crime among theyouth is on the rise and over 50% of convicted persons are aged between 18 to 20 years. According to thereport there are 46 major criminal gangs in the country with the majority engaging in illicit drug trafficking and extortion of money.
Domestic violence, sexual offences, drug and substance abuse are also indicated in the report as the
major crimes in the country. All Chief Probation Officers have undertaken courses in crime prevention
because this is also a requirement in the Scheme of Service for Probation Officers, which is currently
under review. Probation Kenya has a challenge in drawing appropriate training programmes for Probation
Officers to address the emerging crime trends.
The 2013 a training survey conducted by Egerton University on behalf of Probation and Aftercare
Service indicated that upon recruitment probation officers require more training besides the initial fivedays’ induction. This is because the officers have diverse academic backgrounds and there is no direct link
between what is taught in the universities and probation work. The results of this survey led to the development of the curriculum for a Post Graduate Diploma in Probation Practice and Correctional Studies.
When implemented the curriculum will to equip officers with appropriate technical orientation and compe79

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tencies so as to respond to crime prevention, the needs and challenges in correctional services. It is also
expected that the implementation of the syllabus will harmonize the diverse skills, standardize, probation
work and increase the capacity of officers to adapt to new technology.

III. EFFECTIVE TRAINING METHODS
Probation Kenya utilizes a wide variety of training methods to cater for a broad diversity of participants whose personalities differ from each other. The training methods that have been used include:
A. Brainstorming
The method is widely used in training. It requires that participants have some background information
related to the topic. It is used during training to establish ground rules and to bring out the expectationsof the participants at the beginning of the training sessions. A written record of the information is enteredin the flip charts.
B. Lecture Method
This involves the trainer presenting facts, ideas continuously without the trainees’ involvement.
However, trainers in the department have enhanced their lecture methods through the use of appropriate
training/learning aids and illustrations. This is meant to make participants more active during the training
sessions.
C. Group Discussion
In this method four to five participants meet and discuss a topic under the direction of a group leader;
it is usually combined with the lecture method. Participants are prepared prior to the discussion, and asummary of each groups’ discussion is presented to the whole class to facilitate learning of the subject
matter. However, this method has been difficult to utilize when participants are many.
D. Role Playing
In this training method a person imitates or acts out (dramatizes) a situation. The trainer sets the tone
and provides direction, and the participants choose characters and the actors are asked to assume parts ofreal or imaginary situations. Feedback and comments are given later. It is interactive and participant
centered. It has been used to impact leadership skills among correctional officers.
E. Case Study
All the senior correctional officers are expected to attend strategic leadership courses and the major
method used is case studies where workplace assignments are given to each of them. They undertake casestudies of challenging leadership situations at the workplace and provide possible solutions.

IV. UNDERSTANDING AND RESPECTING
INTERNATIONAL STANDARDS AND NORMS
The Kenyan criminal justice system has been undergoing several reforms as a result of the promulgation of the Constitution of Kenya (2010). Correctional agencies are now encouraged to develop treatment
programmes that focus on crime prevention, individual assessment and therapeutic interventions topromote effective rehabilitation.
This is also in line with standards and norms on the treatment of offenders such as the United Nations
Minimum Rules for Non-Custodial Measures (Tokyo Rules). Rule 13(3) emphasizes the need for correctional
agencies to focus on programmes that take into account the personality traits of the offender, aptitude andcircumstances leading to the offence. In this regard Probation Kenya is domesticating these rules throughtraining officers in effective assessment and treatment of offenders. The social enquiry reports to courts
are used to provide background information on the circumstances of the offence(s) and offenders’ attitude
towards the crime committed and recommendation on possible sentencing alternatives. This has been able
to give the judiciary a wide range of non-custodial options at its disposition in the dispensation of justice.
In rehabilitation, corrective interventions need to have a holistic approach. In developing the Bangkok
Rules in 2010, the United Nations urged countries to develop individualized gender sensitive, trauma
80161ST INTERNATIONAL TRAINING COURSEPARTICIPANTS’ PAPERS
informed and comprehensive mental health programmes. Kenya Constitution (2010) article 51(3) takes into
account the relevant international instruments in the treatment of offenders.
The Department is domesticating these rules. Twenty probation officers undertook a Trainer ofTrainers’ course by PRI. More officers have been encouraged to undertake an online course.
The Departmental Youth Justice Strategy developed and validated in 2013 provides a blue print for use
by Probation Officers. It is making progress in ensuring quality, consistency and uniformity in all youth
justice programmes. The strategy lays a lot of emphasis on the Standard Minimum Rules for Administration of Juvenile Justice (Beijing Rules).
In addition, the department collaborated with other correctional agencies and JICA to develop ThroughCare Guidelines, which are meant to facilitate the implementation of the Beijing Rules and the United
Nations Guidelines for Administration of Juvenile Delinquency (Riyadh Guidelines).
Probation Kenya is a member of the Regional East African Community Correctional Services and will
be instrumental in the implementation of the Peace and Security Protocol, which is not only going to assist
in exchange of information related to security and correctional services but to also facilitate an exchange
of offenders within the member states.

V. CHALLENGES
⿟⿟ There is lack of consistency and uniformity in implementing training programmes. Despite thefact that the trainers may agree in broad areas to be delivered in any training programme, what
is finally delivered will depend on each individual trainer.
⿟⿟ A lot attention has been laid on the offender and not much has been done for the Probation Officer
who works in a stressful environment. This has made some officers turn to inappropriate stressmanagement interventions like alcohol and drug abuse.
⿟⿟ The Department has concentrated on classroom training approaches that are not only expensive
but also time consuming.
⿟⿟ The objectives of training and capacity building are hindered by inappropriate recruitment andselection of correctional officers. Some of the correctional officers who are recruited lack appropriate personality traits required for the job.
⿟⿟ There is a problem of low budgetary allocation leading to inadequate training resources and facilities at the Training Centre because training allocation is minimal.
⿟⿟ It has not been possible to document the long term impact training and capacity building programmes in the department
⿟⿟ The Department has a number of old, experienced officers whose knowledge has not been reaped
for the benefit of the department.
⿟⿟ Most officers come from diverse academic backgrounds because no university in Kenya teaches
probation work, and upon recruitment only a five days’ induction training is given. There is needfor a long, comprehensive course for the officers to effectively deliver services.
⿟⿟ Despite the fact that KNAPO organizes stress management sessions for the officers, not all theofficers have gone through the programme and some officers have often engaged in inappropriate
stress management interventions like alcohol use.

VI. POSSIBLE SOLUTIONS
A. Ministerial Level
⿟⿟ The possible solution for standardizing training is to develop training manuals to enhance thequality of learning.
⿟⿟ It would be ideal if E-learning programmes can be developed to facilitate correctional officers’ acquisition of knowledge and skills so as to enhance service delivery. This is cheaper than classroom
learning.
⿟⿟ The Ministry needs to train officers in the use of psychometric tests during recruitment. This
will ensure that there is effective recruitment of the officers
⿟⿟ The Ministry needs to set money aside to equip the Centre with appropriate training equipment
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and materials.
B. The Department Level
⿟⿟ In order to have adequate qualified trainers to facilitate training and capacity building programmes so as to enhance staff training in correctional leadership programmes. It would be ideal
for the department to enhance partnerships with local and international organizations to train apool of qualified trainers.
⿟⿟ The Department needs to implement the Mentoring Scheme to facilitate on-the-job training andtransfer of skills from more experienced officers to newly recruited personnel.
⿟⿟ Harmonize skills by actualizing the Curriculum for Post Graduate Diploma in Probation Practiceand Correctional Studies.
⿟⿟ Develop a detailed monitoring and evaluation framework so as to assess the long term impact of
the training programmes on Correctional services.
C. The Officer Level
⿟⿟ Each officer needs to take responsibility and be proactive in acquiring knowledge and skills
related to his/her profession through reading books and registering for on-line courses.
⿟⿟ Identify and develop appropriate stress management techniques.
⿟⿟ Old officers need to take the initiative of passing their knowledge and skills to newly recruited
officers

VII. CONCLUSION
It is apparent that the department has challenges in training and capacity building to enhance succession management in correctional leadership. Training is also required to address challenges in emerging
crimes trends, meet the demands of the expanded mandates and implement international best practices.
Hence there is need to equip trainers with relevant skills in curriculum development, effective training
methodologies to enable them to offer appropriate training interventions.

Appendix A
References
Chelule. F. ((2009), Modern Facilitation and Training Methodology, Kijabe Printing Press, Kijabe,Kenya.
Government of Kenya, (2007). The Civil Service Training Procedures. Government printer, Nairobi. Kenya.
Government of Kenya, (2010). The Constitution of Kenya. Government printer, Nairobi. Kenya.
Government of Kenya, (2015). The Economic Survey. Government printer, Nairobi. Kenya.
Government of Kenya, (2005). The Recruitment and Training Policy Government printer, Nairobi, Kenya.
Government of Kenya, (2004). The Scheme of Service for Probation Officers Government printer, Nairobi,
Kenya.
Kenya National Crime and Research Centre’s Report (2014) Government printer, Nairobi, Kenya.
United Nations Standard Minimum Rules for Non-custodial Measures (1990). 45/110. Retrieved on 10th
February 2014 from <www.un.org/documents/ga/res/45/r110>.
United Nation Rules for Treatment of Women Prisoners, (2010). Retrieved on 20th February 2014 from<www.ohchr.org/documents/ga.res/811>.

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ADMINISTRATION OF THE KENYA PRISONS ORGANIZATIONPeter Kimani Ndung’u＊

I. BACKGROUND OF THE KENYA PRISONS SERVICE—EXECUTIVE SUMMARY
The prisons system was introduced in Kenya by the British East Africa protectorate with theenactment of East Africa Prisons Regulations in April, 1902. At independence, the reforms in the penal
system were strengthened with the enactment of chapters 90 and 92 to establish the Kenya Prisons, andAct (Cap 90) has since been reviewed, the last being 1977. The Borstal Act (cap 92) has also beenreviewed, the last being in 1967.
The Kenya Prisons Service has grown gradually since its inception on 1 April 1911. At inception theprisoners’ population stood at six thousand five hundred and fifty-nine (6,559) with a staff strength of threehundred and nineteen (319). To-date there has been a gradual increase in both staff and prisoner population. There are 107 penal institutions, two Borstal institutions and one youth corrective Training Centre in
the Republic with inmate population averaging 54,000. A girls’ correction centre will also be opened during
this year. These institutions are coordinated under Prisons Regional Commanders who are answerable tothe commissioner General of Prisons based at Prisons Headquarters, Nairobi.
A. Organizational Structure of the Prisons
The Kenya Prisons Service is headed by a Commissioner General of Prisons assisted by a Deputy Commissioner General of Prisons. Under them are Assistant Commissioner General, Senior Deputy Commissioner, Deputy Commissioner of Prisons, Senior Assistant Commissioner of Prisons, Assistant Commissioner of Prisons, Senior Superintendent of Prisons, Superintendent of Prisons, chief inspectors, inspectors,
senior sergeants, sergeants, corporals and constables.
The service is also supported by a civilian cadre of officers who are professionals in their areas ofoperation. These are Chaplains and Sheikhs, Counselors/welfare officers, medical personnel, finance andprocurement personnel.
We have the following directorates that assist in effective governance of the prisons: Administration
and Finance; Inspection; Legal, Human rights research and statistics; Planning and Development; Rehabilitation, welfare and Chaplaincy; Industries and Farms; Medical unit; Complaints; Gender, sports and NGOs.
B. Mandate of the Kenya Prisons Service
The Prisons Act (CAP 90) empowers the prisons service to perform the following functions:1.		 Containment and safe custody of inmates
2.		 Rehabilitation and reformation of prisoners
3.		 Facilitation of administration of justice4.		 Controlling and training of young offenders in Borstal institutions and Youth Corrective Training
centers.
5.		 Provision of facilities for children aged between 4 years and below accompanying their mothers inprison.
Principal Chaplain, Kenya Prisons Service.

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The service is also guided by other acts including Criminal Procedure Act, Children’s Act and Mental
Health Act.
VisionA correctional service of excellence in Africa
MissionTo contain offenders in humane and safe conditions in order to facilitate responsive administration ofjustice, rehabilitation, social reintegration and community protection.
Motto
Kurekebisha na haki. (Rehabilitation and Justice)

II. EFFECTIVE TRAINING FOR THE PREVENTION OF MISCONDUCT—CORRUPTION, INAPPROPRIATE TREATMENT OF OFFENDERSThe KPS has endeavoured to overcome the cancer of corruption in the department by not only establishing an anti-corruption committee at the prisons headquarters that has also been replicated in the
counties and prison institutions but also adapted and domesticated other legal and regulatory frameworks
to eliminate corruption.
A corruption prevention policy and code of conduct and ethics for the department was launched in2009 which prevents corruption in all areas of service delivery. Sensitization of the same and formation ofanti-corruption committees in all levels of prison governance has brought about reduction of corruption
cases.
A. Other Legal Instruments Used to Promote Integrity
Anti-Corruption and Economic Crimes Act 2003, Public Officers Ethics Act 2003, Prevention of Corruption Act, Prisons Standing Orders, Code of Regulations, Public Procurement and Disposal Act, Government
Financial Act 2004, Government performance contract. All these instruments are taken into account at all
training sessions in the department’s Training College.
B. Human Rights
KPS has launched a handbook on Human Rights in Kenya Prisons which was funded by the Embassyof Switzerland and the Institute of Education and Democracy. The handbook is intended for both male andfemale prisons personnel to aid them in their duties. It aims at developing a culture of respect for humanrights for prison staff and other agencies in the justice sector to fulfill the core mandate of rehabilitating
prisoners.
A permanent bill board enumerating the rights of prisoners and their duties has been erected in every
prison. This enables every officer and prisoner to know their rights and duties while in prison. These endeavours have improved the relationship between staff and inmates and created a conducive environment
for rehabilitation

III. PROMOTING INTERNATIONAL COOPERATION THROUGH TRAINING AND
SEMINARSThe KPS has extended its networks in ensuring the personnel working in it are well trained in skills
and knowledge to enable them to carry out their mandate effectively. Besides the government sponsoredtraining, KPS also partners with other stakeholders to empower the staff. These organizations include theRaoul Wallenberg Institute Institute of Education and Democracy.
KPS also has seconded its uniformed officers to work in the United Nations as Consultant Correctional
Officers in post-conflict African countries in reconstructing their prison systems, e.g., Liberia, Democratic
Republic of Congo, South Sudan, Somalia and the DPKO office in New York, USA.
KPS is also a critical member of the African Correctional Services Association (ACSA), International
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Corrections and Prisons Association (ICPA), United Nations African Institute for the Prevention of Crimeand the Treatment of Offenders (UNAFRI). The KPS Catholic Chaplaincy is also a member of the International Commission for Catholic Prisons Pastoral Care (ICCPPC)

IV. STRESS MANAGEMENT FOR CORRECTIONAL OFFICERS
The KPS has in its organizational structures a fully fledged directorate which is mandated to counsel
and accompany correctional officers in their work. This is the directorate of welfare and rehabilitation of
offenders. It is constituted of chaplains, psychological counsellors, welfare officers who oversee the officers’
psycho/spiritual well-being. The officers also are entitled to leave breaks and compassionate leave when
they are believed to enable them to unwind and take up their work with ease.
i)		 Debriefing seminars, sports and motivational speakers’ sessions are some of the activities undertaken to ensure the officers, well-being is guaranteed.

V. SUCCESSION PLANNING
The KPS has developed a career progression plan for its officer to ensure there is a regime that does
not leave gaps in its rank and file. There is an established scheme of service for the uniformed officers anddraft scheme for the civilian cadre of chaplains and welfare The department makes a concerted effort toenhance capacity building with specific focus on professionalization of the service to improve service
delivery to the public. This has been done mainly by:i)		 Reorganizing training programmes on the basics of the curricular for all levels of training prisons
officers which are used to deliver programmes that meet international standards.
ii)		 Engaging with a local university (Kenyatta University) to establish a centre for correctional andcriminal justice studies which offers certificates and diplomas in the same field.
iii) All this is geared towards professionalization of the department and succession management in the
Kenya Prison Service.

VI. CONTENTS AND METHODS OF TRAINING
A. Analysis of Current Offenders and Their Types
The Kenya Prison Service holds two categories of prisoners under different classifications as follows:
1. Non-convicted (Remands)➢ Ordinary Remands➢ Capital Remands➢ Robbery with violet Remands.
2. Convicted Prisoners➢ Young class-15 years old and below 21 years.
➢ Star class- First offenders and well behaved.
➢ Ordinary class- All convicted prisoners not in young and star class.
➢ Special- Death row convicts.
➢ Lifers-Serving life sentences➢ Civil Debtors.

VII. EFFECTIVE TRAINING CURRICULUMS FOR PREVENTION OF CRIMES
Rehabilitation and reformation of offenders is one of the core functions of the Kenya Prisons Service. It
comprises a number of various intervention mechanisms that are employed in varying degrees to provide
purposeful activities for prisoners, challenge their offending behaviours, provide basic education to tackle
illiteracy and equip them with life and work skills. In Kenya Prisons we have embarked on a number ofprogrammes to empower prisoners to achieve social rehabilitation as follows:
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A. Vocational Training
This is offered to inmates in 60% of our institutions where we have developed various forms of apprenticeships such as upholstery, fashion and designs, tailoring, pottery, carpentry, metal work, welding, stone
calving, leather work, mat making, motor vehicle mechanism, number plates making, polishing, hair
dressing, modeling, farming, printing and building among others.
B. Educational Programmes
Primary School Education: Standard 1-8 (8-4-4 system)
Secondary School Education; Form 1-4 (8-4-4 system)
C. Professional Programmes
Certificates and diploma levels, e.g., I.C.T, Theology, and Accounts, secretarial
D. Guidance and Counselling
Prisons are comprised of professional workers who offer both social and psychological support toinmates in the form of group and individual counselling.
E. Spiritual Rehabilitation / Moral Formation
The prison department has employed spiritual workers from three distinct faiths: Roman Catholics,
Protestants and Muslim to form the Chaplaincy whose responsibility is to offer spiritual nourishment toinmates and members of staff.

VIII. UNDERSTANDING AND RESPECTING THE RELATED INTERNATIONAL
STANDARDS NORMS
The Kenya Prisons Service has domesticated international instruments for Prisons management andgovernance. These include:
A. Basic Principles for the Treatment of Prisoners
This convention addresses concerns of the UN for the humanization of Criminal Justice and the protection of human rights.
B. Standard Minimum Rules for the Administration of Juvenile Justice (Beijing Rules)
Youthful offenders in Kenya Prisons are detained in separate wards of prisons upon conviction awayfrom adults. We have youth correctional training centres, two Borstal institutions and an upcoming Borstal
for girls.
C. Rules for the Treatment of Women Prisoners and Non-custodial Measures for Women Offenders(Bangkok Rules)
The Kenya Prisons Service has domesticated this rule by ensuring women in custody live in humane
conditions and are provided with basic needs for their hygiene. There is a lot of dependence on donors forthese hygiene provisions due to low budget allocations. Aged women have also been granted non-custodial
sentences. In terms of budgetary support Kenya Prisons Service has granted enough resources to support
women’s prisons in Kenya.
D. Convention on the Rights of the Child
Children accompanying their mothers in prisons are granted special care and provisions for thechildren are guaranteed.
E. Safe Guards Guaranteeing Protection of the Rights of Those Facing the Death Penalty
Kenya still has death penalty in the penal code and therefore persons who commit capital offences arecondemned to death. KPS has set up structures that guarantee their dignity and has provided counsellors
and chaplains to accompany them during their incarceration time by providing psycho-spiritual counsellingto them. KPS also facilitates visits by their family members.

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F. Convention against Torture and Other Cruel Inhuman and Degrading Treatment or Punishment
Throughout the World
G. Standard Minimum Rules for the Treatment of Prisoners
This instrument is a comprehensive set of safeguards for the protection of the rights of persons who
are detained or imprisoned. Kenya Prisons Service applies this instrument by ensuring the officers aretrained on the principles and that attempts have been made to realize them in the institutions.
H. Universal Declaration of Human Rights
This is a course unit in our Prisons staff training college so that every officer whether at the initialtraining or development course is sensitized on the need to observe the human rights for all
I. Convention on the Transfer of Sentenced Prisoners
KPS safeguards prisoners from the public and media while on transfer. This means providing themwith safe transport and escort by armed officers.
J. Other Instruments
Other instruments domesticated by KPS for good governance and effective treatment of offenders
include the African Charter on Human and People’s Rights and the African charter on Prisoners’ Rights.

IX. EFFECTIVE TRAINING METHODS
Kenya Prisons service has various modules of training that make the staff more effective and professional in carrying out their mandate of securing prisoners for the purpose of rehabilitation and reintegration back into society. These include: Development courses, International attachments, workshops andseminars.

X. CHALLENGES
The Kenya Prisons Service has its own share of challenges that threaten the expected output envisioned in its mandate. Chief among them include:
1.		 Overcrowding—the capacity of our prisons is only 20,000 prisoners but the current holding averages
between 50,000-55,000 inmates, both convicted and those awaiting cases to be concluded. This
result in overstretched physical facilities puts pressure on stores and services leading to unhygienic
conditions, and prisoners are not classified properly.
2.		 Insufficient professionals who can deal with specific criminogenic needs of prisoners. The service
does not have enough counsellors, psychiatrists, and psychologists who are well qualified to address
the special cases arising in prisons.
3.		 Delayed administration of justice.
4.		 Lack of sufficient health kits to cater for this big population.
5.		 Terrorism, drugs, piracy and radicalization in the prisons which have become a challenge to the rehabilitation programmes as this is a new phenomenon to the service.
6.		 Insufficient funding to cater for the training and rehabilitation programmes for the inmates. Thishas made many of them stay idle in prisons and some even leave the prisons worse than they camein.
7.		 Budgetary constraints—continued resource allocation to procure basic requirements is a serious impediment in the provision of quality service to clients.
8.		 Staff housing—most of the prison institutions have colonial age housing which by now are dilapidated, some share houses whose space is quite small and this has caused low morale on staff due to87

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poor housing.

XII. SOLUTIONS
1.		 The department embarks on decongesting the prisons by encouraging the judiciary to offer affordable bonds, commit petty offenders to community service, apply the prerogative of mercy act to theaged and those who have reformed and have served long terms.
2.		 Recruit professionals and classify inmates according to their criminogenic needs so that case management can be possible.
3.		 There is need for the government of Kenya to raise the budgetary allocation for the implementationof various programmes, supply enough medical kits, and improvement of infrastructure in theprisons so that there are humane conditions for all, prisoners and staff.
4.		 All state actors in the criminal justice system should work together to reduce custodial sentences
for petty offenders.
5.		 There should be well designed rehabilitation programmes for inmates with well qualified professionals to handle the programmes. Classification of prisoners should also be done.

XIII. CONCLUSION
The effectiveness of the treatment programmes for offenders largely depends on the skills andknowledge acquired by the officers who are working in correctional institutions. It is therefore ofparamount importance to ensure there is a collaborative effort to empower the officers, develop the right
network of partnerships, and develop a culture of continuous training of personnel on the emerging issues
according to international standards.
REFERENCES
1. Kenya Prisons Service: Strategic Plan 2005-2009.
2. Kenya Prisons Service: Handbook on Human rights in Kenya Prisons- Embassy of& Institute of
Education and Democracy, 2004.
3. Kenya Prisons Service: Benchmark Handbook for Prison Staff, 2009.
4. Kenya prisons: needs assessment for developing educational and vocational training programs forinmates in Kenya, 2009.
5. Economic survey 2015: Kenya Bureau of Standards.
6. Republic of Kenya, The prisons act, Government Printer, Nairobi, 1977.

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REPORTS OF THE COURSEGROUP 1ENHANCING THE ORGANIZATIONAL STRENGTHSOF CRIMINAL JUSTICE ORGANIZATIONS

Chairperson
Co-chairperson
Rapporteur
Co-rapporteur
Members

AdviserMr. Peter Kimani NDUNGU
Mr. Beresford Henry HEATHER
Mr. Lap-yip LO
Ms. Elizabeth MIRIO
Mr. Henry Karani LIMANYE
Mr. Ezekiel Gitonga THAIMUTA
Ms. Yun-jeong CHOI
Mr. Hayato HIMURO
Mr. Shingo OTOMO
Professor Toru NAGAI(Kenya)(Cook Islands)(Hong Kong)(Papua New Guinea)(Kenya)(Kenya)(Korea)(Japan)(Japan)(UNAFEI)

I. INTRODUCTION
Group 1 started its discussion on 27 August 2015. The Group elected, by consensus, Mr. Peter Kimani
NDUNGU as its Chairperson, Mr. Beresford Henry HEATHER as its Co-chairperson, Mr. Lap-yip LO as
its Rapporteur, and Ms. Elizabeth MIRIO as its Co-rapporteur. The Group was assigned to discuss the
topic of “Enhancing the Organizational Strengths of Criminal Justice Organizations”. Though members of
the Group come from different sectors, including prosecution, the judiciary, correctional services as well asprobation offices, it was agreed without dispute that all criminal justice authorities should maximize theperformance of their staff members in order to pursue the ultimate aim, a safe and inclusive society.
Therefore, it is worthy to explore the ways of enhancing organizational strengths and its personnel.

II. SUMMARY OF THE DISCUSSION
In the course of the discussions, the Group identified four major common issues that the criminal
justice authorities are now facing, i.e., (A) Developing an Organizational Culture of Integrity, (B) Stress
Management for Correctional Personnel, (C) Passing Knowledge and Experience to the Next Generationand (D) Promoting Cooperation in Capacity Building with Other Organizations. The following is asummary of discussion of each issue:
A. Developing an Organizational Culture of Integrity
Upon discussion, it was found that the corruption situations of all the authorities of various members
were under control and there was no sign of the resurgence of syndicated corruption, though somemembers expressed serious concern about the “ethical climate” of their police and prosecution authorities.
Nevertheless, all members of the Group shared the view that there was a need to strengthen the capacityof their own authority in order to tackle the potential corruption cases, as there were also several separatecases that occurred in the past, such as receiving advantage for the introduction of unauthorized articles,
including dangerous drugs and mobile phones, into correctional facilities for inmates.
It was stated by the visiting experts that the lack of resources, poor management and the absence ofleadership or supervision were the causes of corruption. In response to the above, on top of the nationwide
policies, such as regular vetting of officials, introduction of internal and external organizations to keep
track of government services, strict law enforcement against corruption, declaration of assets, applicationof new technology (such as video recording) during investigation as well as adopting the anti-corruption
strategy of introducing an adequate pay scale, the government of Kenya had introduced and promoted aService Charter indicating clearly the performance and obligations of their service, with a view toenhancing transparency and accountability. The Hong Kong participant also pointed out that their correctional department had adopted a participative approach in creating its Vision, Mission and Values (“VMV”)
statement, which encouraged its staff to maintain positive values against corruption as the participative
approach allowed all staff to own the VMV as a shared statement, as well as to carry it through.

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Apart from the challenge arising from corruption, the Group had also discussed the issue of inappropriate treatment of offenders by correctional officers, including the use of unnecessary force, indecent andabusive language towards inmates, or treatment in breach of human rights. In the discussions, the Group
had shared various measures to prevent the recurrence of inappropriate treatment of offenders, including
the introduction of outside human rights organizations to keep track of government services, sufficientchannels of complaints, publishing departmental brochures about the expected conduct of criminal justiceofficers, tailor-made training on the latest appropriate treatment of offenders as well as the enactment oflegislation on offenders’ rights and treatment. Notwithstanding the above, the Group considered that it was
not easy to change the attitude of officers in the course of implementing a human rights approach for
offenders. In this regard, the member from the Cook Islands pointed out that they had tried to position
prison officers and offenders as father and son, in which their relationship was mentorship instead of
opposing force. Under such positioning, it relieved the tension between the prison officers and offenders,and also facilitated the implementation of the human rights approach.
Furthermore, the handling of difficult offenders, including their threats and seductions of criminal
justice personnel were also discussed in the meeting. All members shared the views that most of thethreats and seductions come from offenders serving long-term imprisonment in correctional institutions,and the correctional officers were therefore identified to be the group most affected. It was pointed out by
the members of the Cook Islands and Kenya that the lack of sufficient resources, including manpower, accoutrements or hardware facilities, has long been a source of challenge to their correctional services. In
fact, due to the difference of social and economical development, they might sometimes require some low
security risk inmates to provide assistance to the prison management in ensuring smooth daily operations.
Such arrangement had attracted considerable discussion and quite diverse views. Though the privilege ofthe above low security risk inmates could be treated as a motivation for offenders to rehabilitate, allmembers shared the view that the arrangement of seeking inmates to provide assistance to the prison
management was not desirable in principle.
To tackle the challenge arising from difficult offenders, it was agreed that clear, precise and concrete
guidelines on handling such circumstances should always be maintained. Besides, an effective classificationof offenders should be conducted upon admission in order to segregate problematic offenders from normal
associations. Specific medical treatment for offenders suffering mental sickness had also been mentioned in
the discussion. In conclusion, it is important to develop an organizational culture of integrity. In this regard,apart from strict enforcement of prison discipline by means of legislation as well as appropriate equipment(weapons), some members further suggested to introduce some tailor-made training on integrity management for staff members, with a view to enhancing their awareness of the importance of staff integrity.
Emergency control plans should always be ready with regular rehearsal in order to make staff members
familiar with the procedures. The member of Hong Kong had shared their experience on developing astrong culture of professional ethics and probity among staff by launching a series of educational andpublicity campaigns on staff integrity and healthy lifestyle. He also suggested that a mentorshipprogramme might assist in bridging experienced and newly recruited staff so as to pass the knowledge on
handling difficult offenders as well as working under temptations.
B. Stress Management for Correctional Personnel
Due to its job nature, it is not difficult to imagine how stressful the life of a criminal justice agency/
officer can be. After discussion, the source of stress could be categorized into five major areas which aresummarized as follows:➢ Job Nature
a. Remote working stations
b. Long and irregular working hours
c. High-risk and life-threatening job natured. Frequent contacts with criminals
e. Tight daily routine procedures➢ Insufficient resources
a. Uncompetitive pay scale
b. Overload of work
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c. Very tight deadlines for reports
d. Insufficient manpowere. Insufficient equipment➢ Poor working environmenta. Potential exposure to infectious diseases
b. Potential threat/attack from gangsters or terrorists
c. Poor housing arrangements
d. Violence within the workplace➢ Self-expectations
a. Strong power and responsibilities under legislationb. Keen competitions among colleagues➢ Change of social developmenta. Rise of public expectation for government services
b. Rise of human rights concernsc. Dealing with difficult offenders during criminal proceedings
It was agreed without dispute that it was stressful for them in daily operations. Although stress is acommon problem among people in modern societies, the Group saw the importance of stress release andstrength building in helping our staff to maintain a work-life balance. To achieve this, the member from
Hong Kong stated that they had rolled out a Health and Balanced Lifestyle campaign for staff members formaintaining a healthy and productive workforce, in which various healthy activities had been held for theirstaff members and their families in bridging staff members to healthy life style, family support as well as asense of belonging to the service. Moreover, members agreed that family fun days and parent-child activities should be held in order to strengthen family bonds. Also, thematic talks should be regularly organizedwith the help of professional expertise, such as clinical psychologists, which help staff members to enhancetheir abilities to cope with adversity. Furthermore, staff members should be invited to share their healthy
and positive life experiences in the departmental newsletter so as to promote the positive values acrossthe Team. In addition, counselling, team building and sport activities were also common practice indifferent countries to release staff stress. A proposal on paid leave had also been suggested and discussed
in the meeting.
In the context of Kenya, apart from the similar measures aforementioned, they had also widely introduced technology devices to assist the work of officers (installation of CCTV, new design of uniforms, distribution of personal computers, etc.) and improved staff welfare by conducting enhancement of staff
quarters. The Group had reached a consensus that the enhancement of staff welfare had a positive effecton productivity.
The member from the Cook Islands pointed out that the complicated rules, regulations and practices
was one of the main causes of stress for staff members, especially for the new recruits. In this regard, hesuggested that a comprehensive training programme with clear guidelines and a manual provided to staff
members was definitely effective to help officers to gain a better understanding of complicated rules andregulations. Meanwhile, the management had the responsibility to promote the ideas of team work andmutual support among colleagues at work. The Japanese participants mentioned that management should
be reminded of the importance of staff deployment in ensuring a team of officers with different characteristics, which helped to maintain the creativity of the team. It was also agreed that management should beaware of the imperfection of reality and should avoid falling into the ideology of perfectionism, whichcauses unnecessary stress to staff members. Last but not least, it was pointed out by the visiting expert
that the resource shortage was definitely the most critical cause for the stress of staff members. With theabove in mind, management should always be reminded that it is their responsibility to fight for adequate
funding to relieve the resource shortage problem.
The Group had also found the importance of communications among officers in improving stressful
work environments. Some members from Kenya raised the point that it was necessary to improve themeans of communication between the line officers and management in order to facilitate the sharing and91

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reporting system. Line officers should be allowed to report and to seek advice from management, while
management is encouraged to share their experience. Meanwhile, the idea of regular conferences for casesharing was also discussed and agreed to as a useful measure to help officers to further improve thequality of their case handlings. A Staff Complaint Register was also introduced allowing staff to raise theirgrievances against their supervisors through the established mechanism. Staff welfare services and activities, such as regular staff relation meetings, professional therapy seminars, sport activities, mental
treatment with financial support and even specific facilities (mental illness due to stressful work) were
provided. The Japanese participants had also shared their regular conference on case sharing, which had
the effect of passing experience to new staff members and helping the supervisors understand the difficulties of frontline staff. It was also mentioned that the criminal justice authorities should be aware of theimage in the mass media. With a positive image in the public, it not only helps staff members to deliver
services, but relieves staff from stressful the working environment.
C. Passing Knowledge and Experience to the Next Generation
The Group reached a consensus that good succession planning was extremely important to maintainthe stability of the criminal justice authorities and to sustain the smooth-running of services. In fact,
passing knowledge and experience to the next generation is an on-going process which takes years todevelop and accomplish. During the discussion, members of different countries had shared their practices,which are summarized as follows:➢ Comprehensive Training Programmes
Rationale: Effective formal course training is always a key to success. It is important for management to provide comprehensive training to all staff members to facilitate their understanding of thedepartmental mission, job requirements and operational knowledge. It was agreed that a step-bystep principle should be adopted, i.e., the content of the courses and trainings should be based on
the actual needs of officers concerned, having regard to their career development.
➢ Diversified posting policy/internship programme
Rationale: To deliver continuous improvement in performance, new thoughts, mindsets, strategies
and dynamics are necessary. Throughout different postings and attachments, criminal justiceagencies can generate new ideas and learn alternative practices during professional exchanges withother parties. It helps our criminal justice agencies enhance competence and adapt to the fastchanging environment.
➢ Clear documentation on emergency control plans and daily operations
Rationale: To tackle challenges arising from the ever-changing environment swiftly, it is important
to maintain a proper records of relevant experience, in particular those experiences accumulated
over decades in the handling and management of offenders. Otherwise, the valuable knowledge andexperience will be lost upon the retirement of experienced staff. Besides, apart from making a goodreference for the next generation, these kinds of records facilitate the new generation to have a wellstructured and well-organized sharing of knowledge and experience.
➢ Mentoring and coaching scheme
Rationale: Mentorship and coaching schemes offer not only an opportunity to share their work experience, but also helps new staff members adapt to the work environment and the organization at an
early stage of their careers. It also provides opportunities for different generations to work together
and to share.
➢ Cooperation with outside bodies to conduct research and refine training curriculum
Rationale: Under the ever-changing environment, the efforts of the criminal justice authorities will
never be sufficient if they insist to continue working alone. With the collaboration with outsideacademic bodies, objective and scientific research can be conducted in a professional manner so as
to refine the current training content, methods, as well as the curriculum.
➢ Clear career path
Rationale: A career path maps out the journey that the new generation has to take in order to reach
their career goals. By making a clear career path for staff members, they will feel more secure in
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the career direction and they will be better prepared for the many uncertainties and difficulties thatlie ahead in their careers. It also encourages the new generation to make conscientious efforts toacquire the necessary skills and experience, so as to be fully prepared once opportunities arise.
➢ Standardization of training materials and content
Rationale: To maintain quality service delivered by the service, it is important to have a detailed
and standardized guide or manual for teaching a lesson. If the training content varies among
different instructors or divisions among the service, the department will have difficulty in providing
standardized services. Therefore, it should adopt a step-by-step guide that outlines the instructor’s
objectives for what the students will accomplish during the lesson to ensure appropriate information
is taught in the most effective manner.
➢ E-learning
Rationale: E-Learning is an interactive and highly efficient mixed-mode training ensuring extensive
staff coverage and substantial reduction in training resources in comparison to the traditional
learning process. Its advantages have been proven to be immense and far-reaching, not to mention
its flexible and versatile characteristics. All users can universally access the learning material invarious media formats anytime, anywhere and learn at their own pace. Its cost-effectiveness interms of cost, manpower and time is also crucial under the existing stringent fiscal environment. In
addition, the introduction of E-learning policy can engender a life-long self-learning culture amongstaff members.
At the end of the discussion, the visiting expert stated that it was extremely important to develop a
positive attitude among staff members to learn and pass on job knowledge and experience to colleagues.
Without a positive attitude, the impact and effectiveness of different succession programmes would deteriorate. Apart from that, he also mentioned that management should play a serious role in editing manuals
and guidelines, as it is a process of defining and selecting useful knowledge and experience. In addition, he
was of the view that an exit interview for retiring staff or officers leaving the service was a useful means
to collect opinions on useful job knowledge from the perspective of experienced staff, so as to refine thecontent of knowledge and experience sharing.
D. Promoting Cooperation in Capacity Building with Other Organizations
With the rising public expectations for rehabilitation of offenders, criminal justice authorities are now
expected to do more for offenders than just locking them up in jail. It is noted that the efforts by the government and the offenders themselves alone are never sufficient for the rehabilitation of offenders.
All members of various authorities collaborate with outside organizations to provide training to staff
members, despite variations in the level of involvement. With the collaboration with overseas counterparts/
institutions, or with the cooperation with other local governmental departments, advanced training onleadership or specific skills, such as peace keeping, treatment of offenders, management skills, counsellingand family support, are provided to senior officers to broaden their knowledge and experience so as tofurther improve their service. Experts from various backgrounds (both private and public sectors) havealso been invited to conduct seminars to share their experience on specific topics. Some countries, such as
Kenya, Papua New Guinea, Hong Kong and Korea have also collaborated with local and overseas tertiary
institutions to develop new training programmes to enhance officers’ knowledge and skill sets. Korea had
also gained resources from hospitals, libraries, museums, universities and other organizations to educate
staff and provide welfare.
Though various outside collaborations were mentioned, it is also found that there are several unsatisfactory issues under the prevailing practice. A participant raised that the shortage of funding was always achallenge for establishing collaborations with outside organizations, which made them lack exposure to international training and qualifications. Other participants shared the view and indicated that there wereinsufficient training places for all eligible officers. Also, though their government had adopted an open door
policy to boost cooperation and partnership, the criminal justice authorities in Kenya were required to
select partners carefully as some of the organizations were not meeting the required standard. There wasalso insufficient research on correctional training in some countries.

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The Group agreed that management should keep on fighting for adequate budget to provide training.
However, with limited resources, management should be careful in selecting suitable officers to attend
available trainings. Apart from the above, another participant noted that the quality of the training content
should also be a concern, and it was important to choose suitable outside organizations to provide appropriate training to ensure the proper use of limited funding. Further, as the ultimate aim of training is toacquire useful knowledge or experience to improve each respective service, it is important to encourage
the officers having outside training to share their experience with colleagues and to adopt useful new experience and knowledge in practice, though it is noted that it is not easy to change the conservative
culture of organizations. Meanwhile, it is also worthy to mention that though it is a good practice for thecriminal justice authorities to track the level of public support for various policies, relevant authorities
should bear in mind their professional background and ensure that their decisions are based on professional judgement instead of public opinion.

III. CONCLUSION AND RECOMMENDATIONSWith the above summary of the discussion, the Group concluded that the following should be recommended as possible ways of enhancing the organizational strengths of criminal justice authorities and theirpersonnel:
A. Developing an Organizational Culture of Integrity
1. Developing High-Integrity Personnel and Sound Organization as Well as the Prevention of Illegal
Conduct Such as Corruption and Inappropriate Treatment of Offenders➢ To provide adequate payment to lower the motivation for misconduct➢ To have staff involvement in setting departmental goals and objectives➢ To develop a positive departmental culture in enhancing the quality of service➢ To establish and promote service charters (performance pledges) to ensure the quality of service➢ To provide sufficient staff welfare and relations activities programmes, such as sports, music andfamily activities, etc.
2. Enhancing Organizational Strength to Address Difficult Offenders Who May Coax or Threaten Corrections Officers➢ To reposition the relationship between officers and offenders➢ To have effective classification and treatment of offenders➢ To provide sufficient and appropriate training➢ To introduce mentorship programmes
B. Stress Management for Correctional Personnel
1. Mitigating the Stress of Officers Who Work in Stressful Environments➢ To provide sufficient resources to eliminate the shortage problem➢ To improve communication between management and frontline by technology devices➢ To provide sufficient staff welfare and activities to release the stress of staff➢ To provide adequate training to make staff be effective with their work
➢ To provide specific medical treatments / therapy seminars to stressed staff➢ To improve the public image of various criminal justice agencies in the mass media➢ To prevent the ideology of perfectionism by streamlining complicated work procedures, so as to
avoid unnecessary workload and stress
2. Enhancing Communications among Officers to Improve Stressful Work Environments➢ Staff Suggestion Box / Complaint Register to receive feedback➢ Regular conferences / staff meetings on case handling and knowledge sharing➢ Use of Intranet / mass / social media to share useful information
C. Passing Knowledge and Experience to the Next Generation
1. Developing Effective Capacity-Building Programmes for Passing Knowledge and Experience to the
Next Generation, as Well as for Enhancing Organizational Strength➢ To provide comprehensive needs-orientated training programmes➢ To have cooperation with outside bodies to conduct research and have continuous and regular re94

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finements on the training curriculum➢ To standardize the training materials and content by clear teaching plans for instructors as well as
providing training-of-trainers programmes➢ To extend the use of e-learning in staff training
2. Building and Exerting Leadership in Order to Improve the Efficiency of the Organization and to
Enhance Organizational Strength, in Particular Developing the Capacity and Morale of Young Officers➢ To introduce a diversified posting policy / internship programmes➢ To have clear documentation on emergency control plans and daily operations➢ To have mentoring and coaching schemes➢ To stipulate clear career paths for young officers➢ To have “exit interviews” to collect useful information from the perspective of experienced staff➢ To invite retired professionals to participate in the criminal justice system and to share their richexperience➢ To collect and share useful training information on the ICPA website
D. Promoting Cooperation in Capacity Building with Other Organizations
1. Promoting Cooperation in Capacity Building with Other Organizations Including NGOs, Academics,
Research Institutes, Etc. in Order to Improve Capacity Building and Organizational Strength➢ To continue collaboration with outside bodies to provide appropriate training➢ To devote substantial resources to improve quantity and quality of training➢ To carefully select candidates for training➢ To encourage trained staff to share their knowledge acquired➢ To change the conservative culture and to apply new experience➢ To conduct regular customer satisfaction surveys➢ To have exchange programmes with overseas counterparts for benchmarking of services to international standards

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Group 2

DEVELOPING EFFECTIVE TRAINING CURRICULA

Chairperson
Co-chairperson
Rapporteur
Co-rapporteur
Members

AdviserMr. Joseph Teokotai
Ms. Pauline Wanja Ngara
Ms. Pamela Monyenche Masese
Ms. Suzuki Mariko
Mr. Naing Soe Lin
Mr. Muraguchi Seiji
Ms. Sonam Choden
Ms Purity Mumbi Mulandi
Ms. Mary Tukavai
Professor Satoshi Minoura(Cook Islands)(Kenya)(Kenya)(Japan)(Myanmar)(Japan)(Bhutan)(Kenya)(Papua New Guinea)(UNAFEI)

I. INTRODUCTION
Group 2 started its discussion on 27th August 2015. The members elected officials by consensus: Mr.
Teokotai as the Chairperson, Ms. Ngara as the Co-Chair, and Ms. Masese as the Rapporteur and Ms.
Suzuki as the Co-Rapporteur. The Group, which was assigned to discuss “Developing effective training
curricula”, agreed to conduct its discussion in accordance with following agenda: 1) Training staff with highexpertise; 2) Understanding and respecting international standards as guidance; and 3) Organizing training
based on effective training methods.

II. SUMMARY OF THE DISCUSSIONS
A. Training Staff with High Expertise for Correctional Agencies
Group members decided that in the discussions the term corrections would be used to refer to bothprison and probation. All participants agreed that most curricula of corrections agencies were preparedsome time back, and they should therefore be reviewed. It would be necessary to conduct a training needs
assessment so as to train officers with expertise to effectively assess and treat offenders and prevent recidivism. The training programmes need to be aligned to the career progression of corrections/probation
officers to promote professionalism. The officers need to understand emerging crime trends like radicalization and violent extremism, drug abuse, human trafficking, domestic violence, sexual offences and money
laundering, and they should be included in the training curricula.
In some cases, it may be necessary to enhance specialization to handle juvenile and special needs
offenders. Participants were in agreement that the training curricula should be aligned to the strategicplans, missions and mandates of corrective organizations.
The participants were in agreement that disciplines like sociology, criminology and psychology areimportant for correctional officers, and the curricula should be harmonized so as to address identified gaps.
In the discussions the participants identified examples of difficult offenders and agreed that correctional
officers should develop competencies and have relevant knowledge to define, identify, assess and treat these
difficult offenders as indicated below:
1. Drug Offenders
The curricula should be geared towards definition, identification and treatment of drug offenders. A
drug offence refers to the possession, use, sale or furnishing of any drug or intoxicating substance that isprohibited by law. The training should aim at equipping officers with effective search methods. “Drugoffenders” can be divided into three parts: transactions (drug trafficking), possession, and consumption(abuse, addiction). Members were of the view that countries with increasing numbers of drug-related cases
need to set up drug courts so as to take effective multidisciplinary remedial initiatives. It would be
important for officers to understand the need to sensitize offenders on the negative effects of drug abuse.

96161ST INTERNATIONAL TRAINING COURSEREPORTS OF THE COURSE
The participants agreed that the curricula should embrace the risk assessment methods which are
divided into quantitative and qualitative approaches. It was observed that the treatment of drug offenders
can be done as follows:➢ Drug dependence: It can be seen as a chronic, recurring disorder that can have serious associatedproblems (family disintegration, criminality and psychiatric pathology).
➢ Drug abuse treatment: To improve health and alleviate the social problems of patients, which can beachieved in a cost-effective manner through proper organization and delivery of care.
Effective treatment approaches will include➢ Medication and behavioural therapy➢ Easing withdrawal symptoms➢ Preventing relapse
2. Offenders with Terrorism-Related Cases
Participants agreed that the curriculum needs to include concepts of radicalization as a gradual processof intensive socialization into a closed group and lack of respect for other peoples’ freedom and rights. The
training content needs to address underlying factors that lead to radicalization and violent extremism
Personal and psychological factors:➢ Search for identity, role models, a sense of belonging and low self-esteem➢ Lack of close relations and a sense of alienation from normal social networks➢ Victims of harassment or discrimination➢ Poverty makes one vulnerable
Social factors and group dynamics include:➢ Discrimination➢ Corruption and unequal distribution of economic benefits➢ Individuals’ acquaintances➢ The role of charismatic individuals who the individual admires
The training curriculum should address effective treatment of these offenders which will depend on
actual assessment.
Suggested interventions may include the following:➢ Personal protective factors: Develop competencies for reasoning and problem-solving skills; anger
management; assertiveness training; stress management➢ Family protective factors: Good parenting and close family relations, family therapy➢ Social protective factors: Good choice of peers; Affiliation to positive community networks, forexample, school, appropriate clubs and other social networks➢ Motivational factors: Search for identity; Need for togetherness; Need for recognition; Need for a rolemodel
➢ Ideological factors: Establish rapport and understand the driving forces and world views
3. Sexual Offenders
The curricula will be able to provide a clear understanding of:➢ Definition of sex crimes: Forms of human sexual behaviours that are crimes➢ Types of sexual offences: Incest, sodomy, child sexual abuse/pedophiles, rape, bestiality, prostitution/
pimping and other sexually related crimes➢ Background of offending: Analyzing the background of each offender which may include a history of
sexual and physical abuse as a child, drugs and alcohol abuse, economic reasons, e.g., prostitution
and pimping, anxiety and depression or isolation➢ Assessment Tools:✓ Risk Principle: The tool suggests that the intensity of the correctional intervention must be
matched to the level of risk posed by the offender’s treatment✓ Need Principle: Treatment and intervention such as supervision should explicitly be longer
depending on the criminogenic needs of the offender97

RESOURCE MATERIAL SERIES No. 98✓ Responsivity Principle: Which involves the interaction between the individual and treatment➢ Types of Treatment: Cognitive-behavioural treatment; Behavioral social learning theory; Relapse
prevention
4. Offenders with Cases of Human Trafficking
The participants agreed that the curriculum needs to include:➢ Definition: what is an act of recruitment, transportation, transfer, harbouring or receipt of persons,threat or use of force, coercion, abduction, fraud, deception, abuse of power or vulnerability, or giving
payments or benefits to a person in control of the victim➢ The Purpose: For the purpose of exploitation, which includes prostitution, sexual exploitation, forced
labour, slavery or similar practices and the removal of organs➢ Types of traffickers: Highly organized criminal groups; loosely connected; individuals; family andfriends of the victims; business people.
➢ Assessment: Through the interviewing process, identify the histories, social circumstances, relationships of offenders and victims, associates and the situations that enable these relationships to be
manipulated for criminal purposes.
➢ Classification of offenders: By their positions in their criminal groups; supporters, partners in crime,
leaders. The assessment tools for organized crime should be used for human trafficking offenders.
➢ Types of treatment: Cognitive-behavioural therapy for offenders especially in the treatment and adjustment of the offenders’ social environment
B. Understanding International Standards and Norms as Guidance
Most participants were of the view that the curriculum should be in line with international instruments
and protection of human rights. These instruments include:
1. Standard Minimum Rules for the Treatment of Prisoners (The Mandela Rules)
The curriculum should aim at addressing the following:➢ The respect of human rights for persons in custody.
➢ It should form part of the subject matter as well as a reference for all other lessons during thetraining programmes.
2. United Nations Standard Minimum Rules for Non-custodial Measures (The Tokyo Rules)
The curriculum should emphasize dealing with offenders in the community aiming at de-penalizationand decriminalization and avoidance of the formal court proceedings in accordance with legal safeguards
and the rule of law. The curriculum should incorporate the legal safeguards on the protection of the
dignity and privacy of the offender and the confidentiality of the offender’s personal records. The contents
of a social inquiry report for the offender should be factual and objective. Where applicable, the report
should contain social information on the offender that is relevant to the person’s pattern of offending andcurrent offences.
3. United Nations Standard Minimum Rules for the Administration of Juvenile Justice (The Beijing Rules)
The curriculum should aim at addressing the following:➢ “The well-being” of young people and ensure that any reactions should always be in proportion to
the circumstances of both the offenders and the offence➢ Diversion programmes from litigation for youth and implementation of support services➢ Privacy and procedural safeguards including presumption of innocence➢ Emphasis on the best interests of the child and ensuring that young people have the opportunity toparticipate in the process
4. United Nations Rules for the Treatment of Women Prisoners and Non-custodial Measures for Women
Offenders (The Bangkok Rules)
The participants were in agreement that in order to effectively address emerging issues related to
women offenders, the curriculum needs to cover the Bangkok Rules with special reference to the following:➢ Rule 29 — Capacity-building for staff employed in women’s prisons shall enable them to address the
special social reintegration requirements of women prisoners and manage safe and rehabilitative facilities➢ Capacity-building measures for women staff shall also include access to senior positions with key re98

161ST INTERNATIONAL TRAINING COURSEREPORTS OF THE COURSE
sponsibility for the development of policies and strategies relating to the treatment and care ofwomen prisoners➢ Training for Correctional Officers should also include addressing victims in accordance to theVictim Impact Act
C. Organizing Training Based on Effective Training Methods
The group observed that there are a wide variety of training methods to cater to a broad diversity ofcorrectional officers. Some of the factors to consider when choosing a training method were identified asfollows:➢ Human factors—trainers’ experience, personality and characteristics of the participants➢ Social factors—social and cultural conditions of the participants➢ Objectives of the training—to impart knowledge, influence attitude and develop practical skills of
the trainees➢ Subject area—various subjects have their specific features➢ Time and material factors—length of the training programme and time of day➢ Training facilities
The Group discussed some effective training methods which include:➢ Brainstorming➢ Lectures➢ Group discussion➢ Role playing and mock scenarios and practical experiences➢ Mentorship➢ Case study➢ Study tours and exchange programmes➢ The use of experts➢ Demonstration
The group members discussed and agreed that the following are appropriate training materials:➢ Training manuals and lesson plans➢ Relevant text books➢ Audio visual aids
➢ Relevant constitutions, mandates and policies➢ International instruments➢ Television programmes and documentaries.
➢ Use of working tools

III. CONCLUSION AND RECOMMENDATIONS
Most correctional agencies have challenges in training and capacity building. A comprehensive organizational needs assessment is necessary so as to isolate problems related to training from other organizational difficulties. An elaborate curriculum is required to address challenges arising from emerging crime
trends, meet the demands of the various mandates as well as implement international best practices. The
participants gave the following recommendations:
1) General Recommendations
⿟⿟ Decentralize training so as to have satellite training centres to address training gaps at the
point of service delivery
⿟⿟ Correctional agencies to develop training infrastructures and facilities⿟⿟ Training should address the needs of victims, special needs and difficult offenders⿟⿟ In all training programmes, lesson plans should take into account the needs of the participants,
the subject matter and the timeframe.
2) Training Staff with High Expertise⿟⿟ The curriculum should be aligned to the mission and mandates of individual agencies
⿟⿟ Training needs assessment is necessary before conducting any training programmes⿟⿟ Training of all law enforcement agencies to ensure a multi-disciplinary approach in offender man99

RESOURCE MATERIAL SERIES No. 98
agement
⿟⿟ The initial phase of implementation of a curriculum should be to train the implementors
⿟⿟ Regular review of the curriculum to allow necessary adjustments
3) Understanding and Respecting International Standards as Guidance⿟⿟ It would be ideal for universal guidelines to be prepared to standardize training curricula while
taking cognizance of the unique differences of each correctional agency
⿟⿟ Training curriculum to embrace international instruments as norms for correctional work
4) Organizing Training Based on Effective Training Methods
⿟⿟ Develop a national systematic training framework
⿟⿟ Develop training support programme aids and materials
⿟⿟ Implement the curriculum through the use of effective training methods; integrating theoreticaland practical perspectives through study tours
⿟⿟ Conduct impact evaluation of all training programmes

100PART TWORESOURCE MATERIAL SERIES
No. 98Work Product of the 18th UNAFEI UNCAC Training Programme“Effective Anti-Corruption Enforcement and Public–Private andInternational” Cooperation

UNAFEIVISITING EXPERT’S PAPER
BRIEF OVERVIEW OF THE GERMAN CRIMINAL JUSTICE SYSTEM: THE
GERMAN LEGISLATIVE RESPONSE TO CORRUPTION CRIME
Richard Findl ＊I. BRIEF OVERVIEW OF THE CRIMINAL JUSTICE SYSTEM IN GERMANY
Germany is a federal republic consisting of sixteen federal states (German: “Länder”). Since today’s
Germany was formed from an earlier collection of several states, it has a federal constitution, and the constituent states retain a measure of sovereignty.

A. The Organization of the Judiciary
The judicial system is established and governed by part IX of the constitution. Article 92 of the constitution establishes the courts and states that the judicial power shall be vested in the judges; it shall be
exercised by the Federal Constitutional Court, by the federal courts, and by the courts of the federal
states (“Länder”).
Because of the federal order of the Republic, jurisdiction is exercised by federal courts and by the
courts of the 16 federal states. The administration of justice lies chiefly with the federal states. The
German court system is divided into five specialised branches or jurisdictions: ordinary, labour, general administrative, fiscal and social. In addition, there is the constitutional jurisdiction, i.e., the Federal Constitutional Court and the constitutional courts of the federal states.
Chief Judge at the Regional Court, Germany.

＊

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The highest ordinary court is the Federal Court of Justice. At the regional level there are Local Courts(Amtsgerichte) and Regional Courts (Landgerichte), which are the first or the second instance courts
depending on the character of the case, and Higher Regional Courts (Oberlandesgerichte).1

Judgments are delivered by professional judges, who belong to a single professional group but may specialise in different fields due to their appointment to different court branches. In some proceedings, professional judges are joined by lay judges (honorary judges) and judgments are delivered jointly. The lay judges
for the criminal courts (Local and Regional Courts) are elected for a period of five years, on the basis oflists of nominees, by a committee at the Local Court by a two-thirds majority vote.
During the main hearing, lay judges in criminal proceedings exercise judicial office in full and with thesame voting rights as their professional counterparts. All decisions made outside the main hearing are
made solely by the professional judge.
At the end of 2012, a total of 459 professional judges were working in the federal courts (Federal Constitutional Court, ordinary jurisdiction, administrative jurisdiction, fiscal jurisdiction, labour jurisdiction,social jurisdiction, patent jurisdiction and military service courts). At the same time, a total of 19,923 professional judges were working in the Länder, of whom 1,970 were probationary judges. 121 (40.16%) of all
professional judges were female. In 2009, 36,956 lay judges were sitting in the criminal courts; of those
19,183 (51.9%) were male and 17,773 (48.1%) female2 .
The principle of independence of the judiciary is enshrined in the constitution. In accordance witharticle 97(1), “judges shall be independent and subject only to the law.” Section 1 GVG states that “judicial
power shall be exercised by independent courts that are subject only to the law.” As a fundamental
principle of German constitutional law, judicial independence implies that when exercising judicial power,
judges may not be given any instructions. The executive branch and, in particular, the court administration are not allowed to influence judicial decisions by giving instructions on a specific case, through administrative provisions or in any other way. The legislature is also prevented from directly influencing case-related decisions in ongoing proceedings. The courts of a higher instance are also not allowed to prompt a
1 Diagram taken from: German Federal Ministry of Justice, Criminal Justice in Germany Facts and Figures by Jörg-Martin

Jehle 2009.

2 Statistic data taken from: <https://www.bundesjustizamt.de/DE/SharedDocs/Publikationen/Justizstatistik/Gesamtstatistik.

pdf?__blob=publicationFile&v=5>.

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judge to make a certain decision.
B. The Organization of the Prosecution Service
The public prosecution offices are part of the executive branch, despite their integration in organisational terms into the judicial branch. Within the field of criminal justice, the public prosecution offices share
the task, on an equal footing with the courts, of providing access to justice and form a distinct judicial
body of the judiciary.
Again as a consequence of the organization as a federal state the responsibility for the prosecution
service lies with the federal states. In the federal states, there are a total of 116 public prosecution offices
at the Regional Courts. They are subordinate to the Offices of the Public Prosecutors General (“Generalstaatsanwaltschaften”) located at each of the Higher Regional Courts. There are a total of 25 Public Prosecutors General in the federal states. The Offices of the Public Prosecutors General are subordinate to theirrespective State Justice Ministries.
At the federal level and parallel to the Federal Court of Justice, there is the “Office of the Federal Prosecutor General at the Federal Court of Justice”. The Office of the Federal Prosecutor General performs thetasks of a classic public prosecution office at the Federal Court of Justice. It represents the prosecution in
all proceedings before the federal court (e.g. appeals on points of law). The federal prosecutor also acts inthe capacity of a public prosecution office in criminal offences affecting the internal and external securityof the Federal Republic of Germany, i.e., treason, terrorist acts of violence and so on).
The public prosecution offices are structured hierarchically. They are headed by “superior officials”.
Public prosecution offices are not autonomous institutions. They are subject to administrative and professional supervision by the relevant superior official of the public prosecution office. The Federal Prosecutor
General at the Federal Court of Justice is subject to supervision by the Federal Ministry of Justice and the
public prosecutors of the federal states are subject to the supervision by the Justice Ministries of thefederal states, who have the right to issue instructions.
C. Criminal Procedural Law
German criminal procedural law is to be found in the Criminal Procedure Act (Strafprozessordnung,
StPO).
The prosecution offices in Germany are in charge of the investigation as well as the prosecution of
criminal offences. The prosecutors open investigations and will take part in the investigation process.
After all the evidence is collected the prosecutors decide about the further proceedings. If they believe,that there is a sufficient probability of a conviction by the competent court, the prosecutor will indict thesuspect. The prosecutor will appear in court, will present the indictment to the court and will take part inall of the court hearings.
The prosecution office is entitled to decide about the opening of the investigational proceedings under
the condition of adequate suspicions of criminal activity against the suspect. The public prosecutor may
start investigations with or without the report of an offence by a citizen. The relevant section of thecriminal procedure code reads as follows3:“Section 152[Indicting Authority; Principle of Mandatory Prosecution](1) The public prosecution office shall have the authority to prefer public charges.
(2) Except as otherwise provided by law, the public prosecution office shall be obliged to take action in
relation to all prosecutable criminal offences, provided there are sufficient factual indications.”
The prosecutor has the duty to be objective and neutral. He is obliged to collect evidence both against
and in favor of the suspect.
In cases of petty crimes the police perform the investigations on their own. In major and complex
3 <http://www.gesetze-im-internet.de/englisch_stpo/englisch_stpo.html#p1223>.

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cases, however, the investigations are led and controlled by the prosecution office.
If no suspect is found, if the act is not punishable or if there are other procedural impediments (e.g., thestatute of limitations), the public prosecution office will discontinue the proceedings in accordance withsection 170 paragraph 2 of the Criminal Procedure Act.
Section 170[Conclusion of the Investigation Proceedings](1) If the investigations offer sufficient reason for preferring public charges, the public prosecution officeshall prefer them by submitting a bill of indictment to the competent court.
(2) In all other cases the public prosecution office shall terminate the proceedings. The public prosecutor
shall notify the accused thereof if he was examined as such or a warrant of arrest was issued against
him; the same shall apply if he requested such notice or if there is a particular interest in the notification.
The proceedings can also be terminated if the offender’s guilt is of a minor nature and if there is no
public interest in prosecution. This termination can involve the imposition of certain conditions, such as
financial redress for the injury caused by the act, the payment of a fine or the undertaking of community
service (section 153 and 153a of the Criminal Procedure Act).
Furthermore, the Public Prosecution Office can refrain from prosecution if the crimes involved are insignificant additional offences compared with the main crime with which the accused is charged (section
154 of the Criminal Procedure Act).
In the case of certain crimes (trespass, minor bodily injury, criminal damage, etc.), the Public Prosecution Office can advise that a private prosecution be pursued if there is no public interest in prosecution; theinjured party must then bring a charge himself.
D. The Criminal Trial
For all cases with a punishment up to four years’ imprisonment, the local court (“Amtsgericht”) is thecourt of first instance. The regional court (“Landgericht”) is responsible for serious cases with imprisonment of over four years or commitment to a psychiatric hospital, and the regional court hears all suchcases. In case of crimes against the state (e.g., terrorism, espionage), the Higher Regional Court (Oberlandesgericht) is the competent court.
Once the indictment has been filed by the public prosecutor’s office, the court checks whether there issufficient reason to suspect the accused of the crime. If so, the main court proceedings will begin. The
criminal trial is led by the judge. Public prosecutor and judge are independent from each other and fromother governmental authorities. Judges do not have to follow any instructions.
The judge underlies the principle of authoritative investigations (Amtsermittlungsgrundsatz), i.e., his
duty is to investigate and consider all facts and matters relevant to the case. The judge need not rely on
the evidence brought forward by the prosecutor or the defence.
Section 244[Taking of Evidence](1) (…)(2) In order to establish the truth, the court shall, proprio motu, extend the taking of evidence to all facts
and means of proof relevant to the decision.
E. The German Federal Police Statistics 2014
In 2014 the German police recorded 6.082 million incidents.4 The total clearance rate was 54.9 %.
The clearance rate for murder and manslaughter is particularly high at 96.5 %. The clearance rate fortheft offences is particularly low, at 14.7 %.
4 <http://www.bka.de/DE/Publikationen/PolizeilicheKriminalstatistik/pks__node.html?__nnn=true>.

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In 2014 the number of suspects rose to 2,149,504 (+2.6%), 552,263 of whom were female suspects(25.7%).
There were 63.194 cases of economic crime. The clearance rate was 90.7 %. However, this rate does
not mean that all of these cases led to conviction in the courts.
The number of competition- and corruption-related offences and offences in public office was 6,571. The
clearance rate was slightly lower: 82.3 %.

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II. THE GERMAN LEGISLATIVE RESPONSE TO CORRUPTION CRIME
A. Overview
According to the German criminal code bribery in the public as well as in the private sector is a punishable crime (Public officials: sections 331- 338 and private employees: sections 299-301). Both passive andactive bribery are criminalised in the criminal code.
Since February 1999 bribe payments to foreign public officials are a criminal offence (the Act on
Combating International Bribery “Gesetz zur Bekämpfung internationaler Bestechung” – hereinafter“IntBestG”). The payments to foreign private employees are a punishable crime under section 299
paragraph 3 of the criminal code.
B. Bribery of Domestic Public Officials
Bribery of German public officials is regulated in section 331 and following (et seq.) of the Criminal
Code (CC), which incriminate two forms of corruption, namely bribery as such, but also a looser form of
criminal behaviour. Passive bribery is criminalised in sections 331 and 332 CC, and active bribery insections 333 and 334 CC. Sections 332 and 334 CC encompass offences where the advantage is awarded inreturn for an official act which is in breach of duty or which is at the discretion of the public official.
Sections 331 and 333 CC each encompass offences where the benefit is awarded as an incentive. It is notnecessary to prove that the official is violating his official duties. Section 335 CC contains a regulation on
the assessment of punishment for especially serious cases of active and passive bribery.
1. The Term “Domestic Public Official”
The terms “public officials”, “individual with a special obligation for the public service” and “judge” areused in sections 331 et seq. of the criminal code, to describe the person receiving the benefit or bribe.
These terms are given a statutory definition in section 11, paragraph 1, Nos. 2 to 4 of the criminal code.
The definition section of the statute reads as follows:
Section 11
Definitions(1) For the purposes of this law
1. (…)
2. ‘public official’ means any of the following if under German law(a) they are civil servants or judges;(b) otherwise carry out public official functions; or(c) have otherwise been appointed to serve with a public authority or other agency or have beencommissioned to perform public administrative services regardless of the organisational form
chosen to fulfil such duties;
3. ‘judge’ means any person who under German law is either a professional or a lay judge;
4. ‘persons entrusted with special public service functions’ means any person who, without being apublic official, is employed by, or is acting for(a) a public authority or other agency, which performs public administrative services; or(b) an association or other union, business or enterprise, which carries out public administrative
services for a public authority or other agency,
and who is formally required by law to fulfil their duties with due diligence;
Under section 11, paragraph 1, No. 2, the term “public official” covers all those who, under German law,are employed as civil servants or judges, those who are otherwise in an official duty-relationship underpublic law functions, and those who have been appointed to a public authority or other agency or havebeen commissioned to perform duties of public administration without prejudice to the organizational form
chosen to fulfill such duties.
In addition to civil servants and judges, as well as to other individuals in an official relationship underpublic law, individuals in Germany appointed to carry out tasks of the public administration in an authority
or in another agency or on its behalf also belong to public officials within the meaning as defined undercriminal law (section 11, paragraph 1, No. 2 (c) Criminal code). These include employees in the public
service who carry out public tasks, but who are not civil servants within the meaning under status law.
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Furthermore, it covers individuals who carry out public tasks in agencies similar to authorities. These
agencies also include facilities organised under private law which are subject to such state management incarrying out administrative tasks that, in an overall evaluation of the characteristics typifying them, nonetheless appear to be an extended arm of the State.
Section 11, paragraph 1, No. 4 of the criminal code also includes individuals who are not public officials,
but who are under a special public service obligation. An obligation applies in particular to individuals who
work in authorities, but do not carry out public tasks (e.g., employed cleaning staff), and to individuals who
contribute as external contractors for an authority in carrying out public tasks.
2. The wording of the Relevant Provisions of the Criminal Code“CHAPTER THIRTY
OFFENCES COMMITTED IN PUBLIC OFFICE
Section 331
Acceptance of a benefit(1) A public official or a person entrusted with special public service functions who demands, allows
himself to be promised or accepts a benefit for himself or for a third person for the discharge of an
official duty shall be liable to imprisonment not exceeding three years or a fine.
(2) A judge or arbitrator who demands, allows himself to be promised or accepts a benefit for himself or athird person in return for the fact that he performed or will in the future perform a judicial act shallbe liable to imprisonment not exceeding five years or a fine. The attempt shall be punishable.
(3) The offence shall not be punishable under subsection (1) above if the offender allows himself to bepromised or accepts a benefit which he did not demand and the competent public authority, within thescope of its powers, either previously authorises the acceptance or the offender promptly makes areport to it and it authorises the acceptance.
Section 332
Taking a bribe(1) A public official or person entrusted with special public service functions who demands, allows himself
to be promised or accepts a benefit for himself or for a third person in return for the fact that heperformed or will in the future perform an official act and thereby violated or will violate his official
duties shall be liable to imprisonment from six months to five years. In less serious cases the penalty
shall be imprisonment not exceeding three years or a fine. The attempt shall be punishable.
(2) A judge or an arbitrator, who demands, allows himself to be promised or accepts a benefit for himself
or for a third person in return for the fact that he performed or will in the future perform a judicial
act and thereby violated or will violate his judicial duties shall be liable to imprisonment from one toten years. In less serious cases the penalty shall be imprisonment from six months to five years.
(3) If the offender demands, allows himself to be promised or accepts a benefit in return for a future act,
subsections (1) and (2) above shall apply even if he has merely indicated to the other his willingness to
1. violate his duties by the act; or
2. to the extent the act is within his discretion, to allow himself to be influenced by the benefit in theexercise of his discretion.
Section 333
Granting a benefit(1) Whosoever offers, promises or grants a benefit to a public official, a person entrusted with special
public service functions or a soldier in the Armed Forces for that person or a third person for thedischarge of a duty shall be liable to imprisonment not exceeding three years or a fine.
(2) Whosoever offers promises or grants a benefit to a judge or an arbitrator for that person or a third
person in return for the fact that he performed or will in the future perform a judicial act shall be
liable to imprisonment not exceeding five years or a fine.
(3) The offence shall not be punishable under subsection (1) above if the competent public authority,
within the scope of its powers, either previously authorises the acceptance of the benefit by the recipient
or authorises it upon prompt report by the recipient.

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Section 334
Offering a bribe(1) Whosoever offers, promises or grants a benefit to a public official, a person entrusted with special
public service functions or a soldier of the Armed Forces for that person or a third person in returnfor the fact that he performed or will in the future perform an official act and thereby violated or will
violate his official duties shall be liable to imprisonment from three months to five years. In lessserious cases the penalty shall be imprisonment not exceeding two years or a fine.
(2) Whosoever offers, promises or grants a benefit to a judge or an arbitrator for that person or a third
person, in return for the fact that he1. performed a judicial act and thereby violated his judicial duties; or
2. will in the future perform a judicial act and will thereby violate his judicial duties,
shall be liable in cases under No 1 above to imprisonment from three months to five years, in cases
under No 2 above to imprisonment from six months to five years. The attempt shall be punishable.
(3) If the offender offers, promises or grants the benefit in return for a future act, then subsections (1) and (2)above shall apply even if he merely attempts to induce the other to
1. violate his duties by the act; or
2. to the extent the act is within his discretion, to allow himself to be influenced by the benefit in theexercise of his discretion.
Section 335
Especially serious cases(1) In especially serious cases
1. of an offence under(a) Section 332(1) 1st sentence, also in conjunction with (3); and(b) Section 334(1) 1st sentence and (2), each also in conjunction with (3),the penalty shall be imprisonment from one to ten years and2. of an offence under section 332(2), also in conjunction with (3),the penalty shall be imprisonment of not less than two years.
(2) An especially serious case within the meaning of subsection (1) above typically occurs when
1. the offence relates to a major benefit;
2. the offender continuously accepts benefits demanded in return for the fact that he will perform anofficial act in the future; or
3. the offender acts on a commercial basis or as a member of a gang whose purpose is the continued
commission of such offences.
Section 336
Omission of an official act
The omission to act shall be equivalent to the performance of an official act or a judicial act within
the meaning of sections 331 to 335.
3. Undue Advantage
The term “undue advantage” covers material and immaterial advantages.
The Federal Court of Justice has already ruled several times that the element “advantage” also encompasses immaterial advantages, including advantages of a symbolic nature (e.g., honorific titles and distinctions) as well as those which have an important value for the beneficiary himself. The federal court also
ruled that sexual favors fall under the definition of “advantage”.
The criminal code does not contain a restriction according to which only unfair or inappropriate advantages would be covered. There is no provision for a value threshold. Low value advantages are also
covered by the offences. This means that so called “facilitation payments” are also covered by the code andthere is no exemption for these kinds of payments under German law.
The wording of the active and passive bribery offences involving a public official does not explicitly
refer to indirect bribery, i.e., those cases where an intermediary is involved. But granting an advantage by
an intermediary is a sufficient element for the offence to qualify as active bribery.
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4. “For Himself or for Anyone Else”
The law also covers undue advantages for a third party beneficiary. Not only advantages are covered
which for instance are granted to the spouse or to other close individuals. Advantages to third persons
may also lie in advantages for groups of individuals or legal entities (clubs, enterprises, associations andparties), as well as advantages for the employing corporation of the public official, including sponsoring
services and donations.
5. Active Bribery, Sections 333 and 334
German law contains the elements “offers, promises or grants”. The offence is completed as soon as theoffender has formulated the proposal and the latter has reached the potential bribe taker, no matter what
his reaction is. The offence is already deemed to have been committed if the action (demanding, allowing
himself to be promised or accepting, as well as offering, promising or granting an advantage) relates to an
official activity, official act or judicial act.
6. Passive Bribery, Sections 331 and 332
The law contains the elements “demands, allows himself to be promised or accepts” as a description of
the act in sections 331 and 332 CC. The element “allows himself to be promised” encompasses the acceptance of offers and promises. The offence is already completed if the offender has formulated the proposal
and the latter has reached the potential bribe-payer, no matter what his reaction is. Therefore, the attempt
is prosecutable.
7. Section 332 and 334: Return for the Execution of an “Official Act” or “Judicial Act” in Breach of Duty
or in the Discretion of the Public Official or Judge
For sections 332 and 334, the undue advantage needs to be a return for a specific official act of the
public official. Official acts and official activity include all acts belonging to the official duties of the public
official and which are carried out by him in his official capacity. They do not encompass offences relating to
private acts on the part of the public official.
8. Sections 331 and 333 of the Criminal CodeDifferent from sections 332 and section 334, the offence here is already deemed to have been committed
if the action (demanding, allowing himself to be promised or accepting, as well as offering, promising or
granting a benefit) relates to an official activity, official act or judicial act. It covers, for example, a payment
made to a public official a few days before Christmas without a connection to a specific project. The
purpose of the payment is to increase his goodwill for any projects that might be awarded in the New
Year.
Sections 331 and 333 cover cases in which the acceptance or granting of the benefit takes place prior
to a specified official act, as well as those in which the acceptance or granting of the advantage follows theofficial act (subsequent granting, reward).
Sections 331 and 333 are sometimes used as the legal “safety net” which allows for dealing with casesthat cannot be prosecuted under section 334 because of the evidential requirements (i.e., the link between
the bribery act and a breach of duties).
9. Criminal Sanctions
As regards criminal sanctions, section 331 provides for the following statutory ranges of punishment:⿟⿟ accepting and granting a benefit by and to public officials (section 331, paragraph 1 and section
333, paragraph 1 CC): up to three years’ imprisonment or a criminal fine (5 to 10,800,000 €);⿟⿟ accepting and granting an advantage by and to judges and arbitrators (section 331, paragraph 2
and section 333, paragraph 2 CC): up to five years’ imprisonment or a criminal fine (5 to
10,800,000 € )⿟⿟ taking a bribe by public officials (section 332, paragraph 1 CC): from six months up to five years’
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RESOURCE MATERIAL SERIES No. 98
⿟⿟ bribery of public officials (section 334, paragraph 1 CC): from three months’ up to five years’ imprisonment
⿟⿟ taking a bribe by judges and arbitrators (section 332, paragraph 2 CC): from one up to ten years’
imprisonment⿟⿟ bribery of judges and arbitrators (section 334, paragraph 2 CC): a) from three months’ up to five
years’ imprisonment (when granted subsequently); b) from six months’ up to five years’ imprisonment (with granting for future acts)
In some instances, the above sanctions can be modulated both ways, depending on the circumstancesof the concrete case. Section 335 foresees aggravated circumstances for particularly serious cases ofbribery under sections 332 and 334 CC, i.e., where the bribe was of great magnitude, or the offence wascommitted repeatedly over a longer period of time, or it involved a gang or a commercial basis: thesanction is then one to ten years’ imprisonment for regular officials, and a minimum of two years’ imprisonment in the specific cases of bribery of judges and arbitrators (the upper limit is also increased to 15
years according to section 38 paragraph, 2 CC). Sections 332 and 334 CC also contain provisions on lessserious cases which entail a lower statutory range of punishment. In cases where the act or omission
sought from the public official or judge is unlawful (sections 332 and 334 CC) more serious/higher sanctions
apply than in cases where the act or omission sought is lawful (sections 331 and 333 CC). For this reason,
sections 331 and 333 CC do not contain provisions about less serious cases.
B. Bribery of Foreign Public Officials
The Act on Combating International Bribery (Gesetz zur Bekämpfung internationaler Bestechung) of
10 September 1998 is based on the OECD Convention on Combating Bribery of Foreign Public Officials inInternational Business Transactions. The convention is focused on the ‘supply side’ of the bribery transaction. According to this convention, all OECD are obliged to establish a foreign bribery offence:“Article 1
The Offence of Bribery of Foreign Public Officials
1. Each Party shall take such measures as may be necessary to establish that it is a criminal offence
under its law for any person intentionally to offer, promise or give any undue pecuniary or otheradvantage, whether directly or through intermediaries, to a foreign public official, for that official orfor a third party, in order that the official act or refrain from acting in relation to the performance ofofficial duties, in order to obtain or retain business or other improper advantage in the conduct of international business.
2. Each Party shall take any measures necessary to establish that complicity in, including incitement,
aiding and abetting, or authorisation of an act of bribery of a foreign public official shall be a criminal
offence. Attempt and conspiracy to bribe a foreign public official shall be criminal offences to the same
extent as attempt and conspiracy to bribe a public official of that Party.
(…)”
The OECD convention focuses only on the active side of bribery. The act deems foreign public officials
to be equal to domestic public officials with regard to the application of the offence of active bribery(section 334, as well as the complementary provisions of sections 335, 336 and 338, paragraph 2). These
acts need to be related to future unlawful acts in the context of international business transactions.
The German law reads as follows:“Act on Combating International Bribery – IntBestG (basis: OECD Convention)
Article 2: Implementing Provisions
Section 1 Equal treatment of foreign and domestic public officials in the event of acts of bribery
For the purpose of applying section 334 of the Criminal Code, also in conjunction with sections 335,
336 and 338 paragraph 2 of the Code, to bribery concerning a future judicial or official act which iscommitted in order to obtain or retain for the offender or a third party business or an improper advantage
in international business transactions, the following shall be treated as equal:
1. to a judge:
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act which is committed in order to obtain or retain for the offender or a third party business oran improper advantage in international business transactions, the following shall be treated as
161ST INTERNATIONAL TRAINING COURSE
equal:VISITING EXPERT’S PAPER
1. to a judge:a) a judge of a foreign state,b) aofjudge
at anstate,international court;a) a judge
a foreign
2.
to
any
other
publicofficial:b) a judge at an international court;a) a public
publicofficial:
official of a foreign state,
2. to any othera) a public
a foreign state,b) aofficial
personof entrusted
to exercise a public function with or for an authority of a foreign state,b) a person
entrustedtoexercisefor a public enterprise a public function with or for an authority of a foreign state, for a
publicenterprisewith headquartersor otherpublic functions
for a state,foreign state,withheadquarters
abroad, or abroad,other public
functionsfor a foreignc) a public official and another member of the staff of an international organisation and a personc) a public official and an other member of the staff of an international organisation and aentrusted with carrying out its functions;personentrusted
carrying
out its functions;
3. to a soldierin theFederal with
Armed
Forces (Bundeswehr):
3. toofa asoldier
the Federal Armed Forces (Bundeswehr):a) a soldier
foreigninstate,a) a who
soldierof a foreignstate, functions of an international organisation.
b) a soldier
is entrusted
to exerciseb) a soldier who is entrusted to exercise functions of an international organisation.”
The term “public official” is to be interpreted autonomously on the basis of the OECD Convention. The
sanctions fora bribeofficial”
and bribery
foreign public
officials on
correspond
thoseapplicable
to . The
Thetakingterm “public
is to beofinterpreted
autonomously
the basis oftothe
OECD
Convention
domestic officials,
includingforparticularly
seriouscases(sections
332,
334,
335).
sanctions for taking a bribe and bribery of foreign public officials correspond to those applicable todomestic officials, including for particularly serious cases (sections 332, 334, 335).

The enforcement of the OECD convention has become more and more important over the recent years.
5 shows an increase of foreign bribery cases:
The OECD The
reportenforcementof the OECD convention got more and more important over the recent years. The

OECD report5 shows an increase of foreign bribery cases:

5OECD Foreign Bribery Report 2014 : An Analysis of the Crime of Bribery of Foreign Public Officials

5 OECD Foreign Bribery Report 2014: An Analysis of the Crime of Bribery of Foreign Public Officials.

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Germany is one of the countries withGermany
strong enforcementof theOECD convention:is one of thecountries
with a strong enforcement of the OECD conv

C. Bribery in the Private Sector C. Bribery in the Private Sector
Section 299—and sections 300 to 302
CC for299—andcomplementaryprovisions—appear
under
Chapter 26, provisions—aSectionsections
300 to 302 CC for
complementary
which deals with crimes against competition. Active and passive bribery in the private sector under
Chapter 26, which deals with crimes against competition. Active and passive br
German law only cover bribery in situations of market competition.

private sector under German law only cover bribery in situations of market compe“Chapter Twenty-Six – Crimes against competition“Chapter Twenty-Six – Crimes against competition

Section 299 Taking and Offering a Bribe in Business Transactions

Section 299 Taking and Offering a Bribe in Business Transactions(1) Whoever, as an employee or agent of a business, demands, allows himself to be promised, or accepts abenefit for himself or another in(1)a businessas consideration
giving an demands,
unfair preferWhoever,transaction
as an employee
or agent offor
a business,allows himself to b
ence to another in the competitive purchase
of
goods
or
commercial
services,shallbepunishedbyimor accepts a benefit for himself or another in a business transaction as consideprisonment for not more than three years or a fine.

giving an unfair preference to another in the competitive purchase of goods orservices,shallanbe employee
punishedor
byagent
imprisonment
for not(2) Whoever, for competitive purposes,commercial
offers, promises
or grantsof a businessa more than thr
a fine.
benefit for himself or for a third person
in a business transaction as consideration for such employee
or agent giving him or another an unfair preference in the purchase of goods or commercial services,shall be similarly punished.
(2) Whoever, for competitive purposes, offers, promises or grants an employee orbusiness a benefit for himself or for a third person in a business transaction as con(3) Paragraphs (1) and (2) shall alsofor
apply
to employee
acts performed
in foreignsuchor agent
givingcompetition.
him or another an unfair preference in the purc

goods or commercial services, shall be similarly punished.

Possible offenders and recipients of advantages of the offence is “the employee or agent of a business”.
The elements “employee” and “agent” are to be interpreted broadly. An “employee” is anyone who is in a3) Paragraphs(1) onandthe(2)basis
shallof also
apply orto deacts
performed
in foreign competitio
service relationship with the proprietorof the businessa contractfacto
and is subject
to his instructions. A permanent or paid activity is not required. De facto employees within the meaning of
the offence also include individuals who Possible
are used offenderas “go-betweens”
to hideof
theacceptanceofandand recipientadvantages
thepayment
offence ofis “the employee
bribes. Employed managers of legal business”.
persons (limited
companies),
as well as civil
servants are
andtoemployeesofThe elements“employee”
and “agent”
be interpreted
broadly. An
corporations under public law (owned
or
not
by
the
State)
takingpartinbusinesstransactions,arealso
is anyone who is in a service relationship with the proprietor of the business on th
employees. An “agent” is whoever, without being an employee, acts with an empowerment for a business.
contract or de facto and is subject to his instructions. A permanent or paid activity is
The term “agent” is not to be determined in accordance with civil law standards; only the actual circum-

De facto employees within the meaning of the offence also include individuals who“go-betweens” to hide the acceptance and payment of bribes. Employed manag

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stances are material and there is no need for a contractual relationship.
Section 299 only covers offences committed in the course of business activity. This term is very broadand covers all measures serving to promote any business objective, i.e., any activity pursuing an economic
purpose in which participation in competition is expressed.
The offences criminalizing bribery in the private sector correspond to those criminalising bribery of
public officials. The service to be rendered in return constitutes unfair preferential treatment related to theacquisition of goods or services in the context of competition. The intended preference must consist of afuture privilege. The beneficiary of the preference can be the advantage-giver or any third person; a third
person does not need to be formally designated yet at the time of the offence.
Offences of active and passive bribery in accordance with section 299 are punished by up to three
years’ imprisonment or a criminal fine (5 to 10,800,000 € ). In particularly serious cases, the term of imprisonment is three months to five years (section 300).
D. Statute of Limitations
The prosecution of these offences in most cases lapses after five years (section 78, paragraph 3, No. 4
Criminal Code). The statute of limitations does not start to run until the offence has ended. If the offender
initially demands or permits himself to be promised an advantage and later accepts it, the offence has not
ended until the complete acceptance of the advantage.
There are various actions that can interrupt the running of the statute of limitations. These interruptions can be very important for the success of a prosecution of a bribery case. The law reads as follows:“Section 78c Interruption(1) The running of the statute of limitations shall be interrupted by:1. 		the first interrogation of the accused, notice that investigative proceedings have been initiatedagainst him, or the order for such interrogation or notice;2. 		 any judicial interrogation of the accused or the order thereof;
3. 		any commissioning of an expert by the judge or public prosecutor if the accused has previously
been interrogated or he has been given notice of the initiation of investigative proceedings;
4. 		 any judicial seizure or search order and judicial decisions which uphold them;5. 		an arrest warrant, placement order, order to be brought before a judge for interrogation andjudicial decisions which uphold them;6. 		 the preferment of a public indictment;
7. 		 the institution of proceedings in the trial court;
8. 		 any setting of a trial date;
9. 		 a penal order or another decision equivalent to a judgment;
10.		the provisional judicial dismissal of the proceedings due to the absence of the indicted accused aswell as any order of the judge or public prosecutor which issues after such a dismissal of the proceedings or in proceedings in absentia to ascertain the whereabouts of the indicted accused or tosecure evidence;
11.		the provisional judicial dismissal of the proceedings due to the lack of capacity of the indictedaccused to stand trial as well as any order of the judge or public prosecutor which issues after
such a dismissal of the proceedings to review the fitness of the indicted accused to stand trial; or
12.		 any judicial request to undertake an investigative act abroad.
				In a preventive detention proceeding and in an independent proceeding, the running of the statuteof limitations shall be interrupted by acts in the conduct of a preventive detention proceeding or
an independent proceeding which correspond to those in sentence 1.
(2) The running of the statute of limitations shall be interrupted by a written order or decision at thetime at which the order or decision is signed. If the document is not immediately processed after
signing, then the time it is actually submitted for processing shall be decisive.

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RESOURCE MATERIAL SERIES No. 98(3) After each interruption the statute of limitations shall commence to run anew. Prosecution shall bebarred at the latest by the statute of limitations, however, when twice the statutory period of limitation has elapsed since the time indicated in Section 78a, or three years, if the period of limitation isshorter than three years. Section 78b shall remain unaffected.
(4) (…)”
E. Liability of Legal Persons
Germany establishes the liability of legal persons, including liability for the bribery offences, under the
Administrative Offences Act (hereinafter, “OWiG”). Germany opted for a non-criminal form of responsibility for its legal persons. Reason for this concept is the German principle that the fundament of criminal
liability is personal guilt of the defendant. Guilt is something individual and this is possible only for natural
persons. Legal persons cannot be guilty, but they can be held responsible.
Section 30 of the Administrative Offences Act (“OWiG”) reads as follows:“Section 30: Fine imposed on legal entities and associations(1) If a person
1. acting in the capacity of an agency authorised to represent a legal entity, or as a member of suchan agency,
2. as the board of an association not having legal capacity, or as a member of such a board,
3. as a partner of a commercial partnership authorised to representation, or
4. as the fully authorised representative or in a leading position as a procura holder, or as general
agent of a legal entity or of an association as specified in Nos. 2 or 3 has committed a criminal oradministrative offence by means of which duties incumbent upon the legal entity or the association
have been violated, or the legal entity or the association has gained or was supposed to gain aprofit, a fine may be imposed on the latter.
(2) The fine shall be
1. up to ten Million Euro in cases of a willfully committed offence;
2. up to five Million Euro in cases of a negligently committed offence.
(…)“
Pursuant to section 30 OWiG, the liability of legal persons is triggered where any “responsible person”(which includes a broad range of senior managerial stakeholders and not only an authorised representative
or manager), acting for the management of the entity commits:i)		 a criminal offence including bribery; orii)		 an administrative offence including a violation of supervisory duties (section 130 OWiG) which either
violates duties of the legal entity, or by which the legal entity gained or was supposed to gain a“profit”.
Germany enables corporations to be imputed with offences i) by senior managers, and, somewhat indirectly, ii) with offences by lower level personnel which result from a failure by a senior corporate figure tofaithfully discharge his duties of supervision.
Section 17(4) OWiG provides that the administrative fine ordered against a legal person must exceed
the financial benefit gained from the underlying offence. An administrative fine has two components, apunitive one and a confiscatory one (the fine in respect of the benefit, also referred to as “skimming-off ofprofits”). If the financial benefit is higher than the statutory maximum fine (i.e. EUR 10 million or EUR 5
Million), the total amount of the administrative fine must include an amount equal to the benefit gained (theconfiscatory component of the fine), and be increased by an amount that may be a maximum of EUR 10
million or EUR 5 Million (the punitive component of the fine).
As pointed out above, the underlying offence for the imposition of a fine pursuant to Sec. 30 OWiG must
not necessarily be a criminal offence, but may also be an administrative offence, in particular an offence
pursuant to Sec. 130 OWiG. This section refers to the owner of a legal entity or association who wilfully or
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negligently fails to take the supervisory measures required to prevent the contravention of duties in thecompany which concern the owner in this capacity. In such a case, the owner shall be deemed to havecommitted an administrative offence, if such a contravention is committed which could have been
prevented or made much more difficult by proper supervision. Sec. 9 OWiG extends this duty to thecompany’s legal representatives such as Board members or managing directors. Thus Sec. 130 OWiG—inaddition to Sec. 9 and 30 OWiG—is part of a set of legal provisions that allows to combat the contraventionof duties in legal entities and associations effectively and which is of particular importance since the mere
failure to take supervisory measures is an administrative offence pursuant to Sec. 30 OWiG, providing forthe imposition of an administrative fine against the legal entity or association itself.

APPENDIX
English translation of the relevant German law
A. Criminal Code (“StBG“)
I. General provisions
Section 11 Definitions(1) For the purposes of this law
1. (…)
2. ‘public official’ means any of the following if under German law(a) they are civil servants or judges;(b) otherwise carry out public official functions; or(c) have otherwise been appointed to serve with a public authority or other agency or have beencommissioned to perform public administrative services regardless of the organisational form
chosen to fulfil such duties;
3. ‘judge’ means any person who under German law is either a professional or a lay judge;
4. ‘persons entrusted with special public service functions’ means any person who, without being apublic official, is employed by, or is acting for(a) a public authority or other agency, which performs public administrative services; or(b) an association or other union, business or enterprise, which carries out public administrative
services for a public authority or other agency,
and who is formally required by law to fulfil their duties with due diligence;
Section 78 Limitation period(1) The imposition of punishment and measures (section 11(1) No 8) shall be excluded on expiry of the limitation period. Section 76a(2) 1st sentence No 1 remains unaffected.
(2) Felonies under section 211 (murder under specific aggravating circumstances) are not subject to thestatute of limitations.
(3) To the extent that prosecution is subject to the statute of limitations, the limitation period shall be
1. thirty years in the case of offences punishable by imprisonment for life;
2. twenty years in the case of offences punishable by a maximum term of imprisonment of more thanten years;
3. ten years in the case of offences punishable by a maximum term of imprisonment of more than five
years but no more than ten years;
4. five years in the case of offences punishable by a maximum term of imprisonment of more than one
year but no more than five years;
5. three years in the case of other offences.
(4) The period shall conform to the penalty provided for in the law defining the elements of the offence, irrespective of aggravating or mitigating circumstances provided for in the provisions of the General
Part or of aggravated or privileged offences in the Special Part.
Section 78a Commencement
The limitation period shall commence to run as soon as the offence is completed. If a result constituting anelement of the offence occurs later, the limitation period shall commence to run from that time.
Section 78b Stay of limitation(1) The limitation period shall be stayed
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1. until the victim of an offence under sections 174 to 174c, 176 to 179, 225 and 226a has reached theage of twenty-one,
2. as long as the prosecution may, according to the law, not be commenced or continued; this shall not
apply if the act may not be prosecuted only because of the absence of a request or authorisation toprosecute or a request to prosecute by a foreign state.
(2) If a prosecution is not feasible because the offender is a member of the Federal Parliament or a legislative body of a state, the stay of the limitation period shall only commence upon expiry of the day onwhich
1. the public prosecutor or a public authority or a police officer acquires knowledge of the offence andthe identity of the offender; or
2. a criminal complaint or a request to prosecute is filed against the offender (section 158 of the Codeof Criminal Procedure).
(3) If a judgment has been delivered in the proceedings at first instance before the expiry of the limitation
period, the limitation period shall not expire before the time the proceedings have been finallyconcluded.
(4) If the Special Part provides for a sentence of imprisonment of more than five years in aggravated cases
and if the trial proceedings have been instituted in the District Court, the statute of limitations shall bestayed in cases under section 78 (3) No 4 from the admission of the indictment by the trial court, but
no longer than for five years; subsection (3) above remains unaffected.
(5) If the offender resides in a country abroad and if the competent authority makes a formal request for
extradition to that state, the limitation period is stayed from the time the request is served on theforeign state,
1. until the surrender of the offender to the German authorities,
2. until the offender otherwise leaves the territory of the foreign state,
3. until the denial of the request by the foreign state is served on the German authorities or
4. until the withdrawal of the request.
If the date of the service of the request upon the foreign state cannot be ascertained, the request shallbe deemed to have been served one month after having been sent to the foreign state unless the requesting authority acquires knowledge of the fact that the request was in fact not served on the foreignstate or only later. The 1st sentence of this subsection shall not apply to requests for surrender forwhich, in the requested state, a limitation period similar to section 83c of the Law on International Assistance in Criminal Matters exists, either based on the Framework Decision of the Council of 13 June
2002 on the European Arrest Warrant and the surrender agreements between the member states (OJ
L 190, 18.7.2002, p 1), or based on an international treaty.
Section 78c Interruption(1) The limitation period shall be interrupted by
1. the first interrogation of the accused, notice that investigations have been initiated against him, or
the order for such an interrogation or notice thereof;
2. any judicial interrogation of the accused or the order for that purpose;
3. any commissioning of an expert by the judge or public prosecutor if the accused has previously
been interrogated or has been given notice of the initiation of investigations;4. any judicial seizure or search warrant and judicial decisions upholding them;
5. an arrest warrant, a provisional detention order, an order to be brought before a judge for interrogation and judicial decisions upholding them;
6. the preferment of a public indictment;
7. the admission of the indictment by the trial court;
8. any setting of a trial date;
9. a summary judgment order or another decision equivalent to a judgment;
10. the provisional judicial dismissal of the proceedings due to the absence of the indicted accused aswell as any order of the judge or public prosecutor issued after such a dismissal of the proceedings
or in proceedings in absentia in order to ascertain the whereabouts of the indicted accused or tosecure evidence;
11. the provisional judicial dismissal of the proceedings due to the unfitness to plead of the indicted andany order of the judge or public prosecutor issued after such a dismissal of the proceedings for the
purposes of reviewing the fitness of the indicted accused to plead; or
12. any judicial request to undertake an investigative act abroad.
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In separate proceedings for measures of rehabilitation and incapacitation and in an independent proceeding for deprivation or confiscation, the limitation period shall be interrupted by acts in these proceedings corresponding to those in the 1st sentence of this subsection.
(2) The limitation period shall be interrupted by a written order or decision at the time at which the order
or decision is signed. If the document is not immediately processed after signing the time it is actuallysubmitted for processing shall be dispositive.
(3) After each interruption the limitation period shall commence to run anew. The prosecution shall bebarred by limitation once twice the statutory limitation period has elapsed since the time indicated in
section 78a, or three years if the limitation period is shorter than three years. Section 78b shall remain
unaffected.
(4) The interruption shall have effect only for the person in relation to whom the interrupting act is done.
(5) If a law which applies at the time the offence is completed is amended before a decision and the limitation period is thereby shortened, acts leading to an interruption which have been undertaken before theentry into force of the new law shall retain their effect, notwithstanding that at the time of the interruption the prosecution would have been barred by the statute of limitations under the amended law.
II.		 Bribery in the Private Sector
Section 299 Taking and Offering a Bribe in Business Transactions(5) Whoever, as an employee or agent of a business, demands, allows himself to be promised, or accepts abenefit for himself or another in a business transaction as consideration for giving an unfair preference
to another in the competitive purchase of goods or commercial services, shall be punished by imprisonment for not more than three years or a fine.
(2) Whoever, for competitive purposes, offers, promises or grants an employee or agent of a business abenefit for himself or for a third person in a business transaction as consideration for such employee oragent giving him or another an unfair preference in the purchase of goods or commercial services,shall be similarly punished.
(3) Paragraphs (1) and (2) shall also apply to acts performed in foreign competition.
Section 300
Aggravated cases of taking and giving bribes in commercial practiceIn especially serious cases an offender under section 299 shall be liable to imprisonment from threemonths to five years. An especially serious case typically occurs if
1. the offence relates to a major benefit or
2. the offender acts on a commercial basis or as a member of a gang whose purpose is the continued
commission of such offences.
Section 301 Request to prosecute(1) The offence of taking and giving bribes in commercial practice under section 299 may only be prosecuted upon request unless the prosecuting authority considers propio motu that prosecution is required
because of special public interest.
(2) The right to file the request under subsection (1) above belongs, in addition to the victim, to all of thebusiness persons, associations and chambers indicated in section 8(3) Nos 1, 2, and 4 of the Restrictive
Practices Act.
III. Bribery of Public Officials
Section 331 Acceptance of a benefit(1) A public official or a person entrusted with special public service functions who demands, allows
himself to be promised or accepts a benefit for himself or for a third person for the discharge of an
official duty shall be liable to imprisonment not exceeding three years or a fine.
(2) A judge or arbitrator who demands, allows himself to be promised or accepts a benefit for himself or athird person in return for the fact that he performed or will in the future perform a judicial act shallbe liable to imprisonment not exceeding five years or a fine. The attempt shall be punishable.
(3) The offence shall not be punishable under subsection (1) above if the offender allows himself to bepromised or accepts a benefit which he did not demand and the competent public authority, within thescope of its powers, either previously authorises the acceptance or the offender promptly makes areport to it and it authorises the acceptance.

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Section 332 Taking a bribe(1) A public official or person entrusted with special public service functions who demands, allows himself
to be promised or accepts a benefit for himself or for a third person in return for the fact that heperformed or will in the future perform an official act and thereby violated or will violate his official
duties shall be liable to imprisonment from six months to five years. In less serious cases the penalty
shall be imprisonment not exceeding three years or a fine. The attempt shall be punishable.
(2) A judge or an arbitrator, who demands, allows himself to be promised or accepts a benefit for himself
or for a third person in return for the fact that he performed or will in the future perform a judicial act
and thereby violated or will violate his judicial duties shall be liable to imprisonment from one to ten
years. In less serious cases the penalty shall be imprisonment from six months to five years.
(3) If the offender demands, allows himself to be promised or accepts a benefit in return for a future act,
subsections (1) and (2) above shall apply even if he has merely indicated to the other his willingness to
1. violate his duties by the act; or
2. to the extent the act is within his discretion, to allow himself to be influenced by the benefit in theexercise of his discretion.
Section 333 Granting a benefit(1) Whosoever offers, promises or grants a benefit to a public official, a person entrusted with special public
service functions or a soldier in the Armed Forces for that person or a third person for the dischargeof a duty shall be liable to imprisonment not exceeding three years or a fine.
(2) Whosoever offers promises or grants a benefit to a judge or an arbitrator for that person or a third
person in return for the fact that he performed or will in the future perform a judicial act shall be
liable to imprisonment not exceeding five years or a fine.
(3) The offence shall not be punishable under subsection (1) above if the competent public authority, within
the scope of its powers, either previously authorises the acceptance of the benefit by the recipient orauthorises it upon prompt report by the recipient.
Section 334 Offering a bribe(1) Whosoever offers, promises or grants a benefit to a public official, a person entrusted with special public
service functions or a soldier of the Armed Forces for that person or a third person in return for thefact that he performed or will in the future perform an official act and thereby violated or will violate
his official duties shall be liable to imprisonment from three months to five years. In less serious cases
the penalty shall be imprisonment not exceeding two years or a fine.
(2) Whosoever offers, promises or grants a benefit to a judge or an arbitrator for that person or a third
person, in return for the fact that he1. performed a judicial act and thereby violated his judicial duties; or
2. will in the future perform a judicial act and will thereby violate his judicial duties,
shall be liable in cases under No 1 above to imprisonment from three months to five years, in cases
under No 2 above to imprisonment from six months to five years. The attempt shall be punishable.
(3) If the offender offers, promises or grants the benefit in return for a future act, then subsections (1) and (2)above shall apply even if he merely attempts to induce the other to
1. violate his duties by the act; or
2. to the extent the act is within his discretion, to allow himself to be influenced by the benefit in theexercise of his discretion.
Section 335 Especially serious cases(1) In especially serious cases
1. of an offence under(a) Section 332(1) 1st sentence, also in conjunction with (3); and(b) Section 334(1) 1st sentence and (2), each also in conjunction with (3),the penalty shall be imprisonment from one to ten years and2. of an offence under section 332(2), also in conjunction with (3),the penalty shall be imprisonment of not less than two years.
(2) An especially serious case within the meaning of subsection (1) above typically occurs when
1. the offence relates to a major benefit;
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3. the offender acts on a commercial basis or as a member of a gang whose purpose is the continued
commission of such offences.
Section 336 Omission of an official act
The omission to act shall be equivalent to the performance of an official act or a judicial act within themeaning of sections 331 to 335.

B. Act on Combating International Bribery (“IntBestG)
Article 2: Implementing Provisions
Section 1 Equal treatment of foreign and domestic public officials in the event of acts of bribery
For the purpose of applying section 334 of the Criminal Code, also in conjunction with sections 335, 336
and 338 paragraph 2 of the Code, to bribery concerning a future judicial or official act which is committed
in order to obtain or retain for the offender or a third party business or an improper advantage in international business transactions, the following shall be treated as equal:
1. to a judge:a) a judge of a foreign state,b) a judge at an international court;
2. to any other public official:a) a public official of a foreign state,b) a person entrusted to exercise a public function with or for an authority of a foreign state, for a
public enterprisewith headquarters abroad, or other public functions for a foreign state,c) a public official and another member of the staff of an international organisation and a person
entrusted with carrying out its functions;
3. to a soldier in the Federal Armed Forces (Bundeswehr):a) a soldier of a foreign state,b) a soldier who is entrusted to exercise functions of an international organisation.”

C. Administrative Offences Act (“OWiG“)
Section 30: Fine imposed on legal entities and associations(1) If a person
1. acting in the capacity of an agency authorised to represent a legal entity, or as a member of such anagency,2. as the board of an association not having legal capacity, or as a member of such a board,
3. as a partner of a commercial partnership authorised to representation, or
4. as the fully authorised representative or in a leading position as a procura holder, or as general
agent of a legal entity or of an association as specified in Nos. 2 or 3 has committed a criminal oradministrative offence by means of which duties incumbent upon the legal entity or the association
have been violated, or the legal entity or the association has gained or was supposed to gain a profit,a fine may be imposed on the latter.
(2) The fine shall be
1. up to ten Million Euro in cases of a willfully committed offence;
2. up to five Million Euro in cases of a negligently committed offence.
(…)“

D. Criminal procedure code (“StPO”)
Section 100a
[Conditions Regarding Interception of Telecommunications](1) Telecommunications may be intercepted and recorded also without the knowledge of the persons
concerned if
1. certain facts give rise to the suspicion that a person, either as perpetrator or as inciter or accessory,
has committed a serious criminal offence referred to in subsection (2) or, in cases where there iscriminal liability for attempt, has attempted to commit such an offence or has prepared such an
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offence by committing a criminal offence; and2. the offence is one of particular gravity in the individual case as well; and3. other means of establishing the facts or determining the accused’s whereabouts would be much
more difficult or offer no prospect of success.
(2) Serious criminal offences for the purposes of subsection (1), number 1, shall be:
1. pursuant to the Criminal Code:a) (…)r) crimes against competition pursuant to section 298 and, subject to the conditions set out insection 300, second sentence, pursuant to section 299;(…)t) taking and offering a bribe pursuant to sections 332 and 334;
(3) Such order may be made only against the accused or against persons in respect of whom it may be
assumed, on the basis of certain facts, that they are receiving or transmitting messages intended for, ortransmitted by, the accused, or that the accused is using their telephone connection.
(4) If there are factual indications for assuming that only information concerning the core area of theprivate conduct of life would be acquired through a measure pursuant to subsection (1), the measure
shall be inadmissible. Information concerning the core area of the private conduct of life which is
acquired during a measure pursuant to subsection (1) shall not be used. Any records thereof shall bedeleted without delay. The fact that they were obtained and deleted shall be documented.
Section 100b
[Order to Intercept Telecommunications](1) Measures pursuant to Section 100a may be ordered by the court only upon application by the publicprosecution office. In exigent circumstances, the public prosecution office may also issue an order. An
order issued by the public prosecution office shall become ineffective if it is not confirmed by the court
within three working days. The order shall be limited to a maximum duration of three months. An
extension by not more than three months each time shall be admissible if the conditions for the ordercontinue to exist, taking into account the information acquired during the investigation.
(…)
Section 102[Search in Respect of the Suspect]
A body search, a search of the property and of the private and other premises of a person who, as a perpetrator or as an inciter or accessory before the fact, is suspected of committing a criminal offence, or issuspected of accessoryship after the fact or of obstruction of justice or of handling stolen goods, may bemade for the purpose of his apprehension, as well as in cases where it may be presumed that the search
will lead to the discovery of evidence.
Section 103[Searches in Respect of Other Persons](1) Searches in respect of other persons shall be admissible only for the purpose of apprehending theaccused or to follow up the traces of a criminal offence or to seize certain objects, and only if certain
facts support the conclusion that the person, trace, or object sought is located on the premises to be
searched. For the purposes of apprehending an accused who is strongly suspected of having committeda criminal offence pursuant to section 89a of the Criminal Code or pursuant to section 129a, also in conjunction with section 129b subsection (1), of the Criminal Code, or one of the criminal offences designated in this provision, a search of private and other premises shall also be admissible if they are locatedin a building in which it may be assumed, on the basis of certain facts, that the accused is located.
(2) The restrictions of subsection (1), first sentence, shall not apply to premises where the accused was apprehended or which he entered during the pursuit.
Section 105[Search Order; Execution](1) Searches may be ordered only by the judge and, in exigent circumstances, also by the public prosecution office and the officials assisting it (section 152 of the Courts Constitution Act). Searches pursuant to
Section 103 subsection (1), second sentence, shall be ordered by the judge; in exigent circumstances the
public prosecution office shall be authorized to order such searches.
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members of the community may not be police officers or officials assisting the public prosecution office.
(3) If it is necessary to carry out a search in an official building or in an installation or establishment of theFederal Armed Forces which is not open to the general public, the superior official agency of theFederal Armed Forces shall be requested to carry out such search. The requesting agency shall beentitled to participate. No such request shall be necessary if the search is to be carried out on premises
which are inhabited exclusively by persons other than members of the Federal Armed Forces.
Section 112[Admissibility of Remand Detention; Grounds for Arrest](1) Remand detention may be ordered against the accused if he is strongly suspected of the offence and if
there is a ground for arrest. It may not be ordered if it is disproportionate to the significance of thecase or to the penalty or measure of reform and prevention likely to be imposed.
(2) A ground for arrest shall exist if, on the basis of certain facts,
1. it is established that the accused has fled or is hiding;
2. considering the circumstances of the individual case, there is a risk that the accused will evade thecriminal proceedings (risk of flight); or
3. the accused’s conduct gives rise to the strong suspicion that he willa) destroy, alter, remove, suppress, or falsify evidence,b) improperly influence the co-accused, witnesses, or experts, orc) cause others to do so,
and if, therefore, the danger exists that establishment of the truth will be made more difficult (risk oftampering with evidence).
(6) Remand detention may also be ordered against an accused strongly suspected pursuant to section
308 subsections (1) to (3) of the Criminal Code, of having committed a criminal offence pursuant to section
6 subsection (1), number 1, of the Code of Crimes against International Law or section 129a subsections (1)or (2), also in conjunction with section 129b subsection (1), or pursuant to sections 211, 212, 226, 306b or
306c of the Criminal Code, or insofar as life and limb of another have been endangered by the offence,even if there are no grounds for arrest pursuant to subsection (2).
Section 257c
[Negotiated Agreement](1) In suitable cases the court may, in accordance with the following subsections, reach an agreement withthe participants on the further course and outcome of the proceedings. Section 244 subsection (2) shallremain unaffected.
(2) The subject matter of this agreement may only comprise the legal consequences that could be thecontent of the judgment and of the associated rulings, other procedural measures relating to the courseof the underlying adjudication proceedings, and the conduct of the participants during the trial. A confession shall be an integral part of any negotiated agreement. The verdict of guilt, as well as measuresof reform and prevention, may not be the subject of a negotiated agreement.
(3) The court shall announce what content the negotiated agreement could have. It may, on free evaluationof all the circumstances of the case as well as general sentencing considerations, also indicate an upperand lower sentence limit. The participants shall be given the opportunity to make submissions. The negotiated agreement shall come into existence if the defendant and the public prosecution office agree tothe court’s proposal.
(4) The court shall cease to be bound by a negotiated agreement if legal or factually significant circumstances have been overlooked or have arisen and the court therefore becomes convinced that the prospective sentencing range is no longer appropriate to the gravity of the offence or the degree of guilt.
The same shall apply if the further conduct of the defendant at the trial does not correspond to thatupon which the court’s prediction was based. The defendant’s confession may not be used in such cases.
The court shall notify any deviation without delay.
(5) The defendant shall be instructed as to the prerequisites for and consequences of a deviation by the
court from the prospective outcome pursuant to subsection (4).

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ACT ON INTERNATIONAL COOPERATION IN CRIMINAL MATTERS
European arrest warrant:
Section 83a
Extradition Documents(1) Extradition shall not be admissible unless the documentation mentioned in s. 10 or a European arrest
warrant containing the following information have been transmitted:
1. the identity of the person sought as defined in the Annex to the Council Framework Decision of 13
June 2002 on the European arrest warrant and the surrender procedures between Member States,
and his citizenship,
2. name and address of the requesting justice authority,
3. the declaration of whether an enforceable judgment, an arrest warrant or another enforceable
judicial decision with equal legal effect exists,
4. the nature and legal characterisation of the offence, including the provisions applied,
5. a description of the circumstances in which the offence was committed, including the time and placeof its commission and the mode of participation by the person sought and6. the maximum term provided for under the law of the requesting Member State for the pertinent
offence or in the case of a final judgment the actual sentence imposed.
(2) Listings for arrest for the purposes of extradition under the Schengen Agreement containing the information under subsection (1) nos. 1 to 6 above or to which this information has subsequently been
attached shall be treated as an European arrest warrant.
Section 83b
Obstacles to Granting an Application(1) Extradition may be refuseda) if criminal proceedings are pending against the person sought in Ger-many for the same offence as
the one on which the request is based,b) if criminal proceedings against the person sought for the same offence as the one on which therequest is based, have either not been instituted or if initiated have been closed,c) if a request for extradition by a third State shall be given precedence,d) unless on the basis of the duty to surrender under the Council Frame-work Decision of 13 June 2002
(OJ L 190/1) on the European Arrest Warrant and the surrender procedures between the Member
States, on the basis of an assurance by the requesting State or based on other reasons it can be
expected that the requesting State would honour a similar German request.
(2) Extradition of a foreign citizen normally living on German territory may further be refuseda) if in the case of an extradition for the purpose of prosecution the			 extradition of a German citizen would be inadmissible under s. 80(1) and (2),b) if in the case of an extradition for the purpose of enforcement, after be-ing judicially warned, theperson sought does not consent on the record of the court and his interest in an enforcement inGermany prevails; s. 41(3) and (4) shall apply mutatis mutandis.
S. 80(4) shall apply mutatis mutandis.

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PARTICIPANTS’ PAPERS
CRIMINAL JUSTICE RESPONSE TO CORRUPTION IN HONDURASJose Humberto Palacios Guifarro＊

I. UNITED NATIONS CONVENTION AGAINST CORRUPTION AND HONDURAS
Honduras signed the United Nations Convention Against Corruption on May 17, 2004. The Convention
was ratified on May 23, 2005. The country of Honduras has significant legislation related with the battle
against corruption, most of it included in the United Nations Convention Against Corruption. For example,
Honduras has an institute with its respective law1, used to control and investigate the administrative
component of any public institution or public official. The name of the institution is Supreme Accounts
Tribunal 2 , and its basic function, as before said, is the yearly control and investigation of public institutions
and officials. The public officials have the obligation, when entering public office, to report all personal
assets, debts, accounts and anything relevant for further investigations. They also have the obligation to
immediately report any asset increase, including significant purchases and salary increases. Anotherimportant obligation of public officials is to yearly report the status of their assets and duly explain any
abnormal increase. The Honduran Supreme Accounts Tribunal, also has the obligation to investigate any
abnormal situation occurring within a public institution or related with a public official, if administrative
responsibility is verified, the respective fines shall be imposed. If criminal responsibility is verified, the information and evidence must be remitted immediately to the criminal public prosecutor’s office or the civil
public prosecutor’s office.
Honduras also has the National Council Against Corruption3 , with its respective law4 . This institution isan independent council that investigates corruption cases presented before them by individuals or by any
type of institution. Once the investigation is concluded, the council decides if the information and evidence
is presented before the public criminal prosecutor’s office.
Honduras has the Public Civil Prosecutors Office5; with its respective law6 , this institution prosecutes in
the administrative area, the responsibility derived of irregular actions executed by public officials. Theirmain mission is to recuperate assets and execute the proper actions in order to seize these assets.
Honduras has the Public Corruption Prosecutors Office, which is part of the Public Prosecutors Officeand part of the Public Ministry Office7, with its respective law8 . The responsibility of the office is to receive
possible corruption commission information from the National Anti-Corruption Council, from the Supreme
Accounts Tribunal and from any common citizen, and to begin the proper investigation and proceed toprosecute the public official responsible of the corruption case. The Public Criminal Corruption Prosecutors
Office can execute any action without receiving outside information, meaning it can begin its own investigations and proceed in the criminal prosecution process.
Many of the problems faced by the country of Honduras implementing UNCAC exist because of thelack of funds required to investigate and prosecute the great number of corruption cases that exist in thiscountry. The extremely low level of education of the general population of the country of Honduras, is also
Judge, Tegucigalpa City Criminal Courthouse.

＊

1 Ley Orgánica del Tribunal Superior del Cuentas de Honduras, Decreto No. 10-2002-E.
2 Tribunal Superior de Cuentas de Honduras.
3 Consejo Nacional Anticorrupción.

4 Ley del Consejo Nacional Anticorrupción, decreto número 7-2005.
5 Procuraduría General de la República de Honduras.

6 Ley de la Procuraduría General de la República de Honduras, decreto número 74-2000
7 Ministerio Público de Honduras.

8 Ley Orgánica del Ministerio Público de Honduras, decreto número 228-96

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RESOURCE MATERIAL SERIES No. 98
considered as a significant factor. This is because the population of this country does not have a propercomplaint culture, which is definitely necessary in the battle against corruption. Other important factor
includes the high level of corrupt public officials that are inside of the system and are able effectively todiminish the success of the fight against corruption.

II. INTELLIGENCE
Honduras and its criminal justice officials have various measures to generate leads in the process ofdetecting corruption cases. The most common measure is the complaint issued by a common citizen or by
a company representative. After the complaint is received, the criminal public prosecutor orders the police
to begin the corresponding investigation process; this may include interviews with people with knowledgeof the situation or possible participants of the corruption case itself. The investigation process may also
include wiretapping; this has to be requested by a public criminal prosecutor before a judge. Honduras has
call centers that receive corruption complaints, these are located in the Presidential Ministry, in the
National Anti-Corruption Council, in the Public Criminal Prosecutors Office and inside Police Headquarters.
The most useful measure is the call centers, through which the criminal justice operators receive
useful information to request or order further investigation tools, that will be mentioned further along inthis paper.
Honduras has enacted article9 number 237 of the Criminal Process Law, most commonly known as thewitness protection procedure. A witness that possesses valuable information in any criminal case,including corruption cases, is ordered to be protected, taking any measure necessary to protect his or her
identity, as well as his or her physical integrity, so that he or she can make a statement before a judge intheir condition as witnesses, without the existence of any risk to his or her well-being.
If the possible witness has had any type of involvement in the corruption case, and the criminal justiceofficial considers that the information offered in the statement by the witness is much more valuable forprosecuting higher ranking corruption criminals or greater criminal corruption organizations, in comparison to the prosecution of the initial witness, Honduras has a tool located in article 28 section 510 of the
Criminal Process Law, which allows for the criminal justice official to negotiate with the possible corrupt
individual, so that he can provide a useful statement, in order for higher ranking public officials to be appropriately and effectively prosecuted. This tool can also be considered as the Honduran plea bargain.
Common citizens or any other person can present their corruption complaint before the National
Council Against Corruption, the National Prosecutors Office or before the police headquarters, without
providing any personal information, although no reward is currently being offered.

III. INVESTIGATION
Honduras has been using wiretapping for a few years; the results have been positive and the tendency
is to improve each time it is implemented. The wiretapping procedure is authorized by a judge andrequested by a criminal public prosecutor utilizing a specific law11, called the Special Law of the Intervention, of Private Communications. When there is a verification of suspicious activities, the police authorities
request the criminal public prosecutor to submit a special request, in order for the criminal law judge todecide if the request fulfills all specifications established in the law. After this, the wiretapping begins; it isadmissible at trial only if all specifications and procedures are met.
Bugging is already established and regulated in the previously mentioned law; however it is not as clear
as it should be, and until today it has not been used in a trial. However, in my opinion it is a very effective
and useful tool in the battle against public corruption.

9 Artículo 237 del Código Procesal Penal, decreto número 9-99 E.

10 Artículo 28 numeral 5 del Código Procesal Penal, decreto 9-99 E

11 Ley Especial de Intervención de las Comunicaciones Privadas, decreto número 234-2011.

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161ST INTERNATIONAL TRAINING COURSEPARTICIPANTS’ PAPERS
In Honduras, undercover operations are allowed in the investigation process, as well as in trial. This isbecause article 198 and 199 of our Criminal Process Law is open in the sense that it allows the implementation and introduction at trial of any type of trustworthy evidence. Undercover investigation police officers
or others designated for that purpose, act as common citizens offering bribes to public officials. However,analysing national statistics, this is not a common practice in Honduras, reducing the effectiveness of thiscovert investigation measure. It is my personal opinion that the lack of the use of this investigation
measure is, in fact, part of the corruption practices in the country of Honduras.
In Honduras, computer software investigation is allowed in all stages of the prosecution process; hard
drives, portable massive storing data devices have been retrieved and analysed, as well as e-mails.
Important information has been retrieved and used in trials in the process of obtaining positive results.
However, this tool is not used very often, perhaps because of the lack of experts in the area or because of
the same corruption cycle already explained.
In this country of Honduras all this information obtained by covert investigation measures is admissible
at trial, if it is obtained using the correct procedures established in our laws; if not, it is dismissed and it
will not be analysed or valued by the courts.
In Honduras, sting operations and controlled delivery have been used; they are extremely effective andare in fact admissible at trial. However, its use is not very common, so we believe these tools are being under-utilized in Honduras, and that situation should be addressed thoroughly.
Wiretapping, controlled delivery and under-cover operations are the most useful covert investigation
measures. I am hopeful that with the support of first world countries, such as Japan, and the useful information received by the criminal justice operators in these type of cooperation processes, we will increase
the correct use of these effective and useful covert investigation measures in order to decrease the corruption levels in developing countries.
On average, in Honduras it usually takes about six months to a year to investigate a corruption case.
Yes, we have problems expediting the investigation processes. This is due to the poor cooperation fromother institutions to provide useful, and effective information in the process of the investigation, the small
amount of funding directed towards the investigation processes and corruption from inside public institutions and officials in charge of fighting corruption.
Some institutions investigate and control other institutions in corruption cases, but the results are still
not satisfactory.

IV. PROSECUTION
The Public Criminal Prosecution Office decides whether to prosecute or not. The decision depends onwhether there is enough evidence that can indicate the probability of the commission of a corruption caseand the probability that can indicate one or several individuals as possible authors of the commission of thecorruption case. Public interest has been shown in the past as a factor; however, enough evidence is the
final and decision-making factor in prosecuting a corruption case. Reasonable prospect would have to be
the standard in Honduras; beyond a reasonable doubt is the standard to convict.
The prosecution rate is about 50%, which translates to 60 prosecutions a month countrywide. Bothimmunity and plea-bargaining, exist in Honduras through a tool located in article 28 section 512 of the
Criminal Process Law, which allows for the criminal justice official to negotiate with the prosecuted individual, so that he can make an efficient and effective statement before a judge, in order for higher ranking
public officials to be appropriately and effectively prosecuted.

V. TRIAL PROCEDURES
Honduras has a mixed adversarial system since 2002. In Honduras, it takes about one-and-a-half years
12 Artículo 28 numeral 5 del Código Procesal Penal, decreto 9-99 E

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to adjudicate a corruption case on average. Yes, we have problems expediting trials on corruption cases;
this is because of the amount of delaying measures the defence attorneys present in these types of trials,
e.g., appeals. Through a series of meetings and law reforms, we have managed to reduce the amount oftime a corruption trial may take by speeding the resolution of appeals and other procedural tools utilized
by the defence attorneys to delay trials. The proof of conviction standard is beyond a reasonable doubt.
The conviction rate is approximately 50%. Any type of evidence can be presented at trial, as long as it isobjectively trustworthy. The witness protection programme in Honduras consists of not including any
witness information at trial and using any type of procedure so that the witness is not visually or audibly
identified at trial. In some rare cases, the witness is transported to another state or country.
Honduras is the second most corrupt country in the Americas, according to Transparency International. This says a lot. Not much positive information can be addressed; however, I consider some correct steps
are being taken to improve our situation. Without a doubt, effective and precise measures have to be implemented here, such as increased wiretapping, under-cover investigations, bugging, controlled deliveries,
stings and increasing the investigation of higher ranking officials, such as presidential secretaries, congressmen, magistrates, judges, public prosecutors and much more.

128

CRIMINAL JUSTICE RESPONSE TO CORRUPTION IN KAZAKHSTAN
Kushimov Nurkhat＊

I. UNCACThe Republic of Kazakhstan ratified the UN Convention against Corruption on 4 May 2008. Alreadyhaving anti-corruption legislation in place, Kazakhstan is nevertheless continuing to improve it to achieve
its declared policy of “zero tolerance for corruption”.
In accordance with Article 4 of the Constitution of the Republic of Kazakhstan, universally recognizednorms and principals of international law and ratified international conventions are part of the legal system
of Kazakhstan and prevail before any conflicting national legislation.

II. CRIMINALIZATION OF CORRUPTION IN KAZAKHSTANIn 2014, Kazakhstan had a major reform of criminal, criminal procedural and administrative legislation.
Accordingly, three new codes (laws) were enacted. The Criminal Code (“CC”) provides the group of thearticles characterized as corruption crimes. They all have several obligatory features so that they could becounted as corruption.

These features are that the offence:1)		 Should be committed by a person who is authorized to perform state functions or hold official public
position2)		 Should involve the execution of state (public) function3)		 Should result in obtainment by such person of intangible profit or advantages for him/herself or athird party

Corruption crimes includes :-		 embezzlement of funds or property committed by the public (official) person (imprisonment from 5
to 10 years with confiscation)-		 fraud committed by a public (official) person (imprisonment from 3 to 7 years with confiscation)-		 false business activity committed by a public (official) person (imprisonment from 3 to 7 years withconfiscation)-		 creation and management of a financial pyramid committed by a public (official) person (imprisonment
from 5 to 12 years with confiscation)-		 money laundering committed by a public (official) person (imprisonment from 3 to 7 years with confiscation)-		 smuggling committed by a public (official) person (imprisonment from 3 to 8 years with confiscation)
Head of Division, Division of Analytics and Organization, Department of Internal Security, Ministry of Internal Affairs,
Kazakhstan.

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RESOURCE MATERIAL SERIES No. 98-		 raiding committed by a public (official) person (imprisonment from 7 to 10 years with confiscation)-		 abuse of power (imprisonment up to 2 years with confiscation, aggravated – up to 8 years with confiscation)-		 exceeding the limits of power (stretch of authority) in order to receive profit for him/herself or athird party (imprisonment from 4 to 8 years)-		 illegal participation in business activity (imprisonment up to 1 year with confiscation, aggravated –up to 4 years with confiscation)-		 obstruction of legal business activity (imprisonment up to 2 years with confiscation, aggravated – up
to 7 years with confiscation)-		 receiving a bribe (imprisonment up to 5 years with confiscation, aggravated – up to 15 years withconfiscation)-		 giving a bribe (imprisonment up to 3 years with confiscation, aggravated – up to 15 years with orwithout confiscation)-		 intermediation in bribery (imprisonment up to 2 years with confiscation, aggravated – up to 6 years
with or without confiscation)-		 official forgery (imprisonment up to 2 years with confiscation, aggravated – up to 6 years with confiscation)-		 inaction of service (imprisonment up to 2 years with confiscation, aggravated – up to 8 years withconfiscation)
The new edition of the CC concerning bribery provides a system of fines corresponding to the sums of
the bribe, which in turn provides a flexible and balanced approach to punishment for the bribery.
Depending on the seriousness of the crime, the fine could range from, for example, for a simple bribe(receiving) the fine is 50 times the sum of the bribe; for an aggravated bribe, it is from 60 to 80 times thesum of the bribe. For bribe giving, the fine is from 20 to 50 times. For intermediation in bribery, it is from10 to 20 times.
Nevertheless, other sanctions were significantly toughened. Mandatory life restriction against holding
public official positions and positions in companies with state participation in a case of the conviction for
corruption crimes was imposed for all corruption crimes.
Officials of foreign states and international organizations under the new CC are included as subjects ofcorruption crimes.
In case of corruption crimes, the property obtained by criminal means or purchased using funds
obtained by criminal means, passed by a convicted person to third parties can also be confiscated fromthese third parties. The procedural confiscation of the property which was used or intended to be usedduring the crime commission, including money and other valuables, raised by criminal means is also
allowed. The new Criminal Procedure Code (“CPC”) introduces the confiscation of property before conviction if the suspect is the subject of an international search or criminal proceedings were terminated due toan act of amnesty, time limit of prosecution expired or the death of the suspect.
Criminal responsibility of legal entities was declared inexpedient due to the principle of personalcriminal responsibility. The code of administrative offences introduces corruption administrative offences(which are not crimes). They are:-		 provision to persons authorized to perform state functions of the illegal material remuneration(presents, discounts or services)130

161ST INTERNATIONAL TRAINING COURSEPARTICIPANTS’ PAPERS-		 reception of illegal material remuneration by a person authorized to perform state functions-		 failure to take anti-corruption measures by management-		 hiring a person who was previously convicted for corruption
The Code also punishes legal entities. Meanwhile, the legislation of Kazakhstan does not contain any
provisions criminalizing trading in influence.
The new CC also does not directly criminalize “promise of bribe”. Deeming the intention to commit acrime as a completed offence is unacceptable according to the criminal law doctrine of Kazakhstan. Crimes
can only be actions (inaction) that pose danger to the public, entail public injury or create immediate threatof such injury. Pursuant to the Legislative Guide for the implementation of UNCAC, the Convention treatspromise as reaching an agreement to give (take) a bribe. Such actions could be defined by the legislation of
Kazakhstan as conspiracy and are treated as preparation.
The new CC waved the statute of limitations for persons committing corruption crimes.

III. INTELLIGENCE
The CPC provides several causes when the investigation should be started. Such leads include statements of citizens; the report of the official of a state body or the person carrying out administrative
functions in the organization; appearance of the guilty; reports in the mass media; direct detection of acrime by officials and bodies competent to investigate criminal cases.
The major source of the leads is the complaints of people who become victims of corruption. For thisreason, the agencies responsible for tackling corruption use various call-centers and mailboxes to facilitate
the direct communication with people.
For example, from the beginning of 2014 the call-center has been established within the Department ofInternal Security of the Ministry of Internal Affairs. The call-center has a short telephone number (1402)
which is free to call from any place within the country. This call-center works 24/7 and has an operative
officer on duty. Any signal about corruption is taken seriously by organizing a swift check and if the leadis valid it will then be developed into a fully fledged investigation.
Another major source of the leads is the work with informants, who, if they receive any information
about an already committed crime or preparation of the crime, would pass it to its contacting officer. The
officer after checking the validity of the information received will register the lead and proceed with theinvestigation.
The CPC provides a number of measures to provide security for any persons involved in criminal
process. In the investigation stage, such measures include:-		 official warning (caution) to a person who poses any threat-		 limiting access to the information of the protected person-		 provision of personal physical security-		 arrest, detention of the accused which excludes the possibility of harmful actions towards theprotected person-		 restraining order that prohibits any attempt to approach or communicate with the protected person
During the trial the judge could provide further measures of security. They include:-		 the witness or victim statement without disclosure of their personal information and with the use of131

RESOURCE MATERIAL SERIES No. 98
nicknames-		 the witness or victim statement in the conditions that exclude the possibility of recognition by voice,accent, sex, nationality, age, etc.
-		 the witness or victim statement without visual contact, including the use of video conferencing
In addition, the judge can prohibit the video or audio recording during testimony or can have thedefendant leave the courtroom, except his/her counsel.
The State Protection of Persons Involved in Criminal Procedures Act (2000) provides additional
measures such as personal protection, confidentiality of data, relocation, the change of the place of study,
the change of the place of job, and assistance in work placement.
Kazakhstan also is a party to the Agreement on Protection of the Participants of Criminal Procedures(2006), which provides relocation of protected persons to another country.
Kazakhstan encourages whistle-blowing. According to the Government decree on approving the Rules
on rewarding those who disclose facts of corruption offences or otherwise assist in the fight against corruption (2012), whistle-blowers receive monetary rewards for providing the leads on corruption activities.
However, the legislation does not provide any additional protection measures for whistle-blowers, as
everybody is considered to be equal and has the equal right to be protected.
All the proactive measures can be used in the process of investigation of corruption cases.

IV. INVESTIGATION
The power to proceed with criminal investigation is given only to four agencies:
1. Police (the Ministry of Internal Affairs)
2. The Committee of National Security
3. The Anticorruption Office (Civil-service and Anti-corruption Agency)
4. The Office of Economic Investigations (The Ministry of Finance)
The CPC provides clear division of what type of crimes should be investigated by each of the fouragencies. All corruption cases are investigated by the Anticorruption Office. However, all other agencies, if
they detect corruption, can start investigation so that no evidence is lost. Then the prosecution office will
direct the case to the Anticorruption Office for further investigation. The prosecutor could, nevertheless,leave the case to the agency that started investigation. The General Prosecution Office has the Special
Prosecution Department that also can investigate corruption cases.
Any investigation starts by registration of the information about the crime in the single register of
pre-trial investigations. After this registration, the investigator could conduct investigative steps to collectevidence.
Investigative measures:-		 Interrogation and cross-interrogation (video recording could be used)-		 Deposition and interview-		 Crime scene investigation/examination-		 Search and seizure (need warrant from the prosecutor)
132

161ST INTERNATIONAL TRAINING COURSEPARTICIPANTS’ PAPERS-		 Forensic examination-		 Covert investigation
Covert investigation measures include:-		 Controlled delivery-		 Wiretapping (telephone, computer)-		 Bugging (person, place)-		 Penetration of offices, houses or other places-		 Physical control of a person or place
Sting operations are not available for corruption cases as any provocation by the investigators of otherpersons to commit corruption is prohibited by the CC.
All covert investigation measures require warrants form the prosecutor. Nevertheless, the accused andall the parties of the investigation have the right to challenge the decisions and measures taken to thecourt. The investigative judge has to consider the challenge within 3 days.
Information, which is the subject of commercial and bank secret protection (Art. 122 of the CPC), canbe obtained by law enforcement agencies on the basis of the prosecutor’s sanction or on the basis of thecourt’s decree.
The accused and his/her counsel have a very active role at the stage of investigation. They can petition
an investigator to take the investigative measures they consider necessary to establish or refute his/herguilt. The investigator is obliged to consider the necessity of such measures and give an answer in writing.
If the investigator considers such measures unnecessary, then the accused could petition the prosecution
office or the court, which if they consider it necessary, could direct the investigator to take such measures.
The person could be arrested up to 72 hours without a warrant. During this time the investigation
should send all material to the prosecutor to consider whether it is necessary to ask the court to give thewarrant for detention of the accused. If the prosecutor finds it necessary, then he/she will apply to thecourt for the warrant. The judge decides whether to issue warrant or not. The length of the detention is
two months, but could be prolonged. If the judge decides not to issue the warrant for detention, bail orhouse arrest could be used.
The normal length of investigation is two months, but could be prolonged by the prosecutor up to 18
months. However, if the accused admits his/her guilt, the investigation could take the form of an expedited
investigation, which is 15 days.
After the completion of all the investigating actions, the investigator invites the victim(s), accused(s) andtheir counsel to examine all the evidence collected. The accused could take as much time as necessary forthe examination of the evidence. However, if the time asked for is unreasonable, the investigator on theapproval by the prosecutor could make a timetable for the examination of the evidence.
The accused has the right to petition the investigator to take additional investigative actions to collectevidence that denies his/her gilt. Upon the completion of such actions the accused again is invited to
examine the evidence. Thus, the disclosure takes place before the prosecution and trial.

V. PROSECUTION
After the investigation is completed, the case is then sent to the prosecution office. Having consideredand evaluated all the collected evidence, the prosecution office then decides whether to support the prose133

RESOURCE MATERIAL SERIES No. 98
cution or to drop the case. The only test is the sufficiency of the collected evidence to convict and the reasonable prospect of conviction. There is no such test as public interest.
If the prosecutor is not satisfied with the sufficiency of collected evidence, the prosecutor could
terminate the investigation and prosecution or send the case for additional investigation. The prosecutor
has to make the decision whether to proceed with the prosecution in 10 days and in the case of an
expedited investigation, in 3 days.
Recently, plea bargaining has been introduced to the Kazakhstan criminal procedure in the form of theprocedural agreement.
It can only be used if three conditions are fulfilled:
1.		 The accused voluntarily pleads guilty and initiates the conclusion of a procedural agreement.
2.		 The accused does not contest (dispute) the charges against him/her, the collected evidence and thecharacter and scale of the damage caused.
3.		 The victims should consent to the agreement.
The procedural agreement cannot be considered if the crime has the maximum sentence of more than
12 years of imprisonment. The plea bargain gives the accused a 50% discount on the maximum sentence
possible for the crime committed and shortens the time when he/she could be released on parole.
The procedural agreement should be signed by three sides: the accused, the prosecutor and thevictim(s). The agreement can be initiated by the accused/defendant or the prosecutor at any stage of theinvestigation, prosecution or trial, but before the judge(s) retires for deliberation, and the accused/defendant
has the right to revoke the agreement at any time before the judge(s) retires for deliberation. After theagreement is signed, the victim cannot ask to increase the amount of the damages caused by the crime.
The procedural agreement is then sent to the court for the judge to decide whether to uphold it ordischarge and initiate a full investigation. This is the monitoring system to prevent any facts of misuse ofprocedural agreements. However, the procedural agreement has not been used for corruption cases yet.
Some categories of public persons have immunity from arrest, detention or criminal prosecution. The
list of such persons is limited by those specified in the Constitution of the Republic of Kazakhstan. The
procedure for lifting such immunity is established by the Criminal Procedural Code.

VI. TRIAL PROCEDURE
The trial system of Kazakhstan can be characterized as adversarial as the prosecution and defence
have equal rights at the trial. The trial is conducted orally, and it is open for the general public to attend.
The burden of proof lies on the prosecution. The standard of proof for conviction is beyond a reasonable
doubt.
The defendant enjoys a wide range of rights, such as the right to remain silent, to the presumption of
innocence, to present any exculpatory evidence, to know and examine all the evidence and to receive thecopies of any documents collected during investigation, prosecution and trial, to the treatment of any doubt
in his/her favour, and the right to counsel (provided at the expense of the state).
Pretrial procedures are obligatory for especially grave crimes and take 10 days but could be prolonged
for an additional 20 days. At the pretrial stage, the judge considers all the petitions from the defendant andthe prosecution.
The trial has the following stages: opening, examination of evidence, closing arguments, the last wordof the defendant and judgement. The trial should be completed within a reasonable time. On average ittakes 2-3 months for a first instance trial. Appellate procedures could take another 2-3 months. If the134

161ST INTERNATIONAL TRAINING COURSEPARTICIPANTS’ PAPERS
defendant voluntarily pleads guilty, the trial will be in form of an expedited trial which takes 10 days andcould be prolonged for an additional 20 days. The jury trial, which does exist in Kazakhstan, is only
available for a certain number of crimes (those punishable by capital punishment or life imprisonment);
therefore, corruption cases are not subject to jury trials.

VII. EVALUATION AND RECOMMENDATIONS
In general, the criminal justice response to corruption is adequate and balanced. The simplification of
the criminal procedures, regulating collection of evidence, increases the number of detected cases of corruption and the conviction rate of such cases. The priority of procedural norms is to guaranty the certain
level of protection for the innocent facing criminal charges. The early disclosure of evidence expedites thecriminal procedure.

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CRIMINAL JUSTICE RESPONSE TO CORRUPTION IN MALDIVES
Fathimath Haifa Abdul Gayoom＊

I. INTRODUCTION
The Anti-Corruption Commission (ACC) of the Maldives was established on 16 October 2008. Prior tothat, the function of corruption control was mandated to the Anti-Corruption Board (ACB), a governmental
body established by Presidential decree on 21 April 1991.
ACC consists of five Members, appointed by the President of the Maldives with approval of the Peoples
Majlis (Parliament). The Chairman of the Commission is the primary head of the institution responsible foroversight and delegation of tasks to Commission Members, Secretary General and Staff.
The first piece of legislation formulated to combat corruption in the Maldives is Act no 2/2000, Prevention and Prohibition of Corruption Act (PPCA) which was enacted on 31 August 2000.1 The Act criminalizes various acts of corruption committed in public offices. Later, the democratic process led to the ratification of the 2008 Constitution, mandated the establishment of an independent statutory institution to combat
corruption. Hence, Act no 13/2008, the Anti-Corruption Commission Act (ACCA) was enacted on 24
September 2008. 2
Key functions of the Anti-Corruption Commission
The ACC Act 13/2008 mandates the following obligations of the Commission: 3
⿟⿟ To inquire into and investigate all allegations of corruption; any complaints, information, or
suspicion of corruption must be investigated;⿟⿟ To recommend further inquiries and investigations by other investigatory bodies, and torecommend prosecution of alleged offences to the Prosecutor General, where warranted;
⿟⿟ To carry out research on the prevention of corruption and to submit recommendations for improvement to relevant authorities regarding actions to be taken;
⿟⿟ To promote the values of honesty and integrity in the operations of the State, and to promote
public awareness of the dangers of corruption;
⿟⿟ Conduct seminars, workshops and other programmes to enhance public awareness on the prevention and prohibition of corruption; conduct surveys and research to further this end and the publication of such surveys and research;⿟⿟ Disseminate information related to the prevention and prohibition of corruption that require public
disclosure and publish statements where necessary;⿟⿟ Implement and monitor the implementation of the Prevention and Prohibition of Corruption Act
2/2000 and formulate and implement all rules necessary for the enforcement of the Act.

Investigation Officer, Investigation Division, Anti-Corruption Commission, Republic of Maldives.

＊

1 Act no 2/2000, Prevention and Prohibition of Corruption Act.
2 Act no 13/2008, the Anti-Corruption Commission Act.
3 Article 21 of the Anti-Corruption Commission Act.

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A. UNCAC
Maldives acceded to the United Nations Convention against Corruption (UNCAC) on 22 March 2007.
Since the Maldives accession to the United Nations Convention against Corruption, the legislative authorities have been trying to bring about legislative, institutional and policy measures or changes to implement
UNCAC. Maldives has completed its first self-assessment on chapters 3 and 4 of the Convention and is in
the process of finalizing its self-assessment report.
The provisions of the convention are incorporated into the domestic law through amendments or bypassing new legislations or by adopting them into the administrative system. So far the main pieces of legislation in the anti-corruption framework are the Prevention and Prohibition of Corruption Act (the‘PPCA’),4 the Penal Code, 5 the Prevention of Money Laundering and Financing of Terrorism Act6 (AML/CFT Act) and the Anti-Corruption Commission Act7 (the ‘ACCA’).
In 2015, two important international cooperation laws were enacted. They are the Law on Extradition, 8
and the Act on Mutual Legal Assistance in Criminal Matters.9
1. Challenges or Problems Faced by Maldives in Implementing UNCAC
⿟⿟ Lack of an effectively coordinated means of communication among the stakeholders, resulting in alack of coordinated effort on implementing UNCAC.
⿟⿟ Staff shortage and capacity faced by the ACC.
⿟⿟ Difficulties faced in getting necessary laws or amendments passed through the parliament due tochallenges in the political environment.
⿟⿟ Technical assistance requirements.

II. MEASURES FOR DETECTION AND PUNISHMENT
A. Intelligence
1. Measures Used to Generate Leads
To generate the leads and clues of corruption, there is a hotline established at ACC where the public
can report acts of corruption anonymously. Although no financial incentives are offered for reporting, in
2014, approximately 600 calls were received.
Apart from the hotline, cases are filed through written letter, by phone, by e-mail, fax or in person, andthe informant has the choice of revealing their identity. The commission also has the power to initiate investigation on any suspicion of corruption. As such, some of the issues mentioned in the audit reports andnewspapers were investigated. However, information obtained from social media and the Internet were notused as means of intelligence.
In addition, information regarding Suspicious Transaction Reports (STRs) are traced by the Financial
Intelligence Unit (FIU), which is located within the Central Bank (Maldives Monetary Authority). It traces
and forwards the respective intelligence information regarding STRs to the Maldives Police Service.10
2. Whistle-blower Protection in the Maldives
Although whistle-blowing is an effective way to generate leads on corruption, due to the lack of protection provided for the whistle-blowers, people are not willing to disclose information. According to the
Global Corruption Barometer Survey 2013, 11 percent would not report an incidence of corruption, and of
4 Act no. 2/2000, Prevention and Prohibition of Corruption Act 2000.
5 Act no. 1/81, the Penal Code.

6 Act no. 10/2014, the Prevention of Money Laundering and Financing of Terrorism Act.
7 Act no. 13/2008, the Anti-Corruption Commission Act.
8 Act no. 1/2015, Extradition Act.

9 Act no. 2/2015, the Prevention of Money Laundering and Financing of Terrorism Act.
10 Article 38 of the Banking Act 2010.

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this, 22 percent would not report for fear of the consequences.11 In order to support maximum information
disclosure, more needs to be done to ensure protection for whistle-blowers.
Concerning the protection of whistle-blowers, general whistle-blower protection is contained in Article
18 of the PPCA. It stipulates that where the informants wish to remain anonymous, such anonymity should
be maintained, and whoever fails to afford such anonymity is punishable by imprisonment, banishment orhouse arrest for a period less than a year.12
Article 41 of the Banking Act and Article 44 of the the Prevention of Money Laundering and Financingof Terrorism Act further provide protection for the directors and staff of banks who report in good faith.
Moreover, Article 35 of the Maldivian Civil Service Act provides protection for the employees who reporta breach or an alleged breach of that Act, Regulation and Code of Conduct of the Maldivian Civil Service
to the Responsible Officer of that institution or to the Civil Service Commission against victimization, or
discrimination.13
B. Investigation
The complaints lodged at the Anti-Corruption Commission are checked by the members of the Commission to decide whether the complaint falls under the mandate of the Commission, whether it is frivolous,
whether it requires corrective action, or whether it warrants investigation.
When the Commission decides that an allegation warrants investigation, a Case File is prepared andassigned to an investigation team which consists of three investigators with auditing or law backgrounds.
The leader of the investigation team assigns the case to one of the investigators who will lead the case.
The lead investigator has to produce a summary of the case proceedings within seven days. The summary
proceedings are discussed within the team. Then, the investigation commences where documentary andverbal evidence are collected.
1. Evidence Collection.
Under the ACCA and PPCA, the Anti-Corruption Commission has the power to obtain admissible
evidence by:⿟⿟ Search and examination of premises of all such bodies that the Commission has the authority
over in performing its duties.
⿟⿟ Checking and freezing suspicious bank accounts, confiscation of undue properties and monies
through court order.
⿟⿟ Power to summon and obtain witness statements.
⿟⿟ Search and seizure of documentary evidence.
⿟⿟ Require any person or such body as the Commission believes to have information relating to an
investigation to produce such information in writing.
As the Anti-Corruption Commission of the Maldives lacks the necessary technical capacity to carryout complex investigations, ACC seeks the assistance of experts where such assistance is needed in collecting evidence or in analysing the evidence. As such, ACC has a Memorandum of Understanding with
Maldives Police Services to seek the assistance of police for forensic expertise.
The Banking Act obliges the banks to disclose confidential information upon a written request from acriminal investigative body.14 As such the investigating agency has the authority to obtain through theMaldives Monetary Authority bank account details and details of transactions carried out through banks
11 Transparency Maldives, Global Corruption Barometer Survey 2013.
12 Article 18 of the Prevention and Prohibition of Corruption Act.
13 Article 35 of the Maldivian Civil Service Act.
14 Article 42 of the Banking Act 2010.

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and also to obtain copies of documents which are required for investigation.
No covert investigation or special investigative techniques such as wiretapping, telephone bugging, geolocation, sting operation, controlled delivery or special computer software are used to investigate a corruption case in the Maldives. However, article 49 and 50 of the Prevention of Money Laundering and
Financing of Terrorism Act regulates the use of special investigative techniques, upon court order, toobtain evidence of money laundering and for tracing proceeds of crime. Special techniques foreseen in the
Act include electronic surveillance, wiretapping, controlled delivery and undercover operations.15
2. Challenges Faced at the Investigation Stage.
The Maldives still faces many problems and challenges in terms of investigation. As for the investigations carried out by the Anti-Corruption Commission, the following problems and challenges are faced:⿟⿟ Maldives is an island nation consisting of many islands which are separate from each other; hence
there is always difficulty in reaching the destination with ease.
⿟⿟ Due to geographical barriers, it is difficult to take prompt action when there is a need to investigate a case with urgency.
⿟⿟ Travelling is costly whether by sea or air. Sometimes it is not easy to find transport whenrequired and delays also occur due to weather conditions.
⿟⿟ It is time consuming to obtain a Court order to freeze and seize suspicious bank accounts, confiscate undue properties and funds and to search and seize documentary evidence.
In order to overcome the challenges faced in terms of investigation, assessing the geographical situationof the country and the adoption of effective methodologies is needed, and relevant laws need to be introduced which would allow the Anti-Corruption Commission to issue court orders which are necessary wheninvestigating corruption cases.
3. Investigation Reports.
Upon collection of all the necessary evidence, an investigation report is prepared. Then, the report isreviewed to check whether any legal or evidentiary issues need to be resolved with regard to the case andits facts, and if the report does not suffice, it is handed back to the lead investigator for further inquiry.
The final report and the recommendations of the investigator are then submitted to the Commission
members for further review, and the case is concluded when the members decide what action needs to betaken. There are three ways in which a case is concluded. If there is sufficient evidence, the case isforwarded to the Prosecutor General’s Office; if there is not enough evidence, then the case is closed.
Where the investigation has identified administrative or procedural issues that lead to corruption, then therelevant institution is notified and ordered to make amends in the administrative or procedural methods
implemented. When the case is sent for prosecution, or notified to the relevant authorities about thechanges in administrative or procedural issues, the Commission receives notification of the action taken.
There are no official statistics that state the duration taken on average to investigate a corruption case,as it depends on the cases on hand. The following table shows the number of cases reported and theactions taken during the years 2009 – 2014.16

15 Article 49 and 50 of the Prevention of Money Laundering and Financing of Terrorism Act.
16 Annual Reports of ACC in 2009, 2010, 2011, 2012, 2013 & 2014.

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Particulars

2009

2010

2011

2012

2013

2014

No. of cases reported to ACC

254

917

260

1138

1085

597

No. cases initiated by ACC for investigation

-

63

19

156

231

125

No. of cases that ACC decided was beyond its mandate

76

257

41

197

225

243

No. of cases ACC decided to forward to other institutions

22

23

   5

   13

    5

   6

No. of cases ACC completed investigation

153

324

134

431

620

783

No. of cases forwarded for prosecution

   7

17

   6

   49

   57

35

C. Prosecution
The Prosecutor General’s Office was established on 7 August 2008 under Article 220(a) of the Constitution.17 The Prosecutor General’s Office is an independent legal entity with a separate seal, possessing
power to sue and be sued, and to make undertakings in its own capacity.18 The Prosecutor General is toinstitute and conduct criminal proceedings in respect of any alleged offence, to take over, review andcontinue proceedings and, at his discretion, to discontinue any criminal proceedings at any stage prior tojudgement.19
Article 25(b) of the Anti-Corruption Commissions Act states that upon completing the inquiry and investigation of a case, the Commission has to send the case to the Prosecutor General’s Office for prosecution if the case is one which involves an offence of corruption, and the Commission believes that there issufficient evidence to obtain a conviction at trial. 20
In the current system practiced in Maldives, upon submission of the case for prosecution, the prosecutor objectively assesses whether there is sufficient evidence for prosecution, and whether the case should
be prosecuted in the interest of the public. Prosecution guidelines, formulated by the Attorney General,provide the basis to determine the type or gravity of cases that warrant prosecution.
1. Standard Used for Prosecution of Corruption Cases.
Currently, there are three pieces of anti-corruption legislation which are, the Prevention and Prohibitionof Corruption Act (Act No.22/2000), the Anti-Corruption Commission Act (Act No: 13/2008) and the newPenal Code (Act no. 9/2014).
Section 1(a) of the Prevention and Prohibition of Corruption Act states that the purpose of the Act is toprevent the offer and acceptance of bribery in addition to the prevention and prohibition of attainment of
undue advantage through the use of influence from his/her position, and also the prevention of any suchact which can be considered as corruption. 21 Although this Act does not give a definition of corruption, it
gives the power to the Courts to decide whether or not an act not explicitly stated in the PPCA constitutes corruption.
The new Penal Code which came into effect on 16 July 2015 replaced the country’s existing Penal Codewhich dates back to 1968.
The new Penal Code also uses ‘Beyond a reasonable doubt’ as the standard of proof. This standard of
proof is used exclusively in criminal cases, where a person cannot be convicted of a crime unless the judge
is convinced of the defendant’s guilt beyond a reasonable doubt.
17 Article 220 (a) of the Constitution states that there shall be an impartial Prosecutor General of Maldives.

18 The Prosecutor General is independent and impartial, and he shall not be under the direction or control of any person or
authority in carrying out his responsibilities and the exercise of his powers. He shall carry out his responsibilities andexercise his powers without fear, favour or prejudice, subject only to the general policy directives of the Attorney General,and on the basis of fairness, transparency, and accountability.
19 Article 223(c) and (g) of the Constitution.
20 Article 25(b) of the Anti-Corruption Commission Act.
21 Section 1(a) of the Prevention and Prohibition of Corruption Act (Act No.22/2000).

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2. Prosecution Rate of Corruption Cases.
Although ACC has sent over 160 cases for prosecution since 2011, the number of cases sent for trial by
the Prosecutor General’s office and successful convictions are very low on corruption cases. In fact,according to the records22 from the Prosecutor General’s Office, only three cases of bribery have beenprosecuted between 2010 and 2014, and only a single case of undue advantage has resulted in a definitive
conviction with all the stages of appeal exhausted. In Abdul Hameed v PG (2011), the Supreme Court
upheld the conviction by the Criminal and the High Court and the accused was found guilty under section
12 of the PPCA, and was sentenced to one year and six months of banishment for unduly conferring an
advantage to another party. He was a serving member of the parliament when the case was heard in the
courts, and as result of the conviction he lost his seat in the parliament.
3. Immunity
In Maldives, there is no immunity for public officials from being investigated or prosecuted. However,immunity is provided for diplomatic officials23 and the president during his term. In the case of the latter,
he is accountable by law for any offence committed before or during his tenure, but the People’s Majlis(Parliament) may decide to defer criminal proceedings until after the expiration of the term of office. 24
4. Plea Bargaining
Plea bargaining is not provided for in the Maldivian legislation, and is not practiced. However, under
Section 30 of the new Penal Code, an accomplice is given mitigated punishment or immunity if it is proventhat he is made accountable for the conduct of another. 25 Under section 1107 of the new Penal Code, cooperation with law enforcement authorities is encouraged to the extent that an offender’s sentence can be
mitigated if he provides substantial cooperation to law enforcement authorities. 26 The mitigation and aggravation of the sentence is based on the sentencing guidelines, depending upon the crime and the offender,
to maintain consistency.
In cases of money laundering, penalties may be reduced if the perpetrator provides the competent authorities with information they would not have otherwise obtained. 27
D. Trial Procedure and Adjudication
1. Judicial System
Maldives has an adversarial judicial system where the court plays a role primarily that of an impartial
referee between the prosecution and the defence. The court does not actively take part in any process ofan investigation.
In 2008 a new Constitution was ratified in the Maldives, and it brought a huge change to the judicial
system of the country. The Supreme Court established under this constitution is the highest institution of
the judiciary. The duration taken for a case to finish the process of adjudication is not uniform and not definitive. So far only one case of corruption has gone through all the stages of adjudication, and it took about
three years for the case to finish the whole process. Some cases take the same time to finish through thelower court.
Advancing trials of corruption cases depends on socio-political factors of the case. The political ideologyof the person who is tied to corruption plays a huge role in how fast the trial is expedited. Although article
17(a) of the Constitution states that everyone is entitled to the rights and freedoms included in this Chapter
without discrimination of any kind, including race, national origin, colour, sex, age, mental or physical disability, political or other opinion, property, birth or other status, or native island, 28 it is arguable whether
22 Records were obtained under the Right to Information (RTI) Act via an RTI application submitted to the Prosecutor

General’s Office.

23 Section 63 of the Penal Code.

24 Article 127 of the Constitution.
25 Section 30 of the Penal Code.

26 Section 1107 of the Penal Code.

27 Section 61 (b) of the Prevention of Money Laundering and Financing of Terrorism Act.
28 Article 17(a) of the Constitution.

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the right of non-discrimination is exercised properly.
2. Standard of Proof for Conviction
Under the constitution for a person to be convicted for a criminal offence it has to be proven beyond areasonable doubt. Article 51(h) of the constitution states that a person should be presumed innocent until
proven guilty beyond a reasonable doubt. 29 This is the standard of proof in corruption cases, too, as it is acriminal offence.
3. Conviction Rate of Corruption Cases
Although several cases are submitted to the PG each year, very few of these result in successful convictions. As of 2012, there has been only one major corruption case that resulted in a successful conviction— a case involving a sitting MP, which resulted in the removal from his post as a Member of Parliament. 30
Contrastingly, 26 cases involving 52 prosecutions were sent to the PG by the end of 2011.31 A parliamentary oversight committee reported in 2012 that the majority of corruption cases forwarded by the ACC to
the PG are pending a decision at the PGO, 32 and that those forwarded to courts by the PG often face
another waiting period while the courts make a decision. 33
4. Pre-trial Procedure
There are no pre-trial procedures for identifying issues, facts or to scrutinize the evidence. However,with the new Penal Code, which came to effect on 16 July 2015, the trial procedures might change so that
there will be two separate hearings, one to prove the offence is committed and the other to decide on thesentencing.
5. Witness Protection in the Maldives
To date there are no witness protection laws in the country. However, an amendment to the National
Police Act provides for some witness protection measures. In some cases judges have allowed witness
statements to be given under special procedures where the identity of the witness is hidden.

III. GOOD PRACTICES AND PROBLEMS IN THE SYSTEM
A. Good Practices
1. Public–Private Cooperation
To promote public–private cooperation in the fight against corruption, the Anti-Corruption Commission
has established a confidential reporting channel, a hotline, where anyone can report wrong doing without
their identity being disclosed. It also entails prompt disclosure and cooperation with enforcement authorities when violations occur.
Various types of public awareness campaigns, such as media advertisements, seminars and workshops
are carried out in all parts of the country every year to promote public awareness on the dangers of corruption. The main aim of these awareness campaigns is to prevent and prohibit corruption in the country.
Much needs to be done to strengthen the public–private cooperation in combating corruption. Based on
the statistics of the corruption cases filed, the following are some areas that need improvement in thecurrent system.
⿟⿟ Public sector ethics and procedures: require recruitment and promotions to be based on efficiency,transparency and objective criteria such as merit, equity and aptitude.
⿟⿟ Public procurement: require procurement systems to be based on transparency, competition and
29 Article 51(h) of the Constitution.

30 National integrity system, Maldives 2014.
31 ACC Annual Report 2011.

32 “Seventy-two percent of corruption cases pending on PG’s table: Nazim” Haveeru News (web) 15 August 2015 at <http://

www.haveeru.com.mv/news/46420>http://www.haveeru.com.mv/dhivehi/abdulla_hameed/110061>.

33 See for example, corruption case of former Minister Abdulla Hameed: “Court orders to arrest and summons Abdulla

Hameed” Haveeru News (web) 15 August 2015 at <www.haveeru.com.mv/dhivehi/abdulla_hameed/110061>.

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objective criteria.
⿟⿟ Public sector finance: require appropriate measures to be taken to promote transparency and accountability with respect to, procedures for the adoption of the national budget, timely reportingon revenue and expenditures, accounting and auditing standards, effective and efficient systems ofrisk management and internal control.
Although the above three measures are already implemented in the Anti-Corruption Commission, there
are many government offices that do not follow such a system, leading to corrupt practices in the threeareas mentioned.
2. International Cooperation(i) Extradition
Before the enactment of the Extradition Act (Act No. 1/2015), 34 which came into force on 5 April 2015,
Maldives had very limited experience with extradition. Prior to this act Maldives signed three extradition
agreements. They are with Sri Lanka on the 2 of September 1981, with Germany on the 14 of September
1982 and with Pakistan on the 12 of July 1984. The new act ensures smooth cooperation with othernations.
(ii) Mutual Legal Assistance
The Mutual Legal Assistance Act (Act No. 2/2015), 35 which came into force on 5 June 2015, provides
for mutual legal assistance (MLA) on a treaty basis, including for cases involving non-coercive measures. It
sets out a general framework to regulate procedures for providing or requesting MLA.
In October 2009, Maldives ratified the Convention on Mutual Assistance in Criminal Matters of theSouth Asian Association for Regional Cooperation (SAARC Convention). Article 1 of the Convention Statesthat the State Parties to the convention shall, subject to their national laws, and in accordance with theprovisions of the convention, provide to each other the widest possible measures of mutual legal assistancein criminal matters, namely investigations, prosecution and resulting proceedings.
Under the Prevention of Money Laundering and Financing of Terrorism Act, it is mandatory for thedomestic authorities to provide the widest possible range of cooperation to competent authorities of requesting States. Section 49 and 50 of the Prevention of Money Laundering and Financing of Terrorism Act
regulates the use of special investigative techniques, upon court order, to obtain evidence of money laundering and for tracing proceeds of crime. Special techniques foreseen in the Act include electronic surveillance, wiretapping, controlled delivery and undercover operations. 36 However, there is no record of identifying, tracing, freezing and confiscation of any proceeds, property or assets.
Maldives has signed the Transfer of Prisoners Agreements with India, Sri Lanka and Russia andproposed Transfer of Prisoners Agreements to Syria, Indonesia, Philippines, Thailand, Bangladesh andPakistan. However, the latter are yet to be agreed upon.
(iii) Law enforcement cooperation
As Maldives is a member of Interpol, Maldives seeks and provides assistance to/from other nations
who are a party to Interpol.
In addition, Maldives has provided cooperation with other law enforcement agencies in the region in alimited number of cases. It includes exchange of information, identification of persons and cases of joint investigations. The Maldivian Police have cooperated at the international level, utilizing techniques of controlled delivery in drug-related offences.
B. OTHER PROBLEMS OR CHALLENGES
1. Due to the shortfall in the financial capacity, it affects the performance of ACC in carrying out its
34 Extradition Act (Act No. 1/2015).

35 Mutual Legal Assistance Act (Act No. 2/2015).

36 Act no. 10/2014 - the Prevention of Money Laundering and Financing of Terrorism Act.

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functions especially in relation to the challenges incurred due to the geography of the country. The lackof financial resources limits the ACC’s capacity to establish an adequate number of regional offices
throughout the country. Likewise, financial limitation also results in lack of capacity for adequate publicawareness programmes to be carried out throughout the country at times.
2. With the growing number of complaints lodged, and for the effective functioning of the mandate of the
ACC there is an imperative need to build the human resource capacity of the ACC by recruiting professional, skilled staff and to provide the necessary training to enhance their skills.
3. Due to the weaknesses in the current Anti-Corruption Commission Act and the Prevention and Prohibition of Corruption Act, a revised bill has been drafted and proposed to the parliament in late 2012.
However, due to challenges in the political environment, the bill has not yet been passed.
4. Lack of effective coordination and communication among stakeholders, resulting in a lack of coordinatedeffort on implementing UNCAC.
5. One of the ACC’s mandates is educating and raising awareness among the general public against corruption, but it falls short of achieving this goal due to budget constraints.
6. Lack of a compliance mechanism to evaluate whether the recommendations given by the ACC are
adhered to by the institutions.
7. Due to the weaknesses in the legal framework, it is difficult to take prompt action when there is a needto investigate a case with urgency.
8. ACC does not have prosecutorial powers, which lay with the Prosecutor General (PG), who is responsible for instituting and conducting all criminal prosecutions and proceedings on the cases forwarded by
ACC. Although a number of cases are being forwarded every year, actions are taken on a very few
cases. So it is very important to improve the coordination between ACC and the Prosecutor General’s
Office, as the effectiveness of the ACC is significantly dependent upon the performance of PG and thecourts for successful prosecution.

IV. RECOMMENDATION
1. It is vital to assess the geographical situation of the country and to adopt an effective methodology tocombat & prevent corruption.
2. Measures need to be taken to ensure financial stability and predictability for the ACC, to enable it toplan its investigations and awareness activities.
3. Human resources and training opportunities for ACC staff need to be increased, especially in terms ofinvestigative capacity.
4. Establish a review and follow-up mechanism to ensure the recommendations provided are enforced by
the institutions.
5. Need to strengthen the coordination between the work of the ACC and other law enforcement agencies,
such as the PGO and the judiciary, to increase collaborative efforts. Also, efforts need to be made tobuild public confidence in institutional cooperation.
6. Preventive efforts need to be planned and implemented with other stakeholders such as local NGOs
and businesses in order to use the limited resources most efficiently.
7. Build and maintain international cooperation to transfer information and knowledge, and obtainfinancial and technical assistance.

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CRIMINAL JUSTICE RESPONSE TO CORRUPTION IN
SOUTH SUDAN
Akuei Mayuen Deng Dut＊

I. INTRODUCTION
This paper is prepared in response to the requirement of the Japan International Cooperation Agency“JICA” Knowledge Co-Creation Program on the Criminal Justice Response to Corruption. The main theme
for the programme is “Effective Anti-Corruption Enforcement and Public–Private and International Cooperation”. The objective of the programme is to share information and experiences of the participants respective criminal justice systems with the view to understanding and appreciating success stories as well
as challenges encountered. Participants are therefore required to respond to specific questions posed. This
paper is therefore customized to address the questions in the order of their appearance in the pages
mentioned above. The paper will conclude with a brief summary of the measures South Sudan is putting
in place to overcome challenges and make its fight against corruption robust and sustainable.
However, the paper will begin by giving a brief account of the institutional and legal framework within
which corruption is fought in South Sudan. It is believed that this will help the reader in appreciating thestrengths and weaknesses of anti-corruption measures in operation in South Sudan. Effectiveness and efficiency of efforts geared at anti-corruption are to a large extend a product of the institutional arrangementin place and the legal framework that governs their operations.

II. INSTITUTIONAL AND LEGAL FRAMEWORKThe South Sudan Anti-Corruption Commission (SSACC) was established under the Interim Constitution of Southern Sudan1 “ICSS” 2005. Article 147 of ICSS provided for the establishment of an independentand impartial body to be known as “Southern Sudan Anti-Corruption Commission”.
Under ICSS, SSACC’s mandate2 was to:⿟⿟ protect public property;
⿟⿟ investigate cases of corruption in both the public and private sectors;
⿟⿟ combat administrative malpractices and;⿟⿟ to administer assets AND liabilities declarations of senior public service officials pursuant to
Article 121 of ICSS.
Giving effect to this constitutional provision, the president of the then-Government of Southern Sudan“GOSS” on June 2006 issued a presidential decree appointing the commission, 3 comprising of the chairperson, deputy chairperson and three commissioners. As there was no law in place as guidance, the Commission embarked on developing legislation to address issues of corruption offences, sanctions as well as
establish the matters, among others. The idea was to adopt legislation which would be both comprehensive
and effective in addressing the vice of corruption. Four years down the line, and after a protracted wait
and delay, the Commission settled on the Anti-Corruption Commission Act, 2009.

Director General, Investigations and Legal Services, South Sudan Anti-Corruption Commission.

＊

1 Post-conflict constitution and a product of the Comprehensive Peace Agreement between the then-Government of Sudan

and rebel movement known as Sudan People’s Liberation Movement/Army “SPLM/A”.

2 Article 148 (1) inclusive of ICSS.

3 The Commission is the policy-making body of SSACC. Apart from the Commission, there is Management headed by the

Executive Director.

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Under this Act, no corruption offences were created as envisaged by the draft bill. Only some sectionsof the Penal Code Act, 2008 were carved out and assigned to the jurisdiction of the Commission4 . The
Code of Criminal Procedures Act, 2008 as well as the Code of Evidence Act, 2006 remained unchanged.
Matters of procedure and evidence relating to corruption cases are to be determined on the basis of thesetwo pieces of legislation. This proved to be challenging considering that the means and methods of perpetrating corruption have drastically changed, rendering conventional measures of combating crimes obsolete
and inefficient. The few attempts made under Section 27 of SSACC Act to relax procedures and evidentiary requirements added little or no value at all to the measures available to the Commission in addressing
corruption in its various manifestations. Tasking SSACC with investigations and assigning prosecution of
the same to a different agency compounded the challenges faced by the Commission.
To address some of these challenges the Commission advocated for reforms to the legal frameworkwith the view of achieving effectiveness and efficiency in its methods of work. The review of the constitution after independence came in handy for the Commission. Its efforts culminated in the addition of prosecutorial powers to the existing mandate5
To operationalize the new mandate and address the challenges it had faced under the previous legal
dispensation, SSACC developed a bill6 and pushed it forward for enactment. The Bill is currently with the
Ministry of Justice undergoing review and scrutiny before being transmitted for adoption and enactment.
The Bill is in essence an amalgamation of pieces of legislation. It is divided into parts with each part
dedicated to address a different aspect of the Bill. Issues of establishment, corruption and financial crimes,
whistle-blowers and witness protection, evidence and procedures, prosecution of corruption crimes andadequate investigative powers have been addressed with elaboration. The Bill benefited from wide consultations among different stakeholders inside7 and outside the country8 . It tried to adopt and adapt international best practices in curbing corruption. It is yet to be seen how the Bill will pass the test of enactment.

III. UNCAC APPLICATION IN SOUTH SUDAN
South Sudan acceded9 to the United Nations Convention Against Corruption “UNCAC” in November,2013. UNCAC entered into force for South Sudan on 22 February 201510 . However, South Sudan is yet tocarry out necessary formalities to ensure compliance with its obligations under this convention. A self-assessment exercise to identify gaps and adopt measures of addressing same is still under consideration. A
multi-disciplinary task force is envisioned to be established soon to carry out a gap analysis exercise andrecommend appropriate legal, institutional and administrative reforms necessary to meet South Sudan’s obligations under UNCAC.

IV. CORRUPTION DETECTION MECHANISMS
In generating corruption reports SSACC adopts a variety of approaches. These include face-to-facereporting 11, statutory reports by public officials 12 , open media sources 13 , official reports 14 , official
databases15 , anonymous reporting, intelligence production, complaint boxes and inter-agency information
sharing.
4 See the definition of Corruption under Section 5 of SSACC Act, 2009.

5 Article 144(1)(b) of the Transitional Constitution of the Republic of South Sudan, 2011 (TCRSS).
6 South Sudan Anti-Corruption Corruption Bill, 2011.

7 Governmental agencies as well as civil society organizations.
8 Some sisterly countries and UNODC.

9 South Sudan Instrument of Accession, dated 27 November, 2013.

10 United Nations Secretary General letter number: C.N.65.2015.TREATIES-XVIII.14 (Depository Notification), dated 26

January 2015

11 There are “Corruption Reporting Guidelines” to guide the prospective corruption reporters on what and how to reportcorruption allegations.
12 The “Duty to Report” Section 34 of SSACC Act, 2009 obligates public officials who have knowledge of corrupt practices
to report the same to the Commission. Failure to report constitutes an offence punishable with imprisonment, fine or both.
13 Including newspapers and social media.
14 Such as audit report and periodic institutional reports produced by public and private agencies.

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A person who reports a proven corrupt practice to the Commission is immune from any prosecution
arising form that report16 . However, if the corruption report turned out to be false, frivolous or groundless,then the person making such a report commits an offence and shall, on conviction, be sentenced to imprisonment, fine or both17.
As per SSACC experience, corruption complaints raised through face-to-face interaction seem to carry
the day in terms of volume. This is made possible in part because of the widespread geographical scope of
SSACC. SSACC is present in each and every capital town of the ten states of South Sudan. Just to give an
example, in 2010 sixty-six corruption allegations were reported to the Commission. Out of this number, 51(77%) cases were reported face-to-face18 .

V. WHISTLE-BLOWERS AND WITNESS PROTECTION MEASURES
To safeguard and cushion informers and witnesses of corruption practices from reprisals, the SSACC
Act has adopted a provision clothing this category with immunity from actions or proceedings against
them, disciplinary actions included, provided they acted in good faith19. This sounds simple and straightforward. However, in practice it sounds different. In a practical example of this provision SSACC found itself
helpless with little or no guidance. A public servant reported a case to SSACC which the later believed tohave been made in good faith. One way or the other the person against which the report was filed andwho happened to be the direct supervisor of the reporter unveiled the identity of the reporter. He took disciplinary measures against the reporter. SSACC believed that the charges against the reporter wereconcocted just to punish him for having reported to the Commission. With this conviction in mind, SSACC
wrote to the supervisor asking him to reverse the action taken against the reporter, but to no avail. Withno guidance regarding the binding effect of its decisions in such a situation SSACC watched helplessly
while the reporter regrettably suffered under the weight of stiff sanctions imposed upon him in what heand SSACC believed to be retaliation. SSACC needs to seal such loopholes by legislative reform or
adopting policies and innovative measures to counteract such and similar challenges.
Section 47 empowered the Commission to make such rules and regulations as may be necessary forthe effective and efficient implementation of the provisions of the SSACC Act. It is envisaged that this will
enable the Commission to fill in the gaps that are left under this Act. Practical matters such as physicalsecurity of the informers and witnesses as well as relocation and change of identity, if the need be, arepart of the bigger picture contemplated under these arrangements.
However, as is the case with most if not all matters under the SSACC Act, these provisions are yet to
be tested through case law. Lack of vibrancy in challenging the Commission’s acts and omissions coupledwith lack of dedicated corruption adjudication tribunals partly contributes to this state of affairs20 .

VI. INVESTIGATION TECHNIQUES
Investigation of corruption offences in South Sudan follows the normal criminal procedures. The use of
special investigative techniques is constrained by both legal parameters and technical capacity of theagencies involved in the fight against corruption.
In terms of the legal framework SSACC Act gives little guidance on the use of innovative techniquessuch as wiretapping, bugging, undercover operations and computer software. There is no specific mentionof the use of such measures in the SSACC Act. However, Section 27(1) of this Act gave Chairs of an Investigation Committee latitude in deciding the manner of conduct of investigation of corruption allegations.
15 Examples include the assets and liabilities declaration database, official registries such as the registry of land titles andthe companies registry.
16 Section 34 (2) of SSACC Act, 2009.
17 Section 34 (4) of SSACC Act, 2009.
18 Source: South Sudan Anti-Corruption Commission Annual Report 2010.
19 Section 44 (a) of SSACC Act, 2009.
20 Corruption offences are treated like any other criminal offences in terms of criminal procedures. There are no special
provisions. The Code of Criminal Procedures Act, 2008 applies in all cases of corruption investigation, prosecution and adjudication.

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This discretion is subject to fairness and cost effectiveness as shall be directed by rules and regulations
under this Act 21.
In the absence of specific rules for investigation, Section 8 of the Code of Criminal Procedures Act,
2008 “CCPA” mandates the use of its provisions in the conduct of investigations. Under the CCPA, intrusive
measures against privacy and property are strictly regulated. A warrant is required from either the Public
Prosecutions Attorney or a judge in the absence of the Public Prosecutions Attorney. If the prescribed procedures are followed and a chain of custody is observed, the evidence acquired through such techniques is
admissible.
Proactive measures of investigation such as sting operations are vital in disrupting corruption andexposing it. Section 25 of the SSACC Act gives it the power to initiate proactive investigations if it “...has areasonable suspicion that a corruption offense has been or is about to be committed...” Although there is no
specific mention of certain measures, the Commission has always employed sting operations as part of its
available tools to investigate corruption. Unfortunately, the cases in which this tool was used were resolved
administratively. Again it is yet to be known how the courts will react to their use.
Wisdom dictates that “prevention is better than cure”. With this in mind SSACC has always strived tocatch up if not be ahead of corruption perpetrators. Corruption has developed in nature and means of its
commission. ‘Traditional’ ways of combating it are rendered less and less effective with the passage oftime. SSACC is therefore committed to adopting the international best practices that have proven toughon corruption. Sting operations and controlled delivery are among the options on the table.
Technical arrangements pose a great challenge. SSACC is ill equipped to make proper use of themeasures which require high-tech capacity. Relevant equipment and appropriate training are lacking, andthis funnels into poor-quality and delayed investigations. SSACC experience with investigation of corruption offences has shown that there still is a big space ahead to cover before ushering in quality and timely
investigations. The time frame of instigating corruption cases ranges depending on the complexity of thecase and availability of pertinent resources. Some cases have taken less than a month to complete whileothers took more than a year.
To overcome this SSACC had invested in personnel and institutional capacity building in addition tolegislative reforms. Study tours and exposure of its staff to the international best practices is one of thetools SSACC has adopted to inform its actions and legal framework. This training opportunity comes at an
opportune time for SSACC. It is believed that the knowledge acquired from such a high-level gathering ofacademicians and practitioners with a wide range of knowledge and experience would enrich SSACC’s
endeavour to better position itself in the fight against corruption.

VII. PROSECUTION OF CORRUPTION AND RELATED CASES
Under ICSS and the SSACC Act the Director of Public Prosecutions in the Ministry undertakes theprosecution of corruption cases investigated by SSACC. These two laws are silent regarding the role of
the Commission in the prosecution of cases it investigated. In case of absence of the Prosecution Attorney,
the Police are assigned by Section 183 of the CCPA to conduct prosecution.
Public Prosecutions Attorneys enjoy great latitude in bringing or sustaining prosecutions. Section 217 of
the CCPA empowers the prosecution to withdraw charges when it considers that there are no sufficientgrounds. More so, practice has shown that the Minister of Justice enjoys discretion transcending the availability of sufficient evidence to make prosecution of the accused more likely than not. In some cases, theMinister of Justice has withheld his intervention or indeed carried on with prosecution when he is of theopinion that public interest so dictates. This far-reaching discretion with limited or no check and balance.
More interestingly SSACC invoked public interest to ask the President of the Republic to stop prosecution
against a person accused of corruption.

21 Section 47 gives the Commission the power to make rules and regulations for the efficient and effective implementationof the Act. But so far no rules and regulations have been adopted by the Commission.

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With the new legal dispensation under ICSS, SSACC is entrusted with prosecution of corruption cases.
In the pending enabling act, SSACC tried to address practical issues it faced including matters of discretion in prosecution. Indeed, in preparation SSACC has developed a prosecution policy highlighting its standon the same. The official adoption of the Prosecution Manual which incorporates this policy is just awaiting
the enactment of the Bill.
Production of concrete data has always been a challenge. This is partly because prosecution of corruption cases under the current legal framework rests with the office of the Director of Public Prosecutions(DPP). Experience of the cases so far submitted by SSACC to the office of the DPP suggests that SSACC
has no role to play after submitting the case. This has made it almost impossible to know whether its recommendations for prosecution have been accepted or rejected by the DPP. More so, there are no mechanisms in place to enable SSACC to update its records of cases submitted to the DPP office.
The CCPA provides for immunity for accomplices in cases exclusively triable by the High Court orpunishable by imprisonment for a term which may extend to seven years. Section 199 of the act underreview determines the Public Prosecutions Attorney to be the relevant authority to tender the pardon.
The finding as to whether the accused has complied with the terms of the pardon is an exclusive prerogative of the Court trying the case. In case of affirmative compliance, the accused may be acquitted.
Plea bargaining is not yet an option for prosecutors under the existing criminal justice legal framework.
It will need a serious construction of the legal framework to argue for plea bargaining. However, the goodnews is that plea bargaining is one of the tools the Bill has suggested for prosecution of corruption. It ispremature at this stage to discuss how it will play out in practice as the Bill is still being considered forenactment. With the strong political will demonstrated by the leadership of the country and wide support
for the effective combating of corruption from the general masses and civil society organizations as well as
the development partners, hopes are high that this time around South Sudan may have a strong legal
framework to effectively and efficiently fight corruption.

VIII. TRIAL PROCEDURES IN CORRUPTION CASESSouth Sudan is largely a common law jurisdiction; its trial system is adversarial. It is not quite clear
though how this dispensation affects speedy trials. However, many other factors have a negative bearing
on the time it takes to determine a case before the criminal courts in South Sudan. Chief among these are:the huge case load, limited number of judges and limited training, especially training on adjudication ofcorruption case. As a remedy SSACC in its Strategic Plan has provided for training of judges22 as part ofcapacity building for the staff, institutions and agencies engaged in combating corruption.
CCPA dictates a certain threshold of evidence to prevail in criminal cases. Section 6(b) of this Act stipulates that “every accused person is presumed innocent until his or her guilt is proved beyond any reasonable doubt”. This has made it extremely difficult to obtain convictions in corruption cases as methods ofperpetrating corruption have outmatched the traditional investigative techniques. The new measures introduced by the Bill are partly meant to increase the rate of conviction through relaxing the evidentiary
threshold, especially in non-conviction-based asset recovery and an explained asset forfeiture.
Trial procedures for criminal cases including corruption adjudication are arranged in a way to identify
issues and ascertain evidence in support of the charges being preferred against the suspect. It is imperative to charge suspects before arraignment in courts of law. This is only possible through weighing
evidence and ensure prospects of conviction before venturing into trial. All these procedures are done at
the investigations stage under the guidance of the Public Prosecutions Attorney.
The importance of witnesses in successful anti-corruption cases cannot be underestimated. With this inmind the relevant legal framework in the country has attempted to create an environment conducive for
willful and effective engagement for persons who have witnessed or taken part in corruption. Blanket
immunity is found in Section 44 of the SSACC Act, which shields informers and witnesses from legal
actions or proceedings. On a practical note, anonymous reporting is acceptable and encouraged. However,
22 South Sudan Anti-Corruption Strategic Plan: Key Objective 2(7)(h).

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the potential of these measures is underutilized. Lack of elaborate guidance as well as non-availability ofmaterial resources to support these measures, stands as an obstacle in the face of their potential.

IX. GOOD PRACTICES
It is a widely held conviction that corruption leaves no stone unturned in its quest to control each andevery possible resource of the community. In a baseline corruption survey conducted by SSACC in 2010 it
was never a surprise for the findings to reveal that corruption is prevalent and that no sector of theeconomy or section of the community is immune from its scourge. More so, the anti-corruption model
adopted by South Sudan is a multi-agency model under which different aspects of the fight against corruption are assigned to different agencies. In South Sudan, no one agency controls the fight against corruption.
However, SSACC plays a central role in streamlining efforts and synergizing plans and actions geared
towards it. To discharge this role SSACC has made it a Strategic target to forge partnership working withall the stakeholders and role players domestically and beyond our boarders23 . At the top of these stakeholders is the private sector. SSACC acknowledges that the private sector can act as passive or active
agents of corruption, or they can they can ensure healthy competition based on ethical criteria making
them a determining factor in the pursuit of effective anti-corruption policies. With this in mind SSACC has
actively engaged the private sector in an awareness creation programme as well as building their capacity
to tackle corruption in their back yards. Moreover, SSACC has in the Bill introduced debarment and theliability of legal persons for acts of corruption. These measures are meant to instill integrity in thebusiness community and enlisting it in the combat of corruption.
To compliment these measures SSACC is set to rejuvenate its engagement with the civil society. Fortunately, more and more entities are showing interest in the fight against corruption. Monitoring public
transactions and naming and shaming is one of such area. It is no longer a business as usual for businesses
to indulge in corruption, especially in public contracts. A new and keen eye is watching over.
As proceeds of corruption often find their way outside the country, South Sudan has been active injoining hands with its global partners in ridding corruption of its benefits and ensuring perpetrators of corruption have no safe haven to hide. On this note SSACC has been proactive in pursuing all avenues of cooperation at the international level. It extended and received assistance using different tools of cooperation.
Chief among these is agency-to-agency cooperation, diplomatic channels and using regional and international networks24 . Recently, and through informal cooperation, South Sudan was able to freeze and later onthrough diplomatic channels retrieve about $8 million.
Despite these success stories, SSACC is still far from utilizing the potential offered by the otheravenues of cooperation. Bilateral and multilateral conventions and domestic mutual legal assistance legislation are but some of the instruments that SSACC needs to consider exploring.

X. EVALUATION AND RECOMMENDATIONS
By way of summary, it is fair to conclude that the criminal justice system in South Sudan still has along distance to cover before achieving effectiveness in combating corruption. In the context of the current
legal and institutional arrangements, corruption is hard to detect and punish. The mandate to combat corruption is scattered among a number of agencies with limited investigative and prosecutorial powers andis poorly equipped to effectively address corruption. Most importantly mechanisms to coordinate andstreamline actions are either ineffective or, to put it mildly, not made use of. Each agency seems to beworking in isolation from the others. This is true for SSACC, the Ministry of Justice, the Police as well as
the Financial Intelligence Unit (FIU) and the rest of the agencies with the mandate to combat corruption
in one way or the other. This fact has mutilated anti-corruption interventions.
To add salt to the injury, proper mechanisms in terms of legal and policy frameworks to cultivate andsustain public–private partnership on the one hand and between domestic and international partners on
the other hand are still in their infancy stage. Corruption is continuously evolving and mutating, attacking
23 South Sudan Strategy, 2010: Strategic Goal no 5, page 38.

24 SSACC is an active member of IAACA EAAACA and its offspring, ARIN EA, just to mention a few examples.

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every individual person, country or section of the community. Going after it alone without support andaction form others makes it difficult if not impossible to bring under control. Sadly enough this seems to be
how corruption is being tackled in South Sudan.
To overcome some of these challenges an overhaul of the criminal justice system in respect of the way
it tackles corruption is strongly called for. Measures to consider include:⿟⿟ Corruption methods are diverse and ever changing. It is therefore imperative to be innovative inthe measures of addressing it. Fortunately, enough international good practices are there as
guidance. In the context of South Sudan corruption is treated ordinarily. This has to change. It istime to acknowledge that corruption is a special crime with huge, devastating effect on different
aspects of life. Legislative measures must be put in place to deal with all its manifestations, forms
and effects. Corruption should not pay. Rather it should inflict harm on those who perpetrate it.
With this in mind South Sudan should consider expanding the criminalization of corruption. New
offences should be created to seal much if not all possible loopholes in the current legislation.
Examples include criminalizing illicit enrichment.
⿟⿟ Make corruption easy to detect, investigate and prosecute. Measures that should be considered
include relaxing the evidentiary threshold, giving the law enforcement agencies relevant powers
to collect evidence and preserve the value of criminal assets. The current SSACC falls short ofenabling the Commission to arrest suspects, seize evidence and present or make ex-party application with the view of preventing the suspect from dissipating assets if he or she catches wind orin one way or the other is alerted on investigations.
⿟⿟ Invest in capacity building for staff and institutions involved in combating corruption.
⿟⿟ Corruption touches everyone. Absolutely it affects all, individuals and sections of sections of thecommunity. It is far reaching in devastation. International borders are no barrier to corruption.
Joint and collective efforts internally and regionally are therefore vital if controlling corruption issomething to go by. The current legal and policy framework in South Sudan fall short of robustly
tackling corruption. National mutual legal assistance legislation, acceding to relevant regional andinternational instruments, and joining more anti-corruption networks domestically, regionally andinternationally.
List of References: ＊25
1. Declaration of Assets, Income and Liabilities, South Sudan Anti-Corruption Commission.
2. Reporting Corruption: Operational Guidelines, published by SSACC, 2010.
3. South Sudan Anti-Corruption Action Plan, 2010–2014, South Sudan Anti-Corruption Commission, 2010.
4. South Sudan Anti-Corruption Commission Act, 2009, Laws of South Sudan.
5. South Sudan Anti-Corruption Strategy 2010–2014, South Sudan Anti-Corruption Commission, 2010.
6. The Code of Criminal Procedures Act, 2006, Laws of South Sudan.
7. The Code of Evidence Act, 2006, Laws of South Sudan.
8. The Interim Constitution of Southern Sudan, 2005.
9. The Transitional Constitution of the Republic of South Sudan, 2011.
10. The Penal Code Act, 2008, Laws of South Sudan.
25 Laws mentioned herein are accessible at the South Sudan Ministry of Justice website.

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IN THAILAND
Silawan Panom＊

I. INTRODUCTION
Corruption causes serious damage to the country in all aspects. Forms and methods of corruption arequite complicated and have both domestic and foreign connections as a result of advances in technology.
Every country has struggled with the problem of corruption. Therefore, the cooperation of international organizations has formed for the purpose of taking serious action against corruption. The United Nations
Convention Against Corruption 2003 (UNCAC) was born from the efforts of the international communitythat recognize the seriousness of the problem of corruption. The United Nations General Assembly isaware of the severity and danger of corruption, which has a huge impact on society and which isextremely dangerous for the stability and development of the country. UNCAC was adopted for thatreason. The measures prescribed in UNCAC are expected to solve the problem of corruption effectively, inorder to be an important mechanism in preventing and combating corruption and to set minimum
standards as guidelines for countries to use as a framework for policy formulation, enactment, and to assist
both the domestic and international levels.

II. THE UNITED NATIONS CONVENTION AGAINST CORRUPTION ANDDOMESTIC ANTI–CORRUPTION LAW
Thailand is a state party of the United Nations Convention Against Corruption 2003 (UNCAC) andratified the Convention on March 1, 2011, becoming effective on March 31, 2011. Currently, Thailand has
amended the Organic Act on Counter Corruption B.E. 2558 (2015) in accordance with UNCAC on
important issues, which is an international standard. In addition, the amendment is to provide effective
mechanisms for preventing and combating corruption in both the public and private sector. Importantamendments of the Organic Act on Counter Corruption are as follows:
A. The Periods of Prescription
The periods of prescription shall not run if the accused fled during the prosecution or court hearings,
including when the defendant fled after the conviction of final judgement. 1 This amendment is not an
extension of limitation periods in corruption cases, but it is the exception in case the offender escapes. The
previous law had already provided this; however, the new law was amended to cover all stages in criminal
proceedings such as procedures of fact finding, prosecution, court trial and after conviction.
B. Defining Offences for Legal Entities Associated with the Corrupt Officer
The new law provides for offences in such cases since entities are often beneficiaries of the bribes. The
amended provision states that entities are guilty if their employees or agents bribe, whether Thai or
foreign officials, and such kickbacks are made for the advantage of the company. In addition, entities
without sufficient internal control measures to prevent bribery are punishable by appropriate monetaryfines because a legal entity cannot be imprisoned. 2 Such penalty is a financial sanction through which thestate is compensated for the damage by the return of the company’s unlawful advantages to the state.

Inquiry Officer, Bureau of Public Sector Corruption Inquiry 1, Office of National Anti–Corruption Commission (ONACC).

＊

1 Organic Act on Counter Corruption B.E. 2542 (1999), Section 74/1, as amended by the Organic Act on Counter Corruption

B.E. 2558 (2015).

2 Organic Act on Counter Corruption B.E. 2542 (1999), Section 123/5 paragraph 2, as amended by the Organic Act on

Counter Corruption B.E. 2558 (2015).

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C. Penalties for Bribery Offences
The new law defines imprisonment from five years to twenty years or life imprisonment, or capital
punishment and fine of one hundred thousand to four hundred thousand baht in cases of Thai government
officials, foreign government officials or officials of international organizations demanding, accepting or
agreeing to accept any benefit. 3 Nevertheless, the death penalty has already been imposed for such bribery
offences under the Penal Code, Section 149.4 The current provision establishes additional offences, foreign
government officials or officials of international organizations, and increasing fines.
D. Bribery Offences of Foreign Government Officials and International Organization Officials 5
According to the amended law, foreign public officials or officials of international organizations are
guilty if the official demands, accepts or agrees to accept for himself or another person property or any
other benefit to perform or not to perform his mission, whether such exercise or non-exercise of his
functions is wrongful or not, under the provisions of Section 123/2. The crime shall be punished as
mentioned in the previous section. Another offence is Section 123/3: whoever, being a foreign public official
or official of an international organization, exercises or does not exercise any of his functions in consideration of property or any other benefit which has been demanded, accepted or agreed to be accepted before
being appointed as an official in such post. The crime shall be punished with imprisonment of five totwenty years or life imprisonment and a fine of one hundred thousand to four hundred thousand baht.
These offences are established in accordance with UNCAC as well as to promote international cooperationin the prosecution of corruption under the Dual Criminality principle.
E. Value-Based Confiscation
Legislation has made forfeiture in corruption cases more efficient by covering the replacement property
that has been acquired due to a distribution, supply, transfer, or conversion of property, including untraceable assets. The court can determine the value of the property and order the payment or forfeiture ofother property equal in value.6
Thailand ratified UNCAC on March 1, 2011 and entered into force on March 31, 2011. Due to internal
political problems, there were delays in the implementation of domestic law to comply with the obligationsof the Convention. However, the government of Thailand made a serious attempt to resolve the problem inorder to amend the legislation consistently with UNCAC.

II. INTELLIGENCE AND INVESTIGATION IN CORRUPTION CASES
A. IntelligenceIntelligence is very important in order to gain information related to corruption allegations and otherserious crimes. Several kinds of covert investigation have been constituted to deal with severe crimes, forexample, the Narcotic Control Act B.E. 2519 (1976) as amended B.E.2545 (2002). A special provision under
Section 14 of the said Act authorizes competent officials to access information such as wiretapping.
However, it must follow reason and necessity:(1) There is a reasonable ground to believe that a narcotics offence has been or will be committed;(2) There is a reasonable ground to believe that information will be received relating to the commissionof a narcotics offence from the accessing of such information;
3 Organic Act on Counter Corruption B.E. 2542 (1999), Section 123/2, as amended by the Organic Act on Counter Corrup-

tion B.E. 2558 (2015).

4 Penal Code, B.E 2499 (1956), Section 149.

Whoever, being an official, member of the State Legislative Assembly, member of the Changed Assembly or member ofthe Municipal Assembly, wrongfully demands, accepts or agrees to accept for himself or the other person a property or any
other benefit for exercising or not exercising any of his functions, whether such exercise or non-exercise of his functions iswrongful or not, shall be punished with imprisonment of five to twenty years or imprisonment for life, and fine of two
thousand to forty thousand bath, or death.
5 Organic Act on Counter Corruption B.E. 2542 (1999), Section 123/2 - 123/3, as amended by the Organic Act on Counter
Corruption B.E. 2558 (2015).
6 Organic Act on Counter Corruption B.E. 2542 (1999), Section 123/6 – 123/8, as amended by the Organic Act on Counter
Corruption B.E. 2558 (2015).

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RESOURCE MATERIAL SERIES No. 98(3) May not be used when another procedure is more suitable or effective.
Although the Organic Act on Counter Corruption does not authorize such extraordinary powers, those
who wish to provide information on corruption can notify directly the Office of the National Anti-Corruption Commission (NACC). Thailand has no whistle-blower protection law, but the informant is protected by
the Organic Act on Counter Corruption. Taking a person as a witness, as defined in the said, Act is aneffective instrument to encourage and strengthen anti-corruption. An alleged culprit or a person alleged tohave committed an offence with state officials, may be taken for the purpose of being a witness. A person
who was taken as a witness has to testify and to provide information or material of facts on the corruption
offence. The witness statement will be used as evidence, whereby the adjudication will take place on thebasis of such statement. If the NACC deems it advisable to take anyone as a witness, such person may not
be prosecuted for the offence in accordance with rules, procedures and conditions considered by the
NACC.7
One of the important measures under the Organic Act on Counter Corruption to strengthen corruption
prevention and suppression is to protect an accuser, injured person, a witness, or a whistle-blower thatprovides any information on corruption offences or unusual wealth. In such cases, the NACC may provide
measures to protect those persons. The NACC shall inform concerned agencies to provide measures toprotect those individuals who are witnesses, and they shall be provided protection under the law of
witness protection in criminal cases. Moreover, the alleged culprit or person alleged to have committed an
offence with a state official as a witness may be taken for the purpose of being a witness. This is aneffective instrument in suppression of corruption cases under this Act. 8
The witness protection procedures are under the Witness Protection Act B.E. 2546 (2003). There are
two types of witness protection: general measures9 and special measures.10 Both of these measures provide
protection in cases where there is reason to suspect that the witness would be in danger, and potential
harm exists from giving information to the authorities to prosecute offenders.
General measures are protection measures which may include arrangements for a safe place for awitness; change of name/family name, domicile, identification, and information that would reveal theidentity of the witness as appropriate; and the personal status of the witness and nature of the criminalcase. Special measures are as follows:(1) A new place of accommodation;(2) Daily living expenses for the witness or his/her dependents not exceeding 1 year, with extensions
as necessary for 3 months each time, not exceeding 2 years;(3) Coordination with the relevant agencies in order to change the first name, family name and information that may contribute to knowledge of the personal identity of the witness, including arrangements for a return to original status;(4) Action to help the witness have his/her own career, and training, education and other means ofproper living for his/her life;(5) Assistance or action on behalf of a witness for his/her lawful rights;(6) Arrangements for a bodyguard service for a necessary period of time;(7) Other actions to assist and support a witness with security as appropriate.

7 Organic Act on Counter Corruption B.E. 2542 (1999) (As amended), Section 103/6.

8 Organic Act on Counter Corruption B.E. 2542 (1999), Chapter 9/1, as amended by the Organic Act on Counter Corruption

B.E. 2558 (2015).

9 Witness Protection Act B.E. 2546 (2003), Section 6, Paragraph 3.
10 Witness Protection Act B.E. 2546 (2003), Section 10.

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B. Investigation
Besides wiretapping, another effective measure is an undercover operation to obtain information about
the offence. NACC can arrest persons who committed offences relating to the submission of bids for government agencies. If hearing this evidence is helpful to do justice in a situation that might cause harm to
the rights of the people, the court is able to hear such evidence according to the Criminal Procedure Code(this issue will be discussed in the prosecution section).
Basically, the period to investigate corruption cases depends on the complexity of the case. The
problems in fact-finding procedure are a long period of time in each step of fact inquiry. Every procedurein NACC fact inquiry regards the rights of the alleged person, which is the essence of the Constitution of
the Kingdom of Thailand. Therefore, fact inquiry would be conducted strictly according to the procedure.

III. LITIGATION PROCESS OF CORRUPTION CASES
A. Prosecution
Thailand’s major agencies for preventing and combating corruption are the National Anti-Corruption
Commission (NACC) and the Public Sector Anti-Corruption Commission (PACC). This paper will mention
corruption cases investigated by NACC. When receiving reports from the NACC, the prosecutor willconsider whether or not the accused has committed an offence as defined in the Organic Act on Counter
Corruption. However, NACC has power to initiate the prosecution on its own motion. It can be said thatboth the Prosecutor-General and the NACC Commission has power to prosecute corruption cases.
Thai Criminal Procedure does not define the type of acceptable evidence or evidence that is prohibitedto bring to the trial. As for the principle of legal evidence, all kinds of evidence, whether physical evidence,
documentary evidence, witnesses, or expert witnesses, which can affirm that the defendant is guilty or
innocent, can be cited as evidence unless prohibited by law.11 One important provision is the Exclusionary
Rule: any evidence that occurs correctly but is obtained wrongfully, or provided by the information madeor received illegally, shall be excluded from the trial, unless the acceptance of evidence is beneficial tojustice rather than a disadvantage affecting the criminal justice system or fundamental human rights.12
This article is on the basis of two important public interests: the protection of rights and freedoms of
citizens (Due Process). The purpose is to maintain peace and order in society (Crime Control), so these are
exceptions to hearing evidence obtained illegally.
Standards of prosecution for public prosecutors are in Section 143 of Criminal Procedure Code.13 The
prosecutor’s decision to prosecute or not does not prove the guilt of the accused. This is the stage of investigation and there is sufficient evidence to prove guilt in court. The accused is guilty as charged or not
guilty as determined by the court. The law does not require a prosecutor to file a case when consideringthat the accused is guilty or not guilty.
About the prosecution rate for corruption cases, with regard to statistics for suppression of corruptionof NACC in the years 2007 – 2014, the total number of cases that have been conducted is 34,528 cases,
and the number of cases completed is 25,012 cases. These cases include allegations which do not establish
prima facie cases and cases that are filed with the public prosecutor. Additionally, cases at the Supreme
Court’s Criminal Division for Holders of Political Positions decided during the years 2007 - 2014, that wereannounced in the Royal Gazette are as follows:(1) offences of corruption, malfeasance in office or malfeasance in judicial office; 7 cases
11 Criminal Procedure Code B.E. 2477 (1934) (As Amended), Section 226.

12 Criminal Procedure Code B.E. 2477 (1934) (As Amended), Section 226/1 Paragraph 1.

13 Criminal Procedure Code B.E. 2477 (1934) (As Amended), Section 143.
		 (1) In the case where the non-prosecution opinion has been rendered and the public prosecutor agrees with such opinion,
he shall issue the non-prosecution order, but in the case where the public prosecutor disagrees with such opinion, he shallissue the prosecution order and inform the inquiry official to take the alleged offender to be prosecuted.
		 (2) In the case where the prosecution opinion has been rendered and the public prosecutor agrees with such opinion, heshall issue the prosecution order and bring the case against the alleged offender to the court, but in the case where thepublic prosecutor disagrees with such opinion, he shall issue the non-prosecution order.

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RESOURCE MATERIAL SERIES No. 98(2) offences relating to submission of an account showing particulars of assets and liabilities; 54 cases(3) request for the property to devolve on the State; 2 cases
Although Thailand has no provision about plea bargaining, Thai courts have used plea bargaining for along period of time, for example, a plea-bargained confession about the penalty, as stated in Section 7814 of
the Penal Code and Section 17615 of the Criminal Procedure Code.
B. Trial Procedure
Criminal Prosecution in Thailand involves both an inquisitorial and adversary system. Inquiry officers16
and prosecutors17 seek evidence under the inquisitorial system, whereas Thai Court procedure is based on
the adversary system. On the contrary, corruption trials in the Supreme Court’s Criminal Division for
Holders of Political Positions and the Criminal Court are based on the inquisitorial system, where the judge
questions witnesses by themselves unlike at a general trial.
The estimated duration of adjudicating corruption cases in court does not take long due to the continuing trial. The delays in the proceedings of corruption cases is in the process of the initiating agencies.
There are a very large number of cases, and the complexity of each case is different. The countermeasureaddressing this problem are planning to investigate and collect the evidence effectively, and administrative
systems must be concise in order to shorten the time.
The standard of proof for conviction is beyond a reasonable doubt, which assures justice for the
defendant, according to the principles and provisions of the law as discussed above in.

IV. OTHER GOOD PRACTICES AND PROBLEMSOne of the significant cases concerning international cooperation in the prosecution of a major corruption case by the NACC is the former governor of the Tourism Authority of Thailand (TAT). The casebegan in the United States, involving investigation by the Federal Bureau of Investigation (FBI) and prosecution under the US Foreign Corrupt Practices Act against Mr. Gerald and Mrs. Patricia Green on chargesof giving bribes to Mrs. Juthamas Siriwan, former governor of TAT, in order to obtain the right toorganize the Bangkok Film Festival. Green was sentenced by the US Court for six months’ imprisonmentand house arrest for another six months and was required to pay restitution of US$ 250,000. Mrs.
Juthamas Siriwan and her daughter are currently being prosecuted by the courts of the two countries.
The achievement of this case is collaboration between the USA and Thailand on the details and information of the case.

14 Penal Code, B.E 2499 (1956), Section 78.

		 Whenever it appears that there exists an extenuating circumstance, whether or not there be an increase or reduction of
the punishment according to the provisions of this Code or the other law, the Court may, if it is suitable, reduce the punishment to be inflicted on the offender by not more than one-half.
		 Extenuating circumstances may include lack of intelligence, serious distress, previous good conduct, the repentance andthe efforts made by the offender to minimize the injurious consequence of the offence, voluntary surrender to an official, theinformation given or the Court for the benefit of the trial, or the other circumstance which the Court considers to be ofsimilar nature.
15 Criminal Procedure Code B.E. 2477 (1934) (As Amended), Section 176.
		 In the trial of a case, if the accused pleads guilty to the charge, the Court may give judgment without taking any further
evidence, provided that if the minimum punishment in the case where the accused pleads guilty to the charge is imprisonment from five years upwards or heavier, the Court must hear the witness for the prosecution until it is satisfied that theaccused is guilty.
		 In the case of several accused, and only some accused have pleaded guilty to the charge, the Court may, if it thinks fit,dispose of the case for those who refuse guilt in order that the prosecutor may institute the prosecution against suchaccused as another case within the period fixed by the Court.
16 Criminal Procedure Code B.E. 2477 (1934) (As Amended), Section 131.
		 The inquiry official shall gather all types of evidence as possible in order to know the facts and other circumstances concerning the offence alleged, and to find out who the offender is and prove his guilt or innocence.
17 Criminal Procedure Code B.E. 2477 (1934) (As Amended), Section 143 (n. 4).

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V. EVALUATION AND RECOMMENDATIONSThe justice system to prosecute corruption in Thailand within the existing domestic legislation andamended law according to UNCAC has strengthened measures to combat corruption that will have apositive impact on the prosecution of corruption cases, which are complex and pose difficulties for the acquisition of evidence. Witnesses and co-perpetrators can provide information on corruption with confidence
that they will be protected. However, for the protection of the informant in good faith, criminal penalties
should be imposed, as well as civil remedies, for those who retaliate against witnesses or informants.

VI. CONCLUSION
Preventing and combating corruption requires effective legal provisions. Special measures as well as
the new provisions of the Organic Act on Counter Corruption comply with UNCAC. These measures andprocedures not only enhance the work of investigation and inspection of corruption cases, but also are
directly beneficial to those who took part in the anti-corruption efforts. Especially at present, corruption istaking place within the country, and it is a transnational crisis that has affected the world community.
Therefore, the major key to achieving successful outcomes in the fight against corruption is effective legislation and cooperation at the country and international levels.

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EFFECTIVE ANTI-CORRUPTION ENFORCEMENT AND
PUBLIC–PRIVATE AND INTERNATIONAL COOPERATION
Ulugbek Melisovich Usmanov＊

I. UNCAC
Corruption is a major systematic problem and a characteristic not only for some localities in Uzbekistan
but also for most countries of the world. In this regard a high priority in recent years, set at the state levelin Uzbekistan, was the fight against corruption. The concept of corruption is determined by the Law “On
Combating Corruption”, under which it is an abuse of power, bribery, bribe-taking, commercial bribery orother illegal use of a natural person of his official position contrary to the legitimate interests of society
and the state in order to obtain benefits in the form of money, valuables, other property or property-related
services, other property rights for themselves or for third parties or the illegal provision of such benefits
specified person by other individuals, as well as the commission of these acts on behalf of or for the benefitof a legal person. Uzbekistan has joined and signed the UN Declaration of “Implementation of the UN Convention against Corruption”, and now we are doing our best to adopt implementing legislation in the
Republic of Uzbekistan. For this reason, Uzbek authorities teach students and schoolchildren about corruption and how we can combat it. In that way seminars have been organized, such as a seminar at the University of World Economy and Diplomacy. A lot of doctoral students and undergraduates attended it. The
seminar, which took place on 20 June 2015, was attended by senior officials of the General Prosecutor of
the Republic of Uzbekistan.
What is important to understand is that anti-corruption measures should work and protect not only
business but also the ordinary people’s interests. For example, Uzbekistan has implemented measures toestablish legal guarantees of the rule of law, ensuring the rights and freedoms of citizens during searches
and seizures. In particular, this is due to the adoption of the Law “On operative-search activity”, whichcame into force on 25 December 2013. The law regulates the proper implementation on the territory of Uzbekistan of search operations and the admissibility in court of evidence gathered by such methods thatcomply with the provisions of the UN Convention against Corruption. Other measures have implemented
important changes in the structure of the prosecution to ensure the improvement of mechanisms for thedevelopment and coordination of comprehensive measures to combat corruption, and monitoring and supervision of their implementation should be done. In the structure of the General Prosecutor’s Office of Uzbekistan, the General Directorate for Supervision of compliance with legislation was created. The reason is
the presidential decree “On measures to further improve the enforcement of the law” on 24 July 2014.
Still, it is important to understand that in order to operate in different states and jurisdictions it isnecessary for businesses to familiarize themselves with the laws, traditions and customs of the place theywant to operate in. Some aspects and norms might be traditionally and legally welcomed or even common
practice in one country; however, at the same time it might be absolutely unacceptable or even considered
as illegal in another one. In my opinion, regulations against bribery or corruption are a perfect example.
For instance, both Canada and Australia are well known for very specific anti-bribery laws; at the sametime, it is difficult to compare them with Uzbekistan and those countries having the same traditions, so it
would be better to compare a country having similar traditions as Uzbekistan.
On September 26, 2014, Uzbekistan adopted a law “On social partnership”, which allows us to develop
measures to improve the methods and mechanisms of cooperation between state institutions and public organizations. On May 5, 2014, Uzbekistan adopted a law “On the openness of state power and administration.” The law aims to ensure access of individuals and legal persons to information about the activities ofstate authorities, increasing the responsibility of state authorities and their officials for their decisions. In
Senior Investigator, Investigation Department, Ministry of Internal Affairs, Uzbekistan.

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addition to government authorities, the requirements of openness were also extended to companies. On
July 2, 2014, a decree was issued by the Cabinet of Ministers “On measures to further improve the systemof corporate governance in joint stock companies”, according to which the companies were required to list
certain types of information on their corporate websites. On 3 December 2014, a new law was adopted “Onthe complaints of physical and legal entities”, which recognized the possibility of appeals of citizens andlegal persons to public authorities in electronic form. The electronic message must be in the form of anelectronic document, confirmed by a digital signature and having other details of the electronic document,
allowing him to be identified. The adopted rules established a mandatory requirement to disclose information on public expenditures. For these purposes, on January 1, 2014 the Budget Code of the Republic of Uzbekistan came into force. It was adopted in order to improve budget legislation to ensure transparency andthe budget process. On April 15, 2014 a decree of the President of the Republic of Uzbekistan “Onmeasures to further improve the procedures relating to business activities and the provision of public
services” was issued, providing measures to further simplify and reduce the cost of licensing arrangements
and issuing permits, and providing greater freedom of entrepreneurship. Pursuant to the decision of the
President of the Republic of Uzbekistan “On approval of the development plans of the legal and othermeasures aimed at implementing the reference rules law”, providing replenishment laws 136 reference
rules and thus eliminating “white spots” and gaps in the legal framework. As of December 2014, 48 legal
acts were accepted. In order to improve the regulatory and legal framework for combating corruption,measures aimed at simplifying regulation, were adopted in various sectors, particularly banking, tourism,
etc. The new measures also provide for the development of a law “On administrative procedures”.
Uzbekistan is on the way to adopting almost all of the UNCAC statements; however, there are still difficulties, for instance, absence of international experience. That means almost all responsible institutions likethe Ministry of Internal Affairs, the General Prosecutor’s Department, the Institute of Judges and others
have theoretical material and reports; however, we do not have much practical experience, which very
often makes it hard to identify corruption schemes or groups of people. It is not that difficult to identify
social corruption; however, when we speak about huge companies, investigations become difficult. Uzbekistan has adopted almost all of the resolutions of UNCAC, but some of the problems Uzbekistan faces arecorrupted and non-interested people in some governmental institutions, who are not ready to lose theirbribes and connections, making their lives easier and richer.

II. INTELLIGENCE
Meanwhile, legislative, administrative and other measures should be done in terms of attracting stateand municipal employees, as well as citizens to participate more actively in the fight against corruption,
which will result in the formation of negative public attitudes towards corrupt behaviour. What needs to bedone now in Uzbekistan should be strengthening the creation and improvement of the system and thestructure of mechanisms of public control over their activities; it is important, especially in the beginning
not just to proclaim the laws, but control their functionality. Many people suppose that government has all
sources to realize all anti-corruption institutions and authorities could affect everything. I am afraid, I do
not completely agree with that statement, as those people forget that government’s main resource is thepeople, individuals like you and me. Many years ago there was a motto used by some countries: “Ask notwhat your country can do for you, ask what you can do for your country!” Time changes and I assume
that now we have to ask ourselves: “What can we all do for our state?” Here one of the important steps
could be the introduction of anti-corruption standards, and the example of Japan and its standards could
be used. A unified system of prohibitions, restrictions and permissions should be established to ensure theprevention of corruption in this area works and satisfies the interests of people from different backgrounds,
whether they are farmers, factory or council workers or military servants. Another true fact is that eachmember of the society and community should know his or her role in the cooperation. We have to understand clearly that one of the priorities should be unification of the law of state and municipal employees,
persons holding public positions in all institutions of the Republic of Uzbekistan must understand equality
in front of the law, and once people see that it works, they will work harder for the interest of the whole
nation. People should see that “shadow” times have passed and governmental officers work, serving andprotecting people’s ideas, providing access to information on the activities of the bodies of state power andlocal authorities.
Showing my own experience in fighting corruption, I used to divide corruption investigations into two
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parts: investigating past corruption offences and investigating current corruption offences.
A. Investigating Past Offences
The investigation of past offences usually commences with a report of corruption and the normal
criminal investigation technique. A lot of things will depend on the data given by the informant and fromother sources; the case should be improved and designed to obtain direct, corroborative and undoubted
evidence. The successful ending of such investigation is on the meticulous approach taken and made by theinvestigators, detectives and prosecution department on time and coordinately to make sure that nothinghas been missed; otherwise, judges will not accept the evidence and the case will fail. The specific spheresin my practice sometimes could include detailed checking of the suspicious or doubted bank accounts andcompany activities, collecting information from different sources to corroborate any similarities or corrupt
transactions and so forth.
B. Investigating Current or Present Corruption Cases
Such investigation will be able to provide a better and greater scope for ingenuity. Besides the conventional methods noted above, an active strategy should be preferred more often, with a view to get andcatch the corrupted individual or corporation. Surveillance and telephone intercepts should be conductedagainst the suspects and suspicious meetings should be monitored. Some special cooperative parties can beestablished to set up meetings with a view to entrap, i.e., conduct sting operations against, the suspects.
Undercover operations can also be used for having more detailed information, infiltrating a corruption
syndicate. The prerequisites to all these proactive investigation methods are professional training, adequate
operational support and comprehensive supervisory systems to ensure that they are effective and in compliance with the rules of evidence. These methods are widely used in Uzbekistan.
Working in the MIA against corruption, our department understood that the investigating officers must
not know the offender, or have any contact with offender’s side. That is the key moment, otherwise a
conflict of interest appears, and sometimes it involves investigators becoming a part of the corruption. In
the Republic of Uzbekistan, there is a judicial directive to allow a reduction of two thirds of the sentence of
those corrupted individuals who are ready to provide full information to the General Prosecutor’s Office, or
any related institution if the person provides evidence against the accomplices in court. The MIA provides
special facilities to enable such “resident informants” to be detained in MIA’s premises for the purpose ofdebriefing and protection.
C. Witness Protection Measures in Uzbekistan
MIA has experienced cases where crucial witnesses were found and information about them came into
the hands of the wrong people, with two even murdered, before giving their evidence. There should be acomprehensive and modern system to protect crucial witnesses, including 24-hour armed protection, safe
housing, new passports with the new identities and details and, of course, relocation to another city or evencountry. Some of these measures require legislative backing. Unfortunately, we do not have special laws forprotecting informants; however, on the ministry level we use some measures to protect our witnesses andprovide protection to their families, including armed security during the trial period. Sometimes they aretaken to secret protected places. But it should be clearly understood that this requires financial support.
The police themselves cannot provide a wide spectra of protective measures. Government has to provide
more funds for the secret apartments and houses, increasing the payment to the marshal’s department of
the MIA, so, they would not be interested in selling information to third parties, but would be interested intheir job and duty. Those officers must receive sufficient salaries in order to serve the interests of Uzbekistan. The question I always hear is: “Where are we supposed to take money for these measures?” And theanswer is very simply from the syndicates; if we arrest corrupted accounts and illegal operations wheremoney is involved, that means we can use their money and funds against them. The most important thingis to provide the General Prosecutor’s Office and Judges with three important things: 1. independence, 2.
financial support and 3. power. These measures are not yet used in Uzbekistan; however, our governmentis trying to increase salaries of judges, and moreover, unlike 20 years ago, nowadays it is becoming a very
important and respected profession. The candidates for prosecutor or judge positions have a toughselection procedure. Those judges provide police and investigators with more authority in investigations
and some operative measures against corrupted organizations or individuals.

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III. INVESTIGATIONThe undercover investigation allows us to enter almost any organization or syndicate, so there we meetother people and work with those whom we find to be reliable people, those who can provide us withvaluable information or introduce us to other important people who can provide us with information orevidence of crime or corruption. Usually we have an action plan or strategic planning as it is called. There
should be agents involved, those who are familiar with the sphere we investigate, or, as they can also becalled, independent specialists. Police officers and investigators might not always be familiar with thefinancial world, know jargon of bankers or how to deal on the hedge funds and stock exchanges. Thus help
and advice of those professionals sometimes is important. Sometimes we offer types of deals to the people
already imprisoned so they can assist us with solving the crime or finding the evidence of crime. Whenthe operation begins, we identify people working on the project; we never know what case each of us isworking on. There is a limited number of people having access to the cases. We start with phone call recordings, mails, and emails, and we try to find out everything about the organization, identify whether
people of the company use specific slang or jargon; if they do, then we try to translate their codes andphrases. For that we have special agents. We try to get as much evidence as we can, including photo andvideo materials, providing the proof of guilt. The use of non-consensual pen registers and trap-and-traceequipment in an investigation is something we have to do, due to the limited value of the information
provided. Moreover, because trap-and-trace devices request mostly telephone and mobile company assistance and help, all measures and software programmes used during the trace period should use special
language limiting; at the same time we have to analyse and choose some specific time frames, we have toprepare our specialists for the work, sometimes it can happen after working hours and of course we haveto be concentrated. That also becomes complicated when the offender changes the mobile phone and buys
a sim card under a different person’s name. Because we do not have advanced voice recognition technologies it becomes pretty difficult to get the data.
Email research and analysis involves recording information contained on the outside of emails for
instance, something saved on the hard drive or transportable memory cards. We used to have some Trojan
viruses which we have sent via email and after opening it we could have access to the whole computer.
However, technological developments and safety regulations, including the antivirus market has expanded
and that costs a lot of money for such Trojan projects.
We also investigate the correspondence coming through post offices. This investigative type has proved
invaluable in search of the flow of money in many different types of fraud and cheating investigations.
However, one problem appears when with working with mail: all the mail is registered by clerks working
for the post office and the willingness of those clerks sometimes is really low, because, as practice showsthey could also be involved in corruption. They do not understand why they should cooperate with theProsecutor’s Office or the police. They have their benefits given to them by the offender, and they are
happy to receive them. They understand that their future depends on the offender. Moreover, sometimes
they are just afraid that they can also be imprisoned; thus, they continue their activity unwillingly. So, insuch a way we have to provide them with the written guarantees of safety. This practice is not working in
Uzbekistan. We used to have oral promises, but the clerks understand that after some period of time theinvestigator or officer can be changed, which means the guarantees will not be in force any longer. So,
they do not cooperate. In such a way we have to find a person or undercover detective to work as a clerk
at the office. We faced problems that even though we try to do our best, offenders find out about the undercover officer, and in that case they may either provide us with the wrong information, or just stop theiractivity temporarily.
There are also difficulties and complications that appear, especially when we have to deal with off-shore
companies. It is almost impossible to get any information from those jurisdictions about Uzbekistan
account holders. So, up to now we do not know how to get information for instance from Seychelles, Lichtenstein, Luxemburg or Panama. Our Ministry of Foreign Affairs tries to deal with the governments of
those jurisdictions, but most times that is unsuccessful, and the procedure takes time, which is valuable ininvestigations. That means we do not get the desired result, and already waste time, which affects thegeneral investigation process period. Once we understood that many states are not willing to help us, wehave decided to control our internal situation, so, nowadays, banks in Uzbekistan restrict sending morethan US$5,000 a month for individuals and controls operations of huge companies. Many human rights or161

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ganizations say that we restrict the freedom of the citizens, which is not true, because, we help our
citizens and the country itself, we secure our national interests, and so that means we protect our Constitution.
After data is collected we provide it to the General Prosecutor’s Office, and they decide whether or notthat information is enough to open a case. If it is enough, they inform the offenders about the case. If not,then we either continue collecting information or stop the investigation, until we are sure again thatsomething suspicious has happened in the company or organization.
The investigations, depending on the difficulty and people involved in the corruption, can last from 3
months and sometimes up to 12 months. But that strictly depends on the evidence we have and theprogress of the work. If we meet some small corruption case, and we cannot find any evidence of it withina month, then most likely the Prosecutor’s Office will not provide us permission to continue the operation,
because we spend much more for the investigation itself, rather than a benefit we can provide to thesociety. Another thing we should always remember is that we do not spend our own pocket money for all
the measures, but rather tax payers’ money.
Some of the most persuasive and undoubted evidence for the court and prosecutor in a public corruption case is where it has been proved that the person or any official representative received financial
benefits from the offender, so in that case the person becomes an accomplice of the offender. To find thiswe have special access to the officials and their family members’ accounts. If they received sufficiently
huge amounts, if we find out that they are buying luxuries, or if they send their children to study at very
expensive universities and pay for it on their own, then of course, our conspirators or agents could havereasonable questions. And of course, in most cases those officials cannot explain where they got the money
from, which becomes evidence for the trial process.
Surely, we carefully chose the methods and the strategies of proving receipt of unlawfully earned funds
including specific items. When that comes to the trial process and when the authorities have a witness
who will prove that he or she provided, paid or gave bribes to a public official in the name of a third party— some kind of a middleman, or the person has paid the bribes directly to the person working at the governmental office, so called bribe-paying businessman, this fact we used to call “specific item”, which isevidence which will make the person pay a tax charge. Sometimes we use different methods by the way of
specific schemes of proof such as net worth, total spending, tax declarations, and bank details that showwhether the exact amount of taxes was used and whether it requires tax declaration. But sometimes, wehave to investigate people close to the offender. For instance, a person who is suspected to be a bribe-takerhas a wife, who is actually a housewife, and suddenly we find out that his wife earns a salary from thecompany she has never worked at. And the salary is US$7.000-8.000, plus bonuses; of course we do understand that people are not paid that much money for clerical positions. So in that case we have a lot ofquestions for both husband and wife.
The most difficult situations happen when the witnesses change their opinions or do not want to speakin the court. Then we understand that there was psychological pressure on the witness or their families
on behalf of offender’s side.

IV. PROSECUTIONIn Uzbekistan, after we gather all the required information it is passed then to the prosecutor’s department. From the beginning, we have tried to provide our prosecutors as much autonomous status as
possible. These reforms and innovations have created and established an autonomous and strong office of
public prosecutors, set up legal assistance services, and a new code of penal procedures, replacing an old
Soviet system with an adversarial system. The General Prosecutor’s Office (GPO) is the independent department in terms of investigating and prosecuting any unlawful and criminal activities, including corruption and bribery. Its leader is the General Prosecutor, who is chosen by the President of the Republic of Uzbekistan and confirmed by the Parliament of the Republic of Uzbekistan. A special department in the GPO
deals with corruption.
The Anti-Corruption GPO department has specially trained employees who are working in two areas:162

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legal and banking; accounting and financial analysis. Those officers provide information and their analyses
to the General Prosecutor on whether they believe a case should be started or not. There are different
factors that play roles in their decision, one of them being press. Mass media nowadays plays a crucial rolein our society, and some reporters do their own investigations, which allow the public to be informed ofand interested in cases. And of course, that makes the GPO pay attention to those mass media investigations and react properly. They must be very careful, because if the article presents just the author’s
opinion and does not have any evidential support, then the author of the article will have serious problems
at court. The GPO experts provide the GP with the structural analysis of the most difficult corruption
cases and provide advice. The principal crimes related to corruption are described and explained in the
Criminal Code, such as embezzlement, misappropriation and using of public funds in an inappropriate way,
bribe taking and giving to/by national or international public officials and governmental officers, abuse offunctions, and illicit enrichment. There are different measures for corruption which were written in the
Criminal Code of Uzbekistan, and after UNCAC was ratified the General Prosecutor has a direct President’s Order to create measures to address the corruption in all spheres of everyday life. Those penalties
include imprisonment, disqualification from the office and government positions with penalties. Additionally,
if the accused has no strong violations of laws or convictions, he or she will usually be given a second
chance, but will be an object of tests and research.
Uzbekistan has shown a stable’ progressive way in fighting corruption, so in such a way we havedecreased the general level of corruption from the general percentage of 35% to 20%; however, we do understand that it is not enough, and we will have to train our investigators by exposing them to international experience in anti-corruption measures. This can be done thanks to seminars such as JICA’s programmes. The corruption rate has remained steady for the past 15 years. A criminal investigation
procedure provides for the GPO to open the case and organize the investigation and after that the GP isprovided with a maximum period of two years to find the evidence of the crime. However, that period canbe shortened by the judge taking into consideration the complexity and difficulty of the case. Before the investigation is declared, prosecutors, trained staff and other GP officers must take into consideration all thecomplex issues during the case.
Some samples during anti-corruption cases include standard practices such as creating and proclaiming
a special structure for the investigation. In that case, prosecutors sometimes cooperate with police officers
and investigators; however, sometimes it seems that there is an absence of coordination that feels likethere is an absence of trust between the forces. Investigations are very simplified sometimes by the readyaccess to a great range and accessibility of property, tax and other related on- and off-line services. Unfortunately, very often it becomes that the offenders have more developed technological support than the
MIA, and in that case we have to work very carefully together with the GPO.
The GPO can also sanction an operation including work with embassies and consulates of the Republicof Uzbekistan abroad. The legislation of Uzbekistan also provides witnesses with guaranteed protection,
search and seizure, and taking witness testimony in Uzbekistan. Even though those laws are not that
perfect and strong, still we try to develop them, and as it has been stated before, there are some measurestaken by the MIA in those cases. I am not familiar with the GPO’s immunity process and deals with informants, but as far as I know we have some measures to provide immunity. However, it is known that thewitness should provide a really valuable piece of information to have a deal.
The GPO will also need the Court’s support in cases where access to top secret administrative or office
information is needed or when such a request has been denied by the responsible authority, and if bugging
or wiretapping in certain cases are required. Undercover officers or investigators and controlled deliveries
could work without authorization in corruption cases; however, these procedures are allowed and authorizations are more easily obtained in drug-related crimes and money-laundering cases.

V. TRIAL PROCEDURE
When it comes to the trial of a corruption case, government attorneys have to be careful about theirdecision-making process of the penalty, charging, trial tactics, and the opportunities for the defence of the
defendant.

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Within the period of time of the investigation of public corruption, GPs and investigators will have to
make many charging decisions. Especially they will have to identify who will be in charge, how it will
happen, how much will be charged and the period of when the charge should be enforced.
During the trial process the conviction percentage of corruption nowadays is about 20% out of thegeneral percentage of cases. Within the process period, the witness is under the protection of the MIA. All
the evidence is carefully kept and there is a special process of numeration and listing them. If that has notbeen done in an appropriate way, the court would not accept them.
When the offender is arrested the arresting investigator reads the rights to the offender. Usually, before
the trial starts the GP looks through all the evidence and when it is clear that the case can be built up, heor she starts the case. During the trial all the evidence is shown and the witnesses provide their
testimony. Taking into consideration all the investigatory aspects, we could call the system an inquisitorial
one. Depending on the complexity of the case, the trial process can run from two months up to six months;
sometimes new evidence appears, which can affect the whole case.

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REPORTS OF THE PROGRAMMEGROUP 1Chairperson
Co-Chairperson
Co-Chairperson
Rapporteur
Co-Rapporteur
Co-Rapporteur
Members

Advisor

EFFECTIVE ANTI-CORRUPTION MEASURES
Mr. KUSHIMOV Nurkhat
Mr. MARUYAMA Jun
Ms. DIOMANDE Nanan Assiata
Mr. Mahmoud Hassan BAKRY
Mr. Edwin Ocharo RIOBA
Ms. Silawan PANOM
Mr. Md Manzur MORSHED (Bangladesh)
Mr. Tulsi Ram ARYAL
Mr. USMANOV Ulugbek Melisovich
Mr. HONDA Shuichi
Prof. HIROSE Yusuke(Kazakhstan)(Japan)(Côte d’Ivoire)(Egypt)(Kenya)(Thailand)(Nepal)(Uzbekistan)(Japan)(UNAFEI)

I. INTRODUCTION
Group 1 started its discussion on 30 October 2015. The group elected Mr. KUSHIMOV as chairperson
and both Mr. MARUYAMA and Ms. DIOMANDE as co-chairpersons while Mr. BAKRY was the rapporteur and both Ms. PANOM and Mr. RIOBA acted as co-chairpersons. The group chose effective anti-corruption measures and the way to prevent corruption from the point of view of law enforcement bodies as
subjects to discuss, and divided the discussion into subtopics (generating leads, investigation, prosecution,
trial, prevention).

II. GENERATING LEADSWe discussed the subject of generating leads, and we agree there are similar measures to generateleads in our respective countries like complaints, informants, confession, whistle-blowers, surveillance, mass
media, and information derived from investigations of other cases.
According to our experience, we found that there are some problems in generating leads. For example,
some related to culture, the lack of awareness among the public (they do not know their rights and duties)
and they are afraid of pressure from authorities and have poor education. They are afraid to be witnesses
because of the possibility of threats to their security. There is a lack of trust between people and authorities in most developing countries, and they are afraid of becoming victims. As we mentioned above, since
there is a high ratio of uneducated people some do not know how to access authorities or make complaints.
Additionally, there are some other problems related to the system that corruption crimes are characterized to be secret crimes, meaning there is no victim and the criminals are powerful and have highinfluence on others. They can hide any clues that would generate leads to discover their corrupt acts. Unfortunately, the law enforcement bodies that are established to fight these crimes suffer from low levels ofprofessionalism. In addition to that, investigation of these crimes and trial procedures take a long time.
Sometimes politicians interfere in those investigations and trials using different means.
We recommended some measures to solve these problems starting from building awareness by holding
conferences among the public (students, private and public sectors, etc.) that corruption badly affects theireconomic, political and social lives. We have to keep the identity of the informers and witnesses secret toensure their security so that they are not afraid of making complaints. Paying the informers to obtain information is a good measure to generate leads, but we agreed that payment should be made after the conviction, and it has to be publicized to encourage others to inform without mentioning names and putting
certain criteria about the amount of money that should be paid to the informers. Establishing Whistleblower Protection Laws will be useful to encourage informers; a legal status can be given to the whistleblower that will offer to him physical protection and stability in work, and this legal status will be given to
the employee upon the request of the investigator to the prosecutor or the judge, but if a dispute happens

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between the employer and the employee (whistle-blower), and the employee claims that the employer
breached the law, this dispute will go first to the labour committee and any party can appeal the decisionof this committee to courts while the burden of proof will be on the employer. If the employer is foundliable, the employer will face criminal and civil charges. Another way to encourage complaints and informants is to accept anonymous complaints or informants, but they must be detailed and must be reviewed
carefully.

III. INVESTIGATIVE MEASURES: EFFICIENCY, ADEQUACY, AND PROPORTIONALITY
A. Problems in Investigation
All participants agreed that there are several problems in investigation such as bank secrecy andprivate sector secrecy. This is because banks and financial institutions always claim that they have a duty
to protect the information of their client.
The next problem is limitation of undercover measures. Some countries have some limitations on undercover operation such as Egypt, where recording is only allowed in public areas. In Japan, wiretapping isonly allowed in the investigation of organized crime cases.
Other problems include limited numbers of investigators and financial resources and difficulties inaccessing or gaining information such as telephone logs and delay of receiving information from experts. It
was also mentioned that in some countries there is a problem of limited jurisdiction; for example, the investigation agency cannot investigate the private sector.
B. Points of View in Group Work Discussion
During the discussion, the Group considered the necessity of issues such as collecting crucial evidence,
shortening the period before prosecution and the protection of human rights.
C. Recommendations
1. Sting Operations
One of the effective measures to deal with corruption cases is the sting operation. This is an undercover measure where the investigator acts as if he is a part of the crime, aiming to set up the corrupted
criminal. This strategy is controversial due to concerns that it may be used for entrapment. The groupagreed that investigation in corruption cases by using sting operations is useful under certain criteria, forexample, in bribery cases. However, this operation should be conducted under the supervision of a judge toprevent abuse of power. This measure should be used in exceptional circumstances when there is no othereffective overt investigation to gain information and evidence.
2. Integrity Tests
Another effective measure is integrity testing. In this operation an undercover officer makes a random
visit to the government department in search for services and observes the officers for indications ofcorrupt activity where there are repeated allegations of corruption in a government department.
This test should be applied to public offices only under the authority of a judicial warrant. Some participants mentioned that there should be no need of warrants because of the high ethical requirements for
public officials, and the public officials should be required to sign a waiver accepting that such test may be
conducted before becoming a public official. Some participants stated that this test should be used for administrative penalty.
3. Deterrent Punishment for Delaying of Expert Reports
If experts delay their reports, they should be punished.
4. Deposition
Questioning the witness in the presence of the defence and prosecutor and investigator about his
statement. Following the deposition, all of the aforementioned parties should sign a document indicating
they do not have any other questions for the witness. This aims to protect the witnesses and prevent
wasting their time.
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5. Online Interrogation
When witnesses are far from the investigation office or have difficulties coming to the office, investigators should use this measure to interrogate the witnesses.
6. Specialized Investigators
Investigators who specialize only in corruption cases.
7. Expedited Investigations with Safeguards
After the accused accepts his or her guilt, investigators do not have to investigate the criminal cases
completely before prosecution. Some participants are against using this measure because it is difficult tofind whether or not the person who confessed is a scapegoat.
8. Plea Bargaining
The aim of plea bargaining is to make the investigation process faster and to collect leads and other information.

IV. PROSECUTION
Members expressed concern over prosecution of corruption cases, saying that the main problem waspolitical interference. Some members explained that the minister of justice influenced the prosecution ofcorrupt public officers.
Some of the members explained that the prosecutors in their countries were independent and their recommendations were not influenced by political considerations.
Members discussed the challenges and proposed the following:
I. 			Creation of strict guidelines to prosecute corruption matters. However, some members raised
concerns that strict guidelines would affect the discretion of the prosecutor.
II. 		Members also recommended that the prosecutor should publicize the reasons in cases where hehas elected not to prosecute,III.		S ome of the members also proposed that there should be an avenue for affected persons tochallenge the decision of a prosecutor in cases where he has declined to prosecute.

V. TRIAL
The group noted that some countries had adversarial systems while others had inquisitorial systems ofjustice. However, it was unanimously agreed that there was no absolute adversarial or inquisitorial systemamong modern judicial systems.
Members also noted that the absence of a witness protection programme was an impediment to successful prosecution because some witnesses were reluctant to testify, owing to fear of their security.
The group also noted that most of the trials in corruption cases are lengthy and complex and that the
judiciary was understaffed and had a huge backlog of cases.
Members discussed these challenges and proposed the following:
I. 			The group recommended the creation of special anti-corruption courts to address corruption
problems. The creation of specialized courts would address the huge backlog as the presiding
officers would only deal with corruption matters. Additionally, the creation of the courts would
ensure that there is an adequate number of judges to handle corruption cases.
II. 		Members also proposed that there should be extensive pre-trial procedures to facilitate disclosure
before trial in order to facilitate speedy disposal of cases.
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III. 	The group also proposed that petty offences should be handled by lay judges to avoid congesting
the higher courts.
IV. 	The group also proposed that there should be a functioning witness protection programme toprovide for the security of vulnerable witnesses. The group noted that successful prosecution can
only be done where witnesses are confident of testifying in court.
V. 		Mediating agreements. Some members noted the benefits of solving the small cases with the helpof mediating agreements.

VI. PREVENTION OF CORRUPTION
All the participants of the group agreed that the most important part of the anti-corruption activity is
prevention. Many countries focus too much on the criminal justice measures in fighting corruption,
whereas such measures, if taken without proper prevention measures, proved to have little efficiency.
Most of the countries represented in the group experience challenges in ensuring the full independenceof the judicial system and prosecution. This could lead to political influence over the trial of particularcases and damage other anti-corruption initiatives.
The participants also noted that there are challenges in the process of recruitment, promotion andcareer management of civil servants. It was noted that some of the countries did not have objective
criteria for recruitment, promotion, transfers and career management of civil servants leading to favouritism and nepotism, which creates possibilities for corruption to thrive.
There are also problems in transparency of public procurement, which leads to significant risks of corruption in this field and prevents people from being provided with the desired quality of services.
Another challenge is the lack of the control of the financial activity and spending of the political parties.
The parties tend not to disclose the donations from businesses and wealthy individuals. It can serve as areason for future corruption if the receiving party wins the election, in which case the contributor will
expect favourable treatment and lucrative public contracts.
The next cause of corruption in many developing countries is that the relationship and interaction of
governmental agencies with the general population is not very well regulated. This gives the corrupt
officials wide latitude to abuse their discretion in their own favour.
Having discussed the problem, the group came up with the set of recommendations which, in our
opinion, would address them.
1. To ensure judicial independency we propose the following:- 		 appointment of the judges should be done by the judges themselves (ex. general assembly),- 		 The procedure to remove judges should be divided into two parts. The investigation of the wrongdoing of the judges should be conducted by the judiciary itself; however, the right of the final decision
should by allocated to the highest political authority of the country (ex. to the parliament in the parliamentary republics and to the president in presidential republics),- 		 Other measures to provide independence are financial autonomy, direct protection by the law.
2. For prosecution to be politically independent, we think, it is necessary to separate the prosecution
office from executive branch of the government. The office should enjoy the privileges of judicial
authority. Additionally, the strict and detailed guidelines on the matters of prosecution, especially of thecorruption cases, should be introduced to avoid political interference. Financial autonomy and direct
protection by the law are also desirable measures.
3. It would be good to conduct recruitment of public officials through a separated centralized agency
which would recruit on behalf of all government ministries. The centralized agency (Civil Service Commission) would also set standards of recruitment, promotions and training of civil servants.
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161ST INTERNATIONAL TRAINING COURSEREPORTS OF THE PROGRAMMETo enhance transparency in recruitment and promotions, some of the participants expressed the viewthat it would be appropriate to promote officers after passing exams and evaluation (internal, external,
mixed evaluation, 360 evaluation, etc.). Other members felt that civil servants should be given results ortheir work evaluations which was the basis of why the officer was not promoted.
4. For transparency in public procurement members of the group agreed that the following measures
could be useful- 		 All procurement should be published with details on a specialized website,- 		 To enhance transparency, members proposed the introduction a single on-line web service for all
public procurement,- 		 To introduce a leniency programme, which encourages companies to inform the authorities aboutcases of bid-rigging by providing immunity to that company,- 		 Companies or individuals who enter into contracts with government agencies should have the duty
to disclose an account showing income and expenses of the project under the contract to the public,- 		 The members proposed the creation of an external agency to monitor and audit expenditure of
public funds,- 		 The reports on the audit should be published within 30 days after the completion of the audit.
5. The transparency of political parties’ funds could be achieved through introduction of mandatory
detailed financial reporting, which should be submitted to the Election Commission for audit and should
be made available for the general public. Some participants expressed the opinion that the maximum
cap on the sum of the donations for political parties should be introduced.
6. To eliminate the conditions of corruption in interactions between government and the public, thefollowing principles and mechanisms could be established:- 		 No (or minimal) contact between state officials and the population to avoid human inference (one-stop
shop in provision of public services, e-government system, e-procurement),- 		 No (or minimal) discretion and strict guidelines for exercise of the discretion (standard for provisionof public services / strict timing, guidelines for every position of civil servants).
- 		 Transparency and disclosure of all information (online queues for limited public services etc.)
7. Some participants proposed that the countries might consider tightening the monitoring of financial
standing of public officials and their families- 		 Everybody agreed that there should be annual reporting of income, spending and assets by public
officials and their families and that these reports should be checked on submission.
- 		 However, the opinion divided (50% agree, 50% disagree) on shifting the burden of proof on the public
official to prove the legality of his/her income.
8. Some participants also suggested that public hearings could ensure the accountability of local government and low ranking local officials.
9. In order to ensure the efficiency of the anti-corruption strategy, internal control mechanisms should bein place. Firstly, an internal report of all government agencies about the measures taken to prevent corruption and their efficiency should be required. Secondly, there should be external evaluation by
separate and independent agencies, which could also make recommendations on further improvement.
Both reports should be made open to the public.

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GROUP 2
CORRUPTION IN DEVELOPING COUNTRIES AND ITS POSSIBLE
SOLUTIONS
Chairperson
Co-Chairperson
Rapporteur
Co-Rapporteur
Co-Rapporteur
Members

AdvisorMr. Afzal Abduganiyevich Nurmatov
Mr. Niaz Hassan
Mr. Jose Palacios
Mr. Sakai Hideomi
Mr. Parviz Chorshanbiev
Ms. Fathimath Haifa
Mr. Phuntsho Choki
Mr. Soe Naung Oo
Ms. Oikawa Hiromi
Ms. Olha Ivashchenko
Prof. Ayuko Watanabe(Uzbekistan)(Pakistan)(Honduras)(Japan)(Tajikistan)(Maldives)(Bhutan)(Myanmar)(Japan)(Ukraine)(UNAFEI)

I. BASIC ORGANIZATION OF THE GROUP
The group started its discussions on Friday, October 30, 2015. The group in its first meeting, elected byconsensus Mr. Afzal Abduganiyevich Nurmatov from Uzbekistan as Chairperson, Mr. Niaz Hassan from
Pakistan as Co-Chairperson, Mr. Jose Palacios from Honduras as Rapporteur, Mr. Sakai Hideomi fromJapan as Co-Rapporteur, Mr. Parviz Chorshanbiev from Tajikistan as Co-Rapporteur.

II. SPECIAL THANKS
To the United Nations Asia and Far East Institute, to all its staff, director, deputy director, professors,
officers and the rest of the personnel of UNAFEI, for providing the knowledge, materials and special
treatment for all the participants of this 18th UNAFEI UNCAC Training Programme. Also, special thanks
to the Japan International Cooperation Agency for providing the opportunity, logistics, and special
treatment for all the participants of this programme. Special thanks to all participants and visiting
experts/lecturers.

III. INTRODUCTION
We have agreed that corruption is a disease that exists all over the world, in all countries, in the public
and private sectors, in developing countries and in first world countries. However, it is in developing
countries where corruption is most rampant and causes the worst consequences. This is because the funds
stolen by corrupt officials do not reach those who are most in need. Those citizens are in dire need of food,education, medicine, housing, jobs, etc. Therefore, it is necessary to adopt, sign and implement all practices
established in the United Nations Convention against Corruption (UNCAC).

IV. POLICE AND LAW ENFORCEMENT
The investigation process is not only where we can find the tools to obtain leads for future prosecutionsof corruption, but also it is the basis of every corruption trial. If there is no reactive or proactive investigation, no useful leads can be obtained; therefore, no indictments can be presented before the courts. Also, if
the investigation is defective, the prosecution will have no useful tools and the court will dismiss the accusation. And as we witnessed in the Prefectural Police of Hiroshima, a well-equipped police department,with all the necessary tools, can investigate, capture and present the accused before the prosecution,
knowing with a high degree of confidence, that this person will be convicted.

V. PROSECUTION
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have the effective knowledge and academic level necessary; they also have to be supported by a professional and prepared police organization, in order to prepare, organize and present the proper indictments
before the judicial system. Furthermore, we had the unique opportunity to visit the Kyoto Prosecutors
Office, where we got to know great techniques to apply in our own countries.

VI. TRIAL
After a successful prosecution, it’s time for the judges to do their job, and that is, impartially control
and supervise the participants, may we call them prosecutor and defence. The most important element,
analysing the evidence presented, and therefore judges issue a judgement according to what the law establishes. We had the great opportunity to visit the courthouse in Kyoto, Japan, where we witnessed the procedures and special techniques they use at trial. This will be very useful in the future law enforcement application of the law in our countries. However, as a conclusion, we can establish that the judge has to beable, trained and impartial when applying the law.

VII. CORRUPTION PERCEPTION INDEX OF TRANSPARENCY INTERNATIONALAND THE COMPARISON OF OUR COUNTRIES (2012-2014)
COUNTRYYEAR 2012YEAR 2014

DIFFERENCE

HONDURAS

133

126

+7

PAKISTAN

139

126

+13

BHUTAN

33

30+3

MYANMAR

172

156

+16

MALDIVES＊＊＊TAJIKISTAN

157

152

+5

UKRAINE

144

142

+2

JAPAN

17

15

+2

UZBEKISTAN

170

166

+4

⿟⿟ CPI Index of Maldives: in 2011, Maldives appeared 134th in the CPI index out of 183 countries.
But during the last 3 years, the CPI index of Maldives was not calculated due to the unavailabilityof data from a minimum of three expert sources, usually from international organizations withexpertise in governance and business climate analysis.

VIII. BEST PRACTICES AND RECOMMENDATIONSThere is a series of best practices that we have to procure to apply in our own countries in order totackle corruption in a more efficient manner. This training programme has been a great opportunity toanalyse and study most of them. The following are some of the most efficient and useful, according to ourconclusions:A. Effective Application of the Universal Human Rights Declaration of 1948
Most countries signed and ratified the Universal Human Rights Declaration of 1948; however the
majority of them do not effectively implement this important convention. Therefore, we can verify the vastviolation of human rights in those countries; among these transgressions we can identify the violation of
the right to vote, freedom of communications, education, health, association or gathering. This situation
causes fear among the citizens; therefore, the government leaders and other public officials use this opportunity to commit corruption crimes.

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B. Education and Culture as Basic Pillars in the Battle against Corruption
If the population of a country has a low level of education, as a necessary consequence, the corruption
levels will be elevated. As an example, we have observed that developed countries with elevated levels of
education, have positive positions in the Corruption Perception Index of Transparency International. We
consider that, every country should increase its literacy rate. To do this, the educational budget should be
increased, in order to hire more qualified teachers, to build more schools, so that more children can haveaccess to education. Also, we have concluded that obliged anti-corruption training should be conductedfrom the first stage of the education process and continue to the post-graduate studies. A person with ahigher level of education is less inclined to become a corrupt public or private official. Everyone should be
accountable for their actions and should be equal in the eyes of the law.
C. Transparency of All Public and Private Institutions
If there is no transparency in all the framework of all public and private institutions, then there is arisk of corruption. Therefore, we believe that every public and private institution and their officials should
disclose the necessary information on their websites. Obviously there is information that should not beshared, e.g., security and confidential. However, the citizens have a right to know what is happening inthese institutions.
D. Freedom of Mass Media, Newspapers, TV, Radio, Internet, Etc.: The Voice of the “Citizen”,
Beware of BlackmailThe citizens of a country need to exercise their right of freedom of speech. This can only be possible if
the country has free mass media, obviously including newspapers, television, radio, Internet, etc. We haveto take the necessary steps to avoid unlawful censorship. Mass media controls and supervises public andprivate officials, thus avoiding corrupt practices. Beware of blackmail that could be performed by corrupt
media.
E. Improve the Selection Process of Public Officials: 1) Education, 2) Transparency, 3) Competition,4) Examination and Qualification, and 5) Background
It is necessary to take measures to improve the selection process of public officials, in order to avoid
future corruption practices. Education is a key factor; the nominee has to have the necessary educational
level for the position he or she is applying for. The selection process of the public officials has to be transparent, so that every citizen can have the right to know who is being designated as a public official. The
selection process has to include knowledge, psychometric and psychological examinations to ensure thatthe nominee has the abilities and capacities for the position. Last, but not less important, is the backgroundinvestigation of the nominee; he or she has to have a clean history.
F. Accountability of All Public Officials, Evaluations and Declaration of Assets
All public and private officials are accountable for their actions. We have to make sure that in our own
countries and the institutions in charge of the accountability of individuals work in an effective manner. In
other words, detect and report to the police or prosecutor’s office any irregular asset activity by a public
official. His or her assets have to be in equal relation with their income. An annual report has to beprovided in an obligatory manner as well at the beginning and at the end of the contract period.
G. Judges’ Accountability
Judges have to be accountable for their incorrect or unlawful actions. Each one of countries has adifferent procedure to investigate and possibly punish a judge that has behaved in the above-mentioned
manner. However, as a study group, we have concluded that the judge’s impeachment procedure currently
being applied in Japan is definitely a good practice to propose and execute in each of our countries. In this
18th UNAFEI UNCAC Training Programme, we had the invaluable opportunity to study, analyse and visit
the Judge Impeachment Court located in Tokyo, Japan.
A judge’s independence is necessary to hold a fair and full trial without receiving influence from thestate or other power, as well as to ensure the constitutional principle of judicial independence. However,
because of the principle of popular sovereignty, there must be a way to deprive judges of their status if
they commit misconduct. Therefore, if a judge betrays the people’s trust, the Judge Indictment Committee
can file an indictment against the judge before the Judges Impeachment Court. Both institutes are part of
the Japanese National Diet.
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H. Independence of Government Branches as a Basic Element
We believe that independence among the different branches of government is elemental: the executive,
whose president is and has to be elected by the citizens, has to be able to administrate the government,
but cannot influence or interfere with the rest of the powers or branches. The legislature also has to beelected by the citizens; it is they who have to decide on their representatives of the respective districts or
sectors of their territory. The judicial system is in charge of the administration of justice.
I. Improve Salaries of Public Officials, to Cover Basic Necessities, to Optimize Efficiency of the
Employee and Motivation, Remember Minimum Wage Inequality
The salary of a public official is an essential element and directly related to the possibility of said
official being inclined to commit a corrupt act. To prevent possible corruption crimes, public officials haveto be well paid, enough to cover their basic necessities. The public official has to be motivated by training
programmes; if he or she has excellent performance or if seniority is a factor, this official has to earn morethan others that have not obtained these qualities. Almost every country has the minimum wage system;
however, we consider that the motivation factor has to be applied.
J. The Rotation of Judges, Prosecutors, Police Officers and Other Public Officials
If a public official stays for a prolonged period of time in the same position, then he or she is more
inclined to become corrupt. The reason for this phenomenon is that, these officials become too familiar
with the common procedures; therefore they are able to find effective corruption schemes. Another reason
is the lack of motivation that this situation creates for them. Therefore, after a prolonged discussion, ourgroup has concluded that the rotation of the public officials every three to five years becomes a goodpractice to prevent corruption.
K. Random Case Distribution at Trial
There is a risk of corruption at the moment that a case or an indictment is assigned to a judge.
Obviously the reason being that the person in charge of assigning a case can receive a bribe in order todeliver the indictment to a particular judge. Therefore, the group concludes that this assignment has to be
conducted randomly using software with the necessary security measures, thus eliminating the risk.
L. Efficient Covert Operations: Wiretapping, Controlled Delivery and Sting Operations
As enforcement actions, particularly as covert operations in corruption-related investigations, the mostefficient are wiretapping, controlled delivery and sting operations, in that order. We believe that the investigation process has already begun, because of a complaint, denouncement, whistle-blower or because the information has been leaked by any other source. If this information is corroborated with any other kind ofevidence, then it is correct and effective for the corresponding law enforcement official to request the
judicial authority to proceed with the wiretap or to request the communications log history, in order toverify the already provided information. If the suspicions or the information are confirmed, then, on a caseby-case basis, it would be effective to prepare a controlled delivery, using any available means necessary topreserve evidence. This may include wiring the witness or agent, using audio–visual equipment, decoys,etc. Through this procedure, as law enforcement officials, we are assuring that the evidence acquired
during the investigation process will not only be admissible at trial, but will be useful as well.
M. Foreign Private Corruption
Tackling private corruption including that which is happening in foreign countries, but committed by
our nationals, is extremely important. A well-elaborated internal and overseas investigation is the basis fora successful trial. Key anti-corruption instruments, such as the U.S. Foreign Corrupt Practices Act of 1977,
the U.K. Bribery Act of 2010 and Japan’s Unfair Competition Act are tools that we can use to prevent
private corruption acts from happening in our countries and abroad.
N. Whistle-Blowing Protection Law
Correct and lawful whistle-blowing inside public and private institutions is an excellent way to detectcorrupt individuals. That is why we have reached the conclusion that it is necessary for our countries toadopt whistle-blower protection programmes.
O. The Independent Commission Against Corruption (ICAC) of Hong Kong
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pendent Commission against Corruption (ICAC) of Hong Kong and have concluded that the results
obtained by ICAC are the most efficient reached by any other corruption commission. ICAC’s success isdue to the three-pronged strategy implemented by that commission. First, the enforcement sector—Operations Department (OPS), which uses almost 70% of the commission’s budget—is occupied in the reactive
and the proactive activities of the organization. Basically, it actively pursues public and private corrupt
officials, by receiving anonymous and non-anonymous complaints. The corresponding investigation has
begun through compulsory and noncompulsory methods. The commission’s agents receive testimony,
conduct covert operations, such as wiring of witnesses or undercover agents. Requests for wiretapping, as
well as, arrest warrants, search and seizures before the corresponding judicial authority, and many morecovert and overt effective investigation measures are used in order to verify if a corruption crime has beencommitted. If it has, then the final report has to be elaborated, and it is presented to the prosecution office,so the corresponding indictment can be elaborated and the judicial stage can begin. Second, the commission has a second sector, the prevention prong—the Corruption Prevention Department. The agents here
have the obligation to analyse and investigate where corruption can proliferate in the public and private
sectors. The agents should then provide efficient recommendations in order to strengthen those alreadymentioned weaknesses, in order to prevent corruption from happening. Third, the educational approach—Community Relations Department, the commission has agents in charge of developing and carrying out
educational programmes aimed at all sectors of the Hong Kong society, for example, educational programmes for schoolchildren, university students and the public and private sectors. The purpose of thisthird and last approach is to create a non-corrupt culture, so that in the future, the enforcement sector will
be reduced significantly. As a group, we have learned that the Independent Commission Against Corruption (ICAC) of Hong Kong is so efficient because of the political will that existed at the moment of its
creation, as well as the holistic and multidisciplinary method it utilizes as a whole, and finally but definitely
not less important is the compromised behaviour and culture of each and every one of the agents of thisunique commission.
P. International Cooperation
We believe that international cooperation is essential in the process of tackling corruption. It isnecessary to begin, maintain and increase relations with the rest of the countries of the world. INTERPOL(ICPO) is essential to international law enforcement; this global organization coordinates global actions,which is vital for the world’s police and judicial system, through initiatives including the Global Focal
Network for Asset Recovery, assists law enforcement bodies in returning stolen public funds to victim
countries, coordinates working meetings between member countries in order to facilitate investigations
that cover more than one jurisdiction; provides training through the Interpol Global Programme on anticorruption, financial crimes and asset recovery. International corruption requires a multi-sector and crossborder response such as Interpol’s close work with the World Bank, UNODC, UNDP, US Department ofState, OECD, FATF, Egmont Group, etc.
UNCAC sets out an international framework invaluable in the fight against corruption and serves as a
guide to many Interpol initiatives.
One of the effective international instruments to fight against corruption is the activity of the Group ofStates Against Corruption (GRECO). This organization improves the capacity of its members to fight corruption by monitoring their compliance with anti-corruption standards through the dynamic process ofmutual evaluation and peer pressure. GRECO also provides a platform for sharing the best practices in theprevention and detection of corruption.

IX. CONCLUSIONS
We conclude that awareness and prevention along with enforcement are vital elements for eradicationof corruption from society. Each law should be implemented in true letter and spirit (efficiently applied) andno one should be exempted from it. Everyone should play his or her role instead of simply preaching. A
simple life culture is also necessary to put an end to this evil.
In addition, if anti-corruption authorities want to perform their duties, exposure of big corruption cases
which are connected to powerful figures in politics is very important because the actions of anti-corruption
authorities should be based on the citizen’s trust and support. To increase trust and support of the citizens,
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anti-corruption authorities should prove their effectiveness by exposing big corruption cases. If anti-corruption authorities arrest only lower public officials or expose only small corruption cases, the citizens willconclude that anti-corruption authorities are bullies and will never trust the said authority.
Power in Justice, let us start...

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GROUP 3
EFFECTIVE MEASURES FOR COMBATING CORRUPTION FROM
DETECTING LEADS TO TRIAL—A COMPARATIVE ANALYSIS OFDOMESTIC LAWS
Chairperson
Co-Chairperson
Co-Chairperson
Rapporteur
Co-Rapporteur
Co-Rapporteur
Members

AdvisorMr. Wael Saad Mohamed RAFEI
Mr. Md Nasir UDDIN
Mr. Phoosit TIRAVANICHPONG
Mr. Akuei Mayuen Deng DUT
Ms. KURUJI Naomi
Ms. Zeeniya ABDULLA
Mr. Sisavat SANGSINSAY
Mr. Kuanysh BAIMAKHANOV
Mr. WATANABE Kazutoshi
Mr. SARGALDAKOV Bekbolotovich
IskanderProf. YUKAWA Tsuyoshi(Egypt)(Bangladesh)(Thailand)(South Sudan)(Japan)(Maldives)(Laos)(Kazakhstan)(Japan)(Kyrgyz Republic)(UNAFEI)

I. INTRODUCTION
The Chairman guided the meeting to decide on the topics to discuss, and after thorough deliberations
on the proposed topics, the meeting resolved to focus on the following topics:
1. Corruption detection and methods of generating leads;
2. Effective measures for corruption investigation;
3. Prosecution and trial of corruption cases.
These topics were chosen because of their importance in any effective response to corruption.

II. GENERATING LEADSThe Group first reviewed methods of detecting corruption in the respective countries, which are summarized in the tables attached hereto and marked as Annexes I and II. The following points contain someof the information derived from the table:- 		 In generating corruption reports, investigation authorities in all the countries in the Group had
adopted direct complaint mechanisms such as hotlines, emails, petitions, in-person reporting andthey also detect corruption through open media sources-		 Among the nine countries, Maldives and Kyrgyz Republic do not have a mechanism to generateleads through asset declaration- 		 Presently, the most useful measures for generating leads in Thailand are reports of the Office of the
Auditor General, and this measure is also used in all other respective countries other than Egypt- 		 Other than Laos, all other countries collect and examine suspicious transaction reports from
Financial Intelligence Units to generate leads- 		 Inter-agency information sharing is also a measure to detect corruption in the respective countries
other than Kyrgyz Republic and Laos- 		 Direct detection of the evidence of a crime by investigators, prosecutors or public officials are also
176

161ST INTERNATIONAL TRAINING COURSEREPORTS OF THE PROGRAMME
used to generate leads in the countries such as Japan, Maldives, Bangladesh and the Kyrgyz
Republic; however, in South Sudan it is an obligation and a constitutional duty to inform the public
officials or report any illegal activities
Best Practices
After deliberation, the following were identified as ideal measures which the respective countries
should consider adopting:- 		 It is needless to say that any investigative bodies should receive information by a variety of means
to hear from as many people as possible, and investigative bodies should collect and examine avariety of materials such as media reports, FIU reports, etc.
- 		 Regardless of the number of investigative organizations, the information exchange between ministries which receive information is essential not to miss leads- 		 Furthermore, reporting obligation to investigative bodies for public officials in case of becoming
aware of corruption will enhance efficiency of collecting information, because gathered information
can be used to generate useful leads- 		 There is need for legislation that establishes whistle-blower or witness protection

III. CORRUPTION INVESTIGATION
Thorough and comprehensive investigation is critical to successful prosecution. In the countries of theGroup, substantial efforts are invested in finding out adequate answers to what, who, when and how corruption offences occur. All the countries use all forms of traditional methods of corruption investigation
with varying degrees as to the control mechanisms.
However, some countries have found it necessary to use special measures to investigate corruption, thereason being that corruption by its nature is a secretive crime, most often committed by mutually satisfied
parties. Unless agencies responsible for combating corruption have access to the use of special measures,
corruption will continue to wreak havoc unabated. More so, corruption offenders usually do their businesswith a flair of sophistication, rendering obsolete the traditional methods of revealing its occurrence anddamage.
Chief among the special measures to investigate corruption are: controlled delivery, undercover operations, use of informants and surveillance, both physical and electronic. Some countries of the Group use
some of these measures.
As for the other countries, these measures are considered intrusive and infringe on the fundamental
rights and freedoms which are heavily guarded by the constitution. Their use is therefore a last resort
when other less intrusive measures prove less effective, especially in serious crimes. A balance between effectiveness in combating corruption and respect of rights is therefore required when using these measures.
As a safeguard even the countries that use these measures put in place restrictions on their use.
Internal control, prosecutorial and judicial scrutiny as well as requiring express provisions of the law are
but some of the control measures used.
Best Practices
The key word in investigation of corruption is effectiveness of the means and methods used ingathering enough evidence to prove or disprove the existence of corruption. Each jurisdiction should strive
to strike a good balance between being innovative one the one hand and not encroaching too much on
protected rights, such the right to privacy of dwellings and communication, which are universally recognized rights. Among the innovative measures to consider are: controlled delivery, use of informants, theuse of undercover agents, wiretapping, surveillance, and sting operations, among others.

177

RESOURCE MATERIAL SERIES No. 98

IV. PROSECUTION AND TRIAL
A. Prosecution
1. Collecting Information
In most countries, prosecutors have the authority to initiate prosecution of corruption cases (Egypt,
Japan, Maldives, Kazakhstan, Kyrgyz Republic, and Lao PDR). In Thailand, prosecutors indict cases in thename of the Attorney General with his/her approval. In South Sudan, the South Sudan Anti-Corruption
Commission (SSACC) has the authority for prosecution according to the constitution. But the Director of
Public Prosecution also has authority to prosecute corruption cases. Only in Bangladesh does the Anti Corruption Commission (ACC, established in 2004) possess sole authority to prosecute.
In most countries except South Sudan, the prosecution bodies have more discretion about whether toprosecute or not. Such bodies are also free to adopt or to dismiss the prosecutor or staff member of the
ACC (in the case of Bangladesh). Adequate legal qualification is required to be a prosecutor or a staff
member of the ACC in all the countries.
In most countries except Japan and Maldives, prosecution bodies indict cases when there is sufficientevidence to support the reasonable prospect of a conviction. In Maldives, a prosecutor should indict defendants in cases which can be proved beyond reasonable doubt. In Japan, prosecutors indict defendants when
the offence can be proved beyond a reasonable doubt and it is necessary to prosecute. Since the prosecutor
has wide discretion not to initiate prosecution in Japan, there is a system to review a prosecutor’s decision
not to prosecute, that is, the Committee for the Inquest of Prosecution. Victims or complainants can apply
to the committee to review the prosecutor’s decision of non-prosecution. Members of the committee are
randomly selected from voter registration lists, and those 11 citizens will see all the evidence and decide
whether prosecution is proper or not. If the committee decides twice that prosecution is proper, then the
court appoints a private attorney(s) to prosecute the case. Most countries except Bangladesh and South
Sudan have a review system for non-prosecution.
2. Best Practices
At first glance, it seems ideal for combating corruption that the anti-corruption commission with investigation authority is also empowered to initiate prosecution and to pursue the case through trial. However,
to make this model work in realty, there should be enough human and other resources in the commission.
Many of the anti-corruption agencies are relatively new after their establishment, and therefore it would
be effective to have a system in which the commission would coordinate closely with prosecutors who takethe role to prosecute the cases and to attend to the trial. There should be also a review system for theprosecution, and it would be useful to have a system like Thailand, where non-prosecution decisions are
scrutinized by a committee consisting of members from the anti-corruption commission and the prosecutors’ offices.
B. Trial
1. Collecting Information
In most countries except Bangladesh, corruption cases are adjudicated through the ordinary judicial
process. In Bangladesh, corruption cases are handled only by special judges, appointed from ordinary
judges, who have authority to engage in the trial within their territorial jurisdictions. For fair and speedy
trial, in Thailand, Japan and Kazakhstan, the pre-trial conference procedure is used, and the court may
apply it to corruption cases. Through the pre-trial conference procedure, parties should prepare and clarify
their allegations, and thereafter the court arranges points of arguments and the plan for the upcoming
trial.
As for witness protection, the judge can order the police to take appropriate measures to protect
witnesses in Egypt and Bangladesh (but rarely used). In Maldives, Kazakhstan and Kyrgyz Republic,
judges can also conceal the background of witnesses from the suspect or the defendant. In all countries,
there are no special rules of evidence that are only applied to corruption cases. But as for the statement of
co-offenders, South Sudan deems such statements obtained as admissible. In Egypt, at the stage of prosecution, the prosecutor can ask the judge to mitigate punishment or acquit a witness who provided testimony.

178

161ST INTERNATIONAL TRAINING COURSEREPORTS OF THE PROGRAMME
2. Best Practices
Because of the complexity, it normally takes a long time for corruption cases to come to final
judgement. It is therefore in the interest of speedy and fair trial to adopt some innovative and effective adjudication mechanisms. Measures to consider include the use of special courts, specialized training forjudges, the use of pretrial procedure, and post-trial witness protection, among others.

179

Methods ofGenerating
Leads

180
Suspicious
Transaction
Reports from
FIU

Suspicious
Transaction
Reports from
FIU

Inter-agency
information
sharing

Inter-agency
information
sharing

Statutory
Reporting

Whistleblowing

Media Reports

Audit Reports
Media Reports

Audit Reports
Media Reports
Suspicious
Transaction
Reports from
FIU

informants

Inter-agency
information
sharing

Assets Declaration Reports

Assets Declaration Reports

Assets Declaration analysis

Complaints

Egypt

Complaints

South Sudan

Complaints

Thailand

Directdetection of
the evidence ofa crime byinvestigator,
prosecutor or
the public
officer

Whistleblowing
informants

Inter-agency
information
sharing

Suspicious
Transaction
Reports fromFIUMedia Reports

Assets Declaration Reports
only for dietmembers

Complaints
and accusation

Japan

Directdetection of
the evidence ofa crime byinvestigator,
prosecutor or
the public
officer

informants

Inter-agency
information
sharing

Suspicious
Transaction
Reports from
FIU

Audit Reports
Media Reports

Complaints

Maldives

Information
received during
the investigation ofpredicateoffences ofmoney laundering prevention
act

Whistleblowing
informants

Inter-agency
information
sharing

Suspicious
Transaction
Reports from
FIU

Audit Reports
Media Reports

Assets Declaration Reports

Complaints

Bangladesh

Method of Generating Leads for Corruption Investigations

Inter-agency
information
sharing
Whistleblowing

Suspicious
Transaction
Reports from
FIU

Audit Reports
Media Reports

Assets Declaration Reports

Complaints

Kazakhstan

Directdetection of
the evidence ofa crime byinvestigator,
prosecutor or
the public
officer

Reports of the
public officials

Suspicious
Transaction
Reports from
FIU

Audit Reports
Media Reports

Complaints

KyrgyzRepublic

Audit Reports
Media Reports

Assets Declaration Reports

Complaints

Laos

Annex ⅠRESOURCE MATERIAL SERIES No. 98

South Sudan

Yes. Anticorruption
legislation
obliges public
officials toreport corruption. Failure to
do so attracts
punitivesanctions.

Some mitigation during
trial

Is practiced by
the Anti-corruption Commission.

ThailandNo

Yes, Some mitigation

No

Reporting
Obligation

Mitigation
SystemAnonymous
accusation
No

Yes

No

Egypt

Yes

- M
 itigation ofpunishment
is practiced
by prosecutors andjudges.

- No plea
Bargain- P ublic
officers are
obliged toreport police,etc.

Yes by law

Japan

Yes

No

Yes. Anticorruption
legislation
obliges public
officials toreport corruption. Failure to
do so attracts
punitivesanctions.

Maldives

Yes

No

No

Bangladesh

Special Methods of Generating Leads

No

Yes

Yes

Kazakhstan

No

No

Yes

KyrgyzRepublic

No

No

No

Laos

Annex Ⅱ

161ST INTERNATIONAL TRAINING COURSEREPORTS OF THE PROGRAMME

181

South Sudan

No warrant forsearch. Warrant
needed for
seizure andfreezing ofproperties. But if
the suspect
absconds, thewarrant of
attachment andoften seizure is
obtained for the
Senior Public
Prosecution
Attorney not the
court.
72 Hours. This is
the practice oflaw enforcement
agencies.
However, theConstitution
provides for 24hours.

Positive. Thiskind of investigation is done todisrupt corruption fromhappening.
SSACC. Has
monopoly overcorruption cases
investigation.

Thailand

Request madeby NACC
directly to theJudge

Also need ajudicial
warrant.
Forty-eight
hours to bring
the suspect
before thecourt.
Maximum
detention iseighty fourdays. Application madedirectly to theJudge by
NACC.

Sometimes inseriouscrimes.

National AntiCorruption
Agency(NACC)

Search and
Seizure182

Arrest/Detention

Proactive

AGNECYNo Specialized
agency. Only
Specialized Public
Prosecution
Offices. Administrative Control..
Illicit gains
Authority. FIU
and then National
Coordination
against corruption.

Negative.

A warrant isneeded with the
exception of whena suspect is caught
in the process ofcommitting acrime. In this caseno warrant isneeded but thesuspect must be
brought before thejudge within 4
Days. The
maximum
detention period

Normally awarrant is needed.
But the suspect isfought red handed
no warrant isneed. However, heshould be brought
before the Prosecutor within 24
hours of arrest.

Egypt

Police/Prosecution

With a warrant. 72
hours for police andthe prosecution.
Forty-eight hours forpolice and twentyfour hours for theprosecutor. If thearrest is made by
the Prosecutor thenit has forty-eight
hours only. Generally
ten days for initialdetention liable forone more extension
only. This makes thetotal detention days
twenty.
Negative

Warrant before
making search andseizure.

Japan

Police/ACC
have
monopolyover investigation overcorruption
cases.

Some times.

Detention
period is 24
Hours.
Maximum
initial period
fifteen days
liable toextension
with a judicial
warrant.

No searchwarrant fromcourt isneeded inpublic areas.
Search ofprivateproperty, awarrant isneeded.
Application ismade by theprosecution
and executedby the police.

Maldives

Investigative Methods and Powers

ACC

Negative

No warrant
required toarrest.

No permission
from court.
But to get
informationfrom bankaccounts
permission
from judge isneeded.

Bangladesh

ACA/otheragencies caninvestigate
corruption but
should refer
the files assoon aspossible to
the ACCNot available
for corruption
cases.

72 hours
without
warrant.
Extension ismade to thecourt throughPublic Prosecution Office.
Maximum
detention
period is 18
months. Thismeasure isscrutinized by
the court.

Warrant isneeded form aprosecutor.

Kazakhstan

ACC ofNational
Security
Committee/
Prosecutor
Office.

Positive

Arrest forforty-eight
hours extendable to one
year
maximum bycourt order.

Warrant isneeded for
seizure andsearch. The
warrant isobtainablefrom thecourt.

KyrgyzRepublic

Anti-corruption
Authority/
PoliceNegative

Warrant
needed froma Prosecutor
and not a
judge. 24hours for
Police. Prosecution has
up to threemonths.

Warrant
needed froma prosecutor.

Laos

Annex ⅢRESOURCE MATERIAL SERIES No. 98

Effectivenessin generating
useful evidence

Procedures
and safeguards
against humanrights infringement andabuse, if any

Human Rights
Challenges

Informants

Physical andElectronic
Surveillance

UndercoverOperatives.
Sting operation
and bugging.
Wiretapping

Controlled
deliveryType ofMeasureIf these measures are to
be used a judicial
warrant is needed.
Moreover and because of
their intrusive nature
they should be used as alast resort and in serious
crimes. Article 22 of theConstitution
Not tested. However, it
has the potential ofunraveling evidence
considering that corruption is a secretive crimein nature and requires
secretive and special
methods to discover andgather evidence of its
existence.

Right to Privacy is oneof the inviolable andfundamental rights under
the constitution. Any
infringement on thisright must be in accordance with the express
provisions of the law.

Not expressly provided
for under the law andare therefore not safe touse as the evidence
obtained through themmight be illegal andtherefore not admissible.

Undercover operations areused

Intrusiveonprotected
rightsSouth Sudan

Thailand

They areused inseriouscrimes onlyand subject
to judicial
scrutiny.
Not tested inrelation tocorruption.

The use of informants is the mosteffective.

Infringe onsome fundamental
human rights
such as theright toprivacySome special
investigativetechniques.
Controlled
delivery,amongothers isused tocrack
criminal
networks.
However,
their use
does notextend tocorruption
cases

Japan

Egypt’s constitution
protects fundamental rights andfreedoms. Any
infringement ofthese rights must
be in accordancewith the express
provisions of thelaw.
If these measures
are to be used a
judicial warrant isneeded. Evidence
admissible if used
upon a judicial
warrant.

Controlled delivery,
wiretapping,
physical andelectronic surveillance and informants are used toenhance effectiveness in collecting
evidence during
investigations.

Egypt

The use of
informants
is specificallyeffective in
getting
evidence.

Judicial
warrant isneeded intheir use.

Fundamental rights
areprotected
under theconstitution.

Not used on
the context
of ACC.
Only police
can usethesemeasures.

Maldives

Special Investigative Measures

Effective in
generating
usefulevidence.

Use withpermission
from judge
or court

Fundamental humanrights arepreserved
under theconstitution
and theanticorruption law.

Controlled
deliverySting
operations(trap case)

Bangladesh

Provedeffective andcounteracting
corruption
through facilitating evidence
gathering

Their use issubject tojudicial
oversight andare restricted
to serious
crimes only.

Provedeffective in
generating
evidence.

Judicial
scrutiny isrequired

Penetration of
office, house orother places,
Physical
control of aperson orplace.
Sting operations
Constitution
protects theright toprivacy

Penetration of
office, house orother places,
Physical
control of aperson orplace.

These measure
are intrusive
and infringe
much on theright toprivacy.

Controlled
delivery,Wire-tapping(telephone,computer),
Bugging(person, place),

KyrgyzRepublic

Controlled
delivery,Wire-tapping(telephone,computer),
Bugging(person, place),

Kazakhstan

Police activities using
specialmeasures aresupervised byprosecutor.
Prosecutor’s
permission isrequired.
Provedeffective

The constitution ensures
basic humanrights.

Controlled
delivery,undercover
operations
and wiretapping are usedby police
officers
according to
PublicSecurity Act.

Laos

Annex Ⅳ

161ST INTERNATIONAL TRAINING COURSEREPORTS OF THE PROGRAMME

183

184
LL.B. and1 yeartraining in
National
Judicial
CentreSufficiency ofevidence tosustain reasonable prospect ofconviction.

No check system

LLB and 1 year
training in legal
training institutefor prosecutor

Positive(subject toconsiderationof the parliament)

Positive

Positive

Sufficientevidence

Joint
Committee(NACC,
Attorney
General), then
NACC canprosecute
LL.B.+Bar
exam+2 years’
legal experience and exam
for prosecutor
recruitment

Independence
in removal

Independence
in decision ineach case

Financial
independence

Element andCriteria

Check system

Others (qualification for theprosecutors or
the member ofthe commision)

Attorney
General(acc. tohierarchy)

The Constitution
and the law
provides for‘functional’
independence.
No financial
independence.

Positive(subject toconsent of theparliament)

Independence
in appointment

Sufficientevidence

Positive

Positive

Positive

Positive

Prosecutor

Anti-Corruption
Commission/
Director of Public
Prosecution
Members areappointed by the
President of the
Republic subject
to approval of the
National Legislative Assembly(Parliament)
Removal by the
President or the
National Legislative Assembly

Attorney
GeneralAuthority

Egypt

South Sudan

ThailandSame barqualificationand training at
LRTI as judges
and defence
lawyers

Budget of
Ministry ofJustice
The case canbe proved
beyond reasonable doubt. The
necessity toprosecute isalso considered.
The committee
for the inquestof prosecution

Positive (disqualificationcommittee)
stipulated in
the prosecution
office law
Positive stipulated in theprosecution
office law

Ministry ofJusticeappoints

Prosecutor

Japan

LL.B.forprosecutor,
LL.B. and 4
years experience for
Prosecutor
GeneralNo check
systemThe case canbe proved
beyond reasonable doubt

Positive

Positive

Positive(subject toconsiderationof the parliament)

Positive(subject toconsent of theparliament)

Prosecutor
GeneralMaldives

Attorney of 10
years inpractice

No check
system. The
decision of
ACC toprosecute is
final

Sufficiency ofevidence tosustain reasonable prospectof conviction.

Positive

Positive

Positive (Parliament)

Independent(Appointed by
the President,
nominated by
five members
Committee)

ACC

Bangladesh

Prosecution of Corruption Offences

LL.B. and 5
years’ experience in prosecution officeUpper Prosecutors Office
Court

Sufficientevidence

Positive

Positive

Positive (Parliament)

Positive(appointed by
Parliament)

Prosecutor

Kazakhstan

LL.B., exam andtraining inprosecution officeUpper Prosecutors Office Court

Sufficientevidence

Positive (Ownbudget)General prosecutor is nominatedby President andparliament should
approve theappointment
Positive

General prosecutor is nominatedby President andparliament should
approve theappointment

KyrgyzRepublic
Prosecutor

LL.B. andtraining in theinstitute ofjustice

Supreme
Prosecutors
OfficeCourt

Budget isdecided byGovernment
Sufficientevidence

Positive (prosecutor isindependent bylaw)

Positive (Prosecutor Generalis appointed by
Parliament)
prosecutors
are nominatedby Prosecutor
GeneralPositive (Parliament)

Prosecutor

Laos

Annex ⅤRESOURCE MATERIAL SERIES No. 98

South Sudan

Ordinary
judges andordinary
juducial
process

All documents
are submitted
to the court

Negative

Negative

No difference

Admissible

ThailandIf defendant isa politician-9
judges panel ofSupreme Court

All documents
are submitted
to the court

Pre-trial
confrence
procedure

Physicalprotection(rarely used)

No difference

Nothing special

Judges andJudicial
process forcorruption
offences

Disclosure ofevidence

Special proceedings forfair and speedy
trial

Witness protection

Rule ofevidence (Istheresomethingspecial about
corruption
cases?)
Statement of
co-offender
At the stage ofprosecution,prosecutor canapply to judge
to give mitigation or
acquittal to thewitness to takea testimony

No difference

Judge canorder police totake appropriate measues toprotect witness

Negative

Negative

Ordinary
judges andordinary
juducial
process

Egypt

Nothing special

No difference

No witness
protection

Pre-trial
confrence
procedure

Partially

Ordinary
judges andordinary
juducial
process

Japan

Nothing special

No difference

Judge canconceal thebackground of
witness fromsuspect ordefendant

Negative

All documents
are submitted
to the court
exept the statements which
prosecutors
want to hidethat identify
the person.

Ordinary
judges andordinary
juducial
process

Maldives

Nothing special

No difference

Judge canorder police totake appropriate measues toprotect witness

Negative

All documents
are submitted
to the court

Special court

Bangladesh

Trial Procedures for Corruption Offences

Nothing special

No difference

Judge canconceal thebackground of
witness fromsuspect ordefendant

Pre-trial
confrence
procedure (20daysmaximum)

All documents
are submitted
to the court

Ordinary
judges andordinary
juducial
process

Kazakhstan

Nothing special

No difference

Positive

Negative

All documents
are submitted
to the court

Ordinary
judges andordinary
juducial
process

KyrgyzRepublic

Nothing special

No difference

Negative

Negative

Negative

Ordinary
judges andordinary
juducial
process

Laos

Annex Ⅵ

161ST INTERNATIONAL TRAINING COURSEREPORTS OF THE PROGRAMME185

APPENDIXCOMMEMORATIVE PHOTOGRAPHS⃝ 161st International Training Course⃝ 18th UNAFEI UNCAC Training Programme

UNAFEIThe 161st International Training Course and the 25th
Anniversary Seminar of the United Nations Standard
Minimum Rules for Non-custodial Measures

Left to Right:
4th Row
Mr. Shojima (Staff), Ms. Iwakata (Staff), Mr. Ozawa (Staff), Prof. Moriya, Prof. Akashi, Mr.
Miyagawa (Staff), Prof. Watanabe, Ms. Irie (Japan), Mr. Schmid (LA), Mr. Ando (Staff), Ms. Sato
(Staff), Ms. Oda (Staff), Ms. Hando (Staff), Ms. Odagiri (Chef), Mr. Kato (Kitchen Staff), Ms. Yamada(Staff)
3rd Row
Mr. Toyoda (Staff), Mr. Himuro (Japan), Ms. Suzuki (Japan), Mr. Muraguchi (Japan), Mr. Limanye(Kenya), Mr. Otomo (Japan), Mr. Lo (Hong Kong), Mr. Thaimuta (Kenya), Dr. Lu (CCLS), Dr. Liu(CCLS), Mr. Naing (Myanmar), Ms. Chuenura (TIJ), Ms. Juaseekoon (TIJ), Mr. Ito (Staff), Ms. Hisa
(JICA)
2nd Row
Mr. Heather (Cook Islands), Mr. Joseph (Cook Islands), Ms. Mulandi (Kenya), Ms. Choi (Korea),
Ms. Choden (Bhutan), Ms. Masese (Kenya), Ms. Ngara (Kenya), Ms. Miro (Papua New Guinea), Ms.
Tukavai (Papua New Guinea), Mr. Ndungu (Kenya), Dr. Zhou (CCLS), Dr. Wu (CCLS), Prof. Hirose,
Prof. Yukawa, Mr. Endo (Staff)
1st Row
Prof. Nagai, Mr. Imafuku (Japan), Dr. Zhao (CCLS), Ms. Joutsen (Finland), Dr. Joutsen (HEUNI),
Director General Akane, Director Yamashita, Mr. Hill (ICPA), Dr. Kittipong (TIJ), Mr. Pfeiffer(UNODC), Deputy Director Morinaga, Mr. Matsutomo (Japan), Prof. Minoura

The 18th UNAFEI UNCAC Training Programme

Left to Right:
4th Row
Mr. Kato (Kitchen Staff), Ms. Odagiri (Chef), Ms. Iwakata (Staff), Ms. Oda (Staff), Ms. Yamada(Staff), Mr. Ozawa (Staff), Mr. Endo (Staff), Ms. Hando (Staff), Ms. Ema (Staff), Mr. Miyagawa (Staff),
Ms. Yamamoto (JICA)
3rd Row
Mr. Toyoda (Staff), Mr. Usmanov (Uzbekistan), Ms. Abdul Gayoom (Maldives), Ms. Panom(Thailand), Ms. Abdulla (Maldives), Mr. Palacios Guifarro (Honduras), Mr. Maruyama (Japan), Mr.
Phuntsho (Bhutan), Mr. Kushimov (Kazakhstan), Mr. Sargaldokov (Kyrgyz Republic), Mr. Chorshanbiev (Tajikistan), Mr. Baimakhanov (Kazakhstan), Mr. Aryal (Nepal), Ms. Ivashchenko (Ukraine)
2nd Row
Mr. Nurmatov (Uzbekistan), Ms. Diomande (Cote d’Ivoire), Ms. Kuruji (Japan), Mr. Sakai (Japan),
Mr. Honda (Japan), Mr. Bakry (Egypt), Mr. Rioba (Kenya), Mr. Watanabe (Japan), Mr. Dut (South
Sudan), Mr. Hassan (Pakistan), Mr. Sangsinsay (Laos), Mr. Uddin (Bangladesh), Mr. Oo (Myanmar),Mr. Tiravanichpong (Thailand), Ms. Oikawa (Japan), Mr. Morshed (Bangladesh), Mr. Refai (Egypt)
1st Row
Mr. Schmid (LA), Prof. Minoura, Prof. Moriya, Prof. Yukawa, Deputy Director Morinaga, Mr.
Findl (Germany), Director Yamashita, Mr. Wong (Honk Kong), Prof. Hirose, Prof. Yoshimura, Prof.
Watanabe, Mr. Ando (Staff), Mr. Ito (Staff)